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HomeMy WebLinkAbout07-22-2015 Board Meeting Agenda Packet Orange County Sanitation District Wednesday, July 22, 2015 AND 6:00 P.M. Orange County Sanitation District Board Room Financing Corporation 10844 Ellis Avenue Regular Meeting of the Fountain Valley, CA 92708 Board of Directors (714) 593-7433 AGENDA INVOCATION AND PLEDGE OF ALLEGIANCE: (Steve Jones, City of Garden Grove) DECLARATION OF QUORUM: ROLL CALL: PUBLIC COMMENTS: If you wish to speak, please complete a Speaker's Form (located at the table outside of the Board Room) and give it to the Clerk of the Board. Speakers are requested to limit comments to three minutes. SPECIAL PRESENTATIONS: Employee Service Awards REPORTS: The Chair and the General Manager may present verbal reports on miscellaneous matters of general interest to the Directors. These reports are for information only and require no action by the Directors. CONSENT CALENDAR: Consent Calendar Items are considered to be routine and will be enacted, by the Board of Directors, after one motion, without discussion. Any items withdrawn from the Consent Calendar for separate discussion will be considered in the regular order of business. 1. Approve minutes of the Regular Board of Directors Meeting held on June 24, 2015. 0712VI5 OCSD Board of Directors Agenda Page 1 of 6 2. Adopt Resolution No. OCSD 15-15 entitled, "A Resolution of the Board of Directors of the Orange County Sanitation District commending Tom Beamish for his outstanding contributions and dedication to public service as Chairman of the Orange County Sanitation District Board of Directors." 3. Ratify and approve Amendment No. 1 to the Professional Services Agreement, PSA2013-001, with Koury Engineering & Testing, Inc., to provide on-call Materials Testing, Inspection, and other Geotechnical Testing Services for Collection System and Treatment Plant projects, for an amount not to exceed $125,000, increasing the total contract amount not to exceed $325,000. 4. A. Receive and file bid tabulation and recommendation for IT Server Room Cooling Improvements, Project No. FE12-10; B. Award a construction contract to ODC Engineering & Technology, Project No. FE12-10, for a total amount not to exceed $281,000; and C. Approve a contingency of$28,100 (10°/%). 5. A. Approve a Task Order with CH2M HILL for Plant Air System Master Plan, Project No. SP-148, On-Call Planning Studies, Contract PLAN2013-04, Task Order No. 1, for an amount not to exceed $187,100; and B. Approve a contingency of$18,710 (10%). OPERATIONS COMMITTEE: 6. Approve minutes of the July 1, 2015 meeting of the Operations Committee. 7. A. Approve a Professional Design Services Agreement with MWH Americas, Inc. to provide engineering design services for the Rehabilitation of Seal Beach Pump Station, Project No. 3-62, for an amount not to exceed $6,917,175; and B. Approve a contingency of$691,718 (10%). 8. A. Establish a budget for an AquaCritoO Demonstration Project Evaluation Study, Project No. SPA 25-17, in the amount of$423,000. B. Approve a Sole Source Professional Services Agreement with SCFI Group Limited to conduct an Evaluation Study for the AquaCritoo 01/2VI5 OCSD Board of Directors Agenda Page 2 of 6 Demonstration Project, Project No. SP-125-17, for an amount not to exceed $311,460; and C. Approve a contingency of$31,200 (10%) ADMINISTRATION COMMITTEE: 9. Approve minutes of the July 8, 2015 meeting of the Administration Committee. 10. Adopt Resolution No. OCSD 15-16 entitled, "A Resolution of the Orange County Sanitation District Board of Directors Adopting the Records Management Program Policy and Procedures, Updated Retention Schedule, Authorizing Destruction of Obsolete Records, and Repealing Resolution No. OCSD 10-12." 11. Receive and file the Independent Accountants' Report on Applying Agreed-Upon Procedures from White Nelson Diehl Evans, LLP. STEERING COMMITTEE: 12. Approve minutes of the June 24, 2015 Regular Steering Committee Meeting. 13. Receive and File the General Manager's FY 2014 - 2015 Work Plan Year End Update. LEGISLATIVE AND PUBLIC AFFAIRS COMMITTEE: 14. Approve minutes of the July 13, 2015 meeting of the Legislative and Public Affairs Committee. Recess OCSD Board of Directors Meeting. ORANGE COUNTY SANITATION DISTRICT FINANCING CORPORATION The members of the Orange County Sanitation District Board of Directors are each being compensated$212.50 for the Board Meeting; there is no additional compensation for the Financing Corporation Meeting. 07/2W5 OCSD Beard of Directors Agenda Page 3 of 6 CALL TO ORDER: Board of Directors, Orange County Sanitation District Financing Corporation. ROLL CALL: APPROVAL OF MINUTES: FC-1. If no corrections or amendments are made, the minutes for the meeting held on December 17, 2014, will be deemed approved and be so ordered by the Chair. ACTION ITEM: FC-2. Receive and File the Annual Status Report of the Orange County Sanitation District Financing Corporation. Adjourn, Board of Directors, Orange County Sanitation District Financing Corporation. Reconvene, Board of Directors, Orange County Sanitation District. NON-CONSENT: None. AB 1234 REPORTS: INFORMATION ITEMS: 15. Classification & Compensation Studies - Comparison Agencies. 01/2VI5 OCSD Board of Directors Agenda Page 4 of 6 CLOSED SESSION: During the course of conducting the business set forth on this agenda as a regular meeting of the Board, the Chair may convene the Board in closed session to consider matters of pending real estate negotiations, pending or potential litigation, or personnel matters, pursuant to Government Code Sections 54956.8, 54956.9, 54957 or 54957.6, as noted. Reports relating to (a) purchase and sale of real property, (b) matters of pending or potential litigation; (c) employment actions or negotiations with employee representatives;or which are exempt from public disclosure under the California Public Records Act, may be reviewed by the Board during a permitted closed session and are not available for public inspection. At such time as the Board takes final action on any of these subjects, the minutes will reflect all required disclosures of information. Convene in closed session. (1) CONFERENCE WITH LEGAL COUNSEL RE EXISTING LITIGATION (Government Code Section 54956.9(d)(1)) Number of Cases: 4 Klean Waters, Inc. v. Orange County Sanitation District, United States District Court, Central District of California, Southern Division, Case No. 8:15-cv-00627-JVS-FFM Alex Shaaban v. Orange County Sanitation District, Orange County Superior Court, Case No. 30-2014-00714555 Kelly Ross v. Orange County Sanitation District, Orange County Superior Court, Case No. 30-2014-00714553 Mark Boyd v. Orange County Sanitation District, Workers' Compensation Appeals Board, Case No. ADJ6736337 (2) CONFERENCE WITH LABOR NEGOTIATORS (Government Code Section 54957.6) Agency Designated Representatives: Jim Herberg, Bob Ghirelli, Rich Spencer, and Laura Maravilla Unrepresented Employees: Managers Group Reconvene in regular session. CONSIDERATION OF ACTION, IF ANY, ON MATTERS CONSIDERED IN CLOSED SESSION: 07/22/15 OCSD Board of Directors Agenda Page 5 of 6 OTHER BUSINESS AND COMMUNICATIONS OR SUPPLEMENTAL AGENDA ITEMS, IF ANY: Resolution of Commendation — Past Chair, Tom Beamish ADJOURNMENT: Adjourn the Board meeting until the next Regular Board Meeting on August 26, 2015, at 6:00 p.m. Accommodations for the Disabled: Meeting Rooms are wheelchair accessible. If you require any special disability related accommodations, please contact the Orange County Sanitation District Clerk of the Board's office at(714) 593-7433 at least 72 hours prior to the scheduled meeting. Requests must specify the nature of the disability and the type of accommodation requested. Agenda Posting: In accordance with the requirements of California Government Code Section 54954.2, this agenda has been posted outside the main gate of the Sanitation District's Administration Building located at 10844 Ellis Avenue, Fountain Valley, California, and on the Sanitation District's website at www.ocsd.com, not less than 72 hours prior to the meeting date and time above. All public records relating to each agenda item, including any public records distributed less than 72 hours prior to the meeting to all, or a majority of the Board of Directors, are available for public inspection in the office of the Clerk of the Board. NOTICE TO DIRECTORS: To place items on the agenda for a Committee or Board Meeting, items must be submitted to the Clerk of the Board 14 days before the meeting. Kelly A. Lore Clerk of the Board (714)593-7433 kloreaocsd.com For any questions on the agenda, Committee members may contact staff at: General Manager Jim Herberg (714)593-7300 iherbem(rpocsd.com Assistant General Manager Bob Ghirelli (714)593-7400 rahirelli(c3ocsd.com Director of Engineering Rob Thompson (714)593-7310 rthomoson0ocsd.00m Director of Facility Support Services Nick Arhontes (714)593-7210 narhontesaocsd.mm Director of Finance and Lorenzo Tyner (714)593-7550 Itvner( ocsd.com Administrative Services Director of Operations&Maintenance Ed Tortes 714 593-7080 etorres ocsd.com 07/22/15 OCSD Board of Directors Agenda Page 6 of 6 ITEM NO. 1 Orange County Sanitation District MINUTES BOARD MEETING June 24, 2015 O NS ANITgr� 9 U N ? ,y t O ti l�A,N THE NV�� Administration Building 10844 Ellis Avenue Fountain Valley, California 92708-7018 06/24/2015 Minutes of Board Meeting Page 1 of 12 ROLL CALL A regular meeting of the Board of Directors of the Orange County Sanitation District was held on June 24, 2015, at 6:02 p.m., in the Administration Building. Director Katapodis delivered the invocation and led the Pledge of Allegiance. The Clerk of the Board declared a quorum present as follows: ACTIVE DIRECTORS ALTERNATE DIRECTORS X Tom Beamish, Chair Rose Espinoza X John Nielsen, Vice-Chair Allan Bernstein X Lisa Bartlett Michelle Steel X Steven Choi Lynn Schott X Keith Curry Scott Peotter A Ellery Deaton Sandra Massa-Lavitt A Tyler Diep Joy Neugebauer X James M. Ferryman Bob Ooten A Steven Jones Kris Beard X Jim Katapodis Erik Peterson X Robert Kiley Michael Beverage A Peter Kim Michele Steggell X Lucille Kring Jordan Brandman X Greg Mills Robert Collacott X Richard Murphy Shelley Hasselbrink Steve Nagel X Michael Vo X Glenn Parker Cecilia Hupp X Gregory Sebourn Doug Chaffee X David Shawver Carol Warren X Fred Smith Steve Berry X Teresa Smith Mark Murphy X Sal Tinajero David Benavides Chad Wanke X Constance Underhill X John Withers Douglas Reinhart X Mariellen Yarc Stacy Berry STAFF MEMBERS PRESENT: Jim Herberg, General Manager; Bob Ghirelli, Assistant General Manager; Rob Thompson, Director of Engineering; Lorenzo Tyner, Director of Finance & Administrative Services; Ed Torres, Director of Operations & Maintenance; Nick Arhontes, Director of Facility Support Services; Kelly Lore, Clerk of the Board; Jim Colston; Chad Crow; Carla Dillon; Al Garcia; Stephanie Good; Ingrid Hellebrand; Terry Krie; Rebecca Long; Kathy Millea; Cindy Murra; Andrew Nau; Wendy Sevenandt; and Richard Spencer. 06/24/2015 Minutes of Board Meeting Page 2 of 12 OTHERS PRESENT: Brad Hogin (General Counsel); Michael Beverage (Alternate Director, YLWD); Bob Ooten (Alternate Director CMSD); Lynn Grijalvo (Hazen and Sawyer); and Diane Hamlin (HDR). PUBLIC COMMENTS: None. SPECIAL PRESENTATION Director of Facility Support Services, Nick Arhontes presented a service award to Ingrid Hellebrand, Division 310, Senior Staff Analyst— (25 years) Director of Engineering, Rob Thompson presented a service award to Terry Krie, Division 760, Senior Construction Inspection Supervisor— (25 years) REPORTS: Chair Beamish announced that the GWRS Dedication will be take place tomorrow, Friday, June 26, 2015 at 9:00 p.m. General Manager Herberg reported on the following: increasing flows to Orange County Water District to 125 mgd for the Groundwater Replenishment System; $450,000 WaterSMART grant received; awards received including the Fleet Services Excellence Award #1 midsized fleet and three Communicator Awards received for the OCSD 60th anniversary video and distinction and design of our annual report. Assistant General Manager Bob Ghirelli provided an update on the recent "Heal the Bay" report stating that the overall beach quality in Orange County was excellent, receiving an "A" grade with the exception of one stretch at Brookhurst Street which received a "C" grade and was also listed as a "beach bummer". He stated that the reported bacterial levels had never been high enough to force a closure that our effluent is not suspected for this report, but that staff is closely monitoring the situation with the city of Huntington Beach and the OC Public Works. CONSENT CALENDAR: 1. MOVED, SECONDED, AND DULY CARRIED TO: Approve minutes for the Regular Board Meeting held on May 27, 2015. AYES: Bartlett; Beamish; Choi; Curry; Ferryman; Katapodis; Kiley; Kring; Mills; R. Murphy; Nielsen; Parker, Seboum; Shawver; F. Smith; T. Smith; Tinajero; Withers and Yarc NOES: None 06/24/2015 Minutes of Board Meeting Page 3 of 12 ABSTENTIONS: Underhill (Alternate); and Vo (Alternate) ABSENT: Deaton; Diep; Jones; and Kim 2. MOVED, SECONDED, AND DULY CARRIED TO: Approve Amendment No. 1 to the Amended Joint Exercise of Powers Agreement for the Development, Operation and Maintenance of the Groundwater Replenishment System and the Green Acres Project (Cost-Sharing Agreement) with the Orange County Water District for the Effluent Reuse Study, Project No. SP-173, in a form approved by General Counsel, for an estimated cost share not to exceed $1,004,255, less any grant funds received. AYES: Bartlett; Beamish; Choi; Curry; Ferryman; Katapodis; Kiley; Kring; Mills; R. Murphy; Nielsen; Parker; Seboum; Shawver; F. Smith; T. Smith; Tinajero; Underhill (Alternate); Vo (Alternate); Withers and Yarc NOES: None ABSTENTIONS: None ABSENT: Deaton; Diep; Jones; and Kim OPERATIONS COMMITTEE: 3. MOVED, SECONDED, AND DULY CARRIED TO: Approve minutes of the June 3, 2015 meeting of the Operations Committee. AYES: Bartlett; Beamish; Choi; Curry; Ferryman; Jones; Katapodis; Kiley; Kring; Mills; R. Murphy; Nielsen; Parker, Sebourn; Shawver; F. Smith; T. Smith; Tinajero; Underhill (Alternate); Vo (Alternate); Withers and Yarc NOES: None ABSTENTIONS: None ABSENT: Deaton; Diep and Kim Items 4 & 6 were pulled and heard separately. Operations Chair Seboum reported a conflict of interest, recused himself and left the room during discussion and vote. Operations Vice-Chair Shawver presided. 06/24/2015 Minutes of Board Meeting Page 4 of 12 4. MOVED, SECONDED, AND DULY CARRIED TO: A. Approve annual Professional Design Services Agreements with Dudek; Lee & Ro, Inc.; GHD; AECOM; Hazen and Sawyer; RMC Water and Environment; Projectline Technical Services, Inc.; Tait & Associates, Inc.; Beyaz & Patel, Inc.; IDS Group, Inc.; Kleinfelder, Inc.; and RMS Engineering and Design, Inc. for professional engineering design and construction support services projects, Contract No. FE15-00-XX, commencing July 1, 2015 with a maximum annual fiscal year contract limitation not to exceed $400,000 for each Professional Design Services Agreement; and B. Approve up to two additional one-year optional extensions. AYES: Beamish; Choi; Curry; Ferryman; Katapodis; Kiley; Kring; Mills; R. Murphy; Nielsen; Parker; Shawver; F. Smith; T. Smith; Tinajero; Underhill (Alternate); Vo (Alternate); Withers and Yarc NOES: None ABSTENTIONS: Bartlett; Seboum (Recused) ABSENT: Deaton; Diep; Jones; and Kim 5. MOVED, SECONDED, AND DULY CARRIED TO: Approve Amendment No. 1 of the OC Waste and Recycling Waste Disposal Agreement, extending the initial term of the Agreement from June 30, 2020 to June 30, 2025. AYES: Bartlett; Beamish; Choi; Curry; Ferryman; Katapodis; Kiley; Kring; Mills; R. Murphy; Nielsen; Parker; Seboum; Shawver; F. Smith; T. Smith; Tinajero; Underhill (Alternate); Vo (Alternate); Withers and Yarc NOES: None ABSTENTIONS: None ABSENT: Deaton; Diep; Jones; and Kim 6. MOVED, SECONDED, AND DULY CARRIED TO: A. Approve a budget increase of $300,000, which would increase the project total amount to $1,900,000 for the Odor Control Master Plan, Project No. SP-166: 06/24/2015 Minutes of Board Meeting Page 5 of 12 B. Approve a Professional Services Agreement with CH2M-Hill to provide Engineering Services for Odor Control Master Plan, Project No. SP-166, for an amount not to exceed $790,285; and C. Approve a contingency of$118,543 (15%) AYES: Bartlett; Beamish; Choi; Curry; Ferryman; Katapodis; Kiley; Kring; Mills; R. Murphy; Nielsen; Parker; Shawver; F. Smith; T. Smith; Tinajero; Underhill (Alternate); Vo (Alternate); Withers and Yarc NOES: None ABSTENTIONS: Sebourn (Recused) ABSENT: Deaton; Diep; Jones; and Kim ADMINISTRATION COMMITTEE: 7. MOVED, SECONDED, AND DULY CARRIED TO: Approve minutes of the June 10, 2015 meeting of the Administration Committee. AYES: Bartlett; Beamish; Choi; Curry; Ferryman; Katapodis; Kiley; Kring; Mills; R. Murphy; Nielsen; Parker; Sebourn; Shawver; F. Smith; Tinajero; Underhill (Alternate); Vo (Alternate); Withers and Yarc NOES: None ABSTENTIONS: T. Smith ABSENT: Deaton; Diep; Jones; and Kim 8. MOVED, SECONDED, AND DULY CARRIED TO: Authorize purchases of software licensing and maintenance agreements for IBM Maximo and WebSphere using GSA Advantage contract # GS-35F-0265X through the expiration date, May 2, 2016 for a total amount not to exceed $200,000, in accordance with Ordinance OCSD-47, Section 2.03(B) Cooperative Purchases. AYES: Bartlett; Beamish; Choi; Ferryman; Katapodis; Kiley; Kring; Mills; R. Murphy; Nielsen; Parker; Sebourn; Shawver; F. Smith; T. Smith; Tinajero; Underhill (Alternate); Vo (Alternate); Withers and Yarc NOES: None 06/24/2015 Minutes of Board Meeting Page 6 of 12 ABSTENTIONS: Curry (recused) ABSENT: Deaton; Diep; Jones; and Kim 9. MOVED, SECONDED, AND DULY CARRIED TO: Authorize purchases of information technology computer and peripheral equipment using the Admin Minnesota Materials Management Division contract release #C-1084(5) through the contract expiration date, December 15, 2015 for a total amount not to exceed $250,000, in accordance with Ordinance OCSD-47, Section 2.03(B) Cooperative Purchases. AYES: Bartlett; Beamish; Choi; Curry; Ferryman; Katapodis; Kiley; Kring; Mills; R. Murphy; Nielsen; Parker; Seboum; Shawver; F. Smith; T. Smith; Tinajero; Underhill (Alternate); Vo (Alternate); Withers and Yarc NOES: None ABSTENTIONS: None ABSENT: Deaton; Diep; Jones; and Kim 10. MOVED, SECONDED, AND DULY CARRIED TO: Authorize purchases of information technology computer and peripheral equipment using the HP WSCA/NASPO contract # B27164 with Nth Generation Computing Inc. through the contract expiration date, September 30, 2015 for a total amount not to exceed $200,000, in accordance with Ordinance OCSD-47, Section 2.03(B) Cooperative Purchases. AYES: Bartlett; Beamish; Choi; Curry; Ferryman; Katapodis; Kiley; Kring; Mills; R. Murphy; Nielsen; Parker; Seboum; Shawver; F. Smith; T. Smith; Tinajero; Underhill (Alternate); Vo (Alternate); Withers and Yarc NOES: None ABSTENTIONS: None ABSENT: Deaton; Diep; Jones; and Kim 11. MOVED, SECONDED, AND DULY CARRIED TO: Adopt Resolution No. OCSD 15-13, entitled, "A Resolution of the Board of Directors of Orange County Sanitation District Establishing Use Charges for the 2015-16 Fiscal Year Pursuant to the Wastewater Treatment and Disposal Agreement with the Santa Ana Watershed Project Authority ("SAWPA")". 06/24/2015 Minutes of Board Meeting Page 7 of 12 AYES: Bartlett; Beamish; Choi; Curry; Ferryman; Katapodis; Kiley; Kring; Mills; R. Murphy; Nielsen; Parker, Seboum; Shawver; F. Smith; T. Smith; Tinajero; Underhill (Alternate); Vo (Alternate); Withers and Yarc NOES: None ABSTENTIONS: None ABSENT: Deaton; Diep; Jones; and Kim 12. MOVED, SECONDED, AND DULY CARRIED TO: Adopt Resolution No. OCSD 15-14 entitled, "A Resolution of the Board of Directors of the Orange County Sanitation District Establishing the Annual Appropriations Limit for Fiscal Year 2015-16 for the District in accordance with the Provisions of Division 9 of Title 1 of the California Government Code." AYES: Bartlett; Beamish; Choi; Curry; Ferryman; Katapodis; Kiley; Kring; Mills; R. Murphy; Nielsen; Parker, Seboum; Shawver; F. Smith; T. Smith; Tinajero; Underhill (Alternate); Vo (Alternate); Withers and Yarc NOES: None ABSTENTIONS: None ABSENT: Deaton; Diep; Jones; and Kim 13. MOVED, SECONDED, AND DULY CARRIED TO: Approve the FY 2015-16 "not-to-exceed" quotes for the following insurance vendors: A. Employee Benefit Specialists (medical, dental, and vision plans; Employee Assistance Program)— Not to Exceed $11,305,763 B. Prudential (basic life, long-term disability, short-term disability) — Not to Exceed $494,290 C. The Standard (EMT & Manager disability)— Not to Exceed $30,000 AYES: Bartlett; Beamish; Choi; Curry; Ferryman; Katapodis; Kiley; Kring; Mills; R. Murphy; Nielsen; Parker; Seboum; Shawver; F. Smith; T. Smith; Tinajero; Underhill (Alternate); Vo (Alternate); Withers and Yarc NOES: None ABSTENTIONS: None ABSENT: Deaton; Diep; Jones; and Kim 06i24 2015 Minutes of Board Meeting Page 8 of 12 STEERING COMMITTEE: 14. MOVED, SECONDED, AND DULY CARRIED TO: Approve minutes of the May 27, 2015 regular Steering Committee Meeting. AYES: Bartlett; Beamish; Choi; Curry; Ferryman; Katapodis; Kiley; Kring; Mills; R. Murphy; Nielsen; Parker; Seboum; Shawver; F. Smith; T. Smith; Tinajero; Underhill (Alternate); Vo (Alternate); Withers and Yarc NOES: None ABSTENTIONS: None ABSENT: Deaton; Diep; Jones; and Kim 15. MOVED, SECONDED, AND DULY CARRIED TO: A. Agree with Findings F.1, F.2, F.3 and with Recommendation R.1 contained in the 2014-2015 Orange County Grand Jury Report — "Increasing Water Recycling:A Win-Win for Orange County'; and B. Authorize the Board Chair to notify the presiding judge in writing of the Board's agreement and responses. AYES: Bartlett; Beamish; Choi; Curry; Ferryman; Katapodis; Kiley; Kring; Mills; R. Murphy; Nielsen; Parker; Seboum; Shawver; F. Smith; T. Smith; Tinajero; Underhill (Alternate); Vo (Alternate); Withers and Yarc NOES: None ABSTENTIONS: None ABSENT: Deaton; Diep; Jones; and Kim LEGISLATIVE AND PUBLIC AFFAIRS COMMITTEE: 16. MOVED, SECONDED, AND DULY CARRIED TO: Approve minutes of the June 8, 2015 meeting of the Legislative and Public Affairs Committee. AYES: Bartlett; Beamish; Choi; Curry; Ferryman; Katapodis; Kiley; Kring; Mills; R. Murphy; Nielsen; Parker, Seboum; Shawver; F. Smith; T. Smith; Tinajero; Underhill (Alternate); Vo (Alternate); Withers and Yarc 06/24/2015 Minutes of Board Meeting Page 9 of 12 NOES: None ABSTENTIONS: None ABSENT: Deaton; Diep; Jones; and Kim 17. MOVED, SECONDED, AND DULY CARRIED TO: Approve the Communication Strategy for OCSD Utility Branding as part of the General Manager's Fiscal Year 2014-2015 Work Plan. AYES: Bartlett; Beamish; Choi; Curry; Ferryman; Katapodis; Kiley; Kring; Mills; R. Murphy; Nielsen; Parker; Seboum; Shawver; F. Smith; T. Smith; Tinajero; Underhill (Alternate); Vo (Alternate); Withers and Yarc NOES: None ABSTENTIONS: None ABSENT: Deaton; Diep; Jones; and Kim NON-CONSENT: Director of Engineering Rob Thompson introduced Item 18 and provided a brief report. 18. MOVED, SECONDED, AND DULY CARRIED TO: Establish a budget for Headquarters Complex, Site and Security, and Entrance Realignment Program, Project No. P1-128, in the amount of$168,000,000. AYES: Bartlett; Beamish; Choi; Curry; Ferryman; Katapodis; Kiley; Kring; Mills; R. Murphy; Nielsen; Parker, Seboum; Shawver; F. Smith; T. Smith; Tinajero; Underhill (Alternate); Vo (Alternate); Withers and Yarc NOES: None ABSTENTIONS: None ABSENT: Deaton; Diep; Jones; and Kim Director of Finance and Administrative Services, Lorenzo Tyner provided a short report regarding Item 19. 06/24/2015 Minutes of Board Meeting Page 10 of 12 19. MOVED, SECONDED, AND DULY CARRIED TO: Approve the proposed staffing positions totaling 624 Full Time Equivalent Positions as presented in the Budget Update for Fiscal Year 2015-16 AYES: Bartlett; Beamish; Choi; Curry; Ferryman; Katapodis; Kiley; Kring; Mills; R. Murphy; Nielsen; Parker, Seboum; Shawver; F. Smith; T. Smith; Tinajero; Underhill (Alternate); Vo (Alternate); Withers and Yarc NOES: None ABSTENTIONS: None ABSENT: Deaton; Diep; Jones; and Kim AB1234 REPORTS: Director Ferryman reported on the following meetings attended: ICCOG, where the strategic plan for the organization was discussed; the SARFPA meeting which will take place tomorrow; and the NWRI meeting, earlier this week, which reviewed workshops and conferences, fiscal responsibilities, and will be reviewing the director's contract. INFORMATION ITEMS: None. CONVENED IN CLOSED SESSION PURSUANT TO GOVERNMENT CODE SECTIONS: 54956.9(d)(1) The Board convened in closed session at 6:24 p.m. to discuss one item. Confidential minutes of the Closed Session have been prepared in accordance with the above Government Code Sections and are maintained by the Clerk of the Board in the Official Book of Confidential Minutes of Board and Committee Closed Meetings. RECONVENED IN REGULAR SESSION: The Board reconvened in regular session at 6:37 p.m. CONSIDERATION OF ACTION, IF ANY, ON MATTERS CONSIDERED IN CLOSED SESSION: None. 0 6/2412 01 5 Minutes of Board Meeting Page 11 of 12 OTHER BUSINESS AND COMMUNICATIONS OR SUPPLEMENTAL AGENDA ITEMS, IF ANY: Director Katapodis thanked Assistant General Manager Ghirelli and General Manager Herberg who kept him apprised of the "Heal the Bay" report with regard to his city. Chair Beamish thanked the Board and staff for their commitment to OCSD this year. He has enjoyed being Chair and mentioned that former Chair, Steve Anderson was his political mentor in La Habra, and was also the one who introduced him to the organization. He further stated that he looks forward to working with Chair-elect Nielsen and Vice-Chair elect Sebourn while continuing on the Board. Vice-Chair Nielsen stated that Chair Beamish has been a great leader for the Board, and mentioned that he had been particularly successful while in Washington D.C., presenting water recycling to the OC delegation, and lobbying support for the WaterSMART grant. ADJOURNMENT: Chair Beamish adjourned the meeting at 6:41 p.m. until the Regular Board Meeting on July 22, 2015 at 6:00 p.m. Kelly A. Lore Clerk of the Board O6124/2015 Minutes of Board Meeting Page 12 of 12 BOARD OF DIRECTORS Meeting Date TOBd.Of Dir. -- o7/zz/I5 AGENDA REPORT Item Item 2 Orange County Sanitation District FROM: James D. Herberg, General Manager Originator: Robert P. Ghirelli, Assistant General Manager SUBJECT: RESOLUTION NO. OCSD 15-15 COMMENDING FORMER BOARD CHAIR TOM BEAMISH GENERAL MANAGER'S RECOMMENDATION Adopt Resolution No. OCSD 15-15, entitled: "A Resolution of the Board of Directors of the Orange County Sanitation District commending Tom Beamish for his outstanding contributions and dedication to public service as Chairman of the Orange County Sanitation District Board of Directors:' SUMMARY The Sanitation District wishes to acknowledge former Board Chair Tom Beamish (City of La Habra) for his many contributions to the Sanitation District during his tenure as Chairman of the Board of Directors. The resolution is a formal commendation recognizing his term as Chairman of the Board, the different positions he held, and the accomplishments to which he contributed while on the Board. PRIOR COMMITTEE/BOARD ACTIONS None ADDITIONAL INFORMATION None CECIA N/A BUDGET / PURCHASING ORDINANCE COMPLIANCE N/A Page 1 of 2 ATTACHMENT The following attachment(s) maybe viewed on-line at the OCSD website (www.ocsd.com) with the complete agenda package: • Resolution No. OCSD 15-15 Page 2 of 2 RETURN TO AGENDA RESOLUTION NO. OCSD 15-15 A RESOLUTION OF THE BOARD OF DIRECTORS OF THE ORANGE COUNTY SANITATION DISTRICT COMMENDING TOM BEAMISH FOR HIS CONTRIBUTIONS AND DEDICATION TO PUBLIC SERVICE AS CHAIRMAN OF THE ORANGE COUNTY SANITATION DISTRICT'S BOARD OF DIRECTORS WHEREAS, Tom Beamish is completing his tenure as Chairman of the Orange County Sanitation District (OCSD) Board of Directors, having served from July 2014 through June 2015; and WHEREAS, Tom Beamish provided leadership and vision to the OCSD Administration Committee, Steering Committee, Legislative and Public Affairs Committee, Operations Committee, GWRS Joint Cooperative Steering Committee, Audit Ad Hoc Committee, and OCSD/SAWPA Joint Policy Committee; and WHEREAS, With his leadership and guidance, the initial expansion of the Groundwater Replenishment System (GWRS), the world's largest advanced water purification system for potable reuse has now been completed and produces 100 million gallons daily of purified recycled water; and WHEREAS, With his leadership, OCSD received a $450,000 grant from the 2015 U.S. Bureau of Reclamation WaterSMART: Title XVI Feasibility Studies Program to conduct a feasibility study in support of the final expansion of the GWRS and achieve 100 percent water recycling; and WHEREAS, Tom Beamish led the adoption of FY 2015-16 Operating Budget of approximately $149 million representing a four percent reduction from the previously approved budget; and WHEREAS, Tom Beamish played a key role in ensuring operational efficiencies and the Board's prudent decision to reduce its long-term liabilities resulting in the ability to reduce the previously approved rate increase by 35 percent for the next three years saving OCSD ratepayers $7 million; and WHEREAS, Tom Beamish demonstrated his determination, vision and leadership to OCSD and its ratepayers through the commitment of his time, professional dignity, and devotion to the residents and businesses of Orange County; and OCSD 15-15-1 RETURN TO AGENDA NOW, THEREFORE, the Board of Directors of the Orange County Sanitation District DOES HEREBY RESOLVE that the Board and staff of the Orange County Sanitation District express to Tom Beamish their sincere appreciation for his outstanding public service to the citizens of Orange County, and his meritorious efforts on behalf of OCSD and its mission of protecting public health and the environment by providing effective wastewater collection, treatment, and recycling. PASSED AND ADOPTED by unanimous acclamation at the regular meeting of said Board of Directors held on July 22, 2015. John Nielsen James D. Herberg Board Chair General Manager ATTEST: Kelly A. Lore Clerk of the Board OCSD 15-15-2 RETURN TO AGENDA STATE OF CALIFORNIA ) ss COUNTY OF ORANGE ) I, Kelly A. Lore, Clerk of the Board of Directors of the Orange County Sanitation District, do hereby certify that the foregoing Resolution No. OCSD 15-15 was passed and adopted at a regular meeting of said Board on the 22nd day of July 2015, by the following vote, to wit: AYES: NOES: ABSTENTIONS: ABSENT: IN WITNESS WHEREOF, I have hereunto set my hand and affixed the official seal of Orange County Sanitation District this 22nd day of July 2015. Kelly A. Lore Clerk of the Board of Directors Orange County Sanitation District OCSD 15-15-3 BOARD OF DIRECTORS Meeting Date I TOBd.Of Dir. — o7/z2/i5 AGENDA REPORT ItemNumber Item Numbe B Orange County Sanitation District FROM: James D. Herberg, General Manager Originator: Rob Thompson, Director of Engineering SUBJECT: MATERIALS TESTING, INSPECTION, AND OTHER GEOTECHNICAL TESTING SERVICES GENERAL MANAGER'S RECOMMENDATION Ratify and approve Amendment No. 1 to the Professional Services Agreement, PSA2013-001, with Koury Engineering & Testing, Inc., to provide on-call Materials Testing, Inspection, and other Geotechnical Testing Services for Collection System and Treatment Plant projects, for an amount not to exceed $125,000, increasing the total contract amount not to exceed $325,000. SUMMARY In June 2013, the Board approved a contract with Koury Engineering & Testing, Inc. (Koury) to provide on-call Materials Testing, Inspection, and other Geotechnical Testing Services to support the ongoing CIP construction efforts. This procurement resulted in an award to a panel of three companies to provide these services and was a competitive selection process. The contracts were awarded for a three-year term not to exceed $200,000 for each of the three firms. Recently, Koury was being utilized to provide weld testing and inspection services for the structural framing of the new Centrifuge Building being constructed at Plant No. 1, as part of the P1-101 Dewatering and Odor Control project. This inspection level of effort has increased from a quality assurance level to a quality control level as the structural steel was fabricated with welded joints that have not consistently met specifications. The Contractor is correcting all welding deficiencies, but this has resulted in additional work for Koury to test and inspect the repaired welded connections, and their contract amount is insufficient to complete this work effort. The Orange County Sanitation District (Sanitation District) has an option to utilize one of the other vendors for this inspection, however, staff recommends continuing with Koury as they have built up the project specific knowledge and history to ensure Contractor compliance. Koury has been doing an excellent job of providing quality inspection. The work is ongoing and very critical to the project schedule and long-term safety. This expense was unexpected, and keeping a continuum of inspection services was a priority to prevent project delays or installing potentially defective materials. Page 1 of 2 The Sanitation District will pursue reimbursement from the Contractor for the additional testing and inspection costs. The Sanitation District has put the Contractor on notice that they are liable for these costs. PRIOR COMMITTEE/BOARD ACTIONS June 2013 - Approved Professional Services Agreements to provide on-call Materials Testing, Inspection, and other Geotechnical Testing Services for Collection System and Treatment Plant projects, PSA2013-001, for a three-year period effective July 1, 2013, for an amount not to exceed $200,000 per individual agreement ($600,000 total) with the following three firms: Koury Engineering & Testing, Inc.; Sequoia Consultants, Inc.; and AMEC Environment & Infrastructure, Inc. ADDITIONAL INFORMATION N/A CEQA N/A BUDGET/PURCHASING ORDINANCE COMPLIANCE These Professional Services Agreements comply with the authority levels of the Sanitation District's Purchasing Ordinance OCSD47. These funds are included in the individual project budgets that require these services. Date of Approval Contract Amount Continnencv 06/26/13 $200,000 N/A 07/22/15 $125,000 N/A $325,000 ATTACHMENT The following attachment(s) may be viewed on-line at the OCSD website (www.ocsd.com) with the complete agenda package: Amendment No. 1 RT:DF:dm:gc Page 2 d 2 RETURN TO AGENDA AMENDMENT NO. 1 TO PROFESSIONAL SERVICES AGREEMENT PSA2013-001 Koury Engineering & Testing, Inc. THIS AMENDMENT No. 1 to the PROFESSIONAL SERVICES AGREEMENT PSA2013-001 ("Amendment'), is entered into and made effective this 22nd day of July, 2015, by and between the ORANGE COUNTY SANITATION DISTRICT, hereinafter referred to as "SANITATION DISTRICT", and KOURY ENGINEERING & TESTING, INC., hereinafter referred to as"CONSULTANT". WITNESSETH: WHEREAS, the SANITATION DISTRICT and CONSULTANT previously entered into the PROFESSIONAL SERVICES AGREEMENT, PSA2013-001 ("Agreement') dated July 1, 2013, whereby CONSULTANT agreed to provide on-call material testing, inspection, and geotechnical services; and, WHEREAS, on July 1, 2013, the Board of Directors of the SANITATION DISTRICT approved the Agreement for a three-year term, in an amount not to exceed $200,000; and WHEREAS, CONSULTANT was selected in accordance with the SANITATION DISTRICT selection policy regarding professional services consistent with SANITATION DISTRICT Resolution No. OCSD 07-04, and the SANITATION DISTRICT has determined that CONSULTANT is qualified and competent to provide the necessary services in connection with any specific project for which the CONSULTANT is given a Task Order by SANITATION DISTRICT; and WHEREAS, on July 22, 2015, the Board of Directors of the SANITATION DISTRICT approved an increase of$125,000.00 for a total compensation amount not to exceed amount of $325,00.00, with no other changes to the existing Agreement; and Amendment No. 1 PSA2013-001 KOURY ENGINEERING&TESTING,INC. Page 1 of 3 RETURN TO AGENDA WHEREAS, CONSULTANT has agreed to an increase of $125,000.00 for a total compensation amount not to exceed amount of $325,000.00 with no other changes to the Agreement. NOW, THEREFORE, in consideration of the promises and mutual benefits, which will result to the parties in carrying out the terms of this Amendment No. 1, it is mutually agreed as follows: 1. The Agreement is hereby amended to increase the total compensation by $125,000.00 for a total not to exceed amount of$325,000.00. 2. This Amendment No. 1 is supplemental to the Agreement, and is by reference made a part of said Agreement. All of the terms, conditions and provisions thereof, unless specifically modified herein, shall continue in full force and effect. 3. In the event of any conflict or inconsistency between the provisions of this Amendment No. 1 and any of the provisions of the original Agreement, the provisions of this Amendment No. 1 shall in all respects govern and control. [SIGNATURES ON THE FOLLOWING PAGE] Amendment No. 1 PSA2013-001 KOURY ENGINEERING&TESTING,INC. Page 2 of 3 RETURN TO AGENDA IN WITNESS WHEREOF, this Amendment No. 1 to the Agreement has been executed in the name of the SANITATION DISTRICT by its officers thereunto duly authorized and executed by CONSULTANT as of the day and year first above written. CONSULTANT: KOURY ENGINEERING &TESTING, INC. By Date Printed Name &Title ORANGE COUNTY SANITATION DISTRICT By Chair, Board of Directors Date By Kelly A. Lore Clerk of the Board Date By Marc Dubois Date Contracts, Purchasing and Materials Management Division Manager SLS:yp Amendment No. 1 PSA2013-001 KOURY ENGINEERING&TESTING,INC. Page 3 of 3 BOARD OF DIRECTORS Me _ 07/22 I5r AGENDA REPORT emrvumber ItemNumba a Orange County Sanitation District FROM: James D. Herberg, General Manager Originator: Rob Thompson, Director of Engineering SUBJECT: IT SERVER ROOM COOLING IMPROVEMENTS, PROJECT NO. FE12-10 GENERAL MANAGER'S RECOMMENDATION A. Receive and file bid tabulation and recommendation for IT Server Room Cooling Improvements, Project No. FE12-10; B. Award a construction contract to ODC Engineering & Technology, Project No. FE12-10, for a total amount not to exceed $281,000; and C. Approve a contingency of$28,100 (10%). SUMMARY The project will increase the cooling capacity and provide equipment redundancy for the Plant No. 1 Control Center Server Room (Computer Data Room). Additional chilled water pumps and an air-cooled chiller/pump package will be added. The redundant piping system will be modified which will include increasing the pipe size. The increased cooling capacity will accommodate the current and future data equipment heating loads. The Orange County Sanitation District (Sanitation District) advertised for bids on April 30, 2015. Four sealed bids were received on June 11, 2015. The bids were evaluated in accordance with the Sanitation District's policies and procedures. Staff recommends awarding a construction contract to the lowest responsive and responsible bidder, ODC Engineering & Technology, for IT Server Room Cooling Improvements, Project No. FE12-10. Summary information on the bid opening for IT Server Room Cooling Improvements, Project No. FE12-10, is as follows: Project Budget $725,454 Construction Contract Budget $450,000 Engineer's Estimate $367,684 Bidder Amount of Bid ODC Engineering &Technology $281,000 Plumbing, Piping & Construction, Inc. $321,455 MSH Construction Co. Inc.(dba The Moss Co.) $391,632 Interlog HYM Engineering $415,866 Page 1 of 2 PRIOR COMMITTEE/BOARD ACTIONS N/A ADDITIONAL INFORMATION N/A CEQA A Notice of Exemption was filed and recorded with the County of Orange on July 2, 2014. BUDGET/PURCHASING ORDINANCE COMPLIANCE This request complies with authority levels of the Sanitation District's Purchasing Ordinance. This item has been budgeted (Line item: FY2014-15 and FY2015-16, Section S, Page 119). Project contingency funds will not be used for this construction contract. ATTACHMENT The following attachment(s) maybe viewed on-line at the OCSD website (www.ocsd.com) with the complete agenda package: • Construction Contract RB:dm:gc Page 2 of 2 RETURN TO AGENDA PART A CONTRACT AGREEMENT C-CA-121914 TABLE OF CONTENTS CONTRACT AGREEMENT SECTION - 1 GENERAL CONDITIONS..................................................................1 SECTION -2 MATERIALS AND LABOR.................................................................4 SECTION -3 PROJECT..........................................................................................4 SECTION -4 PLANS AND SPECIFICATONS ........................................................5 SECTION -5 TIME OF COMMENCEMENT AND COMPLETION ..........................5 SECTION -6 TIME IS OF THE ESSENCE .............................................................5 SECTION -7 EXCUSABLE DELAYS......................................................................6 SECTION -8 EXTRA WORK...................................................................................6 SECTION -9 CHANGES IN PROJECT...................................................................7 SECTION - 10 LIQUIDATED DAMAGES FOR DELAY.............................................7 SECTION - 11 CONTRACT PRICE AND METHOD OF PAYMENT.........................7 SECTION - 12 SUBSTITUTION OF SECURITIES IN LIEU OF RETENTION OF FUNDS ..............................................................................................9 SECTION - 13 COMPLETION...................................................................................9 SECTION - 14 CONTRACTOR'S EMPLOYEES COMPENSATION.......................10 SECTION - 15 SURETY BONDS ............................................................................12 SECTION - 16 INSURANCE....................................................................................13 SECTION - 17 RISK AND INDEMNIFICATION.......................................................20 SECTION - 18 TERMINATION................................................................................21 SECTION - 19 WARRANTY....................................................................................21 SECTION -20 ASSIGNMENT.................................................................................22 SECTION -21 RESOLUTION OF DISPUTES ........................................................22 SECTION -22 SAFETY& HEALTH........................................................................22 SECTION -23 NOTICES.........................................................................................23 C-CA-121914 RETURN TO AGENDA CONTRACT AGREEMENT ORANGE COUNTY SANITATION DISTRICT PROJECT NO. FE12.10 IT SERVER ROOM COOLING IMPROVEMENTS THIS AGREEMENT is made and entered into, to be effective, this, by and between CDC Engineering &Technology, hereinafter referred to as "CONTRACTOR"and the Orange County Sanitation District, hereinafter referred to as "OCSD". WITNESSETH That for and in consideration of the promises and agreements hereinafter made and exchanged, OCSD and CONTRACTOR agree as follows: SECTION-1 GENERAL CONDITIONS CONTRACTOR certifies and agrees that all the terms, conditions and obligations of the Contract Documents as hereinafter defined, the location of the job site, and the conditions under which the Work is to be performed have been thoroughly reviewed, and enters into this Contract based upon CONTRACTOR's investigation of all such matters and is in no way relying upon any opinions or representations of OCSD. It is agreed that this Contract represents the entire agreement. It is further agreed that the Contract Documents are each incorporated into this Contract by reference, with the same force and effect as if the same were set forth at length herein, and that CONTRACTOR and its Subcontractors, if any, will be and are bound by any and all of said Contract Documents insofar as they relate in any part or in any way, directly or indirectly, to the Work covered by this Contract. A. Contract Documents Order of Precedence "Contract Documents" refers to those documents identified in the definition of"Contract Documents" in the General Conditions—Definitions. C-CA-121914 PROJECT NO. FE12-10 IT SERVER ROOM COOLING IMPROVEMENTS CONFORMED Page 1 of 24 1. In the event of a conflict between one Contract Document and any of the other Contract Documents, the provisions in the document highest in precedence shall be controlling. The order of precedence of the Contract Documents is as follows: a. Supplemental Agreements—the last in time being the first in precedence b. Addenda issued prior to opening of Bids—the last in time being the first in precedence c. Contract Agreement d. Permits and other regulatory requirements e. Special Provisions f. General Conditions (GC) g. Notice Inviting Bids and Instruction to Bidders h. Geotechnical Baseline Report(GBR), if attached as a Contract Document I. Plans and Specifications—in these documents the order of precedence shall be: i. Specifications (Divisions 01-17) ii. Plans H. General Requirements (GR) iv. Standard Drawings and Typical Details j. CONTRACTOR'S Bid 2. In the event of a conflict between terms within an individual Contract Document, the conflict shall be resolved by applying the following principles as appears applicable: a. Figured dimensions on the Contract Documents shall govern. Dimensions not specified shall be as directed by the ENGINEER. Details not shown or specified shall be the same as similar parts that are shown or specified, or as directed. Full-size details shall take precedence over scale Drawings as to C-CA-121914 PROJECT NO. FE12-10 IT SERVER ROOM COOLING IMPROVEMENTS CONFORMED Page 2 of 24 RETURN TO AGENDA shape and details of construction. Specifications shall govern as to material and workmanship. b. The Contract Documents calling for the higher quality material or workmanship shall prevail. Materials or Work described in words, which so applied, have a well known technical or trade meaning shall be deemed to refer to such recognized standards. In the event of any discrepancy between any Drawings and the figures thereon, the figures shall be taken as correct. C. Scale Drawings, full-size details, and Specifications are intended to be fully complementary and to agree. Should any discrepancy between Contract Documents come to the CONTRACTOR's attention, or should an error occur in the efforts of others, which affect the Work, the CONTRACTOR shall notify the ENGINEER, in writing, at once. In the event any doubts or questions arise with respect to the true meaning of the Contract Documents, reference shall be made to the ENGINEER whose written decision shall be final. If the CONTRACTOR proceeds with the Work affected without written instructions from the ENGINEER, the CONTRACTOR shall be fully responsible for any resultant damage or defect. d. Anything mentioned in the Specifications and not indicated in the Plans, or indicated in the Plans and not mentioned in the Specifications, shall be of like effect as if indicated and mentioned in both. In case of discrepancy in the Plans or Specifications, the matter shall be immediately submitted to OCSD'S ENGINEER, without whose decision CONTRACTOR shall not adjust said discrepancy save only at CONTRACTOR's own risk and expense. The decision of the ENGINEER shall be final. C-CA-121914 PROJECT NO. FE12-10 IT SERVER ROOM COOLING IMPROVEMENTS CONFORMED Page 3 of 24 In all matters relating to the acceptability of material, machinery or plant equipment; classifications of material or Work; the proper execution, progress or sequence of the Work; and quantities interpretation of the Contract Documents, the decision of the ENGINEER shall be final and binding, and shall be a condition precedent to any payment under the Contract, unless otherwise ordered by the Board of Directors. B. Definitions Capitalized terms used in this Contract are defined in the General Conditions, Definitions. Additional terms may be defined in the Special Provisions. SECTION—2 MATERIALS AND LABOR CONTRACTOR shall furnish, under the conditions expressed in the Plans and Specifications, at CONTRACTOR'S own expense, all labor and materials necessary, except such as are mentioned in the Specifications to be furnished by OCSD, to construct and complete the Project, in good workmanlike and substantial order. If CONTRACTOR fails to pay for labor or materials when due, OCSD may settle such claims by making demand upon the Surety to this Contract. In the event of the failure or refusal of the Surety to satisfy said claims, OCSD may settle them directly and deduct the amount of payments from the Contract Price and any amounts due to CONTRACTOR. In the event OCSD receives a stop payment notice from any laborer or material supplier alleging non-payment by CONTRACTOR, OCSD shall be entitled to deduct all of its costs and expenses incurred relating thereto, including but not limited to administrative and legal fees. SECTION-3 PROJECT The Project is described as: PROJECT NO. FE12-10 IT SERVER ROOM COOLING IMPROVEMENTS C-CA-121914 PROJECT NO. FE12-10 IT SERVER ROOM COOLING IMPROVEMENTS CONFORMED Page 4 of 24 RETURN TO AGENDA SECTION-4 PLANS AND SPECIFICATONS The Work to be done is shown in a set of Plans and Specifications entitled: PROJECT NO. FE12-10 IT SERVER ROOM COOLING IMPROVEMENTS Said Plans and Specifications and any revision, amendments and addenda thereto are attached hereto and incorporated herein as part of this Contract and referred to by reference. SECTION—5 TIME OF COMMENCEMENT AND COMPLETION CONTRACTOR agrees to commence the Project within 15 calendar days from the date set forth in the "Notice to Proceed"sent by OCSD, unless otherwise specified therein and shall diligently prosecute the Work to completion within 365 calendar days from the date of the "Notice to Proceed" issued by OCSD, excluding delays caused or authorized by OCSD as set forth in Sections 7, 8, and 9 hereof, and applicable provisions in the General Conditions. The time for completion includes 5 calendar days determined by OCSD likely to be inclement weather when CONTRACTOR will be unable to work. SECTION—6 TIME IS OF THE ESSENCE Time is of the essence of this Contract. As required by the Contract Documents, CONTRACTOR shall prepare and obtain approval of all shop drawings, details and samples, and do all other things necessary and incidental to the prosecution of CONTRACTOR's Work in conformance with an approved construction progress schedule. CONTRACTOR shall coordinate the Work covered by this Contract with that of all other contractors, subcontractors and of OCSD, in a manner that will facilitate the efficient completion of the entire Work and accomplish the required milestone(s), if any, by the applicable deadline(s) in accordance with Section 5 herein. OCSD shall have the right to assert complete control of the premises on which the Work is to be performed and shall have the right to decide the time or order in which the various portions of the Work shall be installed or the priority of the work of subcontractors, C-CA-121914 PROJECT NO. FE12-10 IT SERVER ROOM COOLING IMPROVEMENTS CONFORMED Page 5 of 24 and, in general, all matters representing the timely and orderly conduct of the Work of CONTRACTOR on the premises. SECTION—7 EXCUSABLE DELAYS CONTRACTOR shall only be excused for any delay in the prosecution or completion of the Project as specifically provided in General Conditions, "Extensions for Delay", and the General Requirements, "By CONTRACTOR or Others— Unknown Utilities during Contract Work". Extensions of time and extra compensation arising from such excusable delays will be determined in accordance with the General Conditions, "Extension of Time for Delay"and "Contract Price Adjustments and Payments", and extensions of time and extra compensation as a result of incurring undisclosed utilities will be determined in accordance with General Requirements, "By CONTRACTOR or Others— Unknown Utilities during Contract Work". OCSD's decision will be conclusive on all parties to this Contract. SECTION—S EXTRA WORK The Contract Price as set forth in Section 11, includes compensation for all Work performed by CONTRACTOR, unless CONTRACTOR obtains a Change Order signed by a designated representative of OCSD specifying the exact nature of the Extra Work and the amount of extra compensation to be paid all as more particularly set forth in Section 9 hereof and the General Conditions, "Request for Change (Changes at CONTRACTOR's Request)", "OWNER Initiated Changes", and "Contract Price Adjustments and Payments". In the event a Change Order is issued by OCSD pursuant to the Contract Documents, OCSD shall extend the time fixed in Section 5 for completion of the Project by the number of days, if any, reasonably required for CONTRACTOR to perform the Extra Work, as determined by OCSD's ENGINEER. The decision of the ENGINEER shall be final. C-CA-121914 PROJECT NO. FE12-10 IT SERVER ROOM COOLING IMPROVEMENTS CONFORMED Page 6 of 24 RETURN TO AGENDA SECTION — 9 CHANGES IN PROJECT OCSD may at any time, without notice to any Surety, by Change Order, make any changes in the Work within the general scope of the Contract Document, including but not limited to changes: 1. In the Specifications (including Drawings and designs); 2. In the time, method or manner of performance of the Work; 3. In OCSD-furnished facilities, equipment, materials, services or site; or 4. Directing acceleration in the performance of the Work. No change of period of performance or Contract Price, or any other change in the Contract Documents, shall be binding until the Contract is modified by a fully executed Change Order. All Change Orders shall be issued in accordance with the requirements set forth in the General Conditions, "Request for Change (Changes at CONTRACTOR's Request)" and "OWNER Initiated Changes". SECTION-10 LIQUIDATED DAMAGES FOR DELAY Liquidated Damages shall be payable in the amounts and upon the occurrence of such events or failure to meet such requirements or deadlines as provided in the Special Provisions, "Liquidated Damages and Incentives." SECTION—11 CONTRACT PRICE AND METHOD OF PAYMENT A. OCSD agrees to pay and the CONTRACTOR agrees to accept as full consideration for the faithful performance of this Contract, subject to any additions or deductions as provided in approved Change Orders, the sum of Two Hundred Eighty-One Thousand Dollars ($281,000) as itemized on the Attached Exhibit"A". Upon satisfaction of the conditions precedent to payment set forth in the General Requirements, Additional General Requirements and General Conditions (including but C-CA-121914 PROJECT NO. FE12-10 IT SERVER ROOM COOLING IMPROVEMENTS CONFORMED Page 7 of 24 not limited to Sections entitled "Mobilization Payment Requirements" and "Payment Itemized Breakdown of Contract Lump Sum Prices"), there shall be paid to the CONTRACTOR an initial Net Progress Payment for mobilization. OCSD shall issue at the commencement of the job a schedule which shows: 1. A minimum of one payment to be made to the CONTRACTOR for each successive four(4)week period as the Work progresses, and 2. The due dates for the CONTRACTOR to submit requests for payment to meet the payment schedule. After the initial Net Progress Payment, and provided the CONTRACTOR submits the request for payment prior to the end of the day required to meet the payment schedule, the CONTRACTOR shall be paid a Net Progress Payment on the corresponding monthly payment date set forth in the schedule. Payments shall be made on demands drawn in the manner required by law, accompanied by a certificate signed by the ENGINEER, stating that the Work for which payment is demanded has been performed in accordance with the terms of the Contract Documents, and that the amount stated in the certificate is due under the terms of the Contract. Payment applications shall also be accompanied with all documentation, records, and releases as required by the Contract, Exhibit A, Schedule of Prices, and General Conditions, "Payment for Work—General". The Total amount of Progress Payments shall not exceed the actual value of the Work completed as certified by OCSD's ENGINEER. The processing of payments shall not be considered as an acceptance of any part of the Work. B. As used in this Section, the following defined terms shall have the following meanings: C-CA-121914 PROJECT NO. FE12-10 IT SERVER ROOM COOLING IMPROVEMENTS CONFORMED Page 8 of 24 RETURN TO AGENDA 1. "Net Progress Payment" means a sum equal to the Progress Payment less the Retention Amount and other qualified deductions (Liquidated Damages, stop payment notices, etc.). 2. "Progress Payment' means a sum equal to: a. the value of the actual Work completed since the commencement of the Work as determined by OCSD; b. plus the value of material suitably stored at the worksite, treatment plant or approved storage yards subject to or under the control of OCSD since the commencement of the Work as determined by OCSD; C. less all previous Net Progress Payments; d. less all amounts of previously qualified deductions; e. less all amounts previously retained as Retention Amounts. 3. "Retention Amount'for each Progress Payment means the percentage of each Progress Payment to be retained by OCSD to assure satisfactory completion of the Contract. The amount to be retained from each Progress Payment shall be determined as provided in the General Conditions—"Retained Funds; Substitution of Securities." SECTION-12 SUBSTITUTION OF SECURITIES IN LIEU OF RETENTION OF FUNDS Pursuant to Public Contract Code Section 22300 et seq., the CONTRACTOR may, at its sole expense, substitute securities as provided in General Conditions—"Retained Funds; Substitution of Securities." SECTION—13 COMPLETION Final Completion and Final Acceptance shall occur at the time and in the manner specified in the General Conditions, "Final Acceptance and Final Completion", "Final Payment" and Exhibit A- Schedule of Prices. C-CA-121914 PROJECT NO. FE12-10 IT SERVER ROOM COOLING IMPROVEMENTS CONFORMED Page 9 of 24 Upon receipt of all documentation, records, and releases as required by the Contract from the CONTRACTOR, OCSD shall proceed with the Final Acceptance as specified in General Conditions. SECTION-14 CONTRACTOR'S EMPLOYEES COMPENSATION A. Davis-Bacon Act: CONTRACTOR will pay and will require all Subcontractors to pay all employees on said Project a salary or wage at least equal to the prevailing rate of per diem wages as determined by the Secretary of Labor in accordance with the Davis-Bacon Act for each craft or type of worker needed to perform the Contract. The provisions of the Davis-Bacon Act shall apply only if the Contract is in excess of Two Thousand Dollars ($2,000.00)and when twenty-five percent (25%) or more of the Contract is funded by federal assistance. If the aforesaid conditions are met, a copy of the provisions of the Davis-Bacon Act to be complied with are incorporated herein as a part of this Contract and referred to by reference. B. General Prevailing Rate: OCSD has been advised by the State of California Director of Industrial Relations of its determination of the general prevailing rate of per diem wages and the general prevailing rate for legal holiday and overtime Work in the locality in which the Work is to be performed for each craft or type of Work needed to execute this Contract, and copies of the same are on file in the Office of the ENGINEER of OCSD. The CONTRACTOR agrees that not less than said prevailing rates shall be paid to workers employed on this public works Contract as required by Labor Code Section 1774 of the State of California. Per California Labor Code 1773.2, OCSD will have on file copies of the prevailing rate of per diem wages at its principal office and at each job site, which shall be made available to any interested party upon request. C-CA-121914 PROJECT NO. FE12-10 IT SERVER ROOM COOLING IMPROVEMENTS CONFORMED Page 10 of 24 RETURN TO AGENDA C. Forfeiture for Violation: CONTRACTOR shall, as a penalty to OCSD, forfeit Two Hundred Dollars ($200.00)for each calendar day or portion thereof for each worker paid (either by the CONTRACTOR or any Subcontractor under it) less than the prevailing rate of per diem wages as set by the Director of Industrial Relations, in accordance with Sections 1770-1780 of the California Labor Code for the Work provided for in this Contract, all in accordance with Section 1775 of the Labor Code of the State of California. D. Apprentices: Sections 1777.5, 1777.6, 1777.7 of the Labor Code of the State of California, regarding the employment of apprentices are applicable to this Contract and the CONTRACTOR shall comply therewith if the prime contract involves Thirty Thousand Dollars ($30,000.00) or more. E. Workdav: In the performance of this Contract, not more than eight(8) hours shall constitute a day's work, and the CONTRACTOR shall not require more than eight (8) hours of labor in a day from any person employed by him hereunder except as provided in paragraph (B)above. CONTRACTOR shall conform to Article 3, Chapter 1, Part 7 (Section 1810 at seg.)of the Labor Code of the State of California and shall forfeit to OCSD as a penalty, the sum of Twenty-five Dollars ($25.00)for each worker employed in the execution of this Contract by CONTRACTOR or any Subcontractor for each calendar day during which any worker is required or permitted to labor more than eight(8) hours in any one calendar day and forty (40) hours in any one week in violation of said Article. CONTRACTOR shall keep an accurate record showing the name and actual hours worked each calendar day and each calendar week by each worker employed by CONTRACTOR in connection with the Project. C-CA-121914 PROJECT NO. FE12-10 IT SERVER ROOM COOLING IMPROVEMENTS CONFORMED Page 11 of 24 F. Registration: Record of Wages: Inspection: CONTRACTOR shall comply with the registration requirements of Labor Code Section 1725.5. Pursuant to Labor Code Section 1771.4, the Work is subject to compliance monitoring by the California Department of Industrial Relations. CONTRACTOR shall maintain accurate payroll records and shall submit payroll records to the Labor Commissioner pursuant to Labor Code Section 1771.4(a)(3). Penalties for non-compliance with the requirements of Section 1776 may be deducted from progress payments per Section 1776. CONTRACTOR shall comply with the job site notices posting requirements established by the Labor Commissioner per Title 8, California Code of Regulations Section 16461(e). SECTION— 15 SURETY BONDS CONTRACTOR shall, before entering upon the performance of this Contract, furnish Bonds approved by OCSD's General Counsel—one in the amount of one hundred percent(100%)of the Contract amount, to guarantee the faithful performance of the Work, and the other in the amount of one hundred percent (100%)of the Contract amount to guarantee payment of all claims for labor and materials furnished. As changes to the Contract occur via approved Change Orders, the CONTRACTOR shall assure that the amounts of the Bonds are adjusted to maintain 100% of the Contract Price. This Contract shall not become effective until such Bonds are supplied to and approved by OCSD. Bonds must be issued by a Surety authorized by the State Insurance Commissioner to do business in California. The Performance Bond shall remain in full force and effect through the warranty period, as specified in Section 19 below. All Bonds required to be submitted relating to this Contract must comply with California Code of Civil Procedure Section 995.630. Each Bond shall be executed in the name of the Surety insurer under penalty of perjury, or the fact of execution of each Bond shall be duly acknowledged before an officer authorized to take and certify acknowledgments, and either one of the following conditions shall be satisfied: C-CA-121914 PROJECT NO. FE12-10 IT SERVER ROOM COOLING IMPROVEMENTS CONFORMED Page 12 of 24 RETURN TO AGENDA A. A copy of the transcript or record of the unrevoked appointment, power of attorney, by- laws, or other instrument, duly certified by the proper authority and attested by the seal of the insurer entitling or authorizing the person who executed the Bond to do so for and on behalf of the insurer, is on file in the Office of the County Clerk of the County of Orange; or B. A copy of a valid power of attorney is attached to the Bond. SECTION—16 INSURANCE CONTRACTOR shall purchase and maintain, for the duration of the Contract, insurance against claims for injuries to persons, or damages to property which may arise from or in connection with the performance of the Work hereunder, and the results of that Work by CONTRACTOR, its agents, representatives, employees, or Subcontractors, in amounts equal to the requirements set forth below. CONTRACTOR shall not commence Work under this Contract until all insurance required under this Section is obtained in a form acceptable to OCSD, nor shall CONTRACTOR allow any Subcontractor to commence Work on a subcontract until all insurance required of the Subcontractor has been obtained. CONTRACTOR shall maintain all of the foregoing insurance coverages in force through the point at which the Work under this Contract is fully completed and accepted by OCSD pursuant to the provisions of the General Conditions, "Final Acceptance and Final Completion". Furthermore, CONTRACTOR shall maintain all of the foregoing insurance coverages in full force and effect throughout the warranty period, commencing on the date of Final Acceptance. The requirement for carrying the foregoing insurance shall not derogate from the provisions for indemnification of OCSD by CONTRACTOR under Section 17 of this Contract. Notwithstanding nor diminishing the obligations of CONTRACTOR with respect to the foregoing, CONTRACTOR shall subscribe for and maintain in full force and effect during the life of this Contract, inclusive of all changes to the Contract Documents made in accordance with the provisions of the General Conditions, "Request for Change (Changes at CONTRACTOR's Request)"and/or"OWNER Initiated C-CA-121914 PROJECT NO. FE12-10 IT SERVER ROOM COOLING IMPROVEMENTS CONFORMED Page 13 of 24 Changes", the following insurance in amounts not less than the amounts specified. OCSD reserves the right to amend the required limits of insurance commensurate with the CONTRACTOR's risk at any time during the course of the Project. No vehicles may enter OCSD Premises/worksite without Possessing the required insurance coverage. CONTRACTOR's insurance shall also comply with all insurance requirements prescribed by agencies from whom permits shall be obtained for the Work and any other third parties from whom third party agreements are necessary to perform the Work (collectively, the "Third Parties"), The Special Provisions may list such requirements and sample forms and requirements from such Third Parties may be included in an attachment to the General Requirements. CONTRACTOR bears the responsibility to discover and comply with all requirements of Third Parties, including meeting specific insurance requirements, that are necessary for the complete performance of the Work. To the extent there is a conflict between the Third Parties' insurance requirements and those set forth by OCSD herein, the requirement(s) providing the more protective coverage for both OSCD and the Third Parties shall control and be purchased and maintained by CONTRACTOR. A. Limits of Insurance 1. General Liability: Five Million Dollars ($5,000,000) per occurrence and a general aggregate limit of Five Million Dollars ($5,000,000)for bodily injury, personal injury and property damage. Coverage shall include each of the following: a. Premises-Operations. b. Products and Completed Operations, with limits of at least Five Million Dollars ($5,000,000) per occurrence and a general aggregate limit of Five Million Dollars ($5,000,000)which shall be in effect at all times during the warranty period set forth in the Warranty section herein, and as set forth in the General Conditions, "Warranty(CONTRACTOR's Guarantee)", plus any additional C-CA-121914 PROJECT NO. FE12-10 IT SERVER ROOM COOLING IMPROVEMENTS CONFORMED Page 14 of 24 RETURN TO AGENDA extension or continuation of time to said warranty period that may be required or authorized by said provisions. C. Broad Form Property Damage, expressly including damage arising out of explosion, collapse, or underground damage. d. Contractual Liability, expressly including the indemnity provisions assumed under this Contract. e. Separation of Insured Clause, providing that coverage applies separately to each insured, except with respect to the limits of liability. f. Independent CONTRACTOR's Liability. To the extent first dollar coverage, including defense of any claim, is not available to OCSD or any other additional insured because of any SIR, deductible, or any other form of self insurance, CONTRACTOR is obligated to assume responsibility of insurer until the deductible, SIR or other condition of insurer assuming its defense and/or indemnity has been satisfied. CONTRACTOR shall be responsible to pay any deductible or SIR. g. If a crane will be used, the General Liability insurance will be endorsed to add Riggers Liability coverage or its equivalent to cover the usage of the crane and exposures with regard to the crane operators, riggers and others involved in using the crane. h. If divers will be used, the General Liability insurance will be endorsed to cover marine liability or its equivalent to cover the usage of divers. 2. Automobile Liability: The CONTRACTOR shall maintain a policy of Automobile Liability Insurance on a comprehensive form covering all owned, non-owned, and hired automobiles, trucks, and other vehicles providing the following minimum limits of liability coverage: C-CA-121914 PROJECT NO. FE12-10 IT SERVER ROOM COOLING IMPROVEMENTS CONFORMED Page 15 of 24 Either(1)a combined single limit of Two Million Dollars ($2,000,000) and a general aggregate limit of Two Million Dollars ($2,000,000)for bodily injury, personal injury and property damage; Or alternatively, (2) Two Million Dollars ($2,000,000) per person for bodily injury and Two Million Dollars ($2,000,000) per accident for property damage. 3. Umbrella Excess Liability: The minimum limits of general liability and automobile liability insurance required, as set forth above, shall be provided for either in a single policy of primary insurance or a combination of policies of primary and umbrella excess coverage. Excess liability coverage shall be issued with limits of liability which, when combined with the primary insurance, will equal the minimum limits for general liability and automobile liability. 4. Worker's Compensation/Employer's Liability: CONTRACTOR shall provide such Worker's Compensation Insurance as required by the Labor Code of the State of California, including employer's liability with a minimum limit of One Million Dollars ($1,000,000) per accident for bodily injury or disease. If an exposure to Jones Act liability may exist, the insurance required herein shall include coverage with regard to Jones Act claims. Where permitted by law, CONTRACTOR hereby waives all rights of recovery by subrogation because of deductible clauses, inadequacy of limits of any insurance policy, limitations or exclusions of coverage, or any other reason against OCSD, its or their officers, agents, or employees, and any other contractor or subcontractor performing Work or rendering services on behalf of OCSD in connection with the planning, development and construction of the Project. In all its insurance coverages related to the Work, CONTRACTOR shall include clauses providing that each insurer C-CA-121914 PROJECT NO. FE12-10 IT SERVER ROOM COOLING IMPROVEMENTS CONFORMED Page 16 of 24 RETURN TO AGENDA shall waive all of its rights of recovery by subrogation against OCSD, its or their officers, agents, or employees, or any other contractor or subcontractor performing Work or rendering services at the Project. Where permitted by law, CONTRACTOR shall require similar written express waivers and insurance clauses from each of its Subcontractors of every tier. A waiver of subrogation shall be effective as to any individual or entity, even if such individual or entity (a)would otherwise have a duty of indemnification, contractual or otherwise, (b)did not pay the insurance premium, directly or indirectly, and (c)whether or not such individual or entity has an insurable interest in the property damaged. Limits are Minimums: If CONTRACTOR maintains higher limits than the minimums shown in this Section, OCSD requires and shall be entitled to coverage for the higher limits maintained by the CONTRACTOR. B. Deductibles and Self-Insured Retentions Any deductibles or self-insured retentions must be declared to and approved by OCSD. At the option of OCSD, either: the Insurer shall reduce or eliminate such deductibles or self- insured retentions as respects OCSD, its Directors, officers, agents, CONSULTANTS, and employees; or CONTRACTOR shall provide a financial guarantee satisfactory to OCSD guaranteeing payment of losses and related investigations, claim administration, and defense expenses. C. Other Insurance Provisions 1. Each such policy of General Liability Insurance and Automobile Liability Insurance shall be endorsed to contain, the following provisions: a. OCSD, its Directors, officers, agents, CONSULTANTS, and employees, and all public agencies from whom permits will be obtained, and their Directors, officers, agents, and employees are hereby declared to be additional insureds C-CA-121914 PROJECT NO. FE12-10 IT SERVER ROOM COOLING IMPROVEMENTS CONFORMED Page 17 of 24 under the terms of this policy, but only with respect to the operations of CONTRACTOR at or from any of the sites of OCSD in connection with this Contract, or acts and omissions of the additional insured in connection with its general supervision or inspection of said operations related to this Contract. b. Insurance afforded by the additional insured endorsement shall apply as primary insurance, and other insurance maintained by OCSD shall be excess only and not contributing with insurance provided under this policy. 2. Each insurance policy required herein shall be endorsed to state that coverage shall not be cancelled by either party, except after thirty (30)days prior written notice by certified mail, return receipt requested, and that coverage shall not be cancelled for non-payment of premium except after ten (10)days prior written notice by certified mail, return receipt requested. Should there be changes in coverage or an increase in deductible or SIR amounts, CONTRACTOR undertakes to procure a manuscript endorsement from its insurer giving 30 days prior notice of such an event to OCSD, or to have its insurance broker/agent send to OCSD a certified letter describing the changes in coverage and any increase in deductible or SIR amounts. The certified letter must be sent Attention: Risk Management and shall be received not less than twenty (20) days prior to the effective date of the change(s). The letter must be signed by a Director or Officer of the broker/agent and must be on company letterhead, and may be sent via e-mail in pdf format. 3. Coverage shall not extend to any indemnity coverage for the active negligence of any additional insured in any case where an agreement to indemnify the additional insured would be invalid under California Civil Code Section 2782(b). 4. If required by a public agency from whom permit(s)will be obtained, each policy of General Liability Insurance and Automobile Liability Insurance shall be endorsed to C-CA-121914 PROJECT NO. FE12-10 IT SERVER ROOM COOLING IMPROVEMENTS CONFORMED Page 18 of 24 RETURN TO AGENDA specify by name the public agency and its legislative members, officers, agents, CONSULTANTS, and employees, to be additional insureds. D. Acceptability of Insurers Insurers must have an "A-", or better, Policyholder's Rating, and a Financial Rating of at least Class Vill, or better, in accordance with the most current A.M. Best Rating Guide. OCSD recognizes that State Compensation Insurance Fund has withdrawn from participation in the A.M. Best Rating Guide process. Nevertheless, OCSD will accept State Compensation Insurance Fund for the required policy of worker's compensation insurance, subject to OCSD's option, at any time during the term of this Contract, to require a change in insurer upon twenty (20)days written notice. Further, OCSD will require CONTRACTOR to substitute any insurer whose rating drops below the levels herein specified. Said substitution shall occur within twenty (20)days of written notice to CONTRACTOR by OCSD or its agent. E. Verification of Coverage CONTRACTOR shall furnish OCSD with original certificates and mandatory endorsements affecting coverage. Said policies and endorsements shall conform to the requirements herein stated. All certificates and endorsements are to be received and approved by OCSD before Work commences. OCSD reserves the right to require complete, certified copies of all required insurance policies, including endorsements, affecting the coverage required by these Specifications at any time. F. Subcontractors CONTRACTOR shall be responsible to establish insurance requirements for any Subcontractors hired by CONTRACTOR. The insurance shall be in amounts and types reasonably sufficient to deal with the risk of loss involving the Subcontractor's operations and work. OCSD and any public agency issuing permits for the Project must be named as C-CA-121914 PROJECT NO. FE12-10 IT SERVER ROOM COOLING IMPROVEMENTS CONFORMED Page 19 of 24 "Additional Insured"on any General Liability or Automobile Liability policy obtained by a Subcontractor. The CONTRACTOR must obtain copies and maintain current versions of all Subcontractors' policies, Certificate of Liability and mandatory endorsements effecting coverage. Upon request, CONTRACTOR must furnish OCSD with the above referenced required documents. G. Reauired Forms and Endorsements 1. Required ACORD Form a. Certificate of Liability Form 25 2. Reauired Insurance Services Office, Inc. Endorsements (when alternative forms are shown, they are listed in order of preference) In the event any of the following forms are cancelled by Insurance Services Office, Inc. (ISO), or are updated, the ISO replacement form or equivalent must be supplied. a. Commercial General Liability Form CG-0001 10 01 b. Additional Insured Including Form CG-2010 10 01 and Products-Completed Operations Form CG-2037 10 01 C. Waiver of Transfer of Rights of Form CG-2404 11 85; or Recovery Against Others to Us/ Form CG-2404 10 93 Waiver of Subrogation 3. Reauired State Compensation Insurance Fund Endorsements a. Waiver of Subrogation Endorsement No. 2570 b. Cancellation Notice Endorsement No. 2065 4. Additional Required Endorsements a. Notice of Policy Termination Manuscript Endorsement SECTION-17 RISK AND INDEMNIFICATION All Work covered by this Contract done at the site of construction or in preparing or delivering materials to the site shall be at the risk of CONTRACTOR alone. CONTRACTOR shall save, C-CA-121914 PROJECT NO. FE12-10 IT SERVER ROOM COOLING IMPROVEMENTS CONFORMED Page 20 of 24 RETURN TO AGENDA indemnify, defend, and keep OCSD and others harmless as more specifically set forth in General Conditions, "General Indemnification". SECTION-18 TERMINATION This Contract may be terminated in whole or in part in writing by OCSD in the event of substantial failure by the CONTRACTOR to fulfill its obligations under this Agreement, or it may be terminated by OCSD for its convenience provided that such termination is effectuated in a manner and upon such conditions set forth more particularly in General Conditions, "Termination for Default" and/or"Termination for Convenience", provided that no termination may be effected unless proper notice is provided to CONTRACTOR at the time and in the manner provided in said General Conditions. If termination for default or convenience is effected by OCSD, an equitable adjustment in the price provided for in this Contract shall be made at the time and in the manner provided in the General Conditions, "Termination for Default" and "Termination for Convenience". SECTION—19 WARRANTY The CONTRACTOR agrees to perform all Work under this Contract in accordance with the Contract Documents, including OCSD's designs, Drawings and Specifications. The CONTRACTOR guarantees for a period of at least one (1) year from the date of Final Acceptance of the Work, pursuant to the General Conditions, "Final Acceptance and Final Completion' that the completed Work is free from all defects due to faulty materials, equipment or workmanship and that it shall promptly make whatever adjustments or corrections which may be necessary to cure any defects, including repairs of any damage to other parts of the system resulting from such defects. OCSD shall promptly give notice to the CONTRACTOR of observed defects. In the event that the CONTRACTOR fails to make adjustments, repairs, corrections or other work made necessary by such defects, OCSD may do so and charge the CONTRACTOR the cost incurred. The CONTRACTOR's warranty shall continue as to any C-CA-121914 PROJECT NO. FE12-10 IT SERVER ROOM COOLING IMPROVEMENTS CONFORMED Page 21 of 24 corrected deficiency until the later of(1)the remainder of the original one-year warranty period; or(2)one year after acceptance by OCSD of the corrected Work. The Performance Bond and the Payment Bond shall remain in full force and effect through the guarantee period. The CONTRACTOR's obligations under this clause are in addition to the CONTRACTOR's other express or implied assurances under this Contract, including but not limited to specific manufacturer or other extended warranties specified in the Plans and Specifications, or state law and in no way diminish any other rights that OCSD may have against the CONTRACTOR for faulty materials, equipment or Work. SECTION-20 ASSIGNMENT No assignment by the CONTRACTOR of this Contract or any part hereof, or of funds to be received hereunder, will be recognized by OCSD unless such assignment has had prior written approval and consent of OCSD and the Surety. SECTION-21 RESOLUTION OF DISPUTES OCSD and the CONTRACTOR shall comply with the provisions of California Public Contract Code Section 20104 at. seq., regarding resolution of construction claims for any Claims which arise between the CONTRACTOR and OCSD, as well as all applicable dispute and Claims provisions as set forth in the General Conditions and as otherwise required by law. SECTION—22 SAFETY & HEALTH CONTRACTOR shall comply with all applicable safety and health requirements mandated by federal, state, city and/or public agency codes, permits, ordinances, regulations, and laws, as well as these Contract Documents, including but not limited to the General Requirements, Section entitled "Safety" and Exhibit B OCSD Safety Standards. C-CA-121914 PROJECT NO. FE12-10 IT SERVER ROOM COOLING IMPROVEMENTS CONFORMED Page 22 of 24 RETURN TO AGENDA SECTION-23 NOTICES Any notice required or permitted under this Contract may be given by ordinary mail at the address set forth below. Any parry whose address changes shall notify the other party in writing. TO OCSD: Orange County Sanitation District 10844 Ellis Avenue Fountain Valley, California 92708-7018 Attn: Clerk of the Board Copy to: Orange County Sanitation District 10844 Ellis Avenue Fountain Valley, California 92708-7018 Attn: Construction Manager Bradley R. Hogin, Esquire Woodruff, Spradlin & Smart 555 Anton Boulevard Suite 1200 Costa Mesa, California 92626 TO CONTRACTOR: Oved Dagan ODC Engineering &Technology 5675 Walnut Ridge Drive Agoura, CA 91301 Copy to: Oved Dagan, President CDC Engineering &Technology 5675 Walnut Ridge Drive Agoura, CA 91301 C-CA-121914 PROJECT NO. FE12-10 IT SERVER ROOM COOLING IMPROVEMENTS CONFORMED Page 23 of 24 IN WITNESS WHEREOF, the parties hereto have executed this Contract Agreement as the date first hereinabove written. CONTRACTOR: CDC Engineering &Technology 5675 Walnut Ridge Drive Agoura, CA 91301 By Printed Name Its CONTRACTOR's State License No. 822239 (Expiration Date—7/31/2015) OCSD: Orange County Sanitation District By Chair, Board of Directors By Clerk of the Board By Contracts, Purchasing and Materials Management Division Manager C-CA-121914 PROJECT NO. FE12-10 IT SERVER ROOM COOLING IMPROVEMENTS CONFORMED Page 24 of 24 RETURN TO AGENDA EXHIBIT A SCHEDULE OF PRICES C-EXA-080414 TABLE OF CONTENTS EXHIBIT A SCHEDULE OF PRICES EXA-1 BASIS OF COMPENSATION ..............................................................................1 EXA-2 PROGRESS PAYMENTS....................................................................................1 EXA-3 RETENTION AND ESCROW ACCOUNTS .........................................................1 EXA-4 STOP PAYMENT NOTICE ..................................................................................3 EXA-5 PAYMENT TO SUBCONTRACTORS..................................................................3 EXA-6 PAYMENT OF TAXES.........................................................................................3 EXA-7 FINAL PAYMENT ................................................................................................4 EXA-8 DISCOVERY OF DEFICIENCIES BEFORE AND AFTER FINAL PAYMENT.....5 ATTACHMENT 1 CERTIFICATION FOR REQUEST FOR PAYMENT........................7 ATTACHMENT 2 SCHEDULE OF PRICES ...........................................................8 C-EXA-080414 RETURN TO AGENDA EXHIBIT A SCHEDULE OF PRICES EXA-1 BASIS OF COMPENSATION CONTRACTOR will be paid the Contract Price according to the Schedule of Prices, and all other applicable terms and conditions of the Contract Documents. EXA-2 PROGRESS PAYMENTS Progress payments will be made in accordance with all applicable terms and conditions of the Contract Documents, including, but not limited to: 1. Contract Agreement—Section 11 —"Contract Price and Method of Payment;" 2. General Conditions—"Payment—General"; 3. General Conditions—"Payment—Applications for Payment", 4. General Conditions—"Payment— Mobilization Payment Requirements;' 5. General Conditions—"Payment— Itemized Breakdown of Contract Lump Sum Prices"; 6. General Conditions—"Contract Price Adjustments and Payments"; 7. General Conditions—"Suspension of Payments"; 8. General Conditions—"OCSD's Right to Withhold Certain Amounts and Make Application Thereof"; and 9. General Conditions—"Final Payment." EXA-3 RETENTION AND ESCROW ACCOUNTS A. Retention: OCSD shall retain a percentage of each progress payment to assure satisfactory completion of the Work. The amount to be retained from each progress payment shall be determined as provided in General Conditions— "Retained Funds; Substitution of Securities". In all contracts between CONTRACTOR and its Subcontractors and/or Suppliers, the retention may not exceed the percentage specified in the Contract Documents. C-EXA-080414 PROJECT NO.FE12-10 IT SERVER ROOM COOLING IMPROVEMENTS CONFORMED Page 1 of 8 B. Substitution of Securities: CONTRACTOR may, at its sole expense, substitute securities as provided in General Conditions—"Retained Funds; Substitution of Securities." Payment of Escrow Agent: In lieu of substitution of securities as provided above, the CONTRACTOR may request and OCSD shall make payment of retention earned directly to the escrow agent at the expense of the CONTRACTOR. At the expense of the CONTRACTOR, the CONTRACTOR may direct the investment of the payments into securities consistent with Government Code §16430 and the CONTRACTOR shall receive the interest earned on the investments upon the same terms provided for in this article for securities deposited by the CONTRACTOR. Upon satisfactory completion of the Contract, the CONTRACTOR shall receive from the escrow agent all securities, interest and payments received by the escrow agent from OCSD, pursuant to the terms of this article. The CONTRACTOR shall pay to each Subcontractor, not later than twenty (20)calendar days after receipt of the payment, the respective amount of interest earned, net of costs attributed to retention withheld from each Subcontractor, on the amount of retention withheld to ensure the performance of the Subcontractor. The escrow agreement used by the escrow agent pursuant to this article shall be substantially similar to the form set forth in §22300 of the California Public Contract Code. C. Release of Retention: Upon Final Acceptance of the Work, the CONTRACTOR shall submit an invoice for release of retention in accordance with the terms of the Contract. D. Additional Deductibles: In addition to the retentions described above, OCSD may deduct from each progress payment any or all of the following: 1. Liquidated Damages that have occurred as of the date of the application for progress payment; 2. Deductions from previous progress payments already paid, due to OCSD's discovery of deficiencies in the Work or non-compliance with the Specifications or any other requirement of the Contract; 3. Sums expended by OCSD in performing any of the CONTRACTOR'S obligations under the Contract that the CONTRACTOR has failed to perform, and; 4. Other sums that OCSD is entitled to recover from the CONTRACTOR under the terms of the Contract, including without limitation insurance deductibles and assessments. C-EXA-080414 PROJECT NO.FE12-10 IT SERVER ROOM COOLING IMPROVEMENTS CONFORMED Page 2 of 8 RETURN TO AGENDA The failure of OCSD to deduct any of the above-identified sums from a progress payment shall not constitute a waiver of OCSD's right to such sums or to deduct them from a later progress payment. EXA-4 STOP PAYMENT NOTICE In addition to other amounts properly withheld under this article or under other provisions of the Contract, OCSD shall retain from progress payments otherwise due the CONTRACTOR an amount equal to one hundred twenty-five percent (125%)of the amount claimed under any stop payment notice under Civil Code§9350 at. seq. or other lien filed against the CONTRACTOR for labor, materials, supplies, equipment, and any other thing of value claimed to have been furnished to and/or incorporated into the Work; or for any other alleged contribution thereto. In addition to the foregoing and in accordance with Civil Code§9358 OCSD may also satisfy its duty to withhold funds for stop payment notices by refusing to release funds held in escrow pursuant to public receipt of a release of stop payment notice executed by a stop payment notice claimant, a slop payment notice release bond, an order of a court of competent jurisdiction, or other evidence satisfactory to OCSD that the CONTRACTOR has resolved such claim by settlement. EXA-5 PAYMENT TO SUBCONTRACTORS Requirements 1. The CONTRACTOR shall pay all Subcontractors for and on account of Work performed by such Subcontractors, not later than seven (7) days after receipt of each progress payment as required by the California Business and Professions Code §7108.5. Such payments to Subcontractors shall be based on the measurements and estimates made pursuant to article progress payments provided herein. 2. Except as specifically provided by law, the CONTRACTOR shall pay all Subcontractors any and all retention due and owing for and on account of Work performed by such Subcontractors not later than seven (7)days after CONTRACTOR'S receipt of said retention proceeds from OCSD as required by the California Public Contract Code§7107. EXA-5 PAYMENT OF TAXES Unless otherwise specifically provided in this Contract, the Contract Price includes full compensation to the CONTRACTOR for all taxes. The CONTRACTOR shall pay all federal, state, and local taxes, and duties applicable to and assessable against any Work, including but not limited to retail sales and use, transportation, export, import, business, and special taxes. The CONTRACTOR shall ascertain and pay the taxes when due. The CONTRACTOR will maintain auditable records, subject to OCSD reviews, confirming that tax payments are current at all times. C-EXA-080414 PROJECT NO.FE12-10 IT SERVER ROOM COOLING IMPROVEMENTS CONFORMED Page 3 of 8 EXA-7 FINAL PAYMENT After Final Acceptance of the Work, as more particularly set forth in the General Conditions, "Final Acceptance and Final Completion", and after Resolution of the Board authorizing final payment and satisfaction of the requirements as more particularly set forth in General Conditions—"Final Payment", a final payment will be made as follows: 1. Prior to Final Acceptance, the CONTRACTOR shall prepare and submit an application for Final Payment to OCSD, including: a. The proposed total amount due the CONTRACTOR, segregated by items on the payment schedule, amendments, Change Orders, and other bases for payment; b. Deductions for prior progress payments; c. Amounts retained; d. A conditional waiver and release on final payment for each Subcontractor(per Civil Code Section 8136); e. A conditional waiver and release on final payment on behalf of the CONTRACTOR (per Civil Code Section 8136); f. List of Claims the CONTRACTOR intends to file at that time or a statement that no Claims will be filed, g. List of pending unsettled claims, stating claimed amounts, and copies of any and all complaints and/or demands for arbitration received by the CONTRACTOR; and h. For each and every claim that resulted in litigation or arbitration which the CONTRACTOR has settled, a conformed copy of the Request for Dismissal with prejudice or other satisfactory evidence the arbitration is resolved. 2. The application for Final Payment shall include complete and legally effective releases or waivers of liens and stop payment notices satisfactory to OCSD, arising out of or fled in connection with the Work. Prior progress payments shall be subject to correction in OCSD's review of the application for Final Payment. Claims filed with the application for Final Payment must be otherwise timely under the Contract and applicable law. 3. Within a reasonable time, OCSD will review the CONTRACTOR'S application for Final Payment. Any recommended changes or corrections will then be forwarded to the CONTRACTOR. Within ten (10) calendar days after receipt of recommended changes from OCSD, the CONTRACTOR will make the changes, or list Claims that will be filed as a result of the changes, and shall submit the revised application for Final Payment. Upon C-EXA-080414 PROJECT NO.FE12-10 IT SERVER ROOM COOLING IMPROVEMENTS CONFORMED Page 4 of 8 RETURN TO AGENDA acceptance by OCSD, the revised application for Final Payment will become the approved application for Final Payment. 4. If no Claims have been fled with the initial or any revised application for Final Payment, and no Claims remain unsettled within thirty-five (35) calendar days after Final Acceptance of the Work by OCSD, and agreements are reached on all issues regarding the application for Final Payment, OCSD, in exchange for an executed release, satisfactory in form and substance to OCSD, will pay the entire sum found due on the approved application for Final Payment, including the amount, if any, allowed on settled Claims. 