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 Any items withdrawn from the Consent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
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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.
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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
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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
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Page 6 of 24
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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
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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.
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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.
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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.
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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:
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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
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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
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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:
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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
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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
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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
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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
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"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,
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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
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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.
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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
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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
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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
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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.
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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.
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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.
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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.
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Remed 020915 SEAL BEACH PUMPING UPGRADE AND REHABILITATION
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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
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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.
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Remed 020915 SEAL BEACH PUMPING UPGRADE AND REHABILITATION
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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
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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
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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
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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
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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
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Agenda
• Project overview
• Key challenges
• Design and construction costs
• The most qualified design firm
• Recommendations
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City of Seal BeachJL
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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
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• 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 -
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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)
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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,
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Sizes Rciistically
Reinstate Operabonal
• Goal is to rehabilitate in the ground and Redundancy
. pmvide Operational
minimize open trench earth work in the FlexlbilltY
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roadway co �+
• Upgrade pipe supports (next to bridge) dRisk'°bon Beaune!10 Same
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. 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
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BlendArchitectural
- Gain community acceptance
with local
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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
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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 '
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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,
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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
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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:
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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
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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.
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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:
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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
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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.
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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
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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.
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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.
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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
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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
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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
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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
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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
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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
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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
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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.
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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
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STEERING COMMITTEE Meeting Date TOBd 0111 r.
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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.
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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
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• 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.
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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.