HomeMy WebLinkAbout01-22-2020 Board Meeting Agenda Packet Serving: Orange County Sanitation District
Anaheim 10844 Ellis Avenue,Fountain Valley,CA 92708
714.962.2411 • www.ocsd.com
Brea
Buena Park
January 15, 2020
Cypress
Fountain Valley
Fullerton NOTICE OF
Garden Grove REGULAR MEETING
Huntington Beach
Irvine BOARD OF DIRECTORS
La Habra
La Palma ORANGE COUNTY SANITATION DISTRICT
Los Alamitos
Newport Beach Wednesday, January 22, 2020 — 6:00 P.M.
Orange
Administration Building
Placentia 10844 Ellis Avenue
Santa Ana Fountain Valley, California 92708
Seal Beach The Regular Meeting of the Board of Directors of the Orange County
Stanton Sanitation District will be held at the above location, time, and date.
Tustin
Villa Park
County of Orange
Costa Mesa
Sanitary District Jerk oHKe Poard
Midway City
Sanitary District
Irvine Ranch
Water District
Upcoming Meetings:
Yorba Linda
Water District Steering Committee - Wednesday, February 26, 2020 at 5:00 p.m.
Board Meeting - Wednesday, February 26, 2020 at 6:00 p.m.
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F�rTNG '"E E"vP� Our Mission: To protect public health and the environment by
providing effective wastewater collection, treatment, and recycling.
BOARD MEETING DATES
February 26, 2020
March 25, 2020
April 22, 2020
May 27, 2020
June 24, 2020
July 22, 2020
August 26, 2020
September 23, 2020
October 28, 2020
November 18, 2020
December 16, 2020
January 27, 2021
*Meeting will be held on the third Wednesday of the month
ORANGE COUNTY SANITATION DISTRICT Effective 01/15/2020
BOARD OF DIRECTORS
Complete Roster
ALTERNATE
AGENCY/CITIES ACTIVE DIRECTOR DIRECTOR
Anaheim Lucille Kring Denise Barnes
Brea Glenn Parker Steven Vargas
Buena Park Fred Smith Connor Traut
Cypress Mariellen Yarc Stacy Berry
Fountain Valley Steve Nagel Patrick Harper
Fullerton Jesus J. Silva Jan Flory
Garden Grove Steve Jones John O'Neill
Huntington Beach Erik Peterson Lyn Semeta
Irvine Christina Shea Anthony Kuo
La Habra Tim Shaw Rose Espinoza
La Palma Peter Kim Nitesh Patel
Los Alamitos Richard Murphy Dean Grose
Newport Beach Brad Avery Joy Brenner
Orange Mark Murphy Kim Nichols
Placentia Chad Wanke Ward Smith
Santa Ana Cecilia Iglesias David Penaloza
Seal Beach Sandra Massa-Lavitt Schelly Sustarsic
Stanton David Shawver Carol Warren
Tustin Allan Bernstein Chuck Puckett
Villa Park Robert Collacott Chad Zimmerman
Sanitary/Water Districts
Costa Mesa Sanitary District James M. Ferryman Bob Ooten
Midway City Sanitary District Andrew Nguyen Margie L. Rice
Irvine Ranch Water District John Withers Douglas Reinhart
Yorba Linda Water District Brooke Jones Phil Hawkins
County Areas
Board of Supervisors Doug Chaffee Michelle Steel
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Orange County Sanitation District
BOARD OF DIRECTORS
Regular Meeting Agenda
Wednesday, January 22, 2020 - 6:00 PM
Board Room
Administration Building
10844 Ellis Avenue
Fountain Valley, CA 92708
(714) 593-7433
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.
AGENDA DESCRIPTION: The agenda provides a brief general description of each item of business to be
considered or discussed. The recommended action does not indicate what action will be taken. The Board of
Directors may take any action which is deemed appropriate.
MEETING AUDIO: An audio recording of this meeting is available within 24 hours after adjournment of the
meeting. Please contact the Clerk of the Board's office at(714) 593-7433 to request the audio file.
NOTICE TO DIRECTORS: To place items on the agenda for a Committee or Board Meeting, the item must be
submitted in writing to the Clerk of the Board: Kelly A. Lore, MMC, (714) 593-7433/ klore@ocsd.com at least 14
days before the meeting.