5. The release from the CONTRACTOR shall be from any and all Claims arising under the Contract, except for Claims that with the concurrence of OCSD are specifically reserved, and shall release and waive all unreserved Claims against OCSD and its officers, directors, employees and authorized representatives. The release shall be accompanied by a certification by the CONTRACTOR that: a. It has resolved all Subcontractors, Suppliers and other Claims that are related to the settled Claims included in the Final Payment; b. It has no reason to believe that any party has a valid claim against the CONTRACTOR or OCSD which has not been communicated in writing by the CONTRACTOR to OCSD as of the date of the certificate; c. All warranties are in full force and effect, and; d. The releases and the warranties shall survive Final Payment. 6. If any claims remain open, OCSD may make Final Payment subject to resolution of those claims. OCSD may withhold from the Final Payment an amount not to exceed one hundred fifty percent (150%)of the sum of the amounts of the open claims, and one hundred twenty-five percent (125%) of the amounts of open stop payment notices referred to in article entitled stop payment notices herein. 7. The CONTRACTOR shall provide an unconditional waiver and release on final payment from each Subcontractor and Supplier providing Work under the Contract(per Civil Code Section 8138) and an unconditional waiver and release on final payment on behalf of the CONTRACTOR (per Civil Code Section 8138)within thirty (30)days of receipt of Final Payment. EXA-8 DISCOVERY OF DEFICIENCIES BEFORE AND AFTER FINAL PAYMENT Notwithstanding OCSD's acceptance of the application for Final Payment and irrespective of whether it is before or after Final Payment has been made, OCSD shall not be precluded from subsequently showing that: 1. The true and correct amount payable for the Work is different from that previously accepted; C-EXA-080414 PROJECT NO.FE12-10 IT SERVER ROOM COOLING IMPROVEMENTS CONFORMED Page 5 of 8 2. The previously-accepted Work did not in fact conform to the Contract requirements, or; 3. A previous payment or portion thereof for Work was improperly made. OCSD also shall not be stopped from demanding and recovering damages from the CONTRACTOR, as appropriate, under any of the foregoing circumstances as permitted under the Contract or applicable law. C-EXA-080414 PROJECT NO.FE12-10 IT SERVER ROOM COOLING IMPROVEMENTS CONFORMED Page 6 of 8 RETURN TO AGENDA ATTACHMENTI CERTIFICATION FOR REQUEST FOR PAYMENT I hereby certify under penalty of perjury as follows: That the claim for payment is in all respects true, correct; that the services mentioned herein were actually rendered and/or supplies delivered to OCSD in accordance with the Contract. I understand that it is a violation of both the federal and California False Claims Ads to knowingly present or cause to be presented to OCSD a false claim for payment or approval. A claim includes a demand or request for money. It is also a violation of the False Claims Ads to knowingly make use of a false record or statement to get a false claim paid. The term "knowingly" includes either actual knowledge of the information, deliberate ignorance of the truth or falsity of the information, or reckless disregard for the truth or falsity of the information. Proof of specific intent to defraud is not necessary under the False Claims Acts. I understand that the penalties under the Federal False Claims Ad and State of California False Claims Act are non-exclusive, and are in addition to any other remedies which OCSD may have either under contract or law. I hereby further certify, to the best of my knowledge and belief, that: 1. The amounts requested are only for performance in accordance with the Specifications, terms, and conditions of the Contract; 2. Payments to Subcontractors and Suppliers have been made from previous payments received under the Contract, and timely payments will be made from the proceeds of the payment covered by this certification; 3. This request for progress payments does not include any amounts which the prime CONTRACTOR intends to withhold or retain from a Subcontractor or Supplier in accordance with the terms and conditions of the subcontract; and 4. This certification is not to be construed as Final Acceptance of a Subcontractor's performance. Name Title Date C-EXA-080414 PROJECT NO.FE12-10 IT SERVER ROOM COOLING IMPROVEMENTS CONFORMED Page 7 of 8 ATTACHMENT SCHEDULE OF PRICES See next pages for Bid Submittal Forms (ODC Engineering &Technology) BF-14 Schedule of Prices, Pages 1-2 C-EXA-080414 PROJECT NO.FE12-10 IT SERVER ROOM COOLING IMPROVEMENTS CONFORMED Page 8 of 8 RETURN TO AGENDA ODC E,HGINEERING&TECHWLOGY Bid Submitted By: Il of Firm) BF-14 SCHEDULE OF PRICES INSTRUCTIONS A. General For Unit Prices, it is understood that the following quantities are approximate only and are solely for the purpose of estimating the comparison of Bids, and that the actual value of Work will be computed based upon the actual quantities in the completed Work,whether they be more or less than those shown. CONTRACTOR's compensation for the Work under the Contract Documents will be computed based upon the lump sum amount of the Contract at time of award, plus any additional or deleted costs approved by OCSD via approved Change Orders, pursuant to the Contract Documents. Bidder shall separately price and accurately reflect costs associated with each line item, leaving no blanks. Any and all modifications to the Bid must be initialed by an authorized representative of the Bidder in accordance with the Instructions to Bidders, Preparation of Bid. Bidders are reminded of Instruction to Bidders, Discrepancy in Bid Items, which, in summary, provides that the total price for each item shall be based on the Unit Price listed for each item multiplied by the quantity; and the correct Total Price for each item shall be totaled to determine the Total Amount of Bid. All applicable costs including overhead and profit shall be reflected in the respective unit costs and the TOTAL AMOUNT OF BID, The Bid Price shall include all costs to complete the Work, including Profit overhead etc unless otherwise specified in the Contract Documents All applicable sales taxes state and/or federal and any other special taxes, patent rights or royalties shall be included in the Prices quoted in this Bid. B. Basis of Award AWARD OF THE CONTRACT WILL BE MADE ON THE BASIS OF THE LOWEST RESPONSIVE AND RESPONSIBLE BID. THE LOWEST BID IS DEFINED AS THE"TOTAL AMOUNT OF BID" LISTED IN THIS BID, UNLESS OTHERWISE SPECIFIED BELOW. Note 1: Base Bid. Includes all costs necessary to furnish all labor, materials,equipment and services for the construction of the Project per the Contract Documents. BF-14 SCHEDULE OF PRICES C-BF-021115 PROJECT NO,FE12-10 IT SERVER ROOM COOLING IMPROVEMENTS Page 1 of 2 Ot7C ENGINEERING&TECHN2LOGY Bid Submitted By: Ixame or Enml EXHIBIT A SCHEDULE OF PRICES BASE BID ITEMS(Refer to Note 1 in the Instructions). IHo Description Ma4oMoent Apry Unit Price EabnEaE Price 1. Mobifaation,initial progress payment for all fees,latter,materials and equipment required for mobilization,surety bonds,and other activities in Lump Sum 1 = $10,000 conformance wish the Contract Documents for a fixed price of 2 Forced all laded,materials and couipment necendayforthecompletionof _ _ �� �theWork,�exceept to P Spam i,in conformance with theContract Lump Sum 1 I $ 271, r'](`^'P LDocumen I TOTAL AMOUNT OF BID (BASIS OF AWARD) $ 12 BF-14 SCHEDULE OF PRICES C BF 021115 PROJECT NO.FE12-10 IT SERVER ROOM COOLING IMPROVEMENTS Page 2 of 2 BOARD OF DIRECTORS MeeingDate TOBtl.ofDir. m/zz/ts AGENDA REPORT Rem Number Item number s Orange County Sanitation District FROM: James D. Herberg, General Manager Originator: Rob Thompson, Director of Engineering SUBJECT: PLANT AIR SYSTEM MASTER PLAN, PROJECT NO. SP-148 GENERAL MANAGER'S RECOMMENDATION A. Approve a Task Order with CH2M HILL for Plant Air System Master Plan, Project No. SP-148, On-Call Planning Studies, Contract PLAN2013-04, Task Order No. 1, for an amount not to exceed $187,100; and B. Approve a contingency of$18,710 (10%). SUMMARY The high pressure air systems at the Orange County Sanitation District (Sanitation District) Plant Nos. 1 and 2 provide high pressure air to operate a range of equipment, facilities, and numerous instruments. The air compression, air storage, and air distribution systems were constructed over multiple projects and many system components are now nearing the end of their design life, and others may not be providing the optimum air quantity and quality for Sanitation District's needs. In addition,there have been significant changes and additions to the overall facilities at both Plants that have resulted in changes to the local and overall air demands. A plan is required to evaluate and quantify the air demands at each plant for air volume, velocity, pressure, and quality (including temperature, dew point, and contaminants, etc.), and to determine if the current air systems are able to meet those demands. In addition, the plan shall develop recommendations to optimize the air systems to meet the current and planned future high pressure air demands at both plants. The project will determine the current air system demands, determine the operating parameters of the existing high pressure air and instrument air systems (by both field measurements and workshops), compare life cycle costs (using net present values) of distributed and centralized air systems, prepare asset management plans, perform pipe size analysis/optimization, and develop air quality standards. The consultant shall prepare a technical memorandum that summarizes the plan findings and recommendations. The proposed task order is being requested within the On-Call Planning Studies Agreements, PLAN2013 program, that was approved by the Board of Directors on December 18, 2013. Proposals were requested from all five firms in the PLAN2013 program. Three proposals were received and reviewed. Page 1 of 4 Based upon their overall experience, qualifications, and expertise, staff recommends approving a Task Order to CH210 HILL for a total fee not to exceed $187,100, and approving a contingency of$18,710 (10%). PRIOR COMMITTEE/BOARD ACTIONS December 2013— (A)Approved Professional Services Agreements with: ARCADIS U.S., Inc. (PLAN2013-01); Black & Veatch Corporation (PLAN2013-02); Brown and Caldwell (PLAN2013-03); CH2MHILL Engineers, Inc. (PLAN2013-04); and Tetra Tech, Inc. (PLAN2013-05), to provide planning studies on a task order basis for a three-year term, for an amount not to exceed $1,000,000 per contract; (B) Authorized the General Manager to assign task orders throughout the contract duration in accordance with the Purchasing Resolution No. OCSD 07-04; and (C) Approved exception to Resolution No. OCSD 07-04, Section 4.03, authorizing the General Manager to select one of the five firms for a particular task order valued at $100,000 or less, without having to solicit proposals from multiple firms. ADDITIONAL INFORMATION This Task Order is being procured within the Sanitation District's PLAN2013 program, which was approved by the Board of Directors on December 18, 2013. The PLAN2013 program provides the services of five nationally recognized engineering firms in a variety of technical disciplines. Task Orders are assigned to a category based upon the estimated fee amount. This Task Order was assigned to Category ll, in which proposals are requested from all five firms in the program, with a goal of receiving at least three proposals. Selection Process Proposals were requested from all five firms in the PLAN2013 program, and three of the firms submitted proposals. A staff selection team evaluated the proposals and selected the most responsive proposer. Basis for Selection The proposals were evaluated for understanding the needs of the Sanitation District, the project plan, the qualifications of the firm, and the individual qualifications and experience of the project team members. In the proposal, CH2M HILL demonstrated their knowledge and understanding of the Sanitation District's existing systems, project needs, and goals by presenting both Sanitation District Plant Nos. 1 and 2 compressed air piping schematics and air compressor locations. The project team scored highly on their project approach, and their expertise with commercial compressible Fluids modelling tools specifically used for wastewater treatment plants, which is essential to the success of the project. During the evaluation process, each of the three evaluators ranked the proposers. The overall rankings were then totalled to determine the most responsive proposer. The results of the evaluation process were as follows: Page 2 of 4 PROPOSAL EVALUATION TABLE Consultant CH2M HILL Black & Veatch Arcadis 66 for Rank Rank Rank Reviewer A 1 2 3 Reviewer B 1 2 3 Reviewer C 1 2 3 Avera a an 1 2 3 Overall Ranking 1 2 3 Fee Proposed $187,100 N/A N/A Review of Fee Proposal and Negotiation Each proposal was accompanied by a separate fee proposal. The fee proposal estimate of the highest ranked firm only was opened after the Evaluation Committee selected the highest ranking firm in accordance with the Sanitation District's Ordinance No. OCSD-47. Staff conducted negotiations with CH2M HILL to clarify the requirements of the scope of work and their proposed work effort. Based on the above, staff determined the cost proposal to be fair and reasonable for the scope of work and recommends awarding the task order to CH2M HILL for an amount not to exceed $187,100. CEQA This project is categorically exempt from CEQA. A Notice of Exemption was filed for the Study on April 14, 2011. BUDGET/PURCHASING ORDINANCE COMPLIANCE This request complies with authority levels of the Sanitation District's Purchasing Ordinance. This item has been budgeted (FY2014-15&2015-16, Section 8, Page 92) at $340,000 for this study. Date of Approval Contract Amount Contingency 07/22/15 $187,100 $18,710 Page 3 of 4 ATTACHMENT The following attachment(s) maybe viewed on-line at the OCSD webske (www.ocsd.corn with the complete agenda package: • Task Order 01 —SP-148 Page 4 of 4 RETURN TO AGENDA AGREEMENT NO. PLAN2013-04 TASK ORDER 01 SP-148, Plant Air System Master Plan Task Order 01 — SP-148, Plant Air System Master Plan under Agreement No. PLAN2013-04 ("AGREEMENT) for ON-CALL PLANNING STUDIES between the ORANGE COUNTY SANITATION DISTRICT ("SANITATION DISTRICT") and CH2M HILL, INC. ("CONSULTANT'), has been assigned to CONSULTANT in accordance with the AGREEMENT. CONSULTANT's PROPOSAL: consist of the following document which is attached, and hereby incorporated into and made a part hereof this Task Order 01: Proposal for Plant Air System Master Plan, Email dated May 6, 2015, inclusive of Proposed Project Schedule. Revised Fee Proposal for Plant Air System Master Plan, Email dated June 18, 2015. COMPENSATION: The Not-to-Exceed amount for this Task Order No. 01 is $187,100. CONSULTANT shall submit its invoices for this Task Order 01 in accordance with the requirements of the AGREEMENT, Section 2 — COMPENSATION, Attachment "C" Allowable Direct Costs, and Attachment"G' Hourly Rate Schedule of the AGREEMENT. Costs for the work included in this Task Order 01 shall be invoiced separately from costs for work included in any subsequently issued Task Orders. AUTHORIZED AGREEMENT AMOUNT: $ 1,000,000.00 SUMMARY OF TASK ORDERS: Authorized Task Order 01 Amount: $ 187,100.00 Previously Issued Task Orders: $ 0.00 Remaining Authorized Amount: $ 812,900.00 CATEGORY II TASK ORDER SUMMARY TASK TASK ORDER DESCRIPTION TASK ORDER CUMULATIVE ORDER AMOUNT TASK ORDERS 01 SP-148, Plant Air System Master Plan $187,100 $187,100 Task Order 01 — SP-148 Plant Air System Master Plan Agreement No. PLAN2013-04 Page 1 of 2 RETURN TO AGENDA SCOPE OF SERVICES: Refer to SANITATION DISTRICT's Request for Task Order email dated April 13, 2015, inclusive of SOW dated April 06, 2015 which are attached. DELIVERABLES: Project deliverables remain as described under Task Order 01. SCHEDULE: All Work to be completed by 40 weeks from Notice to Proceed in accordance with CONSULTANT's Proposal. EFFECTIVE DATE: This Task Order 01 shall be effective as of the date of SANITATION DISTRICT's Board of Directors' signature below. All terms and conditions of the AGREEMENT shall remain in full force and effect. It is the intent of the SANITATION DISTRICT and CONSULTANT to incorporate this Task Order 01 into the AGREEMENT. Chair, Board of Directors Date Orange County Sanitation District Kelly Lore Date Clerk of the Board Orange County Sanitation District Fred Soroushian, PE Date Vice President CH2M Hill, Inc. Attachments: 1) CH2M Hill, Inc.'s Proposal email dated May 6, 2015 2) CH2M Hill, Inc.'s Revised Fee Proposal email dated June 18, 2015 3) SANITATION DISTRICT's Request for Task Order email dated April 13, 2015, inclusive of SOW dated April 06, 2015 SLS:yp Task Order 01 — SP-148 Plant Air System Master Plan Agreement No. PLAN2013-04 Page 2 of 2 ITEM NO. 6 MINUTES OF THE OPERATIONS COMMITTEE Orange County Sanitation District Wednesday, July 1, 2015, 5:00 p.m. A regular meeting of the Operations Committee was called to order by Committee Chair Withers on Wednesday, July 1, 2015, at 5:02 p.m. in the Administration Building of the Orange County Sanitation District. Vice-Chair Seboum led the Flag Salute. A quorum was declared present, as follows: COMMITTEE MEMBERS PRESENT: STAFF PRESENT: John Withers, Chair Jim Herberg, General Manager David Shawver, Vice-Chair Bob Ghirelli, Assistant General Manager Tom Beamish Rob Thompson, Director of Engineering Ellery Deaton Ed Torres, Director of Operations & Maintenance Steve Jones Lorenzo Tyner, Director of Finance & Robert Kiley Administrative Services Richard Murphy Nick Arhontes, Director of Facility Support Services Fred Smith Kelly Lore, Clerk of the Board Chad Wanke Cindi Ambrose Mariellen Yarc Jeff Brown John Nielsen, Board Chair Jennifer Cabral Greg Seboum, Board Vice-Chair Carla Dillon Mark Esquer COMMITTEE MEMBERS ABSENT: Dean Fisher Lisa Bartlett Norbert Gaia Steve Nagel At Garcia Kathy Millea Eros Yong OTHERS PRESENT: Brad Hogin, General Counsel Michael Beverage, Alternate Director YLWD PUBLIC COMMENTS: None. REPORT OF COMMITTEE CHAIR: Committee Chair Withers did not provide a report. 07/01/2015 Opeations Committee Minutes Page 1 of 5 REPORT OF GENERAL MANAGER: General Manager, Jim Herberg announced that there were commemorative giveaways from the GWRS Expansion Dedication Ceremony available at the back table along with OCSD Safety Calendars, which feature art from students K-12. CONSENT CALENDAR: 1. MOVED, SECONDED, and DULY CARRIED TO: Approve Minutes of the regular Operations Committee Meeting of June 3, 2015. AYES: Beamish, Deaton, Kiley, Murphy, Nielsen, Sebourn, Shawver, Smith, F., Wanks, Withers and Yarc NOES: None ABSTENTIONS: None ABSENT: Bartlett; Jones and Nagel 2. MOVED, SECONDED, and DULY CARRIED TO: Approve Amendment No. 1 to the Service Contract with Hoffman Southwest Corp., dba Professional Pipe Services,for Industrial Cleaning Services, Specification No. S-2014-621 BD,for the period December 11, 2014 through December 10, 2015, for an additional amount of$35,000 for a total contract amount not to exceed $167,000. AYES: Beamish, Deaton, Kiley, Murphy, Nielsen, Sebourn, Shawver, Smith, F., Wanks, Withers and Yarc NOES: None ABSTENTIONS: None ABSENT: Bartlett; Jones and Nagel NON-CONSENT CALENDAR: Engineering Supervisor Carla Dillon provided an informative PowerPoint presentation regarding Item 3 which included: project overview and challenges; design and construction costs; and most qualified design firm. Director of Engineering Rob Thompson responded to questions from the Committee regarding: bidding processes; cost v. bid of Professional Design Services; cost comparison to other similar projects; qualified bidder distinctions, expertise of firm, scope of work, etc.; and information pertaining to the firm recommended for award. 07/01/2015 Operations Committee Minutes Page 2 of 5 General Counsel, Brad Hogin answered questions regarding the bidding process as it pertains to the government code and the specific procedure in the OCSD Purchasing Ordinance. It was requested by the Committee that the Engineer's cost estimate be included in future Agenda reports. Director Jones arrived at 5:17 p.m. 3. MOVED, SECONDED, and DULY CARRIED TO: Recommend to the Board of Directors: A. Approve a Professional Design Services Agreement with MWH Americas, Inc. to provide engineering design services for the Rehabilitation of Seal Beach Pump Station, Project No. 3-62, for an amount not to exceed $6,917,347; $6,917,175; and B. Approve a contingency of$691,736 $691,718 (10%). AYES: Beamish, Deaton, Jones, Kiley, Murphy, Nielsen, Seboum, Shawver, Smith, F., Wanks, Withers and Yarc NOES: None ABSTENTIONS: None ABSENT: Bartlett and Nagel Director of Engineering Rob Thompson, provided additional information regarding Item 4. He stated that in October of 2014, staff provided initial information regarding the AquaCritok� process. A quick overview of the pilot unit and the opportunities to this process were provided. Mr. Thompson answered questions regarding: TAG technology assessment group, screening new technologies; phasing this in at end of life for facilities that need rebuilding; no effect to the new building construction; possible grants to pay for this research; energy return on the energy used; efficiency of this system; and possible dangers of these types of facilities. Mr. Thompson introduced Senior Engineer, Jeff Brown who provided further information regarding this technology and possible cost savings. The committee requested that the information provided in October of 2014 be sent to them. 4. MOVED, SECONDED, and DULY CARRIED TO: Recommend to the Board of Directors: A. Establish a budget for an AquaCritox® Demonstration Project Evaluation Study, Project No. SP-125-17, in the amount of$423,000. 07/01/2015 Operations Committee Minutes Page 3 of 5 B. Approve a Sole Source Professional Services Agreement with SCFI Group Limited to conduct an Evaluation Study for the AquaCritox®Demonstration Project, Project No. SPA 25-17, for an amount not to exceed $311,460; and C. Approve a contingency of$31,200 (10%) AYES: Beamish, Deaton, Jones, Kiley, Murphy, Nielsen, Seboum, Shawver, Smith, F., Wanke, Withers and Yarc NOES: None ABSTENTIONS: None ABSENT: Bartlett and Nagel INFORMATION ITEMS: None. DEPARTMENT HEAD REPORTS: Director of Engineering, Rob Thompson, provided information regarding a request for additional funds for the on-call services of Koury Engineering &Testing Inc., which will be brought to the Board for approval later this month. The additional request is needed to support unforeseen inspections of structural steel installation on project P1-101 construction. Director of Operations and Maintenance, Ed Torres informed the Committee of upcoming tours that are being offered on the OCSD Ocean Monitoring Vessel, the Nerissa. The Clerk of the Board will contact the Directors with the dates and times. OTHER BUSINESS AND COMMUNICATIONS OR SUPPLEMENTAL AGENDA ITEMS, IF ANY: None. 07/01/2015 Operations Committee Minutes Page 4 of 5 ADJOURNMENT At 5:50 p.m., Committee Chair Withers declared the meeting adjourned to the next scheduled meeting of Wednesday, September 2, 2015 at 5:00 p.m. Submitted by, Kelly A. Lore Clerk of the Board 07/01/2015 Operations Committee Minutes Page 5 of 5 OPERATIONS COMMITTEE Meeting Date TOBd.afDlr. 07/01/15 W/R/15 AGENDA REPORT Item Number Item Number 3 Orange County Sanitation District FROM: James D. Herberg, General Manager Originator: Rob Thompson, Director of Engineering SUBJECT: REHABILITATION OF SEAL BEACH PUMP STATION, PROJECT NO. 3-62 GENERAL MANAGER'S RECOMMENDATION A. Approve a Professional Design Services Agreement with MWH Americas, Inc. to provide engineering design services for the Rehabilitation of Seal Beach Pump Station, Project No. 3-62, for an amount not to exceed $6,917,175; and B. Approve a contingency of $691,718 (10%). SUMMARY This project will completely rehabilitate the Seal Beach Pump Station and the force mains. In addition to this work, a regional odor control and hydraulic study will be performed to support this project and Project No. 3-64 (Rehabilitation of Western Regional Sewers). The project also includes the performance of engineering tasks supporting preliminary and final design such as topographical land surveying, potholing and utility location, corrosion studies, geotechnical, landscaping and architectural services, structural analysis, traffic control studies, public outreach, electrical and instrumentation studies, security studies, permitting assistance, and ultimately the preparation of construction ready drawings and specifications. The Orange County Sanitation District (Sanitation District) advertised a Request for Proposal on March 5, 2015, and six proposals were received. Based on the overall qualifications and expertise, staff recommends awarding a Professional Design Services Agreement (PDSA) to MWH Americas, Inc. PRIOR COMMITTEE/BOARD ACTIONS N/A ADDITIONAL INFORMATION General The Seal Beach Pump Station and its associated Force Main piping system was built in the 1970s and currently serves Seal Beach, Rossmoor, Los Alamitos, Cypress, and La Palma. The dual force main piping system is approximately 2.7 miles long and traverses through Seal Beach, US Naval Weapons Station, and Westminster along Westminster Page 1 of 3 Blvd. Reauest for Proposal: A Request for Proposal which describes the Consultant's Scope of Work required for this project was advertised on March 5, 2015. As a result, proposals were received from MWH Americas, Inc.; Brown & Caldwell; Psomas; Lee & Ro, Inc.; RBF Consulting; and Atkins North America, Inc. on April 15, 2015. A Staff Evaluation Committee consisting of five representatives from the Engineering and Maintenance Departments reviewed and ranked each of the proposals in accordance with the evaluation process set forth in Sanitation District Board of Directors' Ordinance No. OCSD-44. An additional representative from the Contracts Administration Division participated in the evaluation process as a non-voting member. The proposals were evaluated according to the following criteria: (1) project understanding and approach; (2) applicable related project experience; and (3) project team and staff qualifications. After reviewing and scoring the proposals, the Consultant firms were ranked according to the score achieved. The Evaluation Committee short-listed and interviewed the top three proposing firms to meet the key team members and further evaluate the fines' proposals. Pursuant to the results of the interview, the Evaluation Committee selected MWH Americas, Inc. as the top-ranked firm as shown in Table 1. TABLE 1 PROPOSAL EVALUATION* MWH Americas, Brown & Consultant Evaluator Inc. Caldwell Psomas Reviewer A 1 2 3 Reviewer B 1 2 3 Reviewer C 1 2 3 Reviewer D 1 2 3 Reviewer E 1 2 3 Overall Ranking 1 2 3 Proposal Fee $7,908,799 - - Negotiated Fee Proposal $6,917,175 * Based on scores after interview MWH Americas, Inc. was ranked highest by the Evaluation Committee. All proposals were accompanied by a sealed fee proposal estimate. The fee proposal of the highest ranked firm was opened after the proposals were evaluated and a top-ranked firm was selected in accordance with Sanitation District Ordinance No. OCSD-44. Staff conducted negotiations with MWH Americas, Inc. to clarify the requirements of the scope of work and their proposed work effort. During the negotiation meetings, the project scope of work, level of effort, and assumptions were discussed and clarified as required for the Page 2 of 3 completion of the scope of work for the project. As a result of these negotiations, MWH Americas, Inc. submitted a revised fee proposal. Based on the above, staff determined the final cost proposal to be fair and reasonable for the scope of work and recommends awarding the PDSA to MWH Americas, Inc. The engineer's construction cost estimate for this project ranges from $31,072,322 to $56,887,550 depending on the selected pipe replacement method, which will be determined during the design phase. Based upon the likely pipe replacement method, the construction cost is estimated at $36,000,000. The design proposal fee is 19% of the construction cost and within the expected range for this type of complex rehabilitation project. CEQA Notice of Exemption was filed on April 11, 2014. BUDGET/PURCHASING ORDINANCE COMPLIANCE This request complies with the authority levels in the Sanitation District's Purchasing Ordinance. This item has been budgeted (Line item: FY 2014-15 & 2015-16, Section 8, Page 32) and the project budget of$62,041,000 is sufficient for the recommended action. ATTACHMENT The following attachment(s) may be viewed on-line at the OCSD website(wwmocsd.com) with the complete agenda package: • Professional Design Services Agreement • PowerPoint Presentation provided at Operations Committee Meeting 07/01/2015 AN:dm:gc Page 3 of 3 RETURN TO AGENDA PROFESSIONAL DESIGN SERVICES AGREEMENT THIS AGREEMENT, is made and entered into to be effective the 22th day of July, 2015 by and between the ORANGE COUNTY SANITATION DISTRICT, hereinafter referred to as "SANITATION DISTRICT", and MWH Americas, Inc., for purposes of this Agreement hereinafter referred to as "CONSULTANT'. WITNESSETH: WHEREAS, the SANITATION DISTRICT desires to engage a CONSULTANT for PROJECT NO. 3-62, SEAL BEACH PUMPING UPGRADE AND REHABILITATION; and to provide Design services for the rehabilitation of the pump station to include the replacement of the pump station mechanical, HVAC, electrical, instrumentation and control systems and the rehabilitation or replacement of concrete structures. The project also includes addressing regional odor deficiencies, preliminary design of the odor control facilities at three separate sites, and preliminary and final design of the odor control facilities at the SBPS and, WHEREAS, CONSULTANT is qualified to provide the necessary services in connection with these requirements and has agreed to provide the necessary professional services; and, WHEREAS, the SANITATION DISTRICT has adopted procedures for the selection of professional services and has proceeded in accordance with said procedures to select a CONSULTANT to perform this work; and, WHEREAS, at its regular meeting on July 22, 2015, the Board of Directors, by Minute Order, accepted the recommendation of the Operations Committee or Director of Engineering and General Manager pursuant to SANITATION DISTRICT Board of Directors' Ordinance No. OCSD-47 to approve this Agreement between the SANITATION DISTRICT and CONSULTANT. NOW, THEREFORE, in consideration of the promises and mutual benefits, which will result to the parties in carrying out the terms of this Agreement, it is mutually agreed as follows: 1. SCOPE OF WORK CONSULTANT agrees to furnish necessary professional and technical services to accomplish those project elements outlined in the Scope of Work attached hereto as Attachment"A", and by this reference made a part of this Agreement. A. The CONSULTANT shall be responsible for the professional quality, technical accuracy, completeness, and coordination of all design, drawings, specifications, and other services furnished by the CONSULTANT under this Agreement, including the work performed by its Subconsultants. Where approval by the SANITATION DISTRICT is indicated, it is understood to be conceptual approval only and does not relieve the CONSULTANT of responsibility for complying with all laws, codes, industry standards and liability for damages caused by errors, omissions, noncompliance with industry standards, and/or negligence on the part of the CONSULTANT or its Subconsultants. PDSA PROJECT NO.3-62 Remed 020915 SEAL BEACH PUMPING UPGRADE AND REHABILITATION Page 1 of 19 B. CONSULTANT is responsible for the quality of work prepared under this Agreement and shall ensure that all work is performed to the standards of best engineering practice for clarity, uniformity, and completeness. CONSULTANT shall respond to all comments, suggestions, and recommendations on the SANITATION DISTRICT's review comment sheets (i.e. DS1, DS2 and DS3). All comments shall be incorporated into the design prior to the next submittal deadline or addressed, in writing, as to why the comment has not been incorporated. CONSULTANT shall exercise the same degree of care, skill, and diligence in the performance of the services as is ordinarily possessed and exercised by a professional under similar circumstances. C. In the event that work is not performed to the satisfaction of the SANITATION DISTRICT and does not conform to the requirements of this Agreement or any applicable industry standards, the CONSULTANT shall, without additional compensation, promptly correct or revise any errors or deficiencies in its designs, drawings, specifications, or other services within the timeframe specified by the Project Engineer/Project Manager. The SANITATION DISTRICT may charge to CONSULTANT all costs, expenses and damages associated with any such corrections or revisions. D. All CAD drawings, figures, and other work shall be produced by CONSULTANTS and Subconsultants using the SANITATION DISTRICT CAD Manual. Conversion of CAD work from any other non-standard CAD format to the SANITATION DISTRICT format shall not be acceptable in lieu of this requirement. Electronic files shall conform to the SANITATION DISTRICT specifications. Any changes to these specifications by the CONSULTANT are subject to review and approval of the SANITATION DISTRICT. Electronic files shall be subject to an acceptance period of twenty-five (25) calendar days during which the SANITATION DISTRICT shall perform appropriate reviews and including CAD Manual compliance. CONSULTANT shall correct any discrepancies or errors detected and reported within the acceptance period at no additional cost to the SANITATION DISTRICT. E. The CONSULTANT shall ensure that all plans and specifications prepared, or recommended under this Agreement allow for competitive bidding. The CONSULTANT shall design such plans or specifications so that procurement of services, labor or materials are not available from only one source, and shall not design plans and specifications around a single or specific product, piece of major equipment or machinery, a specific patented design or a proprietary process, unless required by principles of sound engineering practice and supported by a written justification that has been approved in writing by the SANITATION DISTRICT. The CONSULTANT shall submit this written justification to the SANITATION DISTRICT prior to beginning work on such plans and specifications. Whenever the CONSULTANT recommends a specific product or equipment for competitive procurement, such recommendation shall include at least two brand names of products that are capable of meeting the functional requirements applicable to the project. PDSA PROJECT NO.3-62 Remed 020915 SEAL BEACH PUMPING UPGRADE AND REHABILITATION Page 2 of 19 RETURN TO AGENDA F. All professional services performed by the CONSULTANT, including but not limited to all drafts, data, correspondence, proposals, reports, and estimates compiled or composed by the CONSULTANT, pursuant to this Agreement, are for the sole use of the SANITATION DISTRICT, its agents and employees. Neither the documents nor their contents shall be released to any third party without the prior written consent of the SANITATION DISTRICT. This provision does not apply to information that (a)was publicly known, or otherwise known to the CONSULTANT, at the time that it was disclosed to the CONSULTANT by the SANITATION DISTRICT, (b)subsequently becomes publicly known to the CONSULTANT other than through disclosure by the SANITATION DISTRICT. 2. COMPENSATION Total compensation shall be paid to CONSULTANT for services in accordance with the following provisions: A. Total Compensation Total compensation shall be in an amount not to exceed Six Million Nine Hundred Seventeen Thousand One Hundred Seventy-Five Dollars ($6,917,175). Total compensation to CONSULTANT including burdened labor (salaries plus benefits), overhead, profit, direct costs, and Subconsultant(s)fees and costs shall not exceed the sum set forth in Attachment"E" - Fee Proposal. B. Labor As a portion of the total compensation to be paid to CONSULTANT, the SANITATION DISTRICT shall pay to CONSULTANT a sum equal to the burdened salaries (salaries plus benefits)actually paid by CONSULTANT charged on an hourly-rate basis to this project and paid to the personnel of CONSULTANT. Upon request of the SANITATION DISTRICT, CONSULTANT shall provide the SANITATION DISTRICT with certified payroll records of all employees' work that is charged to this project. C. Overhead As a portion of the total compensation to be paid to CONSULTANT, the SANITATION DISTRICT shall compensate CONSULTANT and Subconsultants for overhead at the rate equal to the percentage of burdened labor as specified in Attachment"E"- Fee Proposal. D. Profit Profit for CONSULTANT and Subconsultants shall be a percentage of consulting services fees (Burdened Labor and Overhead). When the consulting or subconsulting services amount is $250,000 or less, the maximum Profit shall be 10%. Between $250,000 and $2,500,000, the maximum Profit shall be limited by a straight declining percentage between 10% and 5%. For consulting or subconsulting services fees with a value greater than $2,500,000, the maximum PDSA PROJECT NO.3-62 Remed 020915 SEAL BEACH PUMPING UPGRADE AND REHABILITATION Page 3 of 19 Profit shall be 5%. Addenda shall be governed by the same maximum Profit percentage after adding consulting services fees. As a portion of the total compensation to be paid to CONSULTANT and Subconsultants, the SANITATION DISTRICT shall pay profit for all services rendered by CONSULTANT and Subconsultants for this project according to Attachment"E"- Fee Proposal. E. Suboonsultants For any Subconsultant whose fees for services are greater than or equal to $100,000 (excluding out-of-pocket costs), CONSULTANT shall pay to Subconsultant total compensation in accordance with the Subconsultant amount specified in Attachment"E"- Fee Proposal. For any Subconsultant whose fees for services are less than $100,000, CONSULTANT may pay to Suboonsultant total compensation on an hourly-rate basis per the attached hourly rate Schedule and as specified in the Scope of Work. The SANITATION DISTRICT shall pay to CONSULTANT the actual costs of Subconsultant fees and charges in an amount not to exceed the sum set forth in Attachment"E"- Fee Proposal. F. Direct Costs The SANITATION DISTRICT shall pay to CONSULTANT and Subconsultants the actual costs of permits and associated fees, travel and licenses for an amount not to exceed the sum set forth in Attachment"E"- Fee Proposal. The SANITATION DISTRICT shall also pay to CONSULTANT actual costs for equipment rentals, leases or purchases with prior approval of the SANITATION DISTRICT. Upon request, CONSULTANT shall provide to the SANITATION DISTRICT receipts and other documentary records to support CONSULTANT's request for reimbursement of these amounts, see Attachment"D"-Allowable Direct Costs. All incidental expenses shall be included in overhead pursuant to Section 2 -COMPENSATION above. G. Reimbursable Direct Costs The SANITATION DISTRICT will reimburse the CONSULTANT for reasonable travel and business expenses as described in this section and further described in Attachment"D"-Allowable Direct Costs to this Agreement. The reimbursement of the above mentioned expenses will be based on an "accountable plan' as considered by Internal Revenue Service (IRS). The plan includes a combination of reimbursements based upon receipts and a "per diem' component approved by IRS. The most recent schedule of the per diem rates utilized by the SANITATION DISTRICT can be found on the U.S. General Service Administration website at htti)://www.gsa.gov/portal/category/l 04711#. The CONSULTANT shall be responsible for the most economical and practical means of management of reimbursable costs inclusive but not limited to travel, lodging and meals arrangements. The SANITATION DISTRICT shall apply the PDSA PROJECT NO.3-62 Revised 020915 SEAL BEACH PUMPING UPGRADE AND REHABILITATION Page 4 of 19 RETURN TO AGENDA most economic and practical method of reimbursement which may include reimbursements based upon receipts and/or"per diem' as deemed the most practical. CONSULTANT shall be responsible for returning to the SANITATION DISTRICT any excess reimbursements after the reimbursement has been paid by the SANITATION DISTRICT. Travel and travel arrangements—Any travel involving airfare, overnight stays or multiple day attendance must be approved by the SANITATION DISTRICT in advance. Local Travel is considered travel by the CONSULTANT within the SANITATION DISTRICT general geographical area which includes Orange, Los Angeles, Ventura, San Bernardino, Riverside, San Diego, Imperial and Kern Counties. Automobile mileage is reimbursable if CONSULTANT is required to utilize personal vehicle for local travel. Lodging—Overnight stays will not be approved by the SANITATION DISTRICT for local travel. However, under certain circumstances overnight stay may be allowed at the discretion of the SANITATION DISTRICT based on reasonableness of meeting schedules and the amount of time required for travel by the CONSULTANT. Such determination will be made on a case-by-case basis and at the discretion of the SANITATION DISTRICT. Travel Meals— Per-diem rates as approved by IRS shall be utilized for travel meals reimbursements. Per diem rates shall be applied to meals that are appropriate for travel times. Receipts are not required for the approved meals. Additional details related to the reimbursement of the allowable direct costs are provided in the Attachment"D"-Allowable Direct Costs of this Agreement. H. Limitation of Costs If, at any time, CONSULTANT estimates the cost of performing the services described in CONSULTANT's Proposal will exceed seventy-five percent (75%) of the not-to-exceed amount of the Agreement, including approved additional compensation, CONSULTANT shall notify the SANITATION DISTRICT immediately, and in writing. This written notice shall indicate the additional amount necessary to complete the services. Any cost incurred in excess of the approved not-to-exceed amount, without the express written consent of the SANITATION DISTRICT's authorized representative shall be at CONSULTANT's own risk. This written notice shall be provided separately from, and in addition to any notification requirements contained in the CONSULTANT's invoice and monthly progress report. Failure to notify the SANITATION DISTRICT that the services cannot be completed within the authorized not-to-exceed amount is a material breach of this Agreement. PDSA PROJECT NO.3-62 Remed 020915 SEAL BEACH PUMPING UPGRADE AND REHABILITATION Page 5 of 19 3. REALLOCATION OF TOTAL COMPENSATION The SANITATION DISTRICT, by its Director of Engineering, shall have the right to approve a reallocation of the incremental amounts constituting the total compensation, provided that the total compensation is not increased. 4. PAYMENT A. Monthly Invoice: CONSULTANT shall include in its monthly invoice, a detailed breakdown of costs associated with the performance of any corrections or revisions of the work for that invoicing period. CONSULTANT shall allocate costs in the same manner as it would for payment requests as described in this Section of the Agreement. CONSULTANT shall warrant and certify the accuracy of these costs and understand that submitted costs are subject to Section 11 -AUDIT PROVISIONS. B. CONSULTANT may submit monthly or periodic statements requesting payment for those items included in Section 2- COMPENSATION hereof in the format as required by the SANITATION DISTRICT. Such requests shall be based upon the amount and value of the work and services performed by CONSULTANT under this Agreement and shall be prepared by CONSULTANT and accompanied by such supporting data, including a detailed breakdown of all costs incurred and project element work performed during the period covered by the statement, as may be required by the SANITATION DISTRICT. Upon approval of such payment request by the SANITATION DISTRICT, payment shall be made to CONSULTANT as soon as practicable of one hundred percent (100%)of the invoiced amount on a per-project-element basis. If the SANITATION DISTRICT determines that the work under this Agreement or any specified project element hereunder, is incomplete and that the amount of payment is in excess of: i. The amount considered by the SANITATION DISTRICT's Director of Engineering to be adequate for the protection of the SANITATION DISTRICT; or it. The percentage of the work accomplished for each project element. He may, at his discretion, retain an amount equal to that which insures that the total amount paid to that date does not exceed the percentage of the completed work for each project element or the project in its entirety. C. CONSULTANT may submit periodic payment requests for each 30-day period of this Agreement for the profit as set forth in Section 2 -COMPENSATION above. Said profit payment request shall be proportionate to the work actually accomplished to date on a per-project-element basis. In the event the SANITATION DISTRICT's Director of Engineering determines that no satisfactory PDSA PROJECT NO.3-62 Remed 020915 SEAL BEACH PUMPING UPGRADE AND REHABILITATION Page 6 of 19 RETURN TO AGENDA progress has been made since the prior payment, or in the event of a delay in the work progress for any reason, the SANITATION DISTRICT shall have the right to withhold any scheduled proportionate profit payment. D. Upon satisfactory completion by CONSULTANT of the work called for under the terms of this Agreement, and upon acceptance of such work by the SANITATION DISTRICT, CONSULTANT will be paid the unpaid balance of any money due for such work, including any retained percentages relating to this portion of the work. E. Upon satisfactory completion of the work performed hereunder and prior to final payment under this Agreement for such work, or prior settlement upon termination of this Agreement, and as a condition precedent thereto, CONSULTANT shall execute and deliver to the SANITATION DISTRICT a release of all claims against the SANITATION DISTRICT arising under or by virtue of this Agreement other than such claims, if any, as may be specifically exempted by CONSULTANT from the operation of the release in stated amounts to be set forth therein. F. Pursuant to the California False Claims Act(Government Code Sections 12650- 12655), any CONSULTANT that knowingly submits a false claim to the SANITATION DISTRICT for compensation under the terms of this Agreement may be held liable for treble damages and up to a ten thousand dollars ($10,000) civil penalty for each false claim submitted. This Section shall also be binding on all Subconsultants. A CONSULTANT or Subconsultant shall be deemed to have submitted a false claim when the CONSULTANT or Subconsultant: a) knowingly presents or causes to be presented to an officer or employee of the SANITATION DISTRICT a false claim or request for payment or approval; b) knowingly makes, uses, or causes to be made or used a false record or statement to get a false claim paid or approved by the SANITATION DISTRICT; c) conspires to defraud the SANITATION DISTRICT by getting a false claim allowed or paid by the SANITATION DISTRICT; d) knowingly makes, uses, or causes to be made or used a false record or statement to conceal, avoid, or decrease an obligation to the SANITATION DISTRICT; or e) is a beneficiary of an inadvertent submission of a false claim to the SANITATION DISTRICT, and fails to disclose the false claim to the SANITATION DISTRICT within a reasonable time after discovery of the false claim. 5. CALIFORNIA DEPARTMENT OF INDUSTRIAL RELATIONS (DIR) REGISTRATION AND RECORD OF WAGES A. To the extent CONSULTANT's employees and/or Subconsultants who will perform Work during the design and preconstruction phases of a construction contract for which Prevailing Wage Determinations have been issued by the DIR and as more specifically defined under Labor Code Section 1720 et seq, CONSULTANT and Subconsultants shall comply with the registration requirements of Labor Code Section 1725.5. Pursuant to Labor Code Section 1771.4, the Work is subject to compliance monitoring and enforcement by the DIR. PDSA PROJECT NO.3-62 Remed 020915 SEAL BEACH PUMPING UPGRADE AND REHABILITATION Page 7 of 19 B. The CONSULTANT and Subconsultants shall maintain accurate payroll records and shall comply with all the provisions of Labor Code Section 1776, and shall submit payroll records to the Labor Commissioner pursuant to Labor Code 1771.4(a)(3). Penalties for non-compliance with the requirements of Section 1776 may be deducted from progress payments per Section 1776. C. Pursuant to Labor Code Section 1776, the CONSULTANT and Subconsultants shall furnish a copy of all certified payroll records to OCSD and/or general public upon request, provided the public request is made through OCSD, the Division of Apprenticeship Standards or the Division of Labor Enforcement of the Department of Industrial Relations. D. The CONSULTANT and Subconsultant shall comply with the job site notices posting requirements established by the Labor Commissioner per Title 8, California Code of Regulation Section 16461(e). 6. DOCUMENT OWNERSHIP—SUBSEQUENT CHANGES TO PLANS AND SPECIFICATIONS A. Ownership of Documents for the Professional Services performed. All documents, including but not limited to, original plans, studies, sketches, drawings, computer printouts and disk files, and specifications prepared in connection with or related to the Scope of Work or Professional Services, shall be the property of the SANITATION DISTRICT. The SANITATION DISTRICT's ownership of these documents includes use of, reproduction or reuse of and all incidental rights, whether or not the work for which they were prepared has been performed. The SANITATION DISTRICT ownership entitlement arises upon payment or any partial payment for work performed and includes ownership of any and all work product completed prior to that payment. This Section shall apply whether the CONSULTANT's Professional Services are terminated: a) by the completion of the Agreement, or b) in accordance with other provisions of this Agreement. Notwithstanding any other provision of this paragraph or Agreement, the CONSULTANT shall have the right to make copies of all such plans, studies, sketches, drawings, computer printouts and disk files, and specifications. B. CONSULTANT shall not be responsible for damage caused by subsequent changes to or uses of the plans or specifications, where the subsequent changes or uses are not authorized or approved by CONSULTANT, provided that the service rendered by CONSULTANT was not a proximate cause of the damage. 7. INSURANCE A. General i. Insurance shall be issued and underwritten by insurance companies acceptable to the SANITATION DISTRICT. ii. Insurers must have an "A-" Policyholder's Rating, or better, and Financial Rating of at least Class Vill, or better, in accordance with the most current A.M. Best's Guide Rating. However, the SANITATION DISTRICT will accept PDSA PROJECT NO.3-62 Remed 020915 SEAL BEACH PUMPING UPGRADE AND REHABILITATION Page 8 of 19 RETURN TO AGENDA State Compensation Insurance Fund, for the required policy of Worker's Compensation Insurance subject to the SANITATION DISTRICT'S option to require a change in insurer in the event the State Fund financial rating is decreased below"B". Further, the SANITATION DISTRICT will require CONSULTANT to substitute any insurer whose rating drops below the levels herein specified. Said substitution shall occur within twenty (20)days of written notice to CONSULTANT, by the SANITATION DISTRICT or its agent. III. Coverage shall be in effect prior to the commencement of any work under this Agreement. B. General Liability The CONSULTANT shall maintain during the life of this Agreement, including the period of warranty, Commercial General Liability Insurance written on an occurrence basis providing the following minimum limits of liability coverage: two million Dollars ($2,000,000) per occurrence with two million Dollars ($2,000,000) aggregate. Said insurance shall include coverage for the following hazards: Premises-Operations, blanket contractual liability(for this Agreement), products liability/completed operations (including any product manufactured or assembled), broad form property damage, blanket contractual liability, independent contractors liability, personal and advertising injury, mobile equipment, owners and contractors protective liability, and cross liability and severability of interest clauses. A statement on an insurance certificate will not be accepted in lieu of the actual additional insured endorsement(s). If requested by SANITATION DISTRICT and applicable, XCU coverage (Explosion, Collapse and Underground) and Riggers/On Hook Liability must be included in the General Liability policy and coverage must be reflected on the submitted Certificate of Insurance. C. Umbrella Excess Liability The minimum limits of general liability and Automotive Liability Insurance required, as set forth herein, shall be provided for through either a single policy of primary insurance or a combination of policies of primary and umbrella excess coverage. Umbrella excess liability coverage shall be issued with limits of liability which, when combined with the primary insurance, will equal the minimum limits for general liability and automotive liability. D. AutomotiveNehicle liability Insurance The CONSULTANT shall maintain a policy of Automotive Liability Insurance on a comprehensive form covering all owned, non-owned, and hired automobiles, trucks, and other vehicles providing the following minimum limits of liability coverage: Combined single limit of one million Dollars ($1,000,000) or alternatively, one million Dollars ($1,000,000) per person for bodily injury and one million Dollars ($1,000,000) per accident for property damage. A statement on an insurance certificate will not be accepted in lieu of the actual additional insured endorsement. PDSA PROJECT NO.3-62 Revised 020915 SEAL BEACH PUMPING UPGRADE AND REHABILITATION Page 9 of 19 E. Worker's Compensation Insurance The CONSULTANT shall provide such Workers' Compensation Insurance as required by the Labor Code of the State of California in the amount of the statutory limit, including Employer's Liability Insurance with a minimum limit of one million Dollars ($1,000,000) per occurrence. Such Worker's Compensation Insurance shall be endorsed to provide for a waiver of subrogation in favor of the SANITATION DISTRICT. A statement on an insurance certificate will not be accepted in lieu of the actual endorsements unless the insurance carrier is State of California Insurance Fund and the identifier"SCIF" and endorsement numbers 2570 and 2065 are referenced on the certificate of insurance. If an exposure to Jones Act liability may exist, the insurance required herein shall include coverage for Jones Act claims. F. Errors and Omissions/Professional Liability CONSULTANT shall maintain in full force and effect, throughout the term of this Agreement, standard industry form professional negligence errors and omissions insurance coverage in an amount of not less three million Dollars ($3,000,000) with limits in accordance with the provisions of this Paragraph. If the policy of insurance is written on a "claims made" basis, said policy shall be continued in full force and effect at all times during the term of this Agreement, and for a period of five (5)years from the date of the completion of the services hereunder. In the event of termination of said policy during this period, CONSULTANT shall obtain Continuing insurance coverage for the prior acts or omissions of CONSULTANT during the course of performing services under the term of this Agreement. Said coverage shall be evidenced by either a new policy evidencing no gap in coverage or by separate extended "tail" coverage with the present or new carrier. In the event the present policy of insurance is written on an "occurrence" basis, said policy shall be continued in full force and effect during the term of this Agreement or until completion of the services provided for in this Agreement, whichever is later. In the event of termination of said policy during this period, new coverage shall be obtained for the required period to insure for the prior acts of CONSULTANT during the course of performing services under the term of this Agreement. CONSULTANT shall provide to the SANITATION DISTRICT a certificate of insurance in a form acceptable to the SANITATION DISTRICT indicating the deductible or self-retention amounts and the expiration date of said policy, and shall provide renewal certificates not less than ten (10)days prior to the expiration of each policy term. G. Proof of Coverage The CONSULTANT shall furnish the SANITATION DISTRICT with original certificates and amendatory endorsements effecting coverage. Said policies and endorsements shall conform to the requirements herein stated. All certificates PDSA PROJECT NO.3-62 Remed 020915 SEAL BEACH PUMPING UPGRADE AND REHABILITATION Page 10 of 19 RETURN TO AGENDA and endorsements are to be received and approved by the SANITATION DISTRICT before work commences. The SANITATION DISTRICT reserves the right to require complete, certified copies of all required insurance policies, including endorsements, effecting the coverage required, at any time. The following are approved forms that must be submitted as proof of coverage: • Certificate of Insurance ACORD Form 25 (5/2010)or equivalent. • Additional Insurance (ISO Form) CG2010 11 85 or (General Liability) The combination of(ISO Forms) CG 2010 10 01 and CG 2037 10 01 All other Additional Insured endorsements must be submitted for approval by the SANITATION DISTRICT, and the SANITATION DISTRICT may reject alternatives that provide different or less coverage to the SANITATION DISTRICT. • Additional Insured Submit endorsement provided by carrier for the (Auto Liability) SANITATION DISTRICT approval. • Waiver of Subrogation State Compensation Insurance Fund Endorsement No. 2570 or equivalent. • Cancellation Notice State Compensation Insurance Fund Endorsement No. 2065 or equivalent. H. Cancellation Notice Each insurance policy required herein shall be endorsed to state that coverage shall not be cancelled by either party, except after thirty (30)days' prior written notice. The Cancellation Section of ACORD Form 25 (5/2010) shall state the required thirty (30) days' written notification. The policy shall not terminate, nor shall it be cancelled, nor the coverage reduced until thirty(30) days after written notice is given to the SANITATION DISTRICT except for nonpayment of premium, which shall require not less than ten (10) days written notice to the SANITATION DISTRICT. Should there be changes in coverage or an increase in deductible or SIR amounts, the CONSULTANT and its insurance broker/agent shall send to the SANITATION DISTRICT a certified letter which includes a description of the changes in coverage and/or any increase in deductible or SIR amounts. The certified letter must be sent to the attention of Risk Management, Div. 260, and shall be received by the SANITATION DISTRICT not less than thirty (30)days prior to the effective date of the change(s) if the change would reduce coverage or increase deductibles or SIR amounts or otherwise reduce or limit the scope of insurance coverage provided to the SANITATION DISTRICT. PDSA PROJECT NO.3-62 Remed 020915 SEAL BEACH PUMPING UPGRADE AND REHABILITATION Page 11 of 19 I. Primary Insurance All liability policies shall contain a Primary and Non Contributory Clause. Any other insurance maintained by the SANITATION DISTRICT shall be excess and not contributing with the insurance provided by CONSULTANT. J. Separation of Insured All liability policies shall contain a "Separation of Insureds" clause. K. Non-Limiting (if applicable) Nothing in this document shall be construed as limiting in any way, nor shall it limit the indemnification provision contained in this Agreement, or the extent to which CONSULTANT may be held responsible for payment of damages to persons or property. L. Deductibles and Self-Insured Retentions Any deductible and/or self-insured retention must be declared to the SANITATION DISTRICT on the Certificate of Insurance. All deductibles and/or self-insured retentions require approval by the SANITATION DISTRICT. At the option of the SANITATION DISTRICT, either: the insurer shall reduce or eliminate such deductible or self-insured retention as respects the SANITATION DISTRICT; or the CONSULTANT shall provide a financial guarantee satisfactory to the SANITATION DISTRICT guaranteeing payment of losses and related investigations, claim administration and defense expenses. M. Defense Costs Liability policies shall have a provision that defense costs for all insureds and additional insureds are paid in addition to and do not deplete any policy limits. N. Subconsultants The CONSULTANT shall be responsible to establish insurance requirements for any Subconsultant hired by the CONSULTANT. The insurance shall be in amounts and types reasonably sufficient to deal with the risk of loss involving the Subconsultant's operations and work. O. Limits Are Minimums If the CONSULTANT maintains higher limits than any minimums shown above, then SANITATION DISTRICT requires and shall be entitled to coverage for the higher limits maintained by CONSULTANT. PDSA PROJECT NO.3-62 Revised 020915 SEAL BEACH PUMPING UPGRADE AND REHABILITATION Page 12 of 19 RETURN TO AGENDA S. SCOPE CHANGES In the event of a change in the Scope of Work, requested by SANITATION DISTRICT, the parties hereto shall execute an amendment to this Agreement setting forth with particularity all terms of the new Agreement, including but not limited to any additional CONSULTANT's fees. 9. PROJECT TEAM AND SUBCONSULTANTS CONSULTANT shall provide to SANITATION DISTRICT, prior to execution of this Agreement, the names and full description of all Subconsultants and CONSULTANT's project team members anticipated to be used on this project by CONSULTANT. CONSULTANT shall include a description of the scope of work to be done by each Suboonsultant and each CONSULTANT's project team member. CONSULTANT shall include the respective compensation amounts for CONSULTANT and each Subconsultanl on a per-project-element basis, broken down as indicated in Section 2- COMPENSATION. There shall be no substitution of the listed Subconsultants and CONSULTANT's project team members without prior written approval by the SANITATION DISTRICT. 10. ENGINEERING REGISTRATION The CONSULTANT's personnel are comprised of registered engineers and a staff of specialists and draftsmen in each department. The firm itself is not a registered engineer but represents and agrees that wherever in the performance of this Agreement requires the services of a registered engineer. Such services hereunder will be performed under the direct supervision of registered engineers. 11. AUDIT PROVISIONS A. SANITATION DISTRICT retains the reasonable right to access, review, examine, and audit, any and all books, records, documents and any other evidence of procedures and practices that the SANITATION DISTRICT determines are necessary to discover and verify that the CONSULTANT is in compliance with all requirements under this Agreement. The CONSULTANT shall include the SANITATION DISTRICT's right as described above, in any and all of their subcontracts, and shall ensure that these rights are binding upon all Subconsultants. B. SANITATION DISTRICT retains the right to examine CONSULTANT's books, records, documents and any other evidence of procedures and practices that the SANITATION DISTRICT determines are necessary to discover and verify all direct and indirect costs, of whatever nature, which are claimed to have been incurred, or anticipated to be incurred or to ensure CONSULTANT's compliance with all requirements under this Agreement during the term of this Agreement and for a period of three (3)years after its termination. PDSA PROJECT NO.3-62 Revised 020915 SEAL BEACH PUMPING UPGRADE AND REHABILITATION Page 13 of 19 C. CONSULTANT shall maintain complete and accurate records in accordance with generally accepted industry standard practices and the SANITATION DISTRICT's policy. The CONSULTANT shall make available to the SANITATION DISTRICT for review and audit, all project related accounting records and documents, and any other financial data within 15 days after receipt of notice from the SANITATION DISTRICT. Upon SANITATION DISTRICT's request, the CONSULTANT shall submit exact duplicates of originals of all requested records to the SANITATION DISTRICT. If an audit is performed, CONSULTANT shall ensure that a qualified employee of the CONSULTANT will be available to assist SANITATION DISTRICT's auditor in obtaining all project related accounting records and documents, and any other financial data. 12. LEGAL RELATIONSHIP BETWEEN PARTIES The legal relationship between the parties hereto is that of an independent contractor and nothing herein shall be deemed to make CONSULTANT an employee of the SANITATION DISTRICT. 13. NOTICES All notices hereunder and communications regarding the interpretation of the terms of this Agreement, or changes thereto, shall be effected by delivery of said notices in person or by depositing said notices in the U.S. mail, registered or certified mail, return receipt requested, postage prepaid. Notices shall be mailed to the SANITATION DISTRICT at: ORANGE COUNTY SANITATION DISTRICT 10844 Ellis Avenue Fountain Valley, CA 92708-7018 Attention: Sarah L. Strader, Senior Contracts Administrator Copy: Adam Nazaroff, Project Manager Notices shall be mailed to CONSULTANT at: MWH Americas, Inc. 19900 MacArthur Boulevard, Suite 250 Irvine, CA 92612 Attention: Joe Laurie, PE, BCEE All communication regarding the Scope of Work, will be addressed to the Project Manager. Direction from other SANITATION DISTRICT's staff must be approved in writing by the SANITATION DISTRICT's Project Manager prior to action from the CONSULTANT. 14. TERMINATION The SANITATION DISTRICT may terminate this Agreement at any time, without cause, upon giving thirty(30) days written notice to CONSULTANT. In the event of such termination, CONSULTANT shall be entitled to compensation for work performed on a prorated basis through and including the effective date of termination. PDSA PROJECT NO.3-62 Remed 020915 SEAL BEACH PUMPING UPGRADE AND REHABILITATION Page 14 of 19 RETURN TO AGENDA CONSULTANT shall be permitted to terminate this Agreement upon thirty (30)days written notice only if CONSULTANT is not compensated for billed amounts in accordance with the provisions of this Agreement, when the same are due. Notice of termination shall be mailed to the SANITATION DISTRICT and/or CONSULTANT in accordance with Section 13- NOTICES. 15. DOCUMENTS AND STUDY MATERIALS The documents and study materials for this project shall become the property of the SANITATION DISTRICT upon the termination or completion of the work. CONSULTANT agrees to furnish to the SANITATION DISTRICT copies of all memoranda, correspondence, computation and study materials in its files pertaining to the work described in this Agreement, which is requested in writing by the SANITATION DISTRICT. 16. COMPLIANCE CONSULTANT certifies by the execution of this Agreement that it pays employees not less than the minimum wage as defined by law, and that it does not discriminate in its employment with regard to race, color, religion, sex or national origin; that it is in compliance with all federal, state and local directives and executive orders regarding non-discrimination in employment; and that it agrees to demonstrate positively and aggressively the principle of equal opportunity in employment. 17. AGREEMENT EXECUTION AUTHORIZATION Both the SANITATION DISTRICT and CONSULTANT do covenant that each individual executing this document by and on behalf of each party is a person duly authorized to execute agreements for that party. 18. DISPUTE RESOLUTION In the event of a dispute arising between the parties regarding performance or interpretation of this Agreement, the dispute shall be resolved by binding arbitration under the auspices of the Judicial Arbitration and Mediation Service ("JAMS"), or similar organization or entity conducting alternate dispute resolution services. 19. ATTORNEY'S FEES, COSTS AND NECESSARY DISBURSEMENTS If any action at law or in equity or if any proceeding in the form of an Alternative Dispute Resolution (ADR) is necessary to enforce or interpret the terms of this Agreement, the prevailing party shall be entitled to reasonable attorney's fees, costs and necessary disbursements in addition to any other relief to which it may be entitled. PDSA PROJECT NO.3-62 Remed 020915 SEAL BEACH PUMPING UPGRADE AND REHABILITATION Page 15 of 19 20. PROGRESS REPORTS Monthly progress reports shall be submitted for review by the tenth day of the following month and must include as a minimum: 1) current activities, 2)future activities, 3) potential items that are not included in the Scope of Work, 4) concerns and possible delays, 5) percentage of completion, and 6) budget status. 21. WARRANTY CONSULTANT shall perform its services in accordance with generally accepted industry and professional standards. If, within the 12-month period following completion of its services, the SANITATION DISTRICT informs CONSULTANT that any part of the services fails to meet those standards, CONSULTANT shall, within the time prescribed by the SANITATION DISTRICT, take all such actions as are necessary to correct or complete the noted deficiency(ies). 22. INDEMNIFICATION To the fullest extent permitted by law, CONSULTANT shall indemnify, defend (at CONSULTANT's sole cost and expense and with legal counsel approved by the SANITATION DISTRICT, which approval shall not be unreasonably withheld), protect and hold harmless the SANITATION DISTRICT and all of SANITATION DISTRICT's officers, directors, employees, CONSULTANT's, and agents (collectively the"Indemnified Parties"), from and against any and all claims, damages, liabilities, causes of action, suits, arbitration awards, losses,judgments, fines, penalties, costs and expenses (including, without limitation, attorneys'fees, disbursements and court costs, and all other professional, expert or CONSULTANT's fees and costs and the SANITATION DISTRICT's general and administrative expenses; individually, a "Claim"; collectively, "Claims")which may arise from or are in any manner related, directly or indirectly, to any work performed, or any operations, activities, or services provided by CONSULTANT in carrying out its obligations under this Agreement to the extent of the negligent, recklessness and/or willful misconduct of CONSULTANT, its principals, officers, agents, employees, CONSULTANT's suppliers, CONSULTANT, Subconsultants, subcontractors, and/or anyone employed directly or indirectly by any of them, regardless of any contributing negligence or strict liability of an Indemnified Party. Notwithstanding the foregoing, nothing herein shall be construed to require CONSULTANT to indemnify the Indemnified Parties from any Claim arising solely from: (A)the active negligence or willful misconduct of the Indemnified Parties; or (B)a natural disaster or other act of God, such as an earthquake; or (C)the independent action of a third party who is neither one of the Indemnified Parties nor the CONSULTANT, nor its principal, officer, agent, employee, nor CONSULTANT's supplier, CONSULTANT, Subconsultant, subcontractor, nor anyone employed directly or indirectly by any of them. PDSA PROJECT NO.3-62 Revised 020915 SEAL BEACH PUMPING UPGRADE AND REHABILITATION Page 16 of 19 RETURN TO AGENDA Exceptions (A)through (B) above shall not apply, and CONSULTANT shall, to the fullest extent permitted by law, indemnify the Indemnified Parties, from Claims arising from more than one cause if any such cause taken alone would otherwise result in the obligation to indemnify hereunder. CONSULTANT's liability for indemnification hereunder is in addition to any liability CONSULTANT may have to the SANITATION DISTRICT for a breach by CONSULTANT of any of the provisions of this Agreement. Under no circumstances shall the insurance requirements and limits set forth in this Agreement be construed to limit CONSULTANT's indemnification obligation or other liability hereunder. The terms of this Agreement are contractual and the result of negotiation between the parties hereto. Accordingly, any rule of construction of contracts (including, without limitation, California Civil Code Section 1654) that ambiguities are to be construed against the drafting party, shall not be employed in the interpretation of this Agreement. 23. DUTY TO DEFEND The duty to defend hereunder is wholly independent of and separate from the duty to indemnify and such duty to defend shall exist regardless of any ultimate liability of CONSULTANT and shall be consistent with Civil Code Section 2782.8. Such defense obligation shall arise immediately upon presentation of a Claim by any person if, without regard to the merit of the Claim, such Claim could potentially result in an obligation to indemnify one or more Indemnified Parties, and upon written notice of such Claim being provided to CONSULTANT. Payment to CONSULTANT by any Indemnified Party or the payment or advance of defense costs by any Indemnified Party shall not be a condition precedent to enforcing such Indemnified Party's rights to indemnification hereunder. In the event a final judgment, arbitration, award, order, settlement, or other final resolution expressly determines that the claim did not arise out of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the CONSULTANT, to any extent, then the DISTRICT will reimburse CONSULTANT for the reasonable costs of defending the Indemnified Parties against such claims. CONSULTANT's indemnification obligation hereunder shall survive the expiration or earlier termination of this Agreement until such time as action against the Indemnified Parties for such matter indemnified hereunder is fully and finally barred by the applicable statute of limitations. 24. CONSULTANT PERFORMANCE The CONSULTANT's performance shall be evaluated by the SANITATION DISTRICT. A copy of the evaluation shall be sent to the CONSULTANT for comment. The evaluation, together with the comments, shall be retained by the SANITATION DISTRICT and may be considered in future CONSULTANT selection processes. 25. COMPLIANCE WITH OCSD POLICIES AND PROCEDURES CONSULTANT shall be required to comply with all OCSD policies and procedures including the Safety Manual, as applicable, all of which may be amended from time to time. PDSA PROJECT NO.3-62 Remed 020915 SEAL BEACH PUMPING UPGRADE AND REHABILITATION Page 17 of 19 26. CLOSEOUT When the SANITATION DISTRICT determines that all Work authorized under the Agreement is fully complete and that the SANITATION DISTRICT requires no further work from CONSULTANT, or the Agreement is otherwise terminated or expires in accordance with the terms of the Agreement, the SANITATION DISTRICT shall give the Consultant written notice that the Agreement will be closed out. CONSULTANT shall submit all outstanding billings, work submittals, deliverables, reports or similarly related documents as required under the Agreement within thirty (30)days of receipt of notice of Agreement closeout. Upon receipt of CONSULTANT's submittals, the SANITATION DISTRICT shall commence a closeout audit of the Agreement and will either: i. Give the CONSULTANT a final Agreement Acceptance: or ii. Advise the CONSULTANT in writing of any outstanding item or items which must be furnished, completed, or corrected at the CONSULTANT's cost. CONSULTANT shall be required to provide adequate resources to fully support any administrative closeout efforts identified in this Agreement. Such support must be provided within the timeframe requested by the SANITATION DISTRICT. Notwithstanding the final Agreement Acceptance the CONSULTANT will not be relieved of its obligations hereunder, nor will the CONSULTANT be relieved of its obligations to complete any portions of the work, the non-completion of which were not disclosed to the SANITATION DISTRICT (regardless of whether such nondisclosures were fraudulent, negligent, or otherwise); and the CONSULTANT shall remain obligated under all those provisions of the Agreement which expressly or by their nature extend beyond and survive final Agreement Acceptance. Any failure by the SANITATION DISTRICT to reject the work or to reject the CONSULTANT's request for final Agreement Acceptance as set forth above shall not be deemed to be acceptance of the work by the SANITATION DISTRICT for any purpose nor imply acceptance of, or agreement with, the CONSULTANT's request for final Agreement Acceptance. 27. ENTIRE AGREEMENT This Agreement constitutes the entire understanding and agreement between the Parties and supersedes all previous negotiations between them pertaining to the subject matter thereof. PDSA PROJECT NO.3-62 Remed 020915 SEAL BEACH PUMPING UPGRADE AND REHABILITATION Page 18 of 19 RETURN TO AGENDA IN WITNESS WHEREOF, this Agreement has been executed in the name of the SANITATION DISTRICT, by its officers thereunto duly authorized, and CONSULTANT as of the day and year first above written. CONSULTANT: MWH AMERICAS, INC. By Date Printed Name &Title ORANGE COUNTY SANITATION DISTRICT By Chair, Board of Directors Date By Clerk of the Board Date By Marc Dubois Date Contracts, Purchasing and Materials Management Division Manager Attachments: Attachment"A" — Scope of Work Attachment'B" — Labor Hour Matrix Attachment"C' — NOT USED Attachment"D" — Allowable Direct Costs Attachment"E" — Fee Proposal Attachment"F" — NOT USED Attachment"G" — NOT USED Attachment"H" — NOT USED Attachment"I" — Cost Matrix and Summary Attachment"J" — NOTUSED Attachment"K" — Hourly Rate Schedule for Minor Subconsultant Attachment"L" — OCSD Safety Standards PDSA PROJECT NO.3-62 Remed 020915 SEAL BEACH PUMPING UPGRADE AND REHABILITATION Page 19 of 19 Rehabilitation of Seal Beach Pump Station Project No . 3 -62 GO Njy SANIr o� � � O FFFF We' re here for you . U r Q 9 h 9or�cl/N� THE Orange County • Carla Dillon Agenda • Project overview • Key challenges • Design and construction costs • The most qualified design firm • Recommendations OrangeEr County Sanitation . Project Setting m City of Westminster City of Seal BeachJL a - PS - - Project Boundaries Orange County Project Setting _ , , LAO se Ab Y r i l a 11 1 : Orange County Sanitation District We're here for you. 4 r t• , Project Setting C IA 10 , i!' OOS�IC' Lnc-j(th Orange County Sanitation District We're here for you. Existing Facilities Pump Station Dosing Station Electrical/Motor Room • Constructed 40 years ago • Serves: — La Palma _ — Cypress - - Los Alamitos -___—_- - Rossmoor — Seal Beach • Site on Navy property within an easement Pump Room • Dual wet wells with redundant pumps -v - - Average daily flow— 12 to 15 million gallons per day — Peak Wet Weather- 29 million gallons per day • No treatment for odors at pump station �v • "Temporary" dosing station for downstream odor control Orange County Sanitation District We're here for you. Existing Facilities Bolsa Creek Crossing Force Mains • Dual Force mains • Approximately 2.7 miles in long • 30" Techite ( 1970s) — Cannot be placed into service • 42" DIP ( 1990s) — Single operating force main - • Channel crossing at Bolsa Creek • No access manholes Orange Need for Project • Constructed over 30 Years Ago Pump Station Structure • Does not meet OCSD Standards and codes (CBC, r OSHA, NFPA, NEC) • Unknown structural conditions • Odors • Equipment, conduits, piping corroding & outdated • Pumps are failing with high maintenance trt: • Ventilation systems are inadequate -� • Site and building show age/wear • Only one force main is operable Pump Station Boundary • Single operating force main is lined with the same product that lined force main in Newport Beach i'• force main that failed in 2000 - A6 Orange Proposed Project - Pump Station Extend life . 30 years + Pumps, piping Ventilation Updated electrical and controls w/separate electrical room Backup generator Onsite odor control Downstream odor dosing Safety and ergonomic improvements Structural upgrades New above ground structures Extend Security fence (Navy) •� ► ��� .� • Improve through Improve . Orange County Sanitation District We're here for you. Proposed Project — Force Mains • Extend life to 30 years + r • Two (redundant) force mains fully 5.z../o O'�7 rMs rehabilitated Size To Achieve Flushing velocities"Prevent Odor Generation • Inspection manholes Optimize FMI P, - Sizes Rciistically Reinstate Operabonal • Goal is to rehabilitate in the ground and Redundancy . pmvide Operational minimize open trench earth work in the FlexlbilltY p Gl,00se T .,o 2�7z4, II Mal-l.o� roadway co �+ • Upgrade pipe supports (next to bridge) dRisk'°bon Beaune!10 Same Welg . Avoid Risk When Possible-Occup Pipe Space Is Starting Point Number O t0 seismic standards Minlml=ePnbhclmpacts- Excavations 1 TraRic V eig„Costs . Optimize Choices- le Costs &Risks Against Life Cyc Orange Countyfor 1 BlendArchitectural - Gain community acceptance with local II 1 ,e i ocsb a a� II �.4 •O � I r ; Orange County Sanitation District We're here for you. Hiding this Facility is NOT an Option • Two approaches to urban infrastructure- hide it or celebrate it • Almost ALL community engagement will be from moving cars • A catalyst for improvements at adjacent sites 0 1 3 G eIb i� J c tti III!I!!!�IIIIIVIII��N�����ii111111116����iIIIIIIIV��"II� ' � � IIIIIIiII ��' diiiiiiiifi��� ��lli I � I'I!li� �il'III `I I I I ,.� �I KEY CHALLENGES • Can the below grade structure be rehabilitated? • Construction phasing • Can the force mains be rehabilitated in place? ~ ' • Public outreach — Cities — Residents ¢ — Business — Leisure World — Navy • Permitting . — Traffic Control — City Planning approvals — Channel crossing permits ' Coastal CommissionMOIL r , Orange CountyI for 1 Design and Construction Costs • Construction budget- $35 million • Construction cost estimate - $31 million (assuming no open trench pipe replacement) - $56 million (assuming open trench pipe replacement) • Predesign and design costs — Previous Collection Projects = 6% to 36% of construction cost — Negotiated fee = $6,917, 175 million (11-20% of construction cost*) *Not including Predesign elements not a part of Final Design) Orange County Sanitation District 1 1 MWH Americas is the Most Qualified Firm • The team was more qualified and experienced than the 4 competitors. • Project understanding and approach was the best • Selection committee was unanimous • Negotiations — Were patient and helpful. Helped with changing strategies. — Reduced overall fee by $991,608 — Agreed to reduce overhead by 9% • Rates are fair and reasonable Orange County Sanitation District We're here for you. Recommendations A. Approve a Professional Design Services Agreement with MWH Americas, Inc. to provide engineering design services for the Rehabilitation of Seal Beach Pump Station, Project No. 3-62, for an amount not to exceed $6,917, 175; and B. Approve a contingency of $691,718 (10%). Orange County Sanitation District —J.. e're here for you, o NjRy SANI TqT o� FF We' re here for you . r Q 9 h 9or�cl/N� 7HE EN�AQ��W= Orange • Sanitation District OPERATIONS COMMITTEE Meeting Date TOBI0/1Dir. 07/01/15 07/22/15 AGENDA REPORT ItemNumber Item Number a a Orange County Sanitation District FROM: James D. Herberg, General Manager Originator: Robert Thompson, Director of Engineering SUBJECT: AQUACRITOX° DEMONSTRATION PROJECT, PROJECT NO. SP-125-17 GENERAL MANAGER'S RECOMMENDATION A. Establish a budget for an AquaCritoe Demonstration Project Evaluation Study, Project No. SP-125-17, in the amount of$423,000. B. Approve a Sole Source Professional Services Agreement with SCFI Group Limited to conduct an Evaluation Study for the AquaCritox® Demonstration Project, Project No. SP-125-17, for an amount not to exceed $311,460; and C. Approve a contingency of$31,200 (10%) SUMMARY The Orange County Sanitation District (Sanitation District) has an active research program to support its industry leadership and efficiency vision statement components. The Sanitation District has become aware of an innovative technology that has the potential to replace several current unit processes with a more effective treatment step. The new process utilizes super critical water oxidation to turn raw sewage sludge and thickened waste activated sludge into energy and inert, phosphor rich fertilizer. This new technology offers up to three times better energy conversion rates and superior final products at less cost than the current anaerobic digestion, engine generator, and biosolids reuse technology that has been in place for decades. The technology shows promise. The vendor, SCFI Group Limited (SCFI), has run a batch reactor for up to 50 hours in Ireland. It is installing the same unit in a wastewater plant in Spain in a European Union sponsored research project. SCFI and Synagro have also signed a non-binding term sheet with the Bay Area Biosolids to Energy Joint Powers Authority for a small production unit. Staff believes that a prudent investigation of this technology should be pursued. In September, the Board of Directors authorized staff to negotiate with SCFI to work toward a demonstration facility for the technology. A three-step approach is recommended with Board of Director approval at each step. Step one is to work with the proprietary vendor to produce a preliminary engineering study to define the process equipment and site specific planning. The products of this study will define the process requirements, utility needs, space requirements, sizing parameters, cost and schedule estimates, and process performance. Step two, assuming step one looks promising, would be a detailed design contract with an engineering firm to create plans and Page 1 of 3 specifications for a construction bid. Step three would be to construct and operate the new facilities. The Board of Directors would retain approval oversight of this research at every step. Staff recommends the award of the step one preliminary engineering design contract. PRIOR COMMITTEE/BOARD ACTIONS October 2014 - Authorized staff to engage in contract negotiations with SCFI Group and other potential partners to design, build, and/or operate an industrial-scale demonstration facility for the AquaCritoe supercritical water oxidation process. Authorize staff to seek grant funds and partnerships to offset the cost of this research project. ADDITIONAL INFORMATION Approximately 750 tons of biosolids are produced each day from Orange County Sanitation District's' (Sanitation District) two wastewater treatment plants at an annual cost for offsite management of approximately $19 million. A new proprietary technology now entering the market offers the potential to drastically reduce the amount of biosolids and the cost for offsite management; additionally, it could generate up to 300% more energy onsite with reduced treatment plant operating costs. This would be accomplished using the concept of supercritical water oxidation, which was initially developed in the United States in the 1980s. The technology applying this to wastewater solids processing is the AquaCritoe Hydrothermal Oxidation System (AquaCritoxe) marketed by the Irish company SCFI. While AquaCritox®could offer major continuing cost savings, it has not yet been in full- scale operation at wastewater facilities to confirm its long-term performance and reliability, or to characterize the required support facilities and processes. To address this gap, the Sanitation District would need to build and operate a demonstration project before a larger commitment could be made to the technology. The initial step for the AquaCritoxe Demonstration Project (ADP) would be to conduct an engineering evaluation study to determine specifics such as the facility capacity and location, the source(s) of feed sludge to be used, and the details of the project implementation. Because only SCFI is familiar with the technology and associated facilities, only they could conduct the study. Therefore, a sole source professional services procurement is required for this task. A Sole Source Request for Proposal including a detailed scope of work was issued to SCFI, and a proposal was received on June 10, 2015. In evaluating whether the proposal was fair and reasonable, the following factors were considered: The estimated level of effort was evaluated in detail for each phase, task, and subtask and was found to be justified by the needs of the project, the agreed-upon assumptions, and the Sanitation District's expectation for the quality of services. Page 2 of 3 • The Consultant's hourly rates are significantly lower than typical for a study of this nature because SCFI is not charging the Sanitation District overhead or profit. Based on the above, staff determined the cost proposal to be fair, reasonable, and appropriate for the Scope of Work and recommends awarding the Professional Services Agreement to SCFI Group Limited. CEQA This study is exempt from CEQA pursuant to CEQA's Class 6 Exemption for Information Collection. BUDGET/PURCHASING ORDINANCE COMPLIANCE This request complies with the authority levels in the Sanitation District's Purchasing Ordinance. This item has been budgeted (Line item: FY 2014-15 and 2015-16, Section 8, Page 129) and the project budget is sufficient for the recommended action. ATTACHMENT The following attachment(s) may be viewed on-line at the OCSD website (www.ocsd.com) with the complete agenda package: • Professional Services Agreement JM:dm:sa:gc Page 3 of 3 RETURN TO AGENDA PROFESSIONAL SERVICES AGREEMENT THIS AGREEMENT, is made and entered into to be effective the 22"" day of July, 2015, by and between the ORANGE COUNTY SANITATION DISTRICT, hereinafter referred to as "SANITATION DISTRICT", and SCFI GROUP LIMITED, for purposes of this AGREEMENT hereinafter referred to as "CONSULTANT". The SANITATION DISTRICT and CONSULTANT are referred to herein collectively as the "Parties" or individually as a "Party." WITNESSETH: WHEREAS, the SANITATION DISTRICT desires to engage a consultant for an AquaCritox® Demonstration Project Evaluation Study, Project No. SP-125-17, to provide professional services to determine the location and configuration of a full-scale demonstration of the AquaCritox® Process; and, WHEREAS, CONSULTANT is qualified to provide the necessary services in connection with these requirements and has agreed to provide the necessary professional services; and, WHEREAS, the SANITATION DISTRICT has adopted procedures for the selection of professional services and has proceeded in accordance with said procedures to select CONSULTANT to perform this work; and, WHEREAS, at its regular meeting on July 22, 2015 the Board of Directors, by Minute Order, accepted the recommendation of the Operations Committee to approve this AGREEMENT between the SANITATION DISTRICT and CONSULTANT. NOW, THEREFORE, in consideration of the promises and mutual benefits, which will result to the parties in carrying out the terms of this AGREEMENT, it is mutually agreed as follows: 1. SCOPE OF WORK CONSULTANT agrees to furnish necessary professional services to accomplish those project elements outlined in the Scope of Work attached hereto as "Attachment A", and by this reference made a part of this AGREEMENT. A. The CONSULTANT shall be responsible for the professional quality, technical accuracy, and completeness and coordination of the work and services furnished by the CONSULTANT under this AGREEMENT, including the work performed by its Subconsultants. Where approval by the SANITATION DISTRICT is indicated, it is understood to be conceptual approval only and does not relieve the CONSULTANT of responsibility for complying with all applicable laws, regulations, codes, industry standards and liability for damages caused by errors, omissions, noncompliance with industry standards, and/or negligence on the part of the CONSULTANT or its Subconsultants. B. CONSULTANT is responsible for the quality of work prepared under this AGREEMENT and shall ensure that all work is performed to the highest industry standards for clarity, uniformity, and completeness. CONSULTANT shall timely respond to all comments, suggestions, and recommendations from the PSA PROJECT NO.SP-125.17 01/27/15 AQUACRITOX®DEMONSTRATION PROJECT EVALUATION STUDY Page 1 of 18 SANITATION DISTRICT. All comments from the SANITATION DISTRICT, or its agent, shall be incorporated into the work prior to the next review deadline or addressed, in writing, as to why the comment(s) has/have not been incorporated. CONSULTANT shall ensure that each submittal is 100% accurate for the level of work submitted (i.e. correct references, terms, capitalization or equal status, spelling, punctuation, etc.) C. In the event that CONSULTANTS services and/or work product(s) is not to the satisfaction of the SANITATION DISTRICT and/or does not conform to the requirements of this AGREEMENT or the applicable industry standards, the CONSULTANT shall, without additional compensation, promptly correct or revise any errors or deficiencies in its work product(s) within the timeframe specified by the Project Manager. The SANITATION DISTRICT may charge to CONSULTANT all costs, expenses and damages associated with any such corrections or revisions. D. Any CADD drawings, figures, and other work produced by CONSULTANT and Subconsultants using the SANITATION DISTRICT CAD Manual. Conversion of CADD work from any other non-standard CADD format to the SANITATION DISTRICT format shall not be acceptable in lieu of this requirement. Electronic files shall conform to the SANITATION DISTRICT specifications. Any changes to these specifications by the CONSULTANT are subject to review and require advance written approval of the SANITATION DISTRICT. Electronic files shall be subject to an acceptance period of 10 calendar days during which the SANITATION DISTRICT shall perform appropriate reviews and including CAD Manual compliance. CONSULTANT shall correct any discrepancies or errors detected and reported within the acceptance period at no additional cost to the SANTITATION DISTRICT. E. All professional services performed by the CONSULTANT, including, but not limited to, all drafts, data, correspondence, proposals, and reports compiled or composed by the CONSULTANT, pursuant to this AGREEMENT, are for the sole use of the SANITATION DISTRICT, its agents and employees. Neither the documents nor their contents shall be released to any third party without the prior written consent of the SANITATION DISTRICT. This provision does not apply to information that(a)was publicly known, or otherwise known to the CONSULTANT, at the time that it was disclosed to the CONSULTANT by the SANITATION DISTRICT, or(b) subsequently becomes publicly known to the CONSULTANT other than through disclosure by the SANITATION DISTRICT. 2. COMPENSATION Total compensation shall be paid to CONSULTANT for services in accordance with the following provisions: PSA PROJECT NO.SP-125.17 01/27/15 AQUACRITOX®DEMONSTRATION PROJECT EVALUATION STUDY Page 2 of 18 RETURN TO AGENDA A. Total Compensation Total compensation shall be in an amount not to exceed Three Hundred Eleven Thousand Four Hundred Sixty Dollars ($311,460). Total compensation to CONSULTANT including burdened labor (salaries plus benefits), overhead, profit, direct costs, and Subconsultant(s)fees and costs shall not exceed the sum set forth in Attachment"B"—Cost Matrix. B. Labor As a portion of the total compensation to be paid to CONSULTANT, the SANITATION DISTRICT shall pay to CONSULTANT a sum equal to the burdened salaries (salaries plus benefits)actually paid by CONSULTANT charged on an hourly-rate basis to this project and paid to the personnel of CONSULTANT. Upon request of the SANITATION DISTRICT, CONSULTANT shall provide the SANITATION DISTRICT with certified payroll records of all employees' work that is charged to this project. C. Overhead As a portion of the total compensation to be paid to CONSULTANT, the SANITATION DISTRICT shall compensate CONSULTANT and Subconsultants for overhead at the rate equal to the percentage of burdened labor as specified in Attachment"B"—Cost Matrix. D. Profit Profit for CONSULTANT and Subconsultants shall be a percentage of consulting services fees (Burdened Labor and Overhead). When the consulting or subconsulting services amount is $250,000 or less, the maximum Profit shall be 10%. Between $250,000 and $2,500,000, the maximum Profit shall be limited by a straight declining percentage between 10% and 5%. For consulting or subconsulting services fees with a value greater than $2,500,000, the maximum Profit shall be 5%. Addenda shall be governed by the same maximum Profit percentage after adding consulting services fees. As a portion of the total compensation to be paid to CONSULTANT and Subconsultants, the SANITATION DISTRICT shall pay profit for all services rendered by CONSULTANT and Subconsultants for this project according to Attachment"B"—Cost Matrix. E. Direct Costs The SANITATION DISTRICT shall pay to CONSULTANT and Subconsultants the actual costs of permits and associated fees, travel and licenses for an amount not to exceed the sum set forth in Attachment"B"—Cost Matrix. The SANITATION DISTRICT shall also pay to CONSULTANT actual costs for equipment rentals, leases or purchases with prior approval of the SANITATION DISTRICT. Upon request, CONSULTANT shall provide to the SANITATION DISTRICT receipts and other documentary records to support CONSULTANT's PSA PROJECT NO.SP-125.17 01/27/15 AQUACRITOX®DEMONSTRATION PROJECT EVALUATION STUDY Page 3 of 18 request for reimbursement of these amounts, see Attachment"C"-Allowable Direct Costs. All incidental expenses shall be included in overhead pursuant to Section 2 -COMPENSATION above. F. Reimbursable Direct Costs The SANITATION DISTRICT will reimburse the CONSULTANT for reasonable travel and business expenses as described in this section and further described in Attachment"C"-Allowable Direct Costs to this Agreement. The reimbursement of the above mentioned expenses will be based on an "accountable plan" as considered by Internal Revenue Service (IRS). The plan includes a combination of reimbursements based upon receipts and a "per diem" component approved by IRS. The most recent schedule of the per diem rates utilized by the SANITATION DISTRICT can be found on the U.S. General Service Administration website at htti)://www.gsa.gov/portal/category/l 04711#. The CONSULTANT shall be responsible for the most economical and practical means or management of reimbursable costs inclusive but not limited to travel, lodging and meals arrangements. The SANITATION DISTRICT shall apply the most economic and practical method of reimbursement which may include reimbursements based upon receipts and/or"per diem" as deemed the most practical. CONSULTANT shall be responsible for returning to the SANITATION DISTRICT any excess reimbursements after the reimbursement has been paid by the SANITATION DISTRICT. Travel and travel arrangements—Any travel involving airfare, overnight stays or multiple day attendance must be approved by the SANITATION DISTRICT in advance. Local Travel is considered travel by the CONSULTANT within the SANITATION DISTRICT geographical area which includes Orange, Los Angeles, Ventura, San Bernardino, Riverside, San Diego, Imperial and Kern Counties. Automobile mileage is reimbursable if CONSULTANT is required to utilize personal vehicle for local travel. Lodging—Overnight stays will not be approved by the SANITATION DISTRICT for local travel. However, under certain circumstances overnight stay may be allowed at the discretion of the SANITATION DISTRICT based on reasonableness of meeting schedules and the amount of time required for travel by the CONSULTANT. Such determination will be made on a case-by-case basis and at the discretion of the SANITATION DISTRICT. Travel Meals— Per-diem rates as approved by IRS shall be utilized for travel meals reimbursements. Per diem rates shall be applied to meals that are appropriate for travel times. Receipts are not required for the approved meals. Additional details related to the reimbursement of the allowable direct costs are provided in the Attachment"C'-Allowable Direct Costs of this Agreement. PSA PROJECT NO.SP-125.17 01/27/15 AQUACRITOX®DEMONSTRATION PROJECT EVALUATION STUDY Page 4 of 18 RETURN TO AGENDA G. Limitation of Costs If, at any time, CONSULTANT estimates the cost of performing the services described in CONSULTANT's Proposal will exceed seventy-fiver percent(75%) of the not-to-excede amount of the Agreement, including approved additional compensation, CONSULTANT shall notify the SANITATION DISTRICT immediately, and in writing. This written notice shall indicate the additional amount necessary to complete the services. Any cost incurred in excess of the approved not-to-exceed amount, without the express written consent of the SANITATION DISTRICT's authorized representative shall be at CONSULTANT's own risk. This written notice shall be provided separately from, and in addition to any notification requirements contained in the CONSULTANT's invoice and monthly progress report. Failure to notify the SANITATION DISTRICT that the services cannot be completed within the authorized not-to-exceed amount is a material breach of this Agreement. 3. REALLOCATION OF TOTAL COMPENSATION The SANITATION DISTRICT, by its Director of Engineering, shall have the right to approve a reallocation of the incremental amounts constituting the Total Compensation, provided that the Total Compensation is not increased. 4. PAYMENT A. Monthly Invoice: CONSULTANT shall include in its monthly invoice, a detailed breakdown of costs associated with the performance of any corrections or revisions of the work for that invoicing period, in a format acceptable to the SANITATION DISTRICT. CONSULTANT shall warrant and certify the accuracy of these costs and provide all support documentation required by the SANITATION DISTRICT. CONSULTANT understands that submitted costs are subject to Section 11 Audit Provisions. B. CONSULTANT will submit monthly statements covering services and/or work performed for payment for those items included in Section 2 hereof no later than the second Wednesday of the following month and in the format required by the SANITATION DISTRICT. The format must include, as a minimum: 1) current billing period invoicing, 2) current billing period "total percent invoiced to date", 3) future activities, 4) previous billing period "total invoiced to date', 5) potential items that are not included in the Scope of Work, 6) concerns and possible delays, 7) percentage of completion to date, and 8) budget status and amount remaining. Such requests shall be accompanied by such supporting data as may be required by the SANITATION DISTRICT. Upon approval of such payment request by the SANITATION DISTRICT, payment shall be made to CONSULTANT as soon as practicable of one hundred percent (100%)of the invoiced amount. If the SANITATION DISTRICT determines that the work under this AGREEMENT or any specified project element hereunder, is incomplete and that the amount of payment is in excess of: PSA PROJECT NO.SP-125.17 01/27/15 AQUACRITOX®DEMONSTRATION PROJECT EVALUATION STUDY Page 5 of 18 i. The amount considered by the SANITATION DISTRICT's Director of Engineering to be adequate for the protection of the SANITATION DISTRICT; or ii. The percentage of the work accomplished for each project element, The SANITATION DISTRICT may, at the discretion of the Director of Engineering, retain an amount equal to that which insures that the total amount paid to that date does not exceed the percentage of the completed work for the Project in its entirety. C. CONSULTANT may submit periodic payment requests for each 30-day period of this Agreement for the profit as set forth in Section 2 -COMPENSATION above. Said profit payment request shall be proportionate to the work actually accomplished to date on a per-project-element basis. In the event the SANITATION DISTRICT's Director of Engineering determines that no satisfactory progress has been made since the prior payment, or in the event of a delay in the work progress for any reason, the SANITATION DISTRICT shall have the right to withhold any scheduled proportionate profit payment. D. Upon satisfactory completion by CONSULTANT of the work called for under the terms of this AGREEMENT, and upon acceptance of such work by the SANITATION DISTRICT, CONSULTANT will be paid the unpaid balance of any money due for such work based on the monthly statements, including any retained percentages relating to this portion of the work. E. Upon satisfactory completion of the work performed hereunder and prior to final payment under this AGREEMENT for such work, or prior settlement upon termination of this AGREEMENT, and as a condition precedent thereto, CONSULTANT shall execute and deliver to the SANITATION DISTRICT a release of all claims against the SANITATION DISTRICT arising under or by virtue of this AGREEMENT other than such claims, if any, as may be specifically exempted by CONSULTANT from the operation of the release in stated amounts to be set forth therein. F. Pursuant to the California False Claims Act(Government Code sections 12650- 12655), any CONSULTANT that knowingly submits a false claim to the SANITATION DISTRICT for compensation under the terms of this AGREEMENT may be held liable for treble damages and up to a $10,000 civil penalty for each false claim submitted. This section shall also be binding on all Subconsultants. A CONSULTANT or Subconsultant shall be deemed to have submitted a false claim when the CONSULTANT or Subconsultant: (a) knowingly presents or causes to be presented to an officer or employee of the SANITATION DISTRICT a false claim or request for payment or approval; (b) knowingly makes, uses, or causes to be made or used a false record or statement to get a false claim paid or approved by the SANITATION DISTRICT; (c)conspires to defraud the SANITATION DISTRICT by getting a false claim allowed or paid by the SANITATION DISTRICT; (d) knowingly makes, uses, or causes to be made or used a false record or statement to conceal, avoid, or decrease an obligation to the SANITATION DISTRICT; or(a) is a beneficiary of an inadvertent submission PSA PROJECT NO.SP-125.17 01/27/15 AQUACRITOX®DEMONSTRATION PROJECT EVALUATION STUDY Page 6 of 18 RETURN TO AGENDA of a false claim to the SANITATION DISTRICT, and fails to disclose the false claim to the SANITATION DISTRICT within a reasonable time after discovery of the false claim. S. PREVAILING WAGES To the extent CONSULTANT intends to utilize employees who will perform work during the contract, as more specifically defined under Labor Code Section 1720, CONSULTANT shall be subject to prevailing wage requirements with respect to such employees.6. CALIFORNIA DEPARTMENT OF INDUSTRIAL RELATIONS (DIR) REGISTRATION AND RECORD OF WAGES A. To the extent CONSULTANT's employees and/or Subconsultants who will perform Work during the design and preconstruction phases of a construction contract for which Prevailing Wage Determinations have been issued by the DIR and as more specifically defined under Labor Code Section 1720 at sec, CONSULTANT and Subconsultants shall comply with the registration requirements of Labor Code Section 1726.5. Pursuant to Labor Code Section 1771.4, the Work is subject to compliance monitoring and enforcement by the DIR. B. The CONSULTANT and Subconsultants shall maintain accurate payroll records and shall comply with all the provisions of Labor Code Section 1776, and shall submit payroll records to the Labor Commissioner pursuant to Labor Code Section 1771.4(a)(3). Penalties for non-compliance with the requirements of Section 1776 may be deducted from progress payments per Section 1776. C. Pursuant to Labor Code Section 1776, the CONSULTANT and Subconsultants shall furnish a copy of all certified payroll records to SANITATION DISTRICT and/or general public upon request, provided the public request is made through SANITATION DISTRICT, the Division of Apprenticeship Standards or the Division of Labor Enforcement of the Department of Industrial Relations. D. The CONSULTANT and Subconsultants shall comply with the job site notices posting requirements established by the Labor Commissioner per Title 8, California Code of Regulation Section 16461(3). 6. DOCUMENT OWNERSHIP—CONSULTANT PERFORMANCE A. Ownership of Documents for the Professional Services performed. All documents in all forms (electronic, paper, etc.), including, but not limited to, studies, sketches, drawings, computer printouts, disk files, and electronic copies prepared in connection with or related to the Scope of Work or Professional Services, shall be the property of the SANITATION DISTRICT. The SANITATION DISTRICT's ownership of these documents includes use of, reproduction or reuse of and all incidental rights, whether or not the work for which they were prepared has been performed. The SANITATION DISTRICT ownership entitlement arises upon payment or any partial payment for work performed and includes ownership of any and all work product completed prior to that payment. PSA PROJECT NO.SP-125.17 01/27/15 AQUACRITOX®DEMONSTRATION PROJECT EVALUATION STUDY Page 7 of 18 This Section shall apply whether the CONSULTANT's Professional Services are terminated: a) by the completion of the AGREEMENT, or b) in accordance with other provisions of this AGREEMENT. Notwithstanding any other provision of this paragraph or AGREEMENT, the CONSULTANT shall have the right to make copies of all such plans, studies, sketches, drawings, computer printouts and disk files, and specifications. B. CONSULTANT shall not be responsible for damage caused by subsequent changes to or uses of the study or deliverable where the subsequent changes or uses are not authorized or approved by CONSULTANT, provided that the service rendered by CONSULTANT was not a proximate cause of the damage. 7. INSURANCE A. General i. Insurance shall be issued and underwritten by insurance companies acceptable to the SANITATION DISTRICT. ii. Insurers must have an "A-" Policyholder's Rating, or better, and Financial Rating of at least Class Vlll, or better, in accordance with the most current A.M. Best's Guide Rating. However, the SANITATION DISTRICT will accept State Compensation Insurance Fund, for the required policy of Workers Compensation Insurance subject to the SANITATION DISTRICT's option to require a change in insurer in the event the State Fund financial rating is decreased below"B". Further, the SANITATION DISTRICT will require CONSULTANT to substitute any insurer whose rating drops below the levels herein specified. Said substitution shall occur within twenty (20)days of written notice to CONSULTANT, by the SANITATION DISTRICT or its agent. iii. Coverage shall be in effect prior to the commencement of any work under this Agreement. B. General Liability The CONSULTANT shall maintain during the life of this Agreement, including the period of warranty, Commercial General Liability Insurance written on an occurrence basis providing the following minimum limits of liability coverage: One Million Dollars ($1,000,000) per occurrence with One Million Dollars ($1,000,000) aggregate. Said insurance shall include coverage for the following hazards: Premises-Operations, blanket contractual liability(for this Agreement), products liability/completed operations (including any product manufactured or assembled), broad form property damage, blanket contractual liability, independent contractors liability, personal and advertising injury, mobile equipment, owners and contractors protective liability, and cross liability and severability of interest clauses. A statement on an insurance certificate will not be accepted in lieu of the actual additional insured endorsement(s). If requested by SANITATION DISTRICT and applicable, XCU coverage (Explosion, Collapse and Underground)and Riggers/On Hook Liability must be included in the PSA PROJECT NO.SP-125.17 01/27/15 AQUACRITOX®DEMONSTRATION PROJECT EVALUATION STUDY Page 8 of 18 RETURN TO AGENDA General Liability policy and coverage must be reflected on the submitted Certificate of Insurance. C. Umbrella Excess Liability The minimum limits of general liability and Automotive Liability Insurance required, as set forth herein, shall be provided for through either a single policy of primary insurance or a combination of policies of primary and umbrella excess coverage. Umbrella excess liability coverage shall be issued with limits of liability which, when combined with the primary insurance, will equal the minimum limits for general liability and automotive liability. D. AutomotiveNehicle liability Insurance The CONSULTANT shall maintain a policy of Automotive Liability Insurance on a comprehensive form covering all owned, non-owned, and hired automobiles, trucks, and other vehicles providing the following minimum limits of liability coverage: Combined single limit of One Million Dollars ($1,000,000) or alternatively, One Million Dollars ($1,000,000) per person for bodily injury and One Million Dollars ($1,000,000) per accident for property damage. A statement on an insurance certificate will not be accepted in lieu of the actual additional insured endorsement. E. Worker's Compensation Insurance The CONSULTANT shall provide such Workers' Compensation Insurance as required by the Labor Code of the State of California in the amount of the statutory limit, including Employer's Liability Insurance with a minimum limit of One Million Dollars ($1,000,000) per occurrence. Such Worker's Compensation Insurance shall be endorsed to provide for a waiver of subrogation in favor of the SANITATION DISTRICT. A statement on an insurance certificate will not be accepted in lieu of the actual endorsements unless the insurance carrier is State of California Insurance Fund and the identifier"SCIF" and endorsement numbers 2570 and 2065 are referenced on the certificate of insurance. If an exposure to Jones Act liability may exist, the insurance required herein shall include coverage for Jones Act claims. F. Errors and Omissions/Professional Liability CONSULTANT shall maintain in full force and effect, throughout the term of this Agreement, standard industry form professional negligence errors and omissions insurance coverage in an amount of not less than One Million Dollars ($1,000,000)with limits in accordance with the provisions of this Paragraph. If the policy of insurance is written on a "claims made" basis, said policy shall be continued in full force and effect at all times during the term of this Agreement, and for a period of five (5) years from the date of the completion of the services hereunder. PSA PROJECT NO.SP-125.17 01/27/15 AQUACRITO)e DEMONSTRATION PROJECT EVALUATION STUDY Page 9 of 18 In the event of termination of said policy during this period, CONSULTANT shall obtain continuing insurance coverage for the prior acts or omissions of CONSULTANT during the course of performing services under the term of this Agreement. Said coverage shall be evidenced by either a new policy evidencing no gap in coverage or by separate extended "tail" coverage with the present or new carrier. In the event the present policy of insurance is written on an "occurrence" basis, said policy shall be continued in full force and effect during the term of this Agreement or until completion of the services provided for in this Agreement, whichever is later. In the event of termination of said policy during this period, new coverage shall be obtained for the required period to insure for the prior acts of CONSULTANT during the course of performing services under the term of this Agreement. CONSULTANT shall provide to the SANITATION DISTRICT a certificate of insurance in a form acceptable to the SANITATION DISTRICT indicating the deductible or self-retention amounts and the expiration date of said policy, and shall provide renewal certificates not less than ten (10)days prior to the expiration of each policy term. G. Proof of Coverage The CONSULTANT shall furnish the SANITATION DISTRICT with original certificates and amendatory endorsements effecting coverage. Said policies and endorsements shall conform to the requirements herein stated. All certificates and endorsements are to be received and approved by the SANITATION DISTRICT before work commences. The SANITATION DISTRICT reserves the right to require complete, certified copies of all required insurance policies, including endorsements, effecting the coverage required, at any time. The following are approved forms that must be submitted as proof of coverage: • Certificate of Insurance ACORD Form 25 (5/2010)or equivalent. • Additional Insurance (ISO Form) CG2010 11 85 or (General Liability) The combination of(ISO Forms) CG 2010 10 01 and CG 2037 10 01 All other Additional Insured endorsements must be submitted for approval by the SANITATION DISTRICT, and the SANITATION DISTRICT may reject alternatives that provide different or less coverage to the SANITATION DISTRICT. • Additional Insured Submit endorsement provided by carrier for the (Auto Liability) SANITATION DISTRICT approval. • Waiver of Subrogation State Compensation Insurance Fund Endorsement No. 2570 or equivalent. PSA PROJECT NO.SP-125.17 01/27/15 AQUACRITOX®DEMONSTRATION PROJECT EVALUATION STUDY Page 10 of 18 RETURN TO AGENDA • Cancellation Notice State Compensation Insurance Fund Endorsement No. 2065 or equivalent. H. Cancellation Notice Each insurance policy required herein shall be endorsed to state that coverage shall not be cancelled by either party, except after thirty (30)days' prior written notice. The Cancellation Section of ACORD Form 25 (5/2010) shall state the required thirty(30) days' written notification. The policy shall not terminate, nor shall it be cancelled, nor the coverage reduced until thirty(30) days after written notice is given to the SANITATION DISTRICT except for nonpayment of premium, which shall require not less than ten (10) days written notice to the SANITATION DISTRICT. Should there be changes in coverage or an increase in deductible or SIR amounts, the CONSULTANT and its insurance broker/agent shall send to the SANITATION DISTRICT a certified letter which includes a description of the changes in coverage and/or any increase in deductible or SIR amounts. The certified letter must be sent to the attention of Risk Management, Div. 260, and shall be received by the SANITATION DISTRICT not less than thirty (30)days prior to the effective date of the change(s) if the change would reduce coverage or increase deductibles or SIR amounts or otherwise reduce or limit the scope of insurance coverage provided to the SANITATION DISTRICT. I. Primary Insurance All liability policies shall contain a Primary and Non Contributory Clause. Any other insurance maintained by the SANITATION DISTRICT shall be excess and not contributing with the insurance provided by CONSULTANT. J. Separation of Insured All liability policies shall contain a "Separation of Insureds" clause. K. Non-Limiting (if applicable) Nothing in this document shall be construed as limiting in any way, nor shall it limit the indemnification provision contained in this Agreement, or the extent to which CONSULTANT may be held responsible for payment of damages to persons or property. L. Deductibles and Self-Insured Retentions Any deductible and/or self-insured retention must be declared to the SANITATION DISTRICT on the Certificate of Insurance. All deductibles and/or self-insured retentions require approval by the SANITATION DISTRICT. At the option of the SANITATION DISTRICT, either: the insurer shall reduce or eliminate such deductible or self-insured retention as respects the SANITATION DISTRICT; or the CONSULTANT shall provide a financial guarantee satisfactory to the SANITATION DISTRICT guaranteeing payment of losses and related investigations, claim administration and defense expenses. PSA PROJECT NO.SP-125.17 01/27/15 AQUACRITOX®DEMONSTRATION PROJECT EVALUATION STUDY Page 11 of 18 M. Defense Costs Liability policies shall have a provision that defense costs for all insureds and additional insureds are paid in addition to and do not deplete any policy limits. N. Subconsultants The CONSULTANT shall be responsible to establish insurance requirements for any Subconsultant hired by the CONSULTANT. The insurance shall be in amounts and types reasonably sufficient to deal with the risk of loss involving the Subconsultant's operations and work. O. Limits Are Minimums If the CONSULTANT maintains higher limits than any minimums shown above, then SANITATION DISTRICT requires and shall be entitled to coverage for the higher limits maintained by CONSULTANT. 8. SCOPE CHANGES In the event of a change in the Scope of Work or a change in the proposed Project, as requested by the SANITATION DISTRICT, the Parties hereto shall execute an Amendment to this AGREEMENT setting forth with particularity all terms of the new AGREEMENT, including, but not limited to any additional CONSULTANT's fees. 9. PROJECT TEAM AND SUBCONSULTANTS CONSULTANT shall provide to SANITATION DISTRICT, prior to execution of this AGREEMENT, the names and full description of all Subconsultants and CONSULTANT's project team members anticipated to be used on this Project under this AGREEMENT by CONSULTANT. CONSULTANT shall include a description of the work and services to be done by each Subconsultant and each of CONSULTANT's Project team member. CONSULTANT shall include the respective compensation amounts for CONSULTANT and each Subconsultant, broken down as indicated in Section 2- COMPENSATION. There shall be no substitution of the listed Subconsultants and CONSULTANT's project team members without prior written approval by the SANITATION DISTRICT. 10. ENGINEERING REGISTRATION The CONSULTANTS personnel and Subconsultants are comprised of registered engineers and a staff of specialists and draftsmen in each department. The firm itself is not a registered engineer but represents and agrees that wherever, in the performance of this AGREEMENT, the services of a registered engineer is required, such services hereunder will be performed under the direct supervision of registered engineers who are registered in California. PSA PROJECT NO.SP-125.17 01/27/15 AQUACRITOX®DEMONSTRATION PROJECT EVALUATION STUDY Page 12 of 18 RETURN TO AGENDA 11. AUDIT PROVISIONS. A. SANITATION DISTRICT retains the reasonable right to access, review, examine, and audit, any and all books, records, documents and any other evidence of procedures and practices that the SANITATION DISTRICT determines are necessary to discover and verify that the CONSULTANT is in compliance with all requirements under this AGREEMENT. The CONSULTANT shall include the SANITATION DISTRICT's right as described above, in any and all of their subcontractss, and shall ensure that these rights are binding upon all Subconsultants. B. SANITATION DISTRICT retains the right to examine CONSULTANT's books, records, documents and any other evidence of procedures and practices that the SANITATION DISTRICT determines are necessary to discover and verify all direct and indirect costs, of whatever nature, which are claimed to have been incurred, or anticipated to be incurred or to ensure CONSULTANT's compliance with all requirements under this AGREEMENT during the term of this AGREEMENT and for a period of three (3)years after its termination. C. CONSULTANT shall maintain complete and accurate records in accordance with generally accepted industry standard practices and the SANITATION DISTRICT's policy. The CONSULTANT shall make available to the SANITATION DISTRICT for review and audit, all project related accounting records and documents, and any other financial data within 15 days after receipt of notice from the SANITATION DISTRICT. Upon SANITATION DISTRICT's request, the CONSULTANT shall submit exact duplicates of originals of all requested records to the SANITATION DISTRICT. If an audit is performed, CONSULTANT shall ensure that a qualified employee of the CONSULTANT will be available to assist SANITATION DISTRICT's auditor in obtaining all Project related accounting records and documents, and any other financial data. 12. LEGAL RELATIONSHIP BETWEEN PARTIES The legal relationship between the parties hereto is that of an independent contractor and nothing herein shall be deemed to transform CONSULTANT, its staff, independent contractors, or Subconsultants into employees of the SANITATION DISTRICT. CONSULTANT'S staff performing services under the AGREEMENT shall at all times be employees and/or independent contractors of CONSULTANT. CONSULTANT shall monitor and control its staff and pay wages, salaries, and other amounts due directly to its staff in connection with the AGREEMENT. CONSULTANT shall be responsible for hiring, review, and termination of its staff and shall be accountable for all reports and obligations respecting them, such as social security, income tax withholding, unemployment compensation, workers' compensation and similar matters. 13. NOTICES All notices hereunder and communications regarding the interpretation of the terms of this AGREEMENT, or changes thereto, shall be effected by delivery of said notices in person or by depositing said notices in the U.S. mail, registered or certified mail, return receipt requested, postage prepaid and addressed as follows: PSA PROJECT NO.SP-125.17 01/27/15 AQUACRITOX®DEMONSTRATION PROJECT EVALUATION STUDY Page 13 of 18 ORANGE COUNTY SANITATION DISTRICT 10844 Ellis Avenue Fountain Valley, CA 92708-7018 Attention: Sarah L. Strader, Senior Contracts Administrator Copy: Jeff Mohr, Project Manager CONSULTANT: SCFI GROUP LIMITED Rubicon, CIT Campus, Bishoptown Cork, Ireland Attention: John O'Regan All communication regarding the Scope of Work, will be addressed to the Project Manager. Direction from other SANITATION DISTRICT staff must be approved in writing by the SANITATION DISTRICT's Project Manager prior to action from the CONSULTANT. 14. TERMINATION The SANITATION DISTRICT may terminate this AGREEMENT at any time, without cause, upon giving thirty (30) days written notice to CONSULTANT. In the event of such termination, CONSULTANT shall be entitled to compensation for work performed on a prorated basis through and including the effective date of termination. CONSULTANT shall be permitted to terminate this AGREEMENT upon thirty (30)days written notice only if CONSULTANT is not compensated for billed amounts in accordance with the provisions of this AGREEMENT, when the same are due. Notice of termination shall be mailed to the SANITATION DISTRICT at the address listed in Paragraph 13. 15. DOCUMENTS AND STUDY MATERIALS The documents and study materials for this Project shall become the property of the SANITATION DISTRICT upon the termination or completion of the work. CONSULTANT agrees to furnish to the SANITATION DISTRICT copies of all memoranda, correspondence, electronic materials, computation and study materials in its files pertaining to the work described in this AGREEMENT, which is requested in writing by the SANITATION DISTRICT. 16. COMPLIANCE CONSULTANT certifies by the execution of this AGREEMENT that it pays employees not less than the minimum wage as defined by law, and that it does not discriminate in its employment with regard to race, color, religion, sex or national origin; that it is in compliance with all federal, state and local directives and executive orders regarding non-discrimination in employment; and that it agrees to demonstrate positively and aggressively the principle of equal opportunity in employment. PSA PROJECT NO.SP-125.17 01/27/15 AQUACRITOX®DEMONSTRATION PROJECT EVALUATION STUDY Page 14 of 18 RETURN TO AGENDA 17. AGREEMENT EXECUTION AUTHORIZATION Both the SANITATION DISTRICT and CONSULTANT do covenant that each individual executing this document by and on behalf of each Party is a person duly authorized to execute this AGREEMENT for that Party. 18. DISPUTE RESOLUTION In the event of a dispute arising between the parties regarding performance or interpretation of this AGREEMENT, the dispute shall be resolved by binding arbitration under the auspices of the Judicial Arbitration and Mediation Service ("JAMS"), or similar organization or entity conducting alternate dispute resolution services. 19. ATTORNEY'S FEES, COSTS AND NECESSARY DISBURSEMENTS If any action at law or in equity or if any proceeding in the form of an Alternative Dispute Resolution (ADR) is necessary to enforce or interpret the terms of this Agreement, the prevailing party shall be entitled to reasonable attorney's fees, costs and necessary disbursements in addition to any other relief to which he may be entitled. 20. WARRANTY CONSULTANT shall perform its services in accordance with generally accepted industry and professional standards. If, within the 12-month period following completion of its services, the SANITATION DISTRICT informs CONSULTANT that any part of the services fails to meet those standards, CONSULTANT shall, within the time prescribed by the SANITATION DISTRICT, take all such actions as are necessary to correct or complete the noted deficiency(ies). 21. INDEMNIFICATION To the fullest extent permitted by law, CONSULTANT shall indemnify, defend (at CONSULTANT's sole cost and expense and with legal counsel approved by the SANITATION DISTRICT, which approval shall not be unreasonably withheld), protect and hold harmless the SANITATION DISTRICT and all of SANITATION DISTRICT's officers, directors, employees, CONSULTANT's, and agents (collectively the "Indemnified Parties"), from and against any and all claims, damages, liabilities, causes of action, suits, arbitration awards, losses,judgments, fines, penalties, costs and expenses (including, without limitation, attorneys' fees, disbursements and court costs, and all other professional, expert or CONSULTANT's fees and costs and the SANITATION DISTRICT's general and administrative expenses; individually, a "Claim"; collectively, "Claims")which may arise from or are in any manner related, directly or indirectly, to any work performed, or any operations, activities, or services provided by CONSULTANT in carrying out its obligations under this Agreement to the extent of the negligent, recklessness and/or willful misconduct of CONSULTANT, its principals, officers, agents, employees, CONSULTANT's suppliers, CONSULTANT, Subconsultants, subcontractors, and/or anyone employed directly or indirectly by any of them, regardless of any contributing negligence or strict liability of an Indemnified Party. Notwithstanding the foregoing, nothing herein shall be construed to require CONSULTANT to indemnify the Indemnified Parties from any Claim arising solely from: PSA PROJECT NO.SP-125.17 01/27/15 AQUACRITOx®DEMONSTRATION PROJECT EVALUATION STUDY Page 15 of 18 (A)the active negligence or willful misconduct of the Indemnified Parties; or (B)a natural disaster or other act of God, such as an earthquake; or (C)the independent action of a third party who is neither one of the Indemnified Parties nor the CONSULTANT, nor its principal, officer, agent, employee, nor CONSULTANT's supplier, CONSULTANT, Subconsultant, subcontractor, nor anyone employed directly or indirectly by any of them. Exceptions (A)through (B) above shall not apply, and CONSULTANT shall, to the fullest extent permitted by law, indemnify the Indemnified Parties, from Claims arising from more than one cause if any such cause taken alone would otherwise result in the obligation to indemnify hereunder. CONSULTANT's liability for indemnification hereunder is in addition to any liability CONSULTANT may have to the SANITATION DISTRICT for a breach by CONSULTANT of any of the provisions of this Agreement. Under no circumstances shall the insurance requirements and limits set forth in this Agreement be construed to limit CONSULTANT's indemnification obligation or other liability hereunder. The terms of this Agreement are contractual and the result of negotiation between the parties hereto. Accordingly, any rule of construction of contracts (including, without limitation, California Civil Code Section 1654) that ambiguities are to be construed against the drafting party, shall not be employed in the interpretation of this Agreement. 22. DUTY TO DEFEND The duty to defend hereunder is wholly independent of and separate from the duty to indemnify and such duty to defend shall exist regardless of any ultimate liability of CONSULTANT and shall be consistent with Civil Code section 2782.8. Such defense obligation shall arise immediately upon presentation of a Claim by any person if, without regard to the merit of the Claim, such Claim could potentially result in an obligation to indemnify one or more Indemnified Parties, and upon written notice of such Claim being provided to CONSULTANT. Payment to CONSULTANT by any Indemnified Party or the payment or advance of defense costs by any Indemnified Party shall not be a condition precedent to enforcing such Indemnified Party's rights to indemnification hereunder. In the event a final judgment, arbitration, award, order, settlement, or other final resolution expressly determines that the claim did not arise out of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the CONSULTANT, to any extent, then the DISTRICT will reimburse CONSULTANT for the reasonable costs of defending the Indemnified Parties against such claims. CONSULTANT'S indemnification obligation hereunder shall survive the expiration or earlier termination of this AGREEMENT until such time as action against the Indemnified Parties for such matter indemnified hereunder is fully and finally bared by the applicable statute of limitations. 23. COMPLIANCE WITH SANITATION DISTRICT POLICIES AND PROCESURES CONSULTANT shall be required to comply with all SANITATION DISTRICT policies and procedures including the Safety Manual, as applicable, all of which may be amended from time to time. PSA PROJECT NO.SP-125.17 01/27/15 AQUACRITOX®DEMONSTRATION PROJECT EVALUATION STUDY Page 16 of 18 RETURN TO AGENDA 24. CLOSEOUT When the SANITATION DISTRICT determines that all Work authorized under the AGREEMENT is fully complete and that the SANITATION DISTRICT requires no further work from CONSULTANT, or the AGREEMENT is otherwise terminated or expires in accordance with the terms of the AGREEMENT, the SANITATION DISTRICT shall give the Consultant written notice that the AGREEMENT will be closed out. CONSULTANT shall submit all outstanding billings, work submittals, deliverables, reports or similarly related documents as required under the AGREEMENT within thirty(30) days of receipt of notice of AGREEMENT closeout. Upon receipt of CONSULTANT'S submittals, the SANITATION DISTRICT shall commence a closeout audit of the AGREEMENT and will either: I. Give the CONSULTANT a final AGREEMENT Acceptance: or ii. Advise the CONSULTANT in writing of any outstanding item or items which must be furnished, completed, or corrected at the CONSULTANT'S cost. CONSULTANT shall be required to provide adequate resources to fully support any administrative closeout efforts identified in the AGREEMENT. Such support must be provided within the timeframe requested by the SANITATION DISTRICT. Notwithstanding the final AGREEMENT acceptance, the CONSULTANT will not be relieved of its obligations hereunder, nor will the CONSULTANT be relieved of its obligations to complete any portions of the work, the non-completion of which were not disclosed to the SANITATION DISTRICT (regardless of whether such nondisclosures were fraudulent, negligent, or otherwise), and the CONSULTANT shall remain obligated under all those provisions of the AGREEMENT which expressly or by their nature extend beyond and survive final AGREEMENT Acceptance. Any failure by the SANITATION DISTRICT to reject the work or to reject the CONSULTANT's request for final Agreement Acceptance as set forth above shall not be deemed to be acceptance of the work by the SANITATION DISTRICT for any purpose nor imply acceptance of, or agreement with, the CONSULTANT's request for final Agreement Acceptance. 25. ENTIRE AGREEMENT This Agreement constitutes the entire understanding and agreement between the Parties and supersedes all previous negotiations between them pertaining to the subject matter thereof. PSA PROJECT NO.SP-125.17 01/27/15 AQUACRITOX®DEMONSTRATION PROJECT EVALUATION STUDY Page 17 of 18 IN WITNESS WHEREOF, this AGREEMENT has been executed in the name of the SANITATION DISTRICT, by its officers thereunto duly authorized, and CONSULTANT as of the day and year first above written. CONSULTANT: SCFI GROUP LIMITED By Date Printed Name &Title ORANGE COUNTY SANITATION DISTRICT By Chair, Board of Directors Date By Clerk of the Board Date By Marc Dubois Date Contracts, Purchasing and Materials Management Division Manager Attachments: Attachment"A"—Scope of Work Attachment"B"—Cost Matrix Attachment"C"—Allowable Direct Costs Attachment"D"—Not Attached (Acknowledgement of PSA) Attachment"E"- OCSD Safety Standards SLS:yp PSA PROJECT NO.SP-125.17 01/27/15 AQUACRITOX®DEMONSTRATION PROJECT EVALUATION STUDY Page 18 of 18 ITEM NO. 9 MINUTES OF THE ADMINISTRATION COMMITTEE Orange County Sanitation District Wednesday, July 8, 2015, at 5:30 P.M. A regular meeting of the Administration Committee of the Orange County Sanitation District was called to order by Committee Chair Curry on July 8, 2015, at 5:30 p.m., in the Administration Building of the Orange County Sanitation District. Director Katapodis led the Flag Salute. A quorum was declared present, as follows: COMMITTEE MEMBERS PRESENT: STAFF PRESENT: Keith Curry, Chair Jim Herberg, General Manager Lucille Kring, Vice-Chair Bob Ghirelli, Assistant General Manager James Ferryman Lorenzo Tyner, Director of Finance Jim Katapodis Rob Thompson, Director of Engineering Peter Kim Ed Torres, Director of Operations & Greg Mills Maintenance Glenn Parker Kelly Lore, Clerk of the Board Teresa Smith Jennifer Cabral Sal Tinajero Al Garcia John Nielsen, Board Chair Norbert Gaia Javitta Malone COMMITTEE MEMBERS ABSENT: Richard Spencer Steven Choi Mike White Tyler Diep Greg Sebourn, Board Vice-Chair OTHERS PRESENT: Brad Hogin, General Counsel PUBLIC COMMENTS: None. REPORT OF COMMITTEE CHAIR: Committee Chair Curry did not provide a report. 07/oa/2015 Administration Committee Minutes Page 1 of REPORT OF GENERAL MANAGER: General Manager, Jim Herberg provided information to the Committee of the upcoming tours on OCSD Ocean Monitoring Vessel Nerissa. REPORT OF DIRECTOR OF FINANCE AND ADMINISTRATIVE SERVICES: Director of Finance and Administrative Services, Lorenzo Tyner did not provide a report but informed the Committee of his intention to pull Item 2 from consideration due to the further need for clarification of materials used meeting certain standards. Committee Chair Curry stated that a few minor clerical changes were made to the attachment for Item 3, and which were provided in writing to the committee in a memo from the Clerk of the Board. These changes do not change the recommendation or the resolution. CONSENT CALENDAR: 1. MOVED, SECONDED and DULY CARRIED TO: Approve Minutes of the June 10, 2015, Administration Committee Meeting. AYES: Curry, Ferryman, Katapodis, Kim, Nielsen and Parker NOES: None ABSTENTIONS: Kring ABSENT: Choi, Diep, Mills, Sebourn, T. Smith and Tinajero Item Pulled from Consideration 2. A. A4A,Apd o',rnh RsA QrdAF r..,.#gnt to o.'Ja,.ntigi 0a,AFall Supply fGF i tsGFFA 0 3. MOVED, SECONDED and DULY CARRIED TO: Recommend to the Board of Directors: Adopt Resolution No. OCSD 15-XX, entitled; "A Resolution of the Orange County Sanitation District Board of Directors Adopting the Records Management Program Policy and Procedures, Updated Retention Schedule, Authorizing Destruction of Obsolete Records, and Repealing Resolution No. OCSD 10-12." AYES: Curry, Ferryman, Katapodis, Kim, Kring, Nielsen and Parker 07/05/2015 Administration Committee Minutes Page 2 of 4 NOES: None ABSTENTIONS: None ABSENT: Choi, Diep, Mills, Sebourn, T. Smith and Tinajero Director Mills arrived at 5:35 p.m. Director Tinajero arrived at 5:37 p.m. Director T. Smith arrived at 5:43 p.m. NON-CONSENT CALENDAR: Controller Mike White briefly explained the contracted audit functions and the procedures for the collection and remittance of capital facilities capacity charges by member cities. He introduced Nitin Patel, White Nelson Diehl Evans LLP who explained the procedures and objectives of the audit, and summarized the findings for the Committee. Questions were answered regarding; process of remittance of fees to the district; steps for habitual late remitters; interest due; clear understanding of the formula; providing materials and training in alternate years; undercharged fees not being pursued for remittance; and prior agreement for deferement of fees. 4. MOVED, SECONDED and DULY CARRIED TO: Recommend to the Board of Directors: Receive and file the Independent Accountants' Report on Applying Agreed-Upon Procedures from White Nelson Diehl Evans, LLP. AYES: Curry, Ferryman, Katapodis, Kim, Kring, Mills, Nielsen and Parker, T. Smith and Tinajero NOES: None ABSTENTIONS: None ABSENT: Choi, Diep, and Sebourn CLOSED SESSION: None. OTHER BUSINESS AND COMMUNICATIONS OR SUPPLEMENTAL AGENDA ITEMS, IF ANY: None. 071OW2015 Administration Committee Minutes Page 3 of 4 ADJOURNMENT: Committee Chair Curry declared the meeting adjourned at 5:47 p.m., to the next regularly scheduled meeting of September 9, 2015 at 5:30 p.m. Submitted by: Kelly A. Lore Clerk of the Board 07/oa/2015 Administration Committee Minutes Page 4 of 4 ADMINISTRATION COMMITTEE MCng Date TOBE. Dir. 07/Eti08/15 o7/zz/1Of5 AGENDA REPORT Item Number Item Number 3 10 Orange County Sanitation District FROM: James D. Herberg, General Manager Originator: Robert Ghirelli, Assistant General Manager GENERAL MANAGER'S RECOMMENDATION Adopt Resolution No. OCSD 15-16 entitled, "A Resolution of the Orange County Sanitation District Board of Directors Adopting the Records Management Program Policy and Procedures, Updated Retention Schedule, Authorizing Destruction of Obsolete Records, and Repealing Resolution No. OCSD 10-12." SUMMARY The Sanitation District's Records Management Program is updated to meet new statutory regulations and agency changes to better serve the operational needs of OCSD. The Record Retention Review process, comprised of the Assistant General Manager, Executive Management Team, General Counsel's Office, Departmental Subject Matter Experts and the Records Management Specialist, has reviewed and recommends all the proposed changes. PRIOR COMMITTEE/BOARD ACTIONS July 2010 - Board adopted Resolution No. OCSD 10-12, Adopting the Records Management Program Policy and Procedures, Retention Schedule and Record Definitions, Authorizing Destruction of Obsolete Records, and Repealing Resolution No. OCSD 09-07. ADDITIONAL INFORMATION The Sanitation District's Records Management Program documents how long various types of information are to be kept, as dictated by the legal, fiscal, audit and operational needs of the Sanitation District. As a public agency, there is an obligation to effectively manage and maintain the Sanitation District's information, most of which is classified as public information. Proposed changes for this update focus on the following: The Records Retention Schedule Layout: The updated Records Retention Schedule (RRS) has been reformatted and organized by department for easier reference and use. Retention and citation keys were updated to reflect the current legal retention citations and codes applied throughout the schedule. Page 1 of 2 The Record Series title was renamed to Record Type. Retention numbers were updated for each departmental schedule to reflect the new format. The Record Series Definitions category was removed and incorporated into the Record Type categories where applicable. Retention Schedule Lengths and Citations: Various retention lengths changes were approved to existing record types and new record types added, as dictated by the legal, audit, business and operational needs of the District. CEQA N/A BUDGET / PURCHASING ORDINANCE COMPLIANCE N/A ATTACHMENT The following Resolution is included in hard copy and the attachment(s)may also be viewed on-line at the OCSD website(www.ocsd.corn with the complete agenda package: • Resolution OCSD 15-16 • Records Retention Schedule 2015 Page 2 of 2 RETURN TO AGENDA RESOLUTION NO. OCSD 15-16 A RESOLUTION OF THE BOARD OF DIRECTORS OF ORANGE COUNTY SANITATION DISTRICT ADOPTING THE RECORDS MANAGEMENT PROGRAM POLICY AND PROCEDURES, UPDATED RETENTION SCHEDULE, AUTHORIZING DESTRUCTION OF OBSOLETE RECORDS AND REPEALING RESOLUTION NO. OCSD 10-12 WHEREAS, it is necessary to establish a policy to maintain a Records Management Program ('Program') that provides for the identification, access, and protection of all records generated or received by the District; and WHEREAS, said Program ensures that all District records are created, received, maintained, and destroyed in a cost-effective manner, in accordance with operating requirements for District business and applicable statuses and regulations; and WHEREAS, the Board of Directors of District is authorized, by the provisions of California Government Code Sections 60200 through 60204, inclusive to destroy records under certain conditions, and WHEREAS, it is described and appropriate to authorize the destruction of the records on a routine basis that have been retained for a certain period of time, that are copies of originals on file with the District, or that have been preserved in conformance with all applicable statutes. NOW, THEREFORE, the Board of Directors of Orange County Sanitation District, DOES HEREBY RESOLVE, DETERMINE, AND ORDER: Section 1: Adoption of Records Management Policy and Procedures. The Board of Directors of the District hereby adopts the records Management Policy and Procedures for the Fiscal Year 2015-16. Section 2: Adoption of Updated records Retention Schedule and Definitions of Record Series. The Board of Directors of the District hereby adopts changes to the Records Retention Schedule, set forth in Appendix "A" incorporated herein by reference. Section 3: Authorization for Destruction of Records. The destruction of certain records, papers, and documents is hereby authorized, pursuant to California Government Code Sections 60200 at seq., after such records have been retained for the minimum time set forth in the Records Retention Schedule. Section 4: Destruction of Records After Preservation. Any record not expressly required by law to be filed and preserved, may be destroyed at any time after it is OCSD 15-16-1 RETURN TO AGENDA preserved in conformance with the requirements of California Government Code Section 60203. Section 5: Destruction of Duplicates. Pursuant to California Government Code Section 60200, any duplicate record, paper, or document, the original or a permanent photographic copy of which is in the files of any office or Department of the District, may be destroyed after confirmation with Records Management that such original or permanent photographic copy remains on file in the District. Section 6: Retention of Records Not Mentioned. All records, papers, and documents not mentioned in this Resolution shall be retained. Section 7: Resolution No. OCSD10-12 is hereby repealed. PASSED AND ADOPTED at a regular meeting of the Board of Directors held July 22, 2015. John Nielsen Board Chair ATTEST: Kelly A. Lore Clerk of the Board OCSD 15-16-2 RETURN TO AGENDA STATE OF CALIFORNIA ) ss COUNTY OF ORANGE ) I, Kelly A. Lore, Clerk of the Board of Directors of the Orange County Sanitation District, do hereby certify that the foregoing Resolution No. OCSD 15-16 was passed and adopted at a regular meeting of said Board on the 22nd day of July 2015, by the following vote, to wit: AYES: NOES: ABSTENTIONS: ABSENT: IN WITNESS WHEREOF, I have hereunto set my hand and affixed the official seal of Orange County Sanitation District this 22nd day of July, 2015. Kelly A. Lore Clerk of the Board of Directors Orange County Sanitation District OCSD 15-16-3 GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official Nj� SAN„q EC Elections Code (California) Ex Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"° GC Government Code (California) EL Electronic N� H Historical 9 H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp yp IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; = MA Maturity LC Labor Code (California) FCT"G EN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records THE OMB Office of Management & Budget S Superseded can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) Sp Separated * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Board Services USC United States Code V Vital their destruction term all copies and duplicates must be destroyed WC Water Code along with the original, regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) BSDO01 Affidavits of Publications Notices LO GC §§60201 , GC §54960.1 (c)(1 ) BSDO02 Agenda and Committee Reports LO V H GC §34090; SOS c22 Agreements & Contracts - Political & Outside Jurisdictions/Agencies BSDO03 Cooperative Agreements, JPAs (Joint Powers Authorities), JFAs (Joint Finance Authorities), LO V GC §60201 Interagency, etc. BSDO04 Annexation Files LO V H GC §34090; GC §60201 (d)(1 ); SOS c28 BSDO05 Bids - Awarded (Board Reviewed) LO GC §60201 (d)(6); SOS c30 BSDO06 Bids - Unsuccessful (Board Reviewed) 2 GC §34090; GC §60201 (d)(11 ); SOS c30 Board Administration Files CPC 801 .5 22; 29 USC §1113; BSD007 Loyalty Oaths, Election Records 10 V SOS c18 1 Board Services Adopted: GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official Nj� SAN„q EC Elections Code (California) Ex Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"° GC Government Code (California) EL Electronic N� H Historical 9 H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp yp IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; = MA Maturity LC Labor Code (California) FCT�"G EN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records THE OMB Office of Management & Budget S Superseded can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) Sp Separated * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Board Services USC United States Code V Vital their destruction term all copies and duplicates must be destroyed WC Water Code along with the original, regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) BSDO08 Conflict of Interest (FPPC Filings) T+7 GC §81009(e); SOS c18 BSDO09 Contracts/Agreement - Board Review and Approval p V GC §60201 (d); CCP 337 et seq.; SOS c22 Includes Specifications BSD010 Director's Agency Correspondence LO GC §60201 BSD011 Ethics Training 5 GC §53235.2(b) Sexual Harassment Board Only, Ethics Training Board & Employee BSD012 Formation Files LO V H GC §60201 (d)(1 ) Land Records BSDO13 Easements, Grant, Deeds, Quit Claim Deeds, Abandonments, Condemnations, Real Estate LO V H GC §60201 (d)(8); GC §34090(a) Purchase & Sale, Property Agreements, Encroachment Permits, Etc. BSDO14 Legal Opinions LO V H C SOS c23 2 Board Services Adopted: GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official N1� SAN„q EC Elections Code (California) EX Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"° GC Government Code (California) EL Electronic N� H Historical 9 H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp yp IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; = MA Maturity LC Labor Code (California) FCT"G EN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records THE OMB Office of Management & Budget S Superseded can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) Sp Separated * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Board Services uSC United States Code V Vital their destruction term all copies and duplicates must be destroyed WC Water Code along with the original, regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) BSD015 Litigation Files CL+6 GC §60201 (d) BSDO16 Meeting Minutes - Board & Board Committees LO V H GC §60201 (d)(3) BSDO17 Ordinances LO V H GC §60201 (d)(2) BSDO18 Recorded Project Documents - Board Approved LO V H GC §60201 (d)(8); SOS c26 Notice of Completion BSDO19 Resolutions LO V H GC §60201 (d)(2); GC §34090(e) Tapes & Digital Recordings (Audio) Minimum retention 30 days or until BSD020 Board or Committee Meetings 6 months adoption of the minutes Per Brown Act; GC §54953.5(b) 3 Board Services Adopted: GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official N1� SAN„q EC Elections Code (California) EX Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"° GC Government Code (California) EL Electronic N� H Historical 9 H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp yp IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; = MA Maturity LC Labor Code (California) FCT�"G EN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records THE OMB Office of Management & Budget S Superseded can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) Sp Separated * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Contracts, Purchasing & Materials USC United States Code V vital their destruction term all copies and duplicates must be destroyed WC Water Code along with the original, regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) Contract & Agreement File - Capital Improvement Projects (CIP) GC §60201 ; Originals Kept in Board CPM001 (Includes Insurance certificates, authorization document, change orders, amendments, notices, LO V Services construction, etc.) CPM002 Contract & Agreement File - Non Capital Improvement Projects (Non CIP) CL+6 V GC §60201 Professional Services, Equipment, Supplies, etc. CPM003 Escrow Bid Documents LP V C CCP §337.15 CPM004 Procurement File CL+6 GC §60201 RFP, RFB, Addendum, Q&A Log, Evaluation Material, Correspondence etc. CPM005 Purchase Order & Requisition Files (OA and OB) CL+6 CCP §337; SOS c30 Open Annual and Open Blanket CPM006 Purchase Order & Requisition Files (OP and OS) CL+2 CCP §337; SOS c30 Open Purchase and Open Service 4 Contracts, Purch. & Materials Adopted: GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official Nj� SAN„q EC Elections Code (California) EX Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"° GC Government Code (California) EL Electronic N� H Historical 9 H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp yp IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; = MA Maturity LC Labor Code (California) FCT�"G EN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records THE OMB Office of Management & Budget S Superseded can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) Sp Separated * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Contracts, Purchasing & Materials USC United States Code V vital their destruction term all copies and duplicates must be destroyed WC Water Code along with the original, regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) GC §60201 ; GC §34090; Warehouse Materials Management Records CCP §337, SOS c29 Now Kept in CPM007 Includes Disposal of Surplus Assets 4 Database. Paper records 4 years; Database indefinite. Warehouse Records CCP §337; Now Kept in Database. Paper CPM008 Sales Orders, Discrepancies, Add To Stores, Receivers, Return To Vendors (RTV), Shipping 4 records 4 years; Database indefinite. Records, Inventories 5 Contracts, Purch. & Materials Adopted: GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official N1� SAN„q EC Elections Code (California) EX Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"° GC Government Code (California) EL Electronic N� H Historical 9 H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp yp IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; = MA Maturity LC Labor Code (California) FCT�"G EN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records THE OMB Office of Management & Budget S Superseded can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) Sp Separated * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Engineering USC United States Code V vital their destruction term all copies and duplicates must be destroyed WC Water Code along with the original, regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) ENG001 Aerials LO GC §60201 , GC §34090 (Includes Plans & Photos) Bid Package ENG002 Published Packet - Info for Bidders, Sample Contract Agreement, Specifications, Drawings, CL+6 GC §60201 Addenda's Issued During Bidding ENG003 Bid Submittal Forms CL+6 GC §60201 ENG004 CEQA / NEPA Documents: Prepared by others for NON OCSD Projects NN GC §60201 Environmental Impact Reports (EIRs), Environmental Assessments, Negative Declarations, etc. CEQA / NEPA Documents: Prepared for District Purposes ENG005 Environmental Impact Reports (EIRs), Environmental Assessments, Negative Declarations, LO GC §60201 ; 14 CCR §15095(c) Environmental Impact Report Documents, Comment Card, Meeting Agenda, Notice of Preparation (NOP), etc.) ENG006 Drawings - Bid Set CL+6 V GC §60201 6 Engineering Adopted: GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official N1� SAN„q EC Elections Code (California) Ex Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"° GC Government Code (California) EL Electronic N� H Historical 9 H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp yp IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; = MA Maturity LC Labor Code (California) FCT�"G EN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records THE OMB Office of Management & Budget S Superseded can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) Sp Separated * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Engineering USC United States Code V vital their destruction term all copies and duplicates must be destroyed WC Water Code along with the original, regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) GC §60201 ; Superseded by the record ENG007 Drawings - Conformed Set S V drawings. If no record drawings are issued, the conformed set is kept for Life of Organization. ENG008 Drawings - Record LID V GC §60201 ENG009 Drawings - Shop LID V GC §60201 ENG010 Encroachment Permits LF GC §60201 et seq.; GC §34090. Retain for Life of the Permit Engineering Project File - Facility Records CCP §337 et. seq., GC §60201 ; Capital Board Letters (copy), Change Orders, Consultant Proposals (Successful), Engineering Reports, Improvement Projects (CIP) are to be Pipeline Extensions, Final Record Drawings, Inspection Pictures, Inspection Reports, retained for Life of Organization. Non CIP Instrumentation Testing, Mechanical Testing Material Testing, Notifications, Permits (Design, ENG011 LID V Project Files are Closed + 6. Some Environmental), Photos, Preliminary Design Report (PRD), Progress Payments, Project Budget, administration files may be kept longer Project Schedule, Rights of Way / Easements, Soils, Geotechnical Reports, Specifications - based on business value and contractual Conformed/ Record, Submittals, Surveys, Studies, Videos Post and Pre Construction, CAD or funding agreements. Files, Engineer's Calculation Files 7 Engineering Adopted: GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official N1� SAN„q EC Elections Code (California) EX Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"° GC Government Code (California) EL Electronic N� H Historical 9 H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp yp IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; = MA Maturity LC Labor Code (California) FCT�"G EN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records THE OMB Office of Management & Budget S Superseded can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) Sp Separated * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Engineering USC United States Code V vital their destruction term all copies and duplicates must be destroyed WC Water Code along with the original, regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) Engineering Project File CCP §337 et. seq., GC §60201 ; Capital Agreements / Contracts (Non-CIP and Copies), As-Built/Field Mark-Up Drawing, Project Improvement Projects (CIP) are to be Administration, Bid Summary, Bonds, Certificate Payroll, Grant Documents, Errors & Omissions, CL+g retained for Life of Organization. Non CIP ENG012 Insurance Certificates, Punch Lists, Bid Bonds (returned), Bond Copies of Drawings, Consultant Project Files are Closed + 6. Some files Proposals (Unsuccessful), Correspondence, Engineer's Estimates, Memoranda, Permits may be kept longer based on business (Construction & Street Opening), Phone Message Log, Preliminary Notices, Project Schedules, value and contractual or funding Real Estate Appraisals, Requests for Information, Stop Notices - Claims, Transmittal Letters, agreements. Land Records GC §60201 ; Originals Kept in Board ENG013 Grant Deeds, Quick Claim Deeds, Utility Agreement, Will Serve Letter, Easements, Annexations, LO V H Services Land Agreements, Etc. ENG014 Master Plans and Strategic Plans LO V H GC §60201 et seq. ENG015 Permits - Sewer Connection & Trunk Sewer Connection LO V 40 CFR 122.28; 40 CFR 122.41 ; GC §60201 et seq. ENG016 Reports & Studies - Final LO GC §60201 et seq. 8 Engineering Adopted: GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official Nj� SAN„q EC Elections Code (California) EX Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"° GC Government Code (California) EL Electronic N� H Historical 9 H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp yp IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; = MA Maturity LC Labor Code (California) FCT�"G EN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records THE OMB Office of Management & Budget S Superseded can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) Sp Separated * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Engineering USC United States Code V vital their destruction term all copies and duplicates must be destroyed WC Water Code along with the original, regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) ENG017 Sewer Line Records LO V GC §60201 Atlas, Videos, Maps, Etc. ENG018 Specifications - Bid Set CL+6 V GC §60201 ENG019 Specifications - Conformed/ Record LO V GC §60201 ENG020 Utility Requests 3 GC §60201 ENG021 USA Alerts 3 GC §60201 9 Engineering Adopted: GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official Nj� SAN„q EC Elections Code (California) EX Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"° GC Government Code (California) EL Electronic N� H Historical 9 H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp yp IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; = MA Maturity LC Labor Code (California) FCT"G EN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records THE OMB Office of Management & Budget S Superseded can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) Sp Separated * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Environmental Compliance USC United States Code V vital their destruction term all copies and duplicates must be destroyed WC Water Code along with the original, regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) ECDO01 Air Quality & AQMD Files 7 CCP §338(k); SOS c27 Testing Reports and Permit Applications ECDO02 AQMD Permits LO GC §60201 Various Equipment and Engines Operation Biosolids Management Records 40 CFR §503.17; 40 CFR §122.410)(2); 40 ECD003 Biosolids Hauling, Use, EMS Activities LO CFR §122.21 ; SOS c47 ECDO04 Environmental Audit Records LO GC §60201 Conducted By OCSD ECDO05 Environmental Audit Records LO GC §60201 ; SOS c27 External Audits Conducted By Outside Agencies ECDO06 Environmental Audit Records LO GC §60201 Internal Audits Within OCSD 10 Environmental Compliance Adopted: GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official Nj� SAN„q EC Elections Code (California) EX Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"° GC Government Code (California) EL Electronic N� H Historical 9 H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp yp IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; = MA Maturity LC Labor Code (California) FCT�"G EN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records THE OMB Office of Management & Budget S Superseded can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) Sp Separated * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Environmental Compliance USC United States Code V Vital their destruction term all copies and duplicates must be destroyed WC Water Code along with the original, regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) ECDO07 Permittees Files CL+3 40 §CFR 122.410)(2), §403.12(o) Discharge Permits and Urban Runoff ECDO08 Underground Storage Tanks LO 23 CCR §2772; SOS c33 ECDO09 Waste Hauler Manifests 3 40 CFR §403.12(o)(v)(2) ECDO10 Permits, NPDES LO V 40 CFR §122.410)(2), 40 CFR §403.12(o) 11 Environmental Compliance Adopted: GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official Nj� SAN„q EC Elections Code (California) EX Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"° GC Government Code (California) EL Electronic N� H Historical 9 H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp yp IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; = MA Maturity LC Labor Code (California) FCT�"G EN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records THE OMB Office of Management & Budget S Superseded can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) Sp Separated * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Environmental Lab & Ocean Monitoring USC United States Code V vital their destruction term all copies and duplicates must be destroyed WC Water Code along with the original, regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) EL0001 Chain of Custody - Laboratory 7 GC §60201 EL0002 Laboratory Records LO GC §34090.7, SOS c22 Data Logs, Lab Equipment Maintenance and Sterilization Data Packet - Analytical Chemistry & Metals EL0003 QA QC Reports, Final Processed Data Copies, Raw Data, LIMS Reports, Extraction Sheets, 7 GC §60201 Comments & Corrective Actions EL0004 Unprocessed Instrumentation Files LO GC §60201 ; Database is Indefinite EL0005 Lab Reports LO GC §60201 Compliance, DMRs, Annual Reports, etc. EL0006 Lab Database LO GC §60201 ; Database is Indefinite EL0007 Published Articles LO GC §60201 12 Envir. Lab & Ocean Monitoring Adopted: GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official Nj� SAN„q EC Elections Code (California) EX Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"° GC Government Code (California) EL Electronic N� H Historical 9 H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp yp IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; = MA Maturity LC Labor Code (California) FCT�"G EN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records THE OMB Office of Management & Budget S Superseded can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) Sp Separated * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Environmental Lab & Ocean Monitoring USC United States Code V vital their destruction term all copies and duplicates must be destroyed WC Water Code along with the original, regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) EL0008 Lab SOP's LO GC §60201 EL0009 OMP Field Datasheets LO GC §60201 13 Envir. Lab & Ocean Monitoring Adopted: GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official Nj� SAN„q EC Elections Code (California) EX Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"° GC Government Code (California) EL Electronic N� H Historical 9 H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp yp IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; = MA Maturity LC Labor Code (California) FCT"G EN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records THE OMB Office of Management & Budget S Superseded can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) Sp Separated * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Financial Services & Administration USC United States Code V vital their destruction term all copies and duplicates must be destroyed WC Water Code along with the original, regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) FAD001 Accounting Reports 4 GC §60201 ; SOS a1 FAD002 Accounts Payable Files 7 GC §60201 (d)(1 2); SOS c29 Vendor and Contractor Invoices, Bills, Statements, Any Non-Discharged Debt FAD003 Accounts Receivable Files 7 V GC §60201 (d)(1 2); CCP § 337 et seq.; SOS c29 FAD004 Annual Report - Financial LO GC §60201 ; SOS c30 Audit Records FAD005 Annual Reports, Financial Statements, Audit Management Letters Comprehensive Annual LO GC §60201 et seq. Financial Report (CAFR) FAD006 Bank Signature Cards S+5 GC §60201 ; Retain for 5 years after superseded Banking Records FAD007 Deposit Receipts, Bank Statements, Checking Account Reconciliation, Cash Transfer Report, 6 GC §60201 ; SOS c29 Adjustments - Returned Checks (NSF), Etc. 14 Financial Services & Admin. Adopted: GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official N1� SAN„q EC Elections Code (California) Ex Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"° GC Government Code (California) EL Electronic N� H Historical 9 H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp yp IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; = MA Maturity LC Labor Code (California) FCT"G EN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records THE OMB Office of Management & Budget S Superseded can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) Sp Separated * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Financial Services & Administration USC United States Code V vital their destruction term all copies and duplicates must be destroyed WC Water Code along with the original, regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) Bonds CCP §336(a), § 337.5; GC §43900 et seq.; FAD008 Certificates of Participation, Transcripts, Disclosure Reports, Registers, Issue Records LO V GC §60201 et seq. Determination of Allocation FAD009 Budgets (Adopted) LO V GC §60200; Vital During Current FY FAD010 Budgets vs Actual 5 GC §60201 ; §34090; SOS c29 Supporting Documentation Summaries, Worksheets, Goals and Objectives, Milestones FAD011 Check Records 7 GC §60201 (d)(1 2); CCP §337; SOS c29 Cancelled Payroll Checks, Voided Copies For Automatic Deposits, Registers, Requests FAD012 Capital Facility Capacity Chargers (CFCC) 7 GC §60201 (d)(1 2); CCP §337; SOS c29 FAD013 Expense Reports 7 GC §60201 (d)(12); CCP §337, SOS a1 FAD014 Financial Statements 10 SOS c39 15 Financial Services & Admin. Adopted: GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CFR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official Nj� SAN„q EC Elections Code (California) Ex Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"° GC Government Code (California) EL Electronic N� H Historical 9 H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp yp IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; = MA Maturity LC Labor Code (California) FCT"G EN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records THE OMB Office of Management & Budget S Superseded can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) Sp Separated * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Financial Services & Administration USC United States Code V vital their destruction term all copies and duplicates must be destroyed WC Water Code along with the original, regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) FAD015 Financial System Indefinite Data Fields / Records are interrelated; GC ERP Database, Access Database, Utility Billing §60201 FAD016 Fixed Asset Records LF V SOS c29; Life of Asset FAD017 General Ledger LO V SOS c29 FAD018 Investment Records LO GC §34090; CCP §337; GC §53607; SOS c30 FAD019 Journal Entries LO GC §60201 ; CCP §337; SOS c29 FAD020 Local Resources Program Reports (LRP) / Water Certifications LO GC §60201 FAD021 OCERS File 7 GC §60201 (d)(1 2); 29 CFR §516.6(a)(1 ) Copies of OCERS payments, statements, etc. 16 Financial Services & Admin. Adopted: GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CFR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official Nj� SAN„q EC Elections Code (California) EX Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"° GC Government Code (California) EL Electronic N� H Historical 9 H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp yp IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; = MA Maturity LC Labor Code (California) FCT"G EN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records THE OMB Office of Management & Budget S Superseded can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) Sp Separated * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Financial Services & Administration USC United States Code V vital their destruction term all copies and duplicates must be destroyed WC Water Code along with the original, regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) FAD022 OCERS Retirement Report LID GC §60201 (d)(1 2); 29 CFR §516.6(a)(1 ); Business Value Payroll Records GC §60201 (d)(1 2); CCP §337; 29 CFR FAD023 Timesheets, Payroll Registers and Reports, Unemployment Claims, Garnishments, Payment Of 7 V §§516.5, 516.6(a)(1 ); IRS Reg. §31 .6001 - Labor Costs Including Salaries, Wages, Compensation and Deductions For Employees, Board 1 (e)(2); 26 CFR §1 .6001 -1 ; R&T §19530 Members and Contractors, (DE-6 & 941 Forms - Quarterly and Annual Payroll Tax Returns) FAD024 Petty Cash Records 4 GC §60201 (d)(12); CCP §337; SOS a1 FAD025 Rate Studies 10 GC §60201 ; Business Value FAD026 Rebates and Refunds 7 GC §60201 Sewer Service Fees FAD027 State Controllers Reports 5 GC §60201 17 Financial Services & Admin. Adopted: GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CFR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official Nj� SAN„q EC Elections Code (California) Ex Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"° GC Government Code (California) EL Electronic N� H Historical 9 H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp yp IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; = MA Maturity LC Labor Code (California) FCT�"G EN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records THE OMB Office of Management & Budget S Superseded can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) Sp Separated * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Financial Services & Administration USC United States Code v vital their destruction term all copies and duplicates must be destroyed WC Water Code along with the original, regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) FAD028 Tax Records - Employee 7 V 29 CFR §516.5; SOS c30 FAD029 Tax Records - Vendor CL+6 GC §60201 FAD030 Trial Balance Records 3 SOS c29 IRS Reg. §31 .6001 -1 (e)(2); RUC §19530; FAD031 W-2's, 1099R Annual Information Returns for Employee and Retirees 7 29 CFR §516.5 - 516.6; 29 USC §436; GC §60201 (d)(1 2); 29 CFR §31 .605-1 , §31 .600-1 (d) 18 Financial Services & Admin. Adopted: GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official Nj� SAN„q EC Elections Code (California) Ex Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"° GC Government Code (California) EL Electronic N� H Historical 9 H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp yp IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; = MA Maturity LC Labor Code (California) FCT�"G EN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records THE OMB Office of Management & Budget S Superseded can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) Sp Separated * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Fleet Facilities Support Services USC United States Code V vital their destruction term all copies and duplicates must be destroyed WC Water Code along with the original, regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) FSS001 Collection Systems Records 6 GC §60201 ; Business Value Problem Reports and Customer Complaints FSS002 Facility Maintenance & Repair LF+2 GC §60201 ; Life of Asset + 2 years FSS003 Generator Operation Logs & Inspections 3 GC §34090 Fixed or Stationary FSS004 Pressure Vehicle CNG Tank Certifications or Permits, Inspections LF Department Preference; GC §34090 et. seq.; Life of Asset FSS005 Vehicle Smog Check Inspection Report 5 Department preference; GC §60201 FSS006 Bit Inspection (CHP Commercial Vehicle Inspection) LF+2 49 CFR §396.11 (c)(2); GC §60201 ; Life of the Vehicle + 2 years Certifications Department Preference; 8 CCR FSS007 Mobile Crane, Vehicles, etc. 5 §14300.33(a); GC §60201 et seq.; LC §6429c 19 Fleet Facilities Support Srvs Adopted: GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official Nj� SAN„q EC Elections Code (California) EX Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"° GC Government Code (California) EL Electronic N� H Historical 9 H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp yp IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; = MA Maturity LC Labor Code (California) FCT�"G EN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records THE OMB Office of Management & Budget S Superseded can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) Sp Separated * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Fleet Facilities Support Services USC United States Code V vital their destruction term all copies and duplicates must be destroyed WC Water Code along with the original, regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) OSHA records are required to be FSS008 Chain of Custody 5 for 5 years; 8 CCR § 4300 33(a); GCined Source Control, Spilt Sample §60201 et seq.; SOS c21 FSS009 Collection System Process Data LID GC §60201 ; Business Value Pump Station, CRISP FSS010 Inspection Reports & Photos - Manhole 10 GC §60201 ; SOS c45 FSS011 Sewer Line Maintenance Files 10 GC §60201 Vehicle Inspection & Equipment Checks Files 49 CFR §396.11 (c)(2);49 CFR FSS012 Daily Safety Checks, Pre-Starts, Commercial Vehicle Pre-Starts and Forklift Inspections, Pre- 4 §396.21 (b)(1 ); GC §60201 ; GC §34090 Trip Inspections, CHP Inspections, Daily Vehicle Inspections, Daily Equipment Checks 8 CCR § 3203(b)(1 ); 49 CFR §396.21 (b)(1 ); 49 CFR §396.3(c); CCP Vehicle Records §337 et. Seq.; GC §34090; Vehicle FSS013 Equipment Files, Maintenance, Registrations, Vehicle Titles ("Pink Slips"), Vehicle Citations LF+2 Titles/Pink Slips are transferred to new owner upon sale of vehicle all other records are retained until Disposal of Vehicle or Equipment + 2 years 20 Fleet Facilities Support Srvs Adopted: GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official Nj� SAN„q EC Elections Code (California) Ex Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"° GC Government Code (California) EL Electronic N� H Historical 9 H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp yp IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; = MA Maturity LC Labor Code (California) FCT�"G EN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records THE OMB Office of Management & Budget S Superseded can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) Sp Separated r Secretary of State T Terminated not require prior authorization. "When original records have reached General Managers Office sos V Vital USC United States Code their destruction term all copies and duplicates must be destroyed WC Water Code along with the original, regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) GM0001 Annual OCSD Reports LID V GC §60201 GM0002 Blast Development Records LID GC §60201 ; Non-Historical photos can be Research Material, Timeline, Photos deleted when no longer needed. GM0003 Blast Procedures S GC §60201 GM0004 Blast Professional Development Articles (From External Sources) NN GC §60201 ; Can submit for destruction when no longer has business value Blast Program Files 2 GC §60201 ; Destroy Quarterly Reports GM0005 Minutes, Marketing Material, Evaluations, Quarterly Reports when superseded plus 2 years Blast Working Documents Non-record; GC §60201 ; Can submit for GM0006 Member Rosters - Active and Inactive NN destruction when no longer has business value GM0007 GM Monthly Reports 2 GC §60201 21 General Manager's Office Adopted: GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official N1� SAN„q EC Elections Code (California) Ex Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"° GC Government Code (California) EL Electronic N� H Historical 9 H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp yp IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; = MA Maturity LC Labor Code (California) FCT�"G EN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records THE OMB Office of Management & Budget S Superseded can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) Sp Separated r Secretary of State T Terminated not require prior authorization. "When original records have reached General Managers Office sos V Vital USC United States Code their destruction term all copies and duplicates must be destroyed WC Water Code along with the original, regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) GM0008 Historical Records LO H GC §60201 GM0009 Meeting Files - Executive Management Team (EMT) 2 GC §60201 Agenda, Minutes, Agenda Report, Handouts GM0010 Public Record Act Requests CL 2 GC §60201 GM0011 Records Destruction Records LO GC §60201 Approvals, Certificates, Requests GM0012 Records Management Annual Audits S+3 GC §60201 Inventory, Storage, Destruction, etc. Records Management Project Files GC §60201 ; SOS c23; Can submit for GM0013 NN destruction when no longer has business value CCP §343; SOS c23 Enacted by Board GM0014 Records Retention Schedules LO V Resolution and retained Indefinitely. Includes schedule amendments. 22 General Manager's Office Adopted: GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official Nj� SAN„q EC Elections Code (California) EX Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"° GC Government Code (California) EL Electronic N� H Historical 9 H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp yp IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; = MA Maturity LC Labor Code (California) FCT�"G EN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records THE OMB Office of Management & Budget S Superseded can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) Sp Separated r Secretary of State T Terminated not require prior authorization. "When original records have reached General Managers Office sos V Vital USC United States Code their destruction term all copies and duplicates must be destroyed WC Water Code along with the original, regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) GC §60201 ; Can submit for destruction GM0015 Speeches and Presentation NN H when no longer has business value; Some records may be kept for historical value GM0016 Travel Records 7 GC §60201 23 General Manager's Office Adopted: GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official Nj� SAN„q EC Elections Code (California) EX Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"° GC Government Code (California) EL Electronic N� H Historical 9 H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp yp IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; = MA Maturity LC Labor Code (California) FCT"G EN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records THE OMB Office of Management & Budget S Superseded can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) Sp Separated * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Human Resources USC United States Code V vital their destruction term all copies and duplicates must be destroyed WC Water Code along with the original, regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) HRD001 Class Specifications LO 29 CFR §1627.3; GC §12946; GC §60201 ; Compensation Studies, Surveys, Salary Surveys, etc. SOS c21 HRD002 Contracts - Temporary Employees CL+7 CCP §§336(a); 337 et. seq.; GC §60201 ; SOS c22, CCP §343 HRD003 Deferred Compensation Records LO V 26 CFR §16001 -1 ; 29 CFR §1627.3; SOSc30 District Benefit Contracts & Benefit Plans / Insurance Policies 9 CFR §1627.3(b)(2); 29 USC §1027; 11 HRD004 Health, Dental, Deferred Compensation, Pension, etc. T+5 CCR §560; 28 CCR §1300.85.1 ; GC §60201 HRD005 EEO-4 Reports and Files 3 29 CFR §1602.30 Documents Required to Generate EEO-4 Report, Self-Identification Form, etc. Employee & Labor Relations Files 29 CFR §516.5; GC §12946; sops c20; GC HRD006 Memorandums of Understanding (MOU), Arbitration, Grievances, Union Requests, Employee LO §60201 ; 29 CFR §1602.31 ; 29 CFR Rights, Appeals, Investigations, PIP, Disciplinary Actions and Complaints, Sexual Harassment, §1627.3(b)(1 )(ii); SOS c20 Civil Rights, etc. 24 Human Resources Adopted: GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official Nj� SAN„q EC Elections Code (California) Ex Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"° GC Government Code (California) EL Electronic N� H Historical 9 H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp yp IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; = MA Maturity LC Labor Code (California) FCT"G EN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records THE OMB Office of Management & Budget S Superseded can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) Sp Separated * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Human Resources USC United States Code V vital their destruction term all copies and duplicates must be destroyed WC Water Code along with the original, regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) Employee Benefit Plans and Programs CG §12946; GC §60201 ;GC HRD007 Health Insurance, Tuition Reimbursement, Supplemental Life Insurance, Thrift Plans, LO §60201 (d)(12); 29 CFR §1627.3(b)(2); 29 Beneficiary Designations, Eligibility, Change Request, Salary Deduction Records, etc. CFR §§1602.30, 32; Labor Code §1197.5 HRD009 Human Resources / ERP Database Indefinite Data Fields / Records are interrelated; GC §60201 ; JDE Database 8 USC §1324a(b)(3)(B); 8 CFR HRD010 1-9 Forms T+3 §1274a.2(b)(2)(i)(A). Medical File 8 CCR §3204(d)(1 ) et seq., GC §§12946, HRD011 Fitness for Duty, Leaves of Absence, etc. T+30 V 60201 ; Filed separately. Vital until separation HRD012 Organization Charts LO GC §60201 et seq. Personnel Files 29 CFR §1602.31 & §1627.3(b)(ii), 8 CCR Includes Application, Awards, Disciplinary Actions, Certifications, Commendations, Employment §3204(d)(1 ) et seq., GC §§12946, 60201 ; HRD013 T+7 V C 29 USC §1113. Vital until separation. Verifications, Evaluations, Licenses, Status Change Forms, Policy acknowledgements, Waiver Excludes Medical Records see Retention of responsibility for voluntary activities, etc. Code HRD011 25 Human Resources Adopted: GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official Nj� SAN„q EC Elections Code (California) EX Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"° GC Government Code (California) EL Electronic N� H Historical 9 H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp yp IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; = MA Maturity LC Labor Code (California) FCT�"G EN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records THE OMB Office of Management & Budget S Superseded can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) Sp Separated * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Human Resources USC United States Code V vital their destruction term all copies and duplicates must be destroyed WC Water Code along with the original, regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) 29 CFR §1602 et seq & §1627.3(a)(b), 2 Recruitment Records CCR §7287.0(c)(2), 8 CCR HRD014 Solicited - Not Hired Applications, Advertisements, Job Brochures, Test Data, Rating Sheets, CL+3 §11040, GC §§12946 Database Neogov Questions, Eligibility Lists, Reference Checks, etc. Indefinite. Retention begins after hiring decision. Training Records GC §60201 , SOS c21 ; Data Fields / HRD015 Class Attendance Sheets, Schedules, Classes Offered, Curriculum or Syllabus, and Training Indefinite Records are interrelated; Training Materials Development Database Indefinite; Non-database paper personnel training records TE+7 26 Human Resources Adopted: GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official Nj� SAN„q EC Elections Code (California) EX Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"° GC Government Code (California) EL Electronic N� H Historical 9 H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp yp IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; = MA Maturity LC Labor Code (California) FCT�"G EN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records THE OMB Office of Management & Budget S Superseded can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) Sp Separated * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Information Technology USC United States Code V vital their destruction term all copies and duplicates must be destroyed WC Water Code along with the original, regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) ITDO01 Access Authorization Forms T+3 GC §60201 ITDO02 Cabling Specs and Test Results LF+1 GC §60201 ITDO03 Computer System Administrative Records LF+2 V SOS c22; Life of System GIs (Geographic Information System) Database Data is interrelated; GC §60200; GC ITD004 Layers S §60201 et seq. ITDO05 Information Logs 3 GC §60201 Internet, Phone, Badge, Visitors ITDO06 IT Help Desk System 3 GC §60201 Service Tickets and Service Requests Retain until it no longer has business ITDO07 Network Diagrams/ System Configurations/ Maps/ Plans NN value; GC §60201 ; GC §34090 et seq.; CCP §337.2, CCP §343 27 Information Technology Adopted: GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official Nj� SAN„q EC Elections Code (California) EX Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"° GC Government Code (California) EL Electronic N� H Historical 9 H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp yp IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; = MA Maturity LC Labor Code (California) FCT"G EN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records THE OMB Office of Management & Budget S Superseded can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) Sp Separated * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Information Technology USC United States Code V Vital their destruction term all copies and duplicates must be destroyed WC Water Code along with the original, regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) ITDO08 Physical Inventory Database NN Retain until it no longer has business value; GC §60201 ; GC §34090 et seq. ITDO09 Software & IT Manuals S+1 GC §60201 ITDO10 Software Application Files S V GC §60201 ; Superseded With Version Updates ITD011 Source Code T+2 GC §60201 ; GC §34090 et seq.; Kept in Escrow System Documentation Retain until it no longer has business ITDO12 Network Design, Instruction, Licenses, License Codes, Agreements T+2 value; GC §60201 ; GC §34090 et seq.; Until system is no longer operational ITDO13 System Log (Database) S Until superseded or overwritten ITDO14 System Maintenance 2 GC §60201 ; GC §34090 et seq. Infrastructure; Alarm, Door Security System 28 Information Technology Adopted: GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official Nj� SAN„q EC Elections Code (California) EX Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"° GC Government Code (California) EL Electronic N� H Historical 9 H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp yp IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; = MA Maturity LC Labor Code (California) FCT�"G EN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records THE OMB Office of Management & Budget S Superseded can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) Sp Separated * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Information Technology USC United States Code V vital their destruction term all copies and duplicates must be destroyed WC Water Code along with the original, regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) Retain until it no longer has business value ITDO15 System Security Database S or until overwritten; GC §60201 ; GC §34090 et seq. ITDO16 Two-Way Radio Licensing and Information EX+2 GC §60201 ITDO17 Video Surveillance Files 1 GC §§53160, 53161 ITDO18 Virtual Computer Files 90 days V GC §34090.7; SOS c22; Replicated for disaster recovery purposes 29 Information Technology Adopted: GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official Nj� SAN„q EC Elections Code (California) EX Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"° GC Government Code (California) EL Electronic N� H Historical 9 H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp yp IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; = MA Maturity LC Labor Code (California) FCT�"G EN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records THE OMB Office of Management & Budget S Superseded can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) Sp Separated * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Operations & Maintenance USC United States Code V vital their destruction term all copies and duplicates must be destroyed WC Water Code along with the original, regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) OMD001 Chemical Inventory Records 1 GC §60201 Delivery, Transfer, Usage, Manifest Worksheet and Inventory Logs OMD002 Complaint Files and Problem Reports 2 GC §60201 Related to Organizations Operations OMD003 Confined Space Entries 3 40 CFR §122.410)(2) OMD004 Flow Records LO GC §60201 OMD005 Logs - Control Center Plant Operations 30 V GC §60201 Logs OMD006 Operations Monthly Logs, Inspector Diaries, Control Center Visitor Logs 3 V GC §60201 OMD007 Monthly Reports 2 GC §60201 Operating and Status Reports 30 Operations & Maintenance Adopted: GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official Nj� SAN„q EC Elections Code (California) EX Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"° GC Government Code (California) EL Electronic N� H Historical 9 H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp yp IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; = MA Maturity LC Labor Code (California) FCT�"G EN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records THE OMB Office of Management & Budget S Superseded can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) Sp Separated * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Operations & Maintenance USC United States Code V vital their destruction term all copies and duplicates must be destroyed WC Water Code along with the original, regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) OMD008 O&M Policies & Procedures S+10 GC §60201 OMD009 Operating Journals 2 GC §60201 Round Sheets, Alarm summary, Operations Round Sheets, Midnight Readings, etc. OMD010 Operating Records 5 GC §60201 Ill (hard copy), AS Plant Reports, Operators Schedules OMD011 Process Data LO GC §60201 Includes Electronic MSO's and TPODS OMD012 Reference Files S GC §60201 OMD013 Speeches/Presentations NN GC §60201 31 Operations & Maintenance Adopted: GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official Nj� SAN„q EC Elections Code (California) EX Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"° GC Government Code (California) EL Electronic N� H Historical 9 H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp yp IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; = MA Maturity LC Labor Code (California) FCT"G EN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records THE OMB Office of Management & Budget S Superseded can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) Sp Separated * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Public Affairs USC United States Code V vital their destruction term all copies and duplicates must be destroyed WC Water Code along with the original, regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) PA0001 Education Curriculum S+2 GC §60201 ; Destroy 2 years after Sewer Science, Water Festival, etc. superseded PA0002 Outreach/Event File S+g GC §60201 Tour Documentation, RSVP's, sign-in sheets, etc. PA0003 Marketing Material NN GC §60201 ; SOS c19 Flyers, Brochures, Newsletters, Email Blasts, etc. PA0004 Photos & Videos LO GC §60201 ; Non-Historical Photos can be deleted when no longer needed. PA0005 Presentations and Supporting Documents NN GC §60201 ; SOS c24 (Includes PowerPoints) PA0006 Press/Media Releases LO GC §60201 ; SOS c40 PA0007 Publication Proofs - Non Board Related General Marketing 2 GC §60201 ; SOS c24 32 Public Affairs Adopted: GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official Nj� SAN„q EC Elections Code (California) EX Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"° GC Government Code (California) EL Electronic N� H Historical 9 H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp yp IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; = MA Maturity LC Labor Code (California) FCT�"G EN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records THE OMB Office of Management & Budget S Superseded can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) Sp Separated * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Public Affairs uSC United States Code V vital their destruction term all copies and duplicates must be destroyed WC Water Code along with the original, regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) PA0008 Website Content Indefinite GC §60201 PA0009 Employee Events LO GC §60201 Agency Awards, Recognitions, Announcements PA0010 Legislative Files LO GC §60201 Letters of Support, Opposition, Plan Consolidation PA0011 Social Media Posts LO GC §60201 Facebook, Twitter, YouTube, Instagram, Etc. 33 Public Affairs Adopted: GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official Nj� SAN„q EC Elections Code (California) Ex Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"° GC Government Code (California) EL Electronic N� H Historical 9 H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp yp IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; = MA Maturity LC Labor Code (California) FCT�"G EN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records THE OMB Office of Management & Budget S Superseded can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) Sp Separated * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Risk Management & Safety USC United States Code V Vital their destruction term all copies and duplicates must be destroyed WC Water Code along with the original, regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) RMS001 Certificate of Insurance P V CCP §337.15; SOS c25 29 CFR §1627.3(b)(v); 49 CFR §382.401 RMS002 DOT Random Drug & Alcohol Test Records 5 et seq.; GC §12946, GC §60201 ; 49 CFR §653.71 et seq. RMS003 Emergency Exercises & Drills, After Action Reports NN GC §60201 RMS004 Emergency Response & Disaster Recovery Files S V GC §60201 RMS005 EOC Activation Notifications & Records CL+2 V GC §60201 Industrial Hygiene & Safety Files RMS006 Hazard Assessments, Site Assessments, Industrial Hygiene Reports, Surveys, Audits, TE+30 8 CCR §3204; 29 CFR §1910 Ergonomics, Air Sampling, Noise Testing and Workplace Contaminants RMS007 Medical Files - Occupational TE+30 8 CCR §3204; 29 CFR §1910 34 Risk Management & Safety Adopted: GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official Nj� SAN„q EC Elections Code (California) EX Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"° GC Government Code (California) EL Electronic N� H Historical 9 H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp yp IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; = MA Maturity LC Labor Code (California) FCT"G EN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records THE OMB Office of Management & Budget S Superseded can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) Sp Separated * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Risk Management & Safety USC United States Code V vital their destruction term all copies and duplicates must be destroyed WC Water Code along with the original, regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) RMS008 OSHA Compliance Records P OMB 1220-0029; 29 CFR §1904.4; SOS Citations, Appeals Related, Correspondence, etc. a2 RMS009 Risk Management Reports CL+5 OMB 1220-0029; 29 CFR §1904.4; SOS c24 RMS010 Risk & Safety Committee and Meeting Documents 2 8 CCR §3203 et seq.; GC §60201 et seq. CCR §14311 ; §15400.2; LC §110-139.6; RMS011 Workers Compensation Files P SOS c24 OSHA Inspections & Citations 8 CCR §14300.33(a); 29 CFR §1904.33, RMS012 300 & 301 Logs CY+7 29 CFR §1904.44; GC §60201 et seq.; LC §6429c RMS013 Photos & Videos P GC §60201 OSHA Investigations, Vehicle, Accidents, Workers Comp, Ergonomics, etc. RMS014 Accident & Incident Records 7 GC §60201 ; CCP §338; CFR §1904.6; Includes Physician and Status Reports SOS c25 35 Risk Management & Safety Adopted: GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official Nj� SAN„q EC Elections Code (California) EX Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"° GC Government Code (California) EL Electronic N� H Historical 9 H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp yp IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; = MA Maturity LC Labor Code (California) FCT�"G EN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records THE OMB Office of Management & Budget S Superseded can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) Sp Separated * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Risk Management & Safety USC United States Code V Vital their destruction term all copies and duplicates must be destroyed WC Water Code along with the original, regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) RMS015 Asbestos & Lead Abatement Records P GC §60201 ; CCR §1529(n)6 RMS016 Business Plans, Hazardous Materials Inventory, Disclosures 5 GC §60201 ; 40 §CFR 122.21 (p) 8 CCR §14300.33(a); 29 CFR §1904.33, RMS017 Calibration Gas Detectors Annual Recertification 5 29 CFR §1904.44; GC §60201 et seq.; LC §6429c RMS018 Confined Space Records 3 8 CCR §5156-5158 8 CCR §3204(d)(1 ) et seq.; 40 CFR Hazardous Waster Records §122.410)(2) & 40 CFR §141 .33(b); 22 RMS019 Manifests, Disposals, Recyclable Non Hazardous Waste Material, Batteries, etc. P V CCR §64453(a); GC §§12946, 60201 ; CCR §§ 66262.40(a), 66264.71 (b)(6), SOS c47 RMS020 HazMat Permits, Environmental Health Permits p GC §60201 Bulk Chemicals, Fire, UST, Battery Storage, etc. 36 Risk Management & Safety Adopted: GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official Nj� SAN„q EC Elections Code (California) EX Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"° GC Government Code (California) EL Electronic N� H Historical 9 H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp yp IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; = MA Maturity LC Labor Code (California) FCT"G EN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records THE OMB Office of Management & Budget S Superseded can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) Sp Separated * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Risk Management & Safety USC United States Code V Vital their destruction term all copies and duplicates must be destroyed WC Water Code along with the original, regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) RMS021 Safety Data Sheets (SDS) P V 8 CCR §5194; 29 CFR §1910 RMS022 Respirator Inventory & Maintenance 2 GC §60201 ; 8 CCR §5144(m) 8 CCR §14300.33(a); 29 CFR §1904.33, RMS023 Safety Inspections, Safety Logs 7 29 CFR §1904.44; GC §60201 et seq.; LC §6429c RMS024 Training Records - Safety TE+7 SOS c21 ; GC §60201 (Mirrors Employee Rosters, Syllabus, Schedule, Curriculum Material Only Training Records TE+7) RMS025 Training Database P GC §60201 ; Records in Cornerstone Database are Indefinite RMS026 Radiation License & Disposal Records P GC §60201 RMS027 Job Site Safety Analysis (JSSA), Job Hazard Analysis (JHA), Hot work Permits 2 GC §60201 37 Risk Management & Safety Adopted: GENERAL RETENTION SCHEDULE INFORMATION Orange County Sanitation District CITATION CODES: RETENTION CODES: Any Public Records Act requests, litigation, audits, claims and Records Retention Schedule CCP Code of Civil Procedure (California) C Confidential investigations suspends the stated retention periods. Authorization and CCR California Code of Regulations CL CFR Code of Federal Regulations Closed or Completed proper destruction methods are required prior to destroying all official Nj� SAN„q EC Elections Code (California) EX Expired or Expiration records as stated in the District's Records Retention Policy. °°°� °"° GC Government Code (California) EL Electronic N� H Historical 9 H&S Health & Safety Code LF Life of Facility, Equip. or Software Retention and destruction of records applies to all media types IRC Internal Revenue Code pp yp IRS Internal Revenue Service LO Life of Organization or Permanent including both paper and electronic documents. ; = MA Maturity LC Labor Code (California) FCT�"G EN pC Penal Code (California) NN When No Longer Needed Copies, non-records, notes, preliminary drafts and transitory records THE OMB Office of Management & Budget S Superseded can be destroyed when no longer needed for District business and do R&TC Revenue & Taxation Code (California) Sp Separated * SOS Secretary of State T Terminated not require prior authorization. When original records have reached Risk Management & Safety USC United States Code V vital their destruction term all copies and duplicates must be destroyed WC Water Code along with the original, regardless of the media of the record. Special Storage Consideration Retention Retention Record Type Length Retention Citations / Comments Number (Years Unless Vital Historical Confidential Specified) RMS028 PPE Assessments S GC §60201 RMS029 Lock out Tag Out Audits (LOTO) 2 GC §60201 38 Risk Management & Safety Adopted: ADMINISTRATION COMMITTEE Meng Dare TOBd. Dir. g7/eti08/15 o7/zz/1Of5 AGENDA REPORT Item Number Item Number 4 11 Orange County Sanitation District FROM: James D. Herberg, General Manager Originator: Lorenzo Tyner, Director of Finance and Administrative Services SUBJECT: INTERNAL AUDIT REPORT - REVIEW OF THE COLLECTION AND REMITTANCE OF CAPITAL FACILITIES CAPACITY CHARGES BY MEMBER AGENCIES GENERAL MANAGER'S RECOMMENDATION Receive and file the Independent Accountants' Report on Applying Agreed-Upon Procedures from White Nelson Diehl Evans, LLP. SUMMARY At the direction of the Administration Committee's Audit Oversight Subcommittee, White Nelson Diehl Evans, LLP ("WNDE"), Certified Public Accounts was engaged to apply agreed upon procedures for the collection and remittance of capital facilities capacity charges (CFCC) by member agencies for the calendar years 2011, 2012, and 2013. Based on WNDE's review of the collection and remittance of CFCC fees from member agencies, it is their conclusion that many member agencies are encountering problems in assessing the CFCC fees, which is impacting the revenues received by the Sanitation District. Their review uncovered a total net amount of uncollected and unremitted CFCC fees owed to the Sanitation District of $2.5 million. In addition, another $78,610 was collected by member agencies but not remitted to the District until after the completion of the audit. WNDE will provide a more detailed explanation of the audit scope, methodology, and their findings at the July Administration Committee meeting. PRIOR COMMITTEE/BOARD ACTIONS N/A ADDITIONAL INFORMATION Except for CFCC fees for sewer connections within unincorporated areas of the Sanitation District's service area, all CFCC fees are collected and remitted by member agencies at the time building permits are issued. The Sanitation District has an agreement with each member agency that allows them to retain five percent of the total CFCC fees collected to offset their costs in collecting and remitting these fees on behalf of the Sanitation District. The total annual amount of CFCC revenues vary according to the existing economic climate, but$14.1 million of CFCC fees were generated in FY 2013-14. Page 1 of 3 After reviewing, for each member city, the (1) high dollar building permit activity, (2) unusual spikes or declines in building permit activity within a calendar year, (3) unusual changes in building permit activity between calendar years, and (4) and unusual trends a that might warrant a detailed review of a city, WNDE identified thirteen cities for testing— Anaheim, Brea, Buena Park, Fountain Valley, Fullerton, Garden Grove, Huntington Beach, Newport Beach, Orange, Placentia, Santa Ana, Yorba Linda, and Tustin. The agreed upon procedures performed by WNDE included: Inquires of large variances between the remittance of CFCC fees in the current year versus the prior year; An evaluation of internal control systems and procedures in place at each selected city to identify any potential weaknesses in internal controls that might lead to the District being underpaid CFCC fees; On a test basis, reviewed permits from selected cities to ensure that the appropriate CFCC was collected and remitted back to the District; On at test basis, verified the mathematical accuracy of the monthly CFCC fee summaries reported to the District to each selected City's books and records; and On a test basis, reviewed the timeliness on the remittance of CFCC fees (generally within 30 days after the month in which the fees are collected)from the selected cities. Based on WNDE's review of the collection and remittance of CFCC fees from member agencies, it appears that many member cities are encountering problems in calculating the CFCC fees, which is impacting the revenues received by the District. Their review uncovered a total net amount of under charged CFCC fees of $2.5 million. In addition, another $78,610 was collected by the member cities but not remitted to the District in a timely manner, but forwarded to and received by the District prior to the date of this report. Although there were eight instances where cities had undercharged customers and three instances where customers were overcharged, the net impact was an undercharge of $2.5 million. The significant undercharges includes a $2.5 million undercharge from the City of Buena Park where the City deferred the payment of 15 CFCC permits until occupancy. Occupancy of the development in question is not expected until 2016. Under the agreement with the District, the City is supposed to collect the CFCC at the time the permit is issued. Previously, the District had a payment deferral option of CFCC fees for certain large development projects that allowed for the deferral of the CFCC fees up until they were collected by the member agency (Resolution No. OCSD 11-10). However, this resolution expired on of June 30, 2012. One instance with the City of Huntington Beach, the City had used the average demand rate instead of the low demand rate when computing a credit for the existing structure causing an under billing of the applicant total of $8,446. There was also one material overcharge by the City of Newport Beach where the high demand rate was utilized instead of the appropriate average demand rate for a commercial building generating an Page 2 of 3 overbilling of $41,820. We are working with the City to reimburse the customer for the overcharge. Of the total of$78,610 collected by the member cities but not remitted to the District in a timely manner, $77,643 was owed from the City of Brea which has now been remitted to the District since the field review by the auditors. CEQA N/A BUDGET / PURCHASING ORDINANCE COMPLIANCE N/A ATTACHMENT The following attachment(s)are included in hard copy and may also be viewed on-line at the OCSD website (www.ocsd.coml with the complete agenda package: Independent Accountants' Report from White Nelson Diehl Evans, LLP Page 3 of 3 RETURN TO AGENDA WHITE NELSON 1 INDEPENDENT ACCOUNTANTS' REPORT ON APPLYING AGREED-UPON PROCEDURES Board of Directors Orange County Sanitation District Fountain Valley,California We have performed the procedures enumerated below,which were agreed to by the management of the Orange County Sanitation District, Fountain Valley, California (the District), solely to assist the District in evaluating the collection and remittance of capital facilities capacity charge (CFCC) fees by the cities for the calendar years 2011, 2012 and 2013. This agreed-upon procedures engagement was performed in accordance with attestation standards established by the American Institute of Certified Public Accountants. The sufficiency of these procedures is solely the responsibility of the management of the District. Consequently, we make no representations regarding the sufficiency of the procedures described below, either for the purpose for which this report has been requested or for any other purpose. The procedures performed and the results of those procedures are as follows: 1. The District provided the dollar amount of building permits issued and remitted to the District by all cities for the calendar years 2011, 2012 and 2013. We reviewed the data for each city to identify the following: (1) high dollar building permit activity, (2) unusual spikes or declines in building permit activity within a calendar year, (3) unusual changes in building permit activity between calendar years, and (4) any unusual trends that might warrant a detailed review of a city. From this information, we identified 13 cities to test. Results: The following 13 cities were selected for testing: (1) Anaheim, (2) Brea, (3) Buena Park, (4) Fountain Valley, (5) Fullerton, (6) Garden Grove, (7) Huntington Beach, (8) Newport Beach, (9) Orange, (10) Placentia, (11) Santa Ana, (12)Yorba Linda and(13)Tustin. The City of Tustin does not collect and remit CFCC fees to the District. Instead the City directs permit applicants to go to the District in order to pay the appropriate fee. The procedures for the City of Tustin were limited to gaining an understanding of how permit applicants are directed to pay the appropriate CFCC fee at the District. - I - 2875 Michelle Drive,Suite 300,Irvine,CA 92606 •Tel: 714.978.1300• Fax:714.978.7893 Offices located in Orange and San Diego Counties For each of the 13 cities selected, the procedures performed and the results of those procedures are as follows: 2. We compared current year to prior year CFCC fees remitted to the District and inquired about large variances. In addition, we compared the amount collected each month to the amount collected in the same month of the prior year and inquired about large variances. Results: We inquired of city staff regarding significant variances and found that the responses received were reasonable. 3. We gained an understanding of the internal control systems and procedures in place at each city to identify any potential weaknesses in internal controls that might lead to the District being underpaid CFCC fees. Results: The following was noted during the performance of this procedure: a. City of Buena Park: The City has a policy that all fees must be paid before a permit is issued. During our testing of permits for the City in step 4e below, we noted a large project with a developer to construct numerous commercial buildings on undeveloped land. The City issued approximately 15 permits for this project without collecting District fees. This is a significant deficiency in the City's internal controls, since the City decided to circumvent their policy requiring payment of all fees prior to issuing a permit. b. During our review of the timeliness for each monthly CFCC fee remittance in step 6 below, we noted several cities with late monthly remittances for a majority of the months tested. This has a resulted in a significant deficiency in timely remittances of the monthly CFCC fees for the following cities: i. City of Buena Park ii. City of Placentia iii. City of Santa Ana c. We noted that the City of Tustin requires proof of payment of District fees prior to issuing a permit. 4. We randomly selected 60 permits (20 per calendar year)of which 45 permits (15 per calendar year) represented permits randomly selected from each of the cities' total permit population and 15 (5 per calendar yew) represented permits randomly selected from each of the cities' monthly CFCC fee remittances. For permits without CFCC fees, we verified that the lack of a CFCC fee was appropriate. For permits with CFCC fees, we traced the connection charges to the District's approved rate and fee schedules and recalculated the CFCC fee charged. Results: The following was noted during the performance of this procedure: a. City of Anaheim: In 1 out of 45 transactions tested, we noted a permit to convert an existing 147 square feet of patio to a restroom and storage area for an apartment building on August 9, 2011. This should have resulted in a District fee of$41 utilizing the low demand rate for fiscal year 2011-2012; however,the City did not assess a District fee. -2 - RETURN TO AGENDA 4. Continued b. City of Brea: In 1 out of 45 transactions tested, we noted a permit for the demolition of an old commercial building and the construction of a new 8,452 square foot commercial building for which a District fee of$3,261 was assessed. The City did not retain records on how the $3,261 was calculated. In addition, the City did not have records detailing the specific square footage of the old commercial building, but did find support for an approximate area of 5,000 square feet. We recalculated the District fees using average demand, a credit for the existing 5,000 square foot commercial building, and a fee for the new 8,452 square foot commercial building and arrived at a fee of $5,840. Accordingly, the City undercharged the applicant$2,500. c. City of Brea: In 1 out of 45 transactions tested, we noted a permit for a single family residential bedroom addition. District fees were not charged on the permit selected for testing; however, the permit referenced an older permit for additional information. The City switched permit software systems and does not have access to the records in the old system. Without the information referenced in the permit tested, we were unable to determine if this permit should have contained a District fee. d. City of Brea: In 2 out of 45 transactions tested, we noted 2 permits with District fees assessed of$18,125 each. The City did not retain support for how the District fees were calculated. We were unable to determine if the total amount charged of $36,250 was accurate. e. City of Buena Park: In 1 out of 45 transactions tested, we noted a permit for the conversion of an office building into a four bedroom single family residence for which a District fee was not assessed. The building was originally built in the 1950's as a single family residence and remodeled into an office in 1991. Due to the age of the building,the City did not have records indicating the square footage of the office building. Due to the lack of information on the office building, we were unable to compute the credit for the existing structure. Therefore, we were unable to determine if a District fee should have been collected. f City of Buena Park: In 2 out of 45 transactions tested, we noted permits that were part of a large project with a developer to construct numerous commercial buildings on undeveloped land. Per our discussions with the Engineer and Permit Technician,the City had wording in the forms signed by the developer that indicated the District fee could be deferred until occupancy. The developer has held the City to the wording in those documents and has not paid any District fees on the approximate 15 permits pulled during calendar years 2011, 2012 and 2013. District staff has estimated that the dollar amount of fees owed to the District total $2.5 million. g. City of Fullerton: In 1 out of 45 transactions tested, we noted that the City's calculation of the District's fee contained an error that resulted in an overbilling of the applicant totaling $1,001. The reason for the error is unknown as the City did not retain documentation on how the District's fee was determined. - 3 - 4. Continued h. City of Fullerton: In l out of 15 transactions tested, we noted that the City utilized the fiscal year 2010-2011 rates; however, the paperwork for the application began in August 2011. Therefore, the fiscal year 2011-2012 rates should have been used. This caused an underbilling of the applicant totaling$65. i. City of Huntington Beach: In 1 out of 15 transactions tested, we noted that the average demand rates were utilized instead of the low rate when computing a credit for the existing structure. This caused an underbilling of the applicant totaling$8,446. j. City of Huntington Beach: In 1 out of 15 transactions tested, we noted that the City utilized the fiscal year 2011-2012 rates; however, the paperwork for the application began in January 2013. Therefore, the fiscal year 2012-2013 rates should have been used. This caused an underbilling of the applicant totaling$6. k. City of Huntington Beach: In 1 out of 15 transactions tested, we noted that the City had an error when entering the rates and charged a rate of$3,882 instead of$3,881. This caused an overbilling of the applicant totaling$2. 1. City of Newport Beach: In 1 out of 15 transactions tested, we noted that the high demand rate was utilized instead of the average demand rate for a commercial building that did not meet the description required for high demand. This caused an overbilling of the applicant totaling $41,820. in. City of Orange: In 1 out of 15 transactions tested, we noted that the City utilized the fiscal year 2011-2012 rates; however, the paperwork for the application began in October 2012. Therefore, the fiscal year 2012-2013 rates should have been used. This caused an underbilling of the applicant totaling$5. n. City of Placentia: In 1 out of 15 transactions tested, we noted that the multi-family residential rates were utilized instead of the single family residential rates. This resulted in an underbilling of the applicant totaling $31. 5. We tested the mathematical accuracy of one monthly CFCC fee summary per quarter (total of 12 tested for the calendar years 2011, 2012 and 2013) and traced the amounts reported to the District to the City's books and records. Results: The following was noted during the performance of this procedure: a. City of Brea: In reviewing the City's support for the February 2011 remittance, we noted that the City's books and records indicated $133,059 should have been remitted to the District. However, the City remitted $142,054 to the District for February 2011. The excess payment of $8,995 represents permit fees collected in September 2010, but not remitted until February 2011. This amount should have been included along with the September 2010 remittance. b. City of Brea: In reviewing the City's support for the September 2012 remittance, we noted that $218 is still due to the District from the City and had not been paid as of the date fieldwork was complete in March 2015. -4- RETURN TO AGENDA 5. Continued c. City of Brea: In reviewing the City's books and records for April 2012, we noted that total gross cash receipts totaled $85,477. With the 5% administrative fee taken into account, the City should have remitted$81,203 to the District, but only remitted $3,778. The City owes the District $77,425 and the amount had not been paid as of the date fieldwork was complete in March 2015. d. City of Garden Grove: Out of the 12 months tested, (i) 2 months contained outstanding payments due to the District totaling$641 and$1 and(ii)2 months contained overpayments to the District in the amounts of $889 and $23. The net amount overpaid to the District totals $270. During calendar years 2011, 2012 and 2013, the City did not reconcile the activity in the general ledger to the permit summaries prepared by public works, which caused the errors noted above. Beginning in 2014, the City reconciled the general ledger activity to the monthly permit summaries. e. City of Placentia: In 1 out of 12 months tested, we noted that January 2012 contained a District fee totaling $1,237 that was not included in the monthly report to the District. This amount was not remitted to the District and represents an amount due. 6. The District provided the cash receipt dates for each monthly CFCC fee remittance for the calendar years 2011, 2012 and 2013. We reviewed the cash receipt date noted by the District to see if the City is filing and paying the fees to the District in a timely manner (generally within 30 days after the month in which the fees are collected). We noted any cash receipt dates that were in excess of 40 days after the month-end, to allow time for mailing and processing the cash receipt at the District. When a City had multiple cash receipts for one month's remittance, we utilized the date from the last cash receipt received for that period. Results: The following was noted during the performance of this procedure. (See Schedule A for details of the months in which each City did not remit the funds timely): a. City of Anaheim: 14 out of the 36 cash receipts tested were not received timely. b. City of Brea: 13 out of the 36 cash receipts tested were not received timely c. City of Brea: In reviewing the City's timeliness of the remittances, we compared the cash receipt records provided by the District to the total connection fees revenues in the spreadsheet provided by the District. We noted for November 2012, that the connection fees revenues totaled $93,771 and cash remittances totaled $149,342. The City made one payment of$55,577 twice. However, the overpayment was refunded by the District to the City in February 2013. d. City of Buena Park: In calendar years 2011, 2012 and 2013, only 32 months contained District fees that required remittance to the District. 28 out of the 32 cash receipts tested were not received timely. e. City of Fountain Valley: In calendar years 2011, 2012 and 2013, only 24 months contained District fees that required remittance to the District. 2 out of the 24 cash receipts tested were not received timely. - 5 - 6. Continued f. City of Fullerton: In calendar years 2011,2012 and 2013, only 34 months contained District fees that required remittance to the District. 3 out of the 34 cash receipts tested were not received timely. g. City of Garden Grove: 6 out of the 36 cash receipts tested were not received timely. h. City of Newport Beach: 2 out of the 36 cash receipts tested were not received timely. i. City of Orange: 2 out of the 36 cash receipts tested were not received timely. j. City of Placentia: In calendar years 2011,2012 and 2013, only 22 months contained District fees that required remittance to the District. 19 out of the 22 cash receipts tested were not received timely. k. City of Santa Ana: 26 out of the 36 cash receipts tested were not received timely. Summary of Results Below is a summary of the fees that were over/(under) charged to customers and over (under) paid to the District. The summary also includes any findings that could not be quantified due to a lack of information available. Amount of Over(Under) Charged to Customers 1 st Exception 2nd Exception 3rd Exception (if amount (if amount (if amount Member City shown) (1) shown) (1) shown) (1) Total City of Anaheim $ (41) 4a $ - $ - $ (41) City of Brea (2,500) 4n - - (2,500) (2) City of Buena Park (2,500,000) 4r - - (2,500,000) (2) City of Fountain Valley - - - - City of Fullerton 1,001 49 (65) 4n - 936 City of Garden Grove - - - - City of Huntington Beach (8,446) 4i (6) 4i 2 4k (8,450) City of Newport Beach 41,820 41 - - 41,820 City of Orange (5) 4. - - (5) City of Placentia (31) 4. - - (31) City of Santa Ana - - - - City of Yorba Linda - - - - $ (2,468,202) $ (71) $ 2 $ (2,468,271) - 6 - RETURN TO AGENDA Summary of Results (Continued) Amount of Over(Under)Paid to the District 1 st Exception 2nd Exception 3rd Exception (if amount (if amount (if amount Member City shown) (1) shown) (1) shown) (1) Total City of Anaheim $ - $ - $ - $ - City ofBrea (218) 5b (77,425) 5� - (775643) City of Buena Park - - - - City of Fountain Valley - - - - City of Fullerton - - - - City of Garden Grove 270 5d - - 270 City of Huntington Beach - - - - City of Newport Beach - - - - City of Orange - - - - CityofPlacentia (1,237) 5e - - (1,237) City of Santa Ana - - - - City of Yorba Linda $ (1,185) $ (77,425) $ - $ (78,610) (1) Reference to the exception number within the body of the report. (2) In addition,the City of Brea and the City of Buena Park had additional errors,4c, 4d, and 4e, that could not be dollarized. Conclusion We were not engaged to, and did not, conduct an audit,the objective of which would be the expression of an opinion, on the accounting records. Accordingly, we do not express such an opinion. Had we performed additional procedures, other matters might have come to our attention that would have been reported to you. This report is intended solely for the information and use of the management of the Orange County Sanitation District Board of Directors and management and is not intended to be and should not be used by anyone other than those specified p"ar�ties. Irvine, California June 26, 2015 - 7 - SCHEDULE ORANGE COUNTY SANITATION DISTRICT PROCEDURE 6: LATE REMITTANCES For the calendar years 2011,2012 and 2013 Due Date Receipt Date Number of Period (1) (2) Days Late City of Anaheim: 1. March 2011 5/10/2011 5/12/2011 2 2. July 2011 9/9/2011 9/12/2011 3 3. August 2011 10/10/2011 10/13/2011 3 4. September 2011 11/9/2011 11/18/2011 9 5. February 2012 4/9/2012 4/12/2012 3 6. August 2012 10/10/2012 10/18/2012 8 7. September 2012 11/9/2012 11/15/2012 6 8. October 2012 12/10/2012 12/13/2012 3 9. April 2013 6/9/2013 6/20/2013 11 10. July 2013 9/9/2013 9/12/2013 3 11. August 2013 10/10/2013 10/17/2013 7 12. September 2013 11/9/2013 1/3/2014 55 13. October 2013 12/10/2013 1/3/2014 24 14. November 2013 1/9/2014 1/16/2014 7 City of Brea: 1. February 2011 4/9/2011 7/11/2011 93 2. May 2011 7/10/2011 7/11/2011 1 3. June 2011 8/9/2011 9/19/2011 41 4. May 2012 7/10/2012 7/20/2012 10 5. July 2012 9/9/2012 10/19/2012 40 6. August 2012 10/10/2012 11/2/2012 23 7. September 2012 11/9/2012 11/19/2012 10 8. November 2012 1/9/2013 2/1/2013 23 9. December 2012 2/9/2013 3/8/2013 27 10. January 2013 3/12/2013 4/12/2013 31 11. February 2013 4/9/2013 4/12/2013 3 12. August 2013 10/10/2013 10/25/2013 15 13. December 2013 2/9/2014 4/4/2014 54 - 1 - RETURN TO AGENDA SCHEDULE ORANGE COUNTY SANITATION DISTRICT PROCEDURE 6: LATE REMITTANCES (CONTINUED) For the calendar years 2011,2012 and 2013 Due Date Receipt Date Number of Period (1) (2) Days Late City of Buena Park: 1. January 2011 3/12/2011 5/13/2011 62 2. February 2011 4/9/2011 5/13/2011 34 3. March2011 5/10/2011 5/13/2011 3 4. April 2011 6/9/2011 9/16/2011 99 5. May 2011 7/10/2011 9/16/2011 68 6. June 2011 8/9/2011 9/16/2011 38 7. July 2011 9/9/2011 9/16/2011 7 8. September 2011 11/9/2011 2/6/2012 89 9. October 2011 12/10/2011 2/6/2012 58 10. November2011 1/9/2012 2/6/2012 28 11. January 2012 3/11/2012 6/22/2012 103 12. February 2012 4/9/2012 6/22/2012 74 13. March 2012 5/10/2012 6/22/2012 43 14. April 2012 6/9/2012 6/22/2012 13 15. May 2012 7/10/2012 8/3/2012 24 16. August 2012 10/10/2012 5/24/2013 226 17. September 2012 11/9/2012 5/24/2013 196 18. October 2012 12/10/2012 12/19/2014 739 19. November 2012 1/9/2013 5/24/2013 135 20. January 2013 3/12/2013 11/25/2013 258 21. February 2013 4/9/2013 11/25/2013 230 22. Much 2013 5/10/2013 11/25/2013 199 23. April 2013 6/9/2013 11/25/2013 169 24. May 2013 7/10/2013 11/25/2013 138 25. June 2013 8/9/2013 11/25/2013 108 26. July 2013 9/9/2013 11/25/2013 77 27. August 2013 10/10/2013 11/25/2013 46 28. September 2013 11/9/2013 11/25/2013 16 City of Fountain Valley: 1. November 2012 1/9/2013 1/18/2013 9 2. August 2013 10/10/2013 12/19/2013 70 - 2 - SCHEDULE ORANGE COUNTY SANITATION DISTRICT PROCEDURE 6: LATE REMITTANCES (CONTINUED) For the calendar years 2011,2012 and 2013 Due Date Receipt Date Number of Period (1) (2) Days Late City of Fullerton: 1. April 2011 6/9/2011 6/10/2011 1 2. July 2012 9/9/2012 9/28/2012 19 3. December 2013 2/9/2014 2/14/2014 5 City of Garden Grove: 1. January 2011 3/12/2011 5/27/2011 76 2. February 2011 4/9/2011 4/11/2011 2 3. April 2012 6/9/2012 6/27/2012 18 4. March 2013 5/10/2013 6/4/2013 25 5. July 2013 9/9/2013 9/12/2013 3 6. November 2013 1/9/2014 1/24/2014 15 City of Newport Beach: 1. March 2012 5/10/2012 5/14/2012 4 2. September 2013 11/9/2013 11/26/2013 17 City of Orange: 1. March 2011 5/10/2011 6/10/2011 31 2. April 2011 6/9/2011 6/20/2011 11 City of Placentia: 1. February 2011 4/9/2011 6/6/2011 58 2. March 2011 5/10/2011 6/6/2011 27 3. July 2011 9/9/2011 8/31/2012 357 4. September 2011 11/9/2011 8/31/2012 296 5. October 2011 12/10/2011 8/31/2012 265 6. December 2011 2/9/2012 8/31/2012 204 7. January 2012 3/11/2012 8/31/2012 173 8. February 2012 4/9/2012 8/31/2012 144 9. March 2012 5/10/2012 8/31/2012 113 10. April 2012 6/9/2012 8/31/2012 83 11. June 2012 8/9/2012 4/4/2013 238 12. August 2012 10/10/2012 4/4/2013 176 13. October 2012 12/10/2012 4/4/2013 115 - 3 - RETURN TO AGENDA SCHEDULE ORANGE COUNTY SANITATION DISTRICT PROCEDURE 6: LATE REMITTANCES (CONTINUED) For the calendar years 2011,2012 and 2013 Due Date Receipt Date Number of Period (1) (2) Days Late City of Placentia (Continued): 14. January 2013 3/12/2013 4/4/2013 23 15. April 2013 6/9/2013 8/9/2013 61 16. May 2013 7/10/2013 8/9/2013 30 17. August 2013 10/10/2013 11/7/2013 28 18. October 2013 12/10/2013 2/21/2014 73 19. December 2013 2/9/2014 2/21/2014 12 City of Santa Ana: 1. January 2011 3/12/2011 4/1/2011 20 2. March 2011 5/10/2011 5/23/2011 13 3. April 2011 6/9/2011 8/8/2011 60 4. May 2011 7/10/2011 7/18/2011 8 5. June 2011 8/9/2011 8/19/2011 10 6. August 2011 10/10/2011 12/27/2011 78 7. October 2011 12/10/2011 12/16/2011 6 8. November 2011 1/9/2012 5/21/2012 133 9. December2011 2/9/2012 6/11/2012 123 10. January2012 3/11/2012 5/21/2012 71 11. February 2012 4/9/2012 6/11/2012 63 12. March 2012 5/10/2012 6/11/2012 32 13. April 2012 6/9/2012 6/11/2012 2 14. May 2012 7/10/2012 9/4/2012 56 15. June 2012 8/9/2012 10/15/2012 67 16. July 2012 9/9/2012 10/30/2012 51 17. August 2012 10/10/2012 1/23/2013 105 18. October 2012 12/10/2012 1/23/2013 44 19. November 2012 1/9/2013 1/23/2013 14 20. December 2012 2/9/2013 2/25/2013 16 21. January 2013 3/12/2013 4/3/2013 22 22. March 2013 5/10/2013 5/20/2013 10 23. May 2013 7/10/2013 7/15/2013 5 24. June 2013 8/9/2013 9/16/2013 38 25. August 2013 10/10/2013 11/1/2013 22 26. December 2013 2/9/2014 2/24/2014 15 -4 - SCHEDULE ORANGE COUNTY SANITATION DISTRICT PROCEDURE 6: LATE REMITTANCES (CONTINUED) For the calendar years 2011,2012 and 2013 (1) 1 Remittances are due within 30 days after the month in which the fees are collected. We added 10 days to the 30 day requirement to allow time for mailing and processing of the cash receipt at the District. Therefore, for purposes of this report, the due date was 40 days after the month in which the fees were collected. (2) 'The receipt date was provided by the District and represents the date the cash receipt was recorded in the District's general ledger. - 5 - ITEM NO. 12 MINUTES OF THE STEERING COMMITTEE Orange County Sanitation District Wednesday, June 25, 2015 at 5:00 p.m. A regular meeting of the Steering Committee of the Orange County Sanitation District was called to order by Chair Beamish on Wednesday, June 25, 2015 at 5:05 p.m. in the Administration Building of the Orange County Sanitation District. A quorum was declared present, as follows: COMMITTEE MEMBERS PRESENT: STAFF PRESENT: Tom Beamish, Chair Jim Herberg, General Manager John Nielsen, Vice-Chair Bob Ghirelli, Assistant General Greg Sebourn, Operations Committee Manager Chair Rob Thompson, Director of Keith Curry, Member-At-Large Engineering David Shawver, Member-At-Large Lorenzo Tyner, Director of Finance & Administrative Services COMMITTEE MEMBERS ABSENT: Ed Torres, Director of Operations & John Withers, Administration Maintenance Committee Chair Nick Arhontes, Director of Facility Steve Jones, Member-At-Large Support Services Kelly A. Lore, Clerk of the Board Chad Crow Al Garcia Rebecca Long Richard Spencer OTHERS PRESENT: Brad Hogin, General Counsel PUBLIC COMMENTS: None. REPORTS: Chair Beamish reported on the recent Legislative and Public Affairs committee meeting and that a letter of opposition had been sent in regard to proposed bill AB1217 (Daly). He further reported on the recent legislative tours that had taken place, including Assemblymember Young Kim, Helene Ansel from Congressman Lowenthal's office and Maurice Lyles from Senator Boxer's office. He thanked Director Kiley for participating. He also provided an update on grants received, OW24/2015 Steenng Committee Minutes Page 1 of community outreach, the GWRS Dedication Ceremony this Friday, and the branding presentation. General Manager Herberg reported on the following: increasing flows to Orange County Water District to 125 mgd for the Groundwater Replenishment System; $450,000 WaterSMART grant received; awards received including the Fleet Services Excellence Award #1 midsized Fleet and three Communicator Awards received for the OCSD 60th anniversary video and distinction for our annual report. Assistant General Manager Bob Ghirelli provided an update on the recent "Heal the Bay" report stating that the overall beach quality in Orange County was excellent, receiving an "A" grade with the exception of one stretch at Brookhurst Street which received a "C" grade and was also listed as a "beach bummer'. He stated that the reported bacterial levels had never been high enough to force a closure, but that staff is closely monitoring the situation with the city of Huntington Beach and the OC Public Works. CONSENT CALENDAR: 1. MOVED, SECONDED, AND DULY CARRIED TO: Approve Minutes of the May 27, 2015 Regular Steering Committee Meeting AYES: Beamish; Curry; Nielsen; Seboum; and Shawver NOES: None ABSTENTIONS: None ABSENT: Jones and Withers Director Withers arrived at 5:18 p.m. NON-CONSENT CALENDAR: 2. MOVED, SECONDED, AND DULY CARRIED TO A. Agree with Findings F.1, F.2, F.3 and with Recommendation R.1 contained in the 2014-2015 Orange County Grand Jury Report — "Increasing Water Recycling:A Win-Win for Orange County'; and B. Authorize the Board Chair to notify the presiding judge in writing of the Board's agreement and responses. 06/24/2015 Steering Committee Minutes Page 2 of 4 AYES: Beamish; Curry; Nielsen; Seboum; and Shawver NOES: None ABSTENTIONS: Withers ABSENT: Jones INFORMATION ITEMS None. CLOSED SESSION: CONVENED IN CLOSED SESSION PURSUANT TO GOVERNMENT CODE SECTIONS: 54956.9(d)(1); 54957(b)(1) The Committee convened in closed session at 5:25 p.m. to discuss two items. Confidential minutes of the Closed Session have been prepared in accordance with the above Government Code Sections and are maintained by the Clerk of the Board in the Official Book of Confidential Minutes of Board and Committee Closed Meetings. RECONVENED IN REGULAR SESSION: The Committee reconvened in regular session at 5:50 p.m. CONSIDERATION OF ACTION, IF ANY, ON MATTERS CONSIDERED IN CLOSED SESSION None. OTHER BUSINESS AND COMMUNICATIONS OR SUPPLEMENTAL AGENDA ITEMS, IF ANY: Director Sebourn reported that the American Council of Engineering Companies (ACEC) will be presenting an award to OCSD tomorrow for the work on the SARI line. 06/24/2015 Steering Committee Minutes Page 3 d4 Chair Beamish thanked the committee for their support throughout the year. Vice-Chair Nielsen thanked Chair Beamish for the work that he had completed especially his successful trip to Washington D.C. ADJOURNMENT: The Chair declared the meeting adjourned at 5:52 p.m. to the next Steering Committee meeting to be held on Wednesday, July 22, 2015 at 5:00 p.m. Submitted by: Kelly A. Lore Clerk of the Board 06/24/2015 Steering Committee Minutes Page 4 d 4 STEERING COMMITTEE Meeting Date TOBd 0111 r. 07/22/15 o7ft2/15 AGENDA REPORT Item Number Item Nu bar 3 13 Orange County Sanitation District FROM: James D. Herberg, General Manager SUBJECT: GENERAL MANAGER'S FY 2014 — 2015 YEAR END WORK PLAN UPDATE GENERAL MANAGER'S RECOMMENDATION Receive and File the General Manager's FY 2014 -2015 Work Plan Year End Update. SUMMARY Each year, the General Manager prepares a work plan of activities for the coming fiscal year and at the end of the year, prior to presenting the year-end update to the Board of Directors, he presents the draft work plan update to the Steering Committee. PRIOR COMMITTEE/BOARD ACTIONS August 2014 Presented the proposed General Manager's FY 2014 -15 Work Plan to the Steering Committee for review. September 2014 Approved the General Manager's FY 2014—2015 Work Plan by the Board of Directors January 2015 Presented the General Managers FY 2014—2015 Mid- Year Work Plan Update to the Board of Directors ADDITIONAL INFORMATION N/A CEQA N/A BUDGET /PURCHASING ORDINANCE COMPLIANCE N/A ATTACHMENT The following attechment(s) are provided in hard copy and may be viewed on-line at the OCSD website (mm w.ocsd.com) with the complete agenda package: • General Manager's Year-End FY 2014— 2015 Work Plan Update Page 1 of 1 RETURN TO AGENDA ,.., ORANGE COUNTY SANITATION DISTRICT Memorandum July 6, 2015 TO: Chairman and Members of the Board of Directors FROM: lames D. Herberg, General Manager SUBJECT: Fiscal Year 2014-2015 General Manager's Year-End Work Plan Update I present to you the year-end update for my Fiscal Year 2014-2015 work plan. I identified fifteen areas to focus on during this fiscal year including safety and security, workforce planning, and operational resiliency. This work plan was reviewed with the Steering Committee in August 2014 and a mid-year update was provided in January 2015. OCSD staff have been working towards reaching all the goals by their respective deadlines. 1. Future Water Recycling — Work with Orange County Water District (OCWD) to jointly study improvements needed to support the Groundwater Replenishment System (GWRS) Final Expansion. Determine partnerships, needs,strategies, benefits and costs associated with recycling any remainder flows from Plant No. 2 effluent water. Issue Request for Proposals (RFP) for SP-173 Effluent Reuse Study by January 31,2015 and update agreement with OCWD by June 30, 2015. Update:COMPLETE-The RFP was completed ahead of schedule and the study is currently underway. Amendments to the Joint Powers Agreement between OCSD and OCWD were approved at the June Board meeting. 2. Infrastructure Stability — Expand the current asset management program to enhance the maintenance of civil assets (concrete, structures, steel, etc.). Develop by June 30, 2015 a civil asset management plan including goals, implementation tasks and resource needs. Update: COMPLETE - In collaboration with multiple departments, O&M staff identified the most critical process structures and piping for inclusion in the civil assets maintenance program. The maintenance activities for these assets range from condition assessments,to cleaning, minor repairs, RETURN TO AGENDA rehabilitations,coatings, and cathodic protection. Detailed reports and estimates were developed to help identify the initial labor, craft, materials, tools, training, planning, IT, and support functions. These estimates will be used to develop implementation and cost alternatives/options. The Civil Assets Management Program (CAMP) for FY 15-16 was reviewed and approved by the Executive Management Team on March 9, 2015. Budget funds were allocated for Fiscal Year 15-16 and contracting service options for condition assessments, cleaning/housekeeping, and minor repairs were identified for this same time period. Assessment report templates,data collection and archiving user requirements are being drafted with the input from the Operations & Maintenance, Collections and Engineering departments. These requirements will be used by the IT department to develop a technology solution that will ensure the efficient use of assessment data to improve maintenance strategies to ensure asset reliability, conduct needed repairs or plan asset rehabilitations or replacements. A 5-year program Implementation plan will be developed during the 2015-16 fiscal year which will better define the internal and contractual resources needed for a sustainable program. 3. Operational Optimization —Continue to evaluate and optimize operations at the Sanitation District focusing on: • Efficiency—Effective Utility Management Model —Complete the review and self-assessment by December 31,2014. • Cost Savings—By June 30,2015,continue stakeholder outreach efforts, submit request to re- open ocean discharge permit, negotiate removal of disinfection requirements, and discontinue use of disinfection chemicals for effluent discharge through the long outfall, realizing an annual cost savings of$425,000. • Best Management Practices — Develop business work flows for implementing best practices for planning and scheduling maintenance, conduct training, and go-live with Maximo, the new computerized maintenance management system (CMMS)by June 30,2015. • Shared Services — Explore and determine areas where shared services can improve performance and reduce costs for OCSD rate payers by consolidating functions. Update: • Efficiency — Members of the Executive Management Team and Managers Team completed the review and self-assessment of the Effective Utility Management Model. The results of Page 2 of 8 RETURN TO AGENDA the exercise are being used in the Strategic Planning process that will conclude in the Fall of 2015. • Cost Savings—OCSD Operations ceased disinfecting ocean discharge on March 1711,consistent with our notice and feedback from the Santa Ana Regional Water Quality Control Board. Laboratory staff has not measured any significant increase in bacteria levels within the ocean discharge. To date, it appears a slight recovery in the benthic community near OCSD's ocean outfall is observed. It is too early at this time to make a definitive determination as to whether a full recovery will result.The process of ceasing disinfection will save approximately $425,000 each year in chemical costs alone. This will be in addition to energy and maintenance costs associated with the disinfection chemicals, staff time and the elimination of the environmental damage to the biological community area near our discharge point. • Best Management Processes — All maintenance data from our existing Computerized Maintenance Management System (CMMS) were transferred to our new Maximo CMMS. Maximo and the Planning and Scheduling program went live on January 26th. Key maintenance efficiency gains obtained during the past five months are primarily attributed to the pre-coordination of work schedules developed a week in advance and staffs ability to check equipment specifications, spare part inventory and repair history directly from the field using their mobile computers without returning to their maintenance shops. This feature is fully available now at Plant No. 1 and will be available at Plant No. 2 within the next six months as the WiFi system is expanded under an Engineering small project. A maintenance planning supervisor was hired and three additional maintenance planner positions will be recruited to fill positions left open by staff retirements. Full cultural adaptation to a planned schedule environment is slowly progressing, however we anticipate that will greatly improve once the planner group is fully staffed and key performance indicator reports are in place to measure success. • Shared Services —We are working directly with Orange County Water District (OCWD) on possible items of mutual interest in the areas of Fleet Services, building maintenance, uniform laundering services,landscaping&security. 4. Communication Strategy—Prepare a recommendation by June 30, 2015 for the Board of Directors on OCSD's corporate identity and the possibility of moving OCSD's brand from "wastewater" to a "resource recovery facility". Page 3 of 8 RETURN TO AGENDA Update: COMPLETE - Staff had preliminary discussions with the Legislative and Public Affairs Committee (La PA) where direction was given to prepare a communication strategy for the Committee's consideration. The communication strategy was presented and approved at the June La PA Committee and Board meeting. A few of the highlights include a communications strategy focusing on transparency building a strong reputation, ensuring appropriate investment and maintaining a credible and influential voice with policy makers, regulators, and legislators. Some of the tools that will be used include a revised GM Monthly Report which has already been implemented, consideration of modified agenda reports which would include training for our staff, a policy ticker on the front page of the website which will highlight recent policy decisions made by the board and creating a "influential public"database with whom we will engage and share information. S. Capital Budget Expenditure —Target 90 percent expenditure on major Engineering Capital Projects for FY 2014/15. Update:Staff are forecasting 98.6%CIP spending(w/o contingency). 6. Workforce Planning and Workforce Development — Improve, increase, and implement tools to expand labor force capacity and staff skill levels by June 30,2015. Update: Human Resources staff is working a sub-committee of managers that was formed to assist in the review, modification or enhancement of OCSD's workforce planning & workforce development strategic initiative to develop forms and workflow processes to manage the following tools: • Workforce Vulnerability Assessment — The process includes departmental leadership, evaluating the organizational chart, and identifies vulnerable positions based on three criteria: retention, criticality, and difficulty to fill. The assessment will assist management in identifying workforce needs for the upcoming budget process. In an effort to include stakeholders in the process and to develop tools that meet the needs of stakeholders, the development of guidelines and forms for this tool has transitioned over to a manager sub- committee. This tool will be ready to roll out by December 31, 2015. • Talent Readiness Assessments — The process includes departmental leadership evaluating staff and identifying key talent, as well as possible development efforts. In an effort to include stakeholders in the process and to develop tools that meets the needs of Page 4 of 8 RETURN TO AGENDA stakeholders,the development of guidelines and forms forth is tool has transitioned over to a manager sub-committee. This tool will be ready to roll out by December 31, 2015. • Individual Development Plan (IDP) - Management and supervisory staff are encouraged to partner with each of their staff to create individual development plans. • Divisional Development Needs — With the decentralization of the training budget from Human Resources to each division, management will be able to analyze the information collected from workforce assessments and individual development plans to determine divisional development needs. • Workforce Planning Action Plan - Managers and Supervisors are encouraged to prepare and implement a Workforce Planning Action Plan for each position identified in the recent vulnerability analysis that report directly to them. HR has also launched the pilot program with Veterans First, Orange County. 7. Administrative Facilities— Prepare and present an Implementation Plan for the replacement of Plant No. 1 administrative facilities to the Board of Directors by June 30,2015. Update: COMPLETE - HDR Engineering began a special study in July 2014 to determine design needs. Additional refinement of desired scheme including reduction of Lab square footage and scope increase to compare options that include keeping existing Lab and Fleet may impact the goal. The project is still on target and the completed Implementation plan was approved at the June Board meeting. B. Operational Resiliency — By June 30, 2015 complete a comprehensive review of the Integrated Emergency Response Plan with three table top drills exercises, complete a risk register and develop a scope of work for a business continuity plan to ensure OCSD is prepared to continue operations in the event of a significant event. Update: Three tabletop drills were completed and risk data collected for the Risk Register is with senior management for approval and possible presentation to EMT. The Business Impact Analysis phase of the Business Continuity Plan has begun as well.The Project Team conducted meetings with the divisions critical to restoring the business functions. The data gathered was reviewed, functions were ranked, classified, and sorted for executive management. Upper management will select the Page 5 of 8 RETURN TO AGENDA most critical functions as areas of opportunity to keep the District operating administratively and to lessen the impact of a major event to agency business. Once vetted by executive management, the information will be presented to the Board of Directors. 9. Odor Control Master Plan— Develop a recommendation on odor treatment technologies and levels of service goals for both plant facilities. Issue a request for proposal for SP-166, Plant Odor Control Master Plan by January 31, 2015. Update:The RFP was released on schedule and the award of the contract was approved at the June Board meeting.We are on target to complete Odor Control Master Plan by June 2016. 10. Research — Finalize fuel cell research project and present findings with recommendations to the Board of Directors by December 31, 2014. Identify and propose two research opportunities to the Board of Directors by June 30,2015. Update: Staff are progressing with two technologies for energy conversion. Super Critical Water Oxidation preliminary engineering will be brought to the July Board Meeting for consideration and a study to more efficiently clean digester gas is nearing completion. 11. Energy Efficiency — Evaluate OCSD facilities, through an energy audit, to identify energy savings strategies that are economically and operationally feasible. Present findings and recommendations to the Board of Directors by June 30, 2015. Update: In August 2014, OCSD entered into an agreement with The Energy Network(TEN)to provide project management and technical assistance to identify energy savings opportunities at both plants and the pump stations in the collection systems.TEN is administered by the County of Los Angeles for the greater Los Angeles area and authorized by the California Public Utilities Commission to identify energy savings at no cost to public agencies. The preliminary Reclamation Plant No. 1 Phase 1 audit report was completed in May 2015. The report identified a list of recommended energy optimization measures. Lighting improvements, which take advantage of recent LED technology development, were identified as having the highest potential for energy and cost savings, with a quick payback. Based on this finding, staff requested additional lighting improvements for evaluation. Process control improvement opportunities were Page 6 of 8 RETURN TO AGENDA also identified for the Plant 1 activated sludge secondary treatment facility, to capture and reuse dissolved oxygen. These opportunities are being further evaluated. The Phase 1 report will be revised and presented to staff in July 2015 for review. 12. Labor Negotiations—Support chief negotiators in timely bargaining over successor labor agreements in compliance with the Meyers-Milias-Brown Act. Update: COMPLETE - Labor agreements (MOUs) were reached with all recognized employee organizations through June 30,2016. 13. Financial Viability—Secure an Investment Management Company by October 31, 2014. Update: COMPLETE - Based on its recent performance and long-term stability, the Board approved the selection of Chandler Asset Management as its new investment manager. The agreement between OCSD and Chandler to provide investment services became effective in November 2014. 14. Classification and Compensation Study — Select consultant and conduct a classification and compensation study to be completed by December 31, 2015. Complete employee feedback and management review of position description questionnaires by June 30, 2015. Update: Gallagher Benefits Services was selected through the RFP process, and the classification and compensation study is underway. Initial strategy and information meetings were held with the Executive Management Team and bargaining unit representatives, respectively, in April. The study completed the classification and job evaluation phase, during which position description questionnaires were completed by employees and reviewed by management. The study is now in the compensation phase. The project timeline places the study on track for completion by December 31,2015. 15. Safety and Security— Prioritize and implement measures to reduce risk and provide a secure and safe workplace for our employees, as well as protecting our regional infrastructure. Complete Administrative or Engineering Controls for high priority items identified in the Safety Study (SP- 145) by December 31, 2014. Develop an Implementation Plan for the standard Administration and Page 7 of 8 RETURN TO AGENDA Engineering Controls identified in the Safety Study by June 30, 2015. Complete a Vulnerability Self- Assessment and identify security improvements by December 31,2014. Update: The Vulnerability Self-Assessment was completed ahead of schedule to identify security improvements. Administrative Controls for high priority items identified in the Safety Study are under development by the Risk Management division. An Implementation Plan for the standard Administrative Controls identified in the Safety Study is being developed. Page 8 of 8 ITEM NO. 14 MINUTES OF THE LEGISLATIVE AND PUBLIC AFFAIRS COMMITTEE Orange County Sanitation District Monday, July 13, 2015, at 3:30 p.m. A regular meeting of the Legislative and Public Affairs Committee was called to order by Chair Nielsen on Monday, June 13, 2015, at 3:31 p.m. in the Administration Building of the Orange County Sanitation District. Director Beamish led the pledge of allegiance. A quorum was declared present, as follows: COMMITTEE MEMBERS PRESENT: STAFF PRESENT John Nielsen, Board Chair Bob Ghirelli, Assistant General Manager Greg Sebourn, Board Vice-Chair Nick Arhontes, Director of Facilities Tom Beamish, Director Support Services Tyler Diep, Director Rob Thompson, Director of Engineering Robert Kiley, Director Ed Torres, Director of Operations & Lucille Kring, Director Maintenance John Withers, Director Lorenzo Tyner, Director of Finance & Administrative Services COMMITTEE MEMBERS ABSENT: Kelly Lore, Clerk of the Board None. Raul Cuellar Norbert Gaia Al Garcia Rebecca Long Kathy Millea Kelly Newell OTHERS PRESENT: Brad Hogin, General Counsel Eric Sapirstein, ENS (via Teleconference) Heather Stratman, Townsend Public Affairs Eric O'Donnell, Townsend Public Affairs 07/13/2015 Legislative and Public Affairs Committee Minutes Page 1 of 5 PUBLIC COMMENTS: None. REPORTS: Assistant General Manager, Bob Ghirelli, informed the Committee of the upcoming Strategic Plan Update interviews to be conducted by consultant Kristine Thalman from K.E. Thalman & Associates throughout the month of July. The Clerk of the Board has sent information to the Board of Directors and will schedule interview date and times. CONSENT ITEMS: 1. MOVED, SECONDED and DULY CARRIED TO: Approve minutes for the Committee meeting held on June 10, 2015. AYES: Beamish, Kiley, Kring, Nielsen, and Sebourn NOES: None ABSTENTIONS: None ABSENT: Diep and Withers Director Withers arrived at 3:35 p.m. INFORMATIONAL ITEMS: 2. Public Affairs Update Public Affairs Specialist, Kelly Newell reported on the following: 14 high school and college tour groups; past events including: June 7g' Tustin Chili Cook off reaching 600 people; June 271h Fountain Valley Summer test event reaching 400 people and which was a partnership with MODOC and OCWD; upcoming events including: July 22n1 Westminster Safety Day; and July 251h City of Anaheim Eco Challenge Day at Angel Stadium. Ms. Newell then provided a social media update and reported the success of the GWRS Dedication ceremony. Director Kring inquired as to the possibility of hosting a booth at the Orange County Fair. Staff stated that OCSD had hosted a booth in the past, but the challenges of finding volunteers for the length of the event was the reason it was eliminated. The committee suggested a possible partnership with other agencies. 07/13/2015 Legislative and Public Affairs Committee Minutes Page 2of5 Chair Nielsen announced that ACCOC had recently requested an open house here at the District and SAWPA is interested as well. Director Diep arrived at 3:42 p.m. 3. Legislative Updates Senior Public Affairs Specialist, Rebecca Long introduced Eric Sapirstein, ENS Resources, who provided an update on drought relief bills H.R. 2898 (Valadao) and alternate drought bill H.R. 2983 (Huffman), the difference in the two being that the latter places priority upon the development of water recycling and desalination project, as well as other conservation approaches. Another alternative bill is expected to be introduced soon by Senator Feinstein. Mr. Sapirstein reported on appropriations; the Waters of the U.S. Rule, and the SRF program funding level. Mr. Sapirstein stated that he is working with staff to review opportunities for competitive grants with the Economic Development Administration, which awards grants to public agencies to stimulate economic growth and which wastewater is a component of that agency. Director Kring questioned why there is no sense of urgency regarding the drought bills with the California Delegation. Mr. Sapirstein stated his belief that Senator Feinstein will address the urgent need for this legislation in the near future. Heather Stratman, Townsend Associates introduced Eric O'Donnell who is a new associate of the firm, and then reported on the following: finalization of the 2015-16 budget; 2.7 billion in drought related spending appropriated over the next 3 years; Chapter 11 — $210 million appropriation over a three-year period for water recycling; possible application for feasibility study; and the GWRS final expansion. Ms. Stratman further reported on Legislative dates to note including: July 18 - Adjournment for summer recess, August 18 - Return from summer recess, September 11 - legislative recess and 10111 - deadline for Governor to sign or veto bills. She then updated the Committee on AB1217 (Daly) which met with resistance in the Senate; Mr. Daly worked with OCFA and came to a compromise by excluding their alternate board members. Ms. Stratman believes the bill is dead for now, but she believes an alternative bill will be back next year. Ms. Stratman stated the approval process of Proposition 84 funding for the 07/13/2015 Legislative and Public Affairs committee Minutes Paga 3o`5 Integrated Regional Water Management program, which is administered by SAWPA and the recommended funding to OCSD of $1 million for the Newhope-Placentia Trunk Replacement project. Chair Nielsen stated that OCFA had thanked us for our letter of opposition the District sent in regards to AB1217. Senior Public Affairs Specialist, Rebecca Long informed the Committee of the following: watch position on AB 304 (Gonzalez); tour for the staff of Congressman Ed Royce; and attendance of Mr. Herberg at Congressman Huffman's round-table discussion. Ms. Long then provided an overview of the process of Proposition 84 funding. Raul Cuellar, CIP Project Manager provided a short PowerPoint presentation on the advantages and challenges of the project that is recommended for the Proposition 84 funding, Newport-Placentia Trunk Sewer Replacement Project 2-62. Questions from the committee on this item were answered by Director of Engineering, Rob Thompson, and Engineering Manager Kathy Millea and included: Grant amount; SARI Line diversion into GWRS; diversion systems; project choices; economic analysis; project costs; wet weather flow; SAWPA recommendation/DWR approval; SARI line potential flows; Ms. Long announced a save the date for the State of the District which will be held on October 16, 2015 at 9:00 a.m. to be held at OCSD. At the request of Chair Nielsen, Ms. Stratman provided information regarding SB 88 which allows the State Water Resources Control Board to consolidate districts to provide clean water supply. The submitted applications to LAFCO for the proposed transfer of ownership of local sewers in Service Area 7 were discussed briefly. NON-CONSENT ITEMS: 4. MOVED, SECONDED and DULY CARRIED TO: Recommend to the Board of Directors: Cancel the August 10, 2015 regular meeting of the Legislative and Public Affairs Committee. AYES: Beamish, Diep, Kiley, Kring, Nielsen, Sebourn and Withers 07/13/2015 Legislative and Public Affairs Committee Minutes Page 4 of NOES: None ABSTENTIONS: None ABSENT: None OTHER BUSINESS AND COMMUNICATIONS OR SUPPLEMENTAL AGENDA ITEMS, IF ANY: None. ADJOURNMENT: Chair Nielsen declared the meeting adjourned at 4:37 p.m. to the next Legislative and Public Affairs Committee Meeting, September 14, 2015 at 8:00 a.m. Submitted by: Kelly A. Lore Clerk of the Board 07/13/2015 Legislative and Public Affairs Committee Minutes Page 5 of 5 ITEM NO. FC-01 Orange County Sanitation District Financing Corporation MINUTES BOARD MEETING December 17, 2014 y SANIrgTjQy c ? z c+ o � 90r � �J ��?• �cl�N HE Administration Building 10844 Ellis Avenue Fountain Valley, California 92708-7018 12/17/2014 Minutes of OCSD Financing Corporation Meeting Page 1 of 4 ORANGE COUNTY SANITATION DISTRICT FINANCING CORPORATION CALL TO ORDER: Chair Beamish called the Board of Directors, Orange County Sanitation District Financing Corporation meeting to order at 6:56 p.m. The Clerk of the Board read the following statement: The members of the Orange County Sanitation District Board of Directors are each being compensated$212.50 for the Board Meeting;there is no additional compensation for the Financing Corporation Meeting. ROLL CALL: The Clerk of the Board declared a quorum present as follows: ACTIVE DIRECTORS ALTERNATE DIRECTORS X Tom Beamish, Chair Rose Espinoza X John Nielsen, Vice-Chair Allan Bernstein X David Benavides Sal Tinajero X Steven Choi Christina Shea X Keith Curry VACANT X Tyler Diep Joy Neugebauer X James M. Ferryman Bob Ooten X Gene Hernandez VACANT A Steven Jones Kris Beard X Jim Katapodis Erik Peterson Peter Kim X Michele Steggell X Lucille Kring Jordan Brandman X Greg Mills Robert Collacott X Richard Murphy Shelley Hasselbrink X Steve Nagel Michael Vo VACANT— OC Board of Supervisors X Shawn Nelson X Glenn Parker Cecilia Hupp X Gregory Sebourn Jan Flory X David Shawver Carol Warren X Fred Smith Steve Berry X Teresa Smith Mark Murphy X Chad Wanke Constance Underhill X John Withers Douglas Reinhart X I Mariellen Yarc I I Stacy Berry VACANT— Seal Beach I IVACANT 12/17/2014 Minutes of OCSD Financing Comoration Meeting Page 2 af4 APPROVAL OF MINUTES: 1. MOVED, SECONDED, AND DULY CARRIED TO: the minutes for the meeting held on September 24, 2014, will be deemed approved and be so ordered by the Chair. AYES: Beamish; Benavides; Choi; Curry; Diep; Ferryman; Hernandez; Kring; Mills; Murphy; Nagel; Nelson (Alternate); Nielsen; Sebourn; Shawver; F. Smith; T. Smith; Steggell (Alternate); Withers; and Yarc NOES: None ABSTENTIONS: Katapodis and Wanks ABSENT: Jones and Parker ACTION ITEM: Director of Finance and Administrative Services, Lorenzo Tyner, gave a brief report on Agenda Item No. 2. 2. MOVED, SECONDED, AND DULY CARRIED TO: Adopt Resolution No. FC-23, "A Resolution Of The Board Of Directors Of The Orange County Sanitation District Financing Corporation Authorizing The Execution And Delivery By The Corporation Of An Installment Purchase Agreement And A Trust Agreement In Connection With The Execution And Delivery Of Orange County Sanitation District Wastewater Refunding Revenue Obligations, Series 2015a, Authorizing The Execution And Delivery Of Such Revenue Obligations Evidencing Principal In An Aggregate Amount Of Not To Exceed $150,000,000 And Authorizing The Execution Of Necessary Documents And Related Actions". (See OCSD Agenda Report for Item No.19) AYES: Beamish; Benavides; Choi; Diep; Ferryman; Hernandez; Katapodis; Kring; Mills; Murphy; Nagel; Nelson (Alternate); Nielsen; Sebourn; Shawver; F. Smith; T. Smith; Steggell (Alternate); Wanks; Withers; and Yarc NOES: None ABSTENTIONS: None ABSENT: Jones and Parker RECUSE: Curry 12/17/2014 Minutes of OCSO Financing Corporation Meeting Page 3 of ADJOURNMENT: The Chair declared the meeting of the Board of Directors, Orange County Sanitation District Financing Corporation adjourned at 6:59 p.m. Kelly A. Lore Clerk of the Board 12/17/2014 Minutes of OCSD Financing Corporation Meeting Page 4 of4 BOARD OF DIRECTORS Meeting Date TOBd.Of Dir. -- o7/zz/I5 AGENDA REPORT Item Number Item -02 - FCu Orange County Sanitation District Financing Corporation FROM: James D. Herberg, General Manager Originator: Lorenzo Tyner, Director of Finance and Administrative Services SUBJECT: ANNUAL STATUS REPORT OF THE ORANGE COUNTY SANITATION DISTRICT FINANCING CORPORATION GENERAL MANAGER'S RECOMMENDATION Receive and File the Annual Status Report of the Orange County Sanitation District Financing Corporation. SUMMARY Per Section 2.05 of the Orange County Sanitation District Financing Corporation, the Board of Directors will conduct at least one annual meeting, where staff shall provide an activity report and conduct other business as necessary. As of June 30, 2015, the Sanitation District had approximately $1.2 billion in outstanding debt that is scheduled to be completely paid off prior to June 30, 2044. The Sanitation District did not issue any new money debt during the 2014-15 Fiscal Year and no new money debt issuances are planned for the 2015-16 Fiscal Year. PRIOR COMMITTEE/BOARD ACTIONS N/A ADDITIONAL INFORMATION The District began issuing Certificates of Participation (COPS)in 1990. These COPS were a part of our long-term financing plan that included both variable interest rate and traditional fixed rate borrowing. Following are the current outstanding debt issues of the District: Outstanding Debt History In May 2007, the District issued $95.18 million of fixed rate COPS, Series 2007A refunding a portion of the Series 2003 fixed rate debt. The true interest cost for the issue is 4.5 percent. In December 2007, the District issued $300 million of fixed rate COPS, Series 2007E at a true interest cost of 4.71 percent for the issue. Page 1 of 2 In September 2008, the District issued $27.8 million of fixed rate COPs, Series 2008B refunding the Series 1993 variable rate debt. The true interest cost for the issue is 2.96 percent. In May 2009, the District issued $200 million of fixed rate COPs, Series 2009A at a true interest cost of 4.72 percent for the issue. In May 2010, the District issued $80.0 million of fixed rate BABs, Series 2010A at a true interest cost of 3.68 percent for the issue. In December 2010, the District issued $157.0 million of fixed rate BABs, Series 2010C at a true interest cost of 4.11 percent for the issue. In October 2011, the District issued $147.595 million of fixed rate COPs, Series 2011A refunding a portion of the Series 2000 variable rate debt and a portion of the Series 2003 fixed rate debt. The true interest cost for the issue is 2.61 percent. In March 2012, the District issued $100.645 million of fixed rate COPs, Series 2012A refunding the Series 2003 fixed rate debt. The true interest cost for the issue is 3.54 percent. In August 2012, the District issued $66.395 million of fixed rate COPS, Series 2012B refunding the Series 2000 variable rate debt. The true interest cost for the issue is 1.50 percent. With the issuance of Series 2012B, there remains no variable interest rate COPS at the District. In August 2014, the District issued $85.090 million of fixed rate COPs, Series 2014A, refunding a portion of Series 2007B debt. The true interest cost for the issue is 2.34 percent. In October 2014, the District issued $120.850 million of fixed rate CANs, Series 2014B, refunding the Series 2013A CANs. The true interest cost for the issue is 0.41 percent. In February 2015, the District issued $127.510 million of fixed rate COPs, Series 2015A, refunding $152,990,000 of the Series 2007B debt. The true interest cost for the issue is 3.30 percent. BUDGET/PURCHASING ORDINANCE COMPLIANCE N/A Page 2 of 2 STEERING COMMITTEE Meeting Date TOBd 0111 r. o7R2115 o7ft2/1S AGENDA REPORT Item Number Item Number 4 15 Orange County Sanitation District FROM: James D. Herberg, General Manager Originator: Robert P. Ghirelli, Assistant General Manager SUBJECT: CLASSIFICATION & COMPENSATION STUDIES — COMPARISON AGENCIES GENERAL MANAGER'S RECOMMENDATION Information Only. SUMMARY The Orange County Sanitation District (OCSD) initiated its periodic Classification and Compensation Studies in March 2015 with Gallagher Benefit Services, Inc. As part of the study's compensation phase, OCSD's current list of comparison agencies that comprise its labor market will be reviewed and updated as needed. PRIOR COMMITTEE/BOARD ACTIONS February 2014 — The Administration Committee authorized the General Manager to advertise a request for proposal and subsequently award a Consultant Services Agreement for an OCSD-wide Classification and Compensation Study, for a total amount not to exceed $100,000. ADDITIONAL INFORMATION Classification and Compensation Studies are conducted periodically by organizations to obtain information on how other agencies structure their positions and compensate employees in similar positions. Such benchmark data is critical feedback regarding how an agency compares to its labor market, providing information for organizational decisions on classification and compensation of its jobs. The selection of an appropriate labor market is important to all stakeholders, including the Board of Directors, management, bargaining units, employees, and the public. It ensures that OCSD compares its classification and compensation systems to similar organizations. Currently stakeholder review of the list of proposed comparison agencies is underway. The proposed list has been distributed to OCSD's unrepresented groups (Executive Management Team, Manager Group, and Confidential Group) and all represented bargaining units. Stakeholders' feedback will be collected and evaluated. Subsequently, a recommendation will be presented to the Board of Directors regarding the final list of comparison agencies to be used for benchmarking in the Classification and Compensation Studies. Page 1 d 3 OCSD's current list of 13 comparison agencies was established during the 2002 Classification and Compensation Studies conducted in 2002 by Johnson & Associates. The comparison agencies were selected based on geographic proximity, employer size, and nature of services provided. OCSD's current comparison agencies are: • City of Anaheim • Central Contra Costa Sanitary District • County Sanitation Districts of Los Angeles County • East Bay Municipal Utilities District • Eastern Municipal Water District • City of Garden Grove • City of Huntington Beach • City of Irvine • Irvine Ranch Water District • City of Los Angeles Bureau of Sanitation • Los Angeles County Department of Public Works • Orange County Water District • City of San Diego Updates to OCSD's comparison agencies list have been recommended by Gallagher Benefits Services, Inc., during the current study. Gallagher's consultants indicate that an organization's list of comparison agencies should consist of between 15 and 20 comparison agencies in order to provide statistically significant data. The City of Garden Grove was removed, since it did not fit their criteria. The criteria they consider include the following: • Retention: agencies from/to which OCSD gains/ loses employees • Geography: agencies within the same area/ region/ state • Size/ Service Area: agencies from twice as large to half as big • Operations: agencies with similar operations and water processed • Continuity: agencies previously surveyed ensure continuity Below is the revised list of comparison agencies that Gallagher Benefits Services recommends for OCSD. It includes 12 of the existing comparison agencies, plus 8 additional agencies marked with an asterisk (*). • City of Anaheim • Central Contra Costa Sanitary District • County Sanitation Districts of Los Angeles County • East Bay Municipal Utilities District • Eastern Municipal Water District • City of Huntington Beach • City of Irvine • Irvine Ranch Water District • City of Los Angeles Bureau of Sanitation • Los Angeles County Department of Public Works • Orange County Water District Page 2 d 3 • City of San Diego • City and County of San Francisco Utilities* • City of San Jose Environmental Services* • Sacramento Regional County Sanitation District* • City of Long Beach* • City of Santa Ana* • Orange County* • Riverside County* • San Bernardino County* Discussions are pending with the bargaining units regarding the proposed comparison agencies list, and bargaining unit input will be considered by management in making any revisions to the proposed list. Following discussions, a final draft of the list will be presented to OCSD's Board of Directors for approval. Additionally, a project status update on the Classification and Compensation Studies will be provided at an upcoming meeting of the Board of Directors. CEQA N/A BUDGET/PURCHASING ORDINANCE COMPLIANCE The funds for this project were included in the OCSD Operating Budget for FY 2014-15 and FY 2015-16. Page 3 d 3 ORANGE COUNTY SANITATION DISTRICT Agenda Terminology Glossary Glossary of Terms and Abbreviations AQMD Air Quality Management District ASCE American Society of Civil Engineers BOD Biochemical Oxygen Demand CARB California Air Resources Board CASA California Association of Sanitation Agencies CCTV Closed Circuit Television CEQA California Environmental Quality Act CRWQCB California Regional Water Quality Control Board CWA Clean Water Act CWEA California Water Environment Association EIR Environmental Impact Report EMT Executive Management Team EPA U.S. Environmental Protection Agency FOG Fats, Oils, and Grease FSSD Facilities Support Services Department gpd Gallons per day GWR System Groundwater Replenishment System (also called GWRS) ICS Incident Command System IERP Integrated Emergency Control Plan LOS Level of Service MGD Million gallons per day NACWA National Association of Clean Water Agencies NPDES National Pollutant Discharge Elimination System NWRI National Water Research Institute O&M Operations and Maintenance OCCOG Orange County Council of Governments OCHCA Orange County Health Care Agency OCSD Orange County Sanitation District OCWD Orange County Water District GOBS Ocean Outfall Booster Station OSHA Occupational Safety and Health Administration POTW Publicly Owned Treatment Works ppm Parts per million RFP Request For Proposal RWQCB Regional Water Quality Control Board SARFPA Santa Ana River Flood Protection Agency Glossary of Terms and Abbreviations SARI Santa Ana River Inceptor SARWQCB Santa Ana Regional Water Quality Control Board SAWPA Santa Ana Watershed Project Authority SCADA Supervisory Control and Data Acquisition system SCAP Southern California Alliance of Publicly Owned Treatment Works SCAQMD South Coast Air Quality Management District SOCWA South Orange County Wastewater Authority SSMP Sanitary Sewer Management Plan SSO Sanitary Sewer Overflow SWRCB State Water Resources Control Board TDS Total Dissolved Solids TMDL Total Maximum Daily Load TSS Total Suspended Solids WDR Waste Discharge Requirements WEF Water Environment Federation WERF Water Environment Research Foundation Activated-sludge process — A secondary biological wastewater treatment process where bacteria reproduce at a high rate with the introduction of excess air or oxygen, and consume dissolved nutrients in the wastewater. Benthos— The community of organisms, such as sea stars, worms and shrimp, which live on, in, or near the seabed, also know as the benthic zone. Biochemical Oxygen Demand (BOD)—The amount of oxygen used when organic matter undergoes decomposition by microorganisms. Testing for BOD is done to assess the amount of organic matter in water. Biosolids — Biosolids are nutrient rich organic and highly treated solid materials produced by the wastewater treatment process. This high-quality product can be recycled as a soil amendment on farm land or further processed as an earth-like product for commercial and home gardens to improve and maintain fertile soil and stimulate plant growth. Capital Improvement Program (CIP) — Projects for repair, rehabilitation, and replacement of assets. Also includes treatment improvements, additional capacity, and projects for the support facilities. Coliform bacteria—A group of bacteria found in the intestines of humans and other animals, but also occasionally found elsewhere used as indicators of sewage pollution. E. coli are the most common bacteria in wastewater. Collections system — In wastewater, it is the system of typically underground pipes that receive and convey sanitary wastewater or storm water. Certificate of Participation (COP) —A type of financing where an investor purchases a share of the lease revenues of a program rather than the bond being secured by those revenues. Glossary of Terms and Abbreviations Contaminants of Potential Concern (CPC) — Pharmaceuticals, hormones, and other organic wastewater contaminants. Dilution to Threshold (D1T) — the dilution at which the majority of the people detect the odor becomes the DrT for that air sample. Greenhouse gases — In the order of relative abundance water vapor, carbon dioxide, methane, nitrous oxide, and ozone gases that are considered the cause of global warming ("greenhouse effect"). Groundwater Replenishment (GWR) System — A joint water reclamation project that proactively responds to Southern California's current and future water needs. This joint project between the Orange County Water District and the Orange County Sanitation District provides 70 million gallons a day of drinking quality water to replenish the local groundwater supply. Levels of Service (LOS)—Goals to support environmental and public expectations for performance. NDMA— N-Nitrosodimethylamine is an N-nitrosoamine suspected cancer-causing agent. It has been found in the Groundwater Replenishment System process and is eliminated using hydrogen peroxide with extra ultra-violet treatment. National Biosolids Partnership (NBP) — An alliance of the National Association of Clean Water Agencies (NACWA) and Water Environment Federation (WEF), with advisory support from the U.S. Environmental Protection Agency (EPA). NBP is committed to developing and advancing environmentally sound and sustainable biosolids management practices that go beyond regulatory compliance and promote public participation in order to enhance the credibility of local agency biosolids programs and improved communications that lead to public acceptance. Plume—A visible or measurable concentration of discharge from a stationary source or fixed facility. Publicly-owned Treatment Works (POTW)— Municipal wastewater treatment plant. Santa Ana River Interceptor (SARI) Line — A regional brine line designed to convey 30 million gallons per day (MGD) of non-reclaimable wastewater from the upper Santa Ana River basin to the ocean for disposal, after treatment. Sanitary sewer — Separate sewer systems specifically for the carrying of domestic and industrial wastewater. Combined sewers carry both wastewater and urban run-off. South Coast Air Quality Management District (SCAQMD) — Regional regulatory agency that develops plans and regulations designed to achieve public health standards by reducing emissions from business and industry. Secondary treatment — Biological wastewater treatment, particularly the activated-sludge process, where bacteria and other microorganisms consume dissolved nutrients in wastewater. Sludge—Untreated solid material created by the treatment of wastewater. Total suspended solids (TSS)—The amount of solids floating and in suspension in wastewater. Trickling filter — A biological secondary treatment process in which bacteria and other microorganisms, growing as slime on the surface of rocks or plastic media, consume nutrients in wastewater as it trickles over them. Glossary of Terms and Abbreviations Urban runoff — Water from city streets and domestic properties that carry pollutants into the storm drains, rivers, lakes, and oceans. Wastewater—Any water that enters the sanitary sewer. Watershed —A land area from which water drains to a particular water body. OCSD's service area is in the Santa Ana River Watershed.