FOR ANY QUESTIONS ON THE AGENDA, BOARD MEMBERS MAY CONTACT STAFF AT:
General Manager: Jim Herberg,jherberg@ocsd.com/(714)593-7300
Asst. General Manager: Lorenzo Tyner, Ityner@ocsd.com/ (714)593-7550
Asst. General Manager: Rob Thompson, rthompson@ocsd.com/(714)593-7310
Director of Human Resources: Celia Chandler, cchandler@ocsd.com/(714) 593-7202
Director of Engineering: Kathy Millea, kmillea@ocsd.com/ (714)593-7365
Director of Environmental Services: Lan Wiborg, Iwiborg@ocsd.com/(714) 593-7450
BOARD OF DIRECTORS Regular Meeting Agenda Wednesday, January 22, 2020
CALL TO ORDER
(Board Chairman David Shawver)
INVOCATION AND PLEDGE OF ALLEGIANCE
Tim Shaw, City of La Habra
ROLL CALL (Clerk of the Board)
1. APPOINTMENTS TO THE ORANGE COUNTY SANITATION DISTRICT 2019-853
BOARD OF DIRECTORS
RECOMMENDATION:
Receive and file minute excerpts of member agencies relating to appointments to the
Orange County Sanitation District Board of Directors:
Agency Director Alternate Director
City of Anaheim Lucille Kring Denise Barnes
City of Buena Park Fred Smith Connor Traut
City of Irvine Christina Shea Anthony Kuo
City of Los Alamitos Richard Murphy Dean Grose
City of Newport Beach Brad Avery Joy Brenner
City of Placentia Chad Wanke Ward Smith
City of Seal Beach Sandra Massa-Lavitt Schelly Sustarsic
City of Stanton David Shawver Carol Warren
City of Tustin Allan Bernstein Charles Puckett
Costa Mesa
Sanitary District James Ferryman Bob Ooten
Irvine Ranch
Water District John Withers Doug Reinhart
Yorba Linda
Water District Brooke Jones Phil Hawkins
Originator: Kelly Lore
DECLARATION OF QUORUM
PUBLIC COMMENTS:
If you wish to address the Board of Directors on any item, please complete a Speaker's Form (located at the table
outside of the Board Room) and submit it to the Clerk of the Board or notify the Clerk of the Board the item
number on which you wish to speak. Speakers will be recognized by the Chairperson and are requested to limit
comments to three minutes.
SPECIAL PRESENTATIONS:
None.
Page 1 of 6
BOARD OF DIRECTORS Regular Meeting Agenda Wednesday, January 22, 2020
REPORTS:
The Board Chairperson 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.
2. APPROVAL OF MINUTES 2019-665
RECOMMENDATION:
Approve Minutes of the Regular Meeting of the Board of Directors held December 18,
2019.
Originator: Kelly Lore
Attachments: Agenda Report
12-18-2019 Board Meeting Minutes
RECEIVE AND FILE:
3. COMMITTEE MEETING MINUTES 2019-737
RECOMMENDATION: Receive and file the following:
A. Minutes of the Steering Committee Meeting held November 20, 2019
B. Minutes of the GWRS Steering Committee Meeting held October 14, 2019
Originator: Kelly Lore
Attachments: Agenda Report
11-20-2019 Steering Committee Minutes
10-14-2019 GWRS Steering Committee Meeting Minutes
4. REPORT OF THE INVESTMENT TRANSACTIONS FOR THE MONTH 2O19-800
OF DECEMBER 2019
RECOMMENDATION: Receive and file the following:
Report of the Investment Transactions for the month of December 2019.
Originator: Lorenzo Tyner
Attachments: Agenda Report
Investment Transactions for the Month of December 2019
Page 2 of 6
BOARD OF DIRECTORS Regular Meeting Agenda Wednesday, January 22, 2020
OPERATIONS COMMITTEE:
5. AWARD OF CORROSION MANAGEMENT SUPPORT SERVICES, 2019-821
SPECIFICATION NO. CS-2019-1071 BD
RECOMMENDATION:
A. Approve a Professional Consultant Services Agreement with Corrpro
Companies, Inc. for Corrosion Management Support Services, Specification No.
CS-2019-1071 BD, for the period of January 1, 2020 through December 31,
2020, for a total annual amount not to exceed $600,000, with four (4) one-year
renewal options; and
B. Approve an annual contingency of $60,000 (10%).
Originator: Kathy Millea
Attachments: Agenda Report
CS-2019-1071 BD FINAL PROFESSIONAL CONSULTANT
SERVICES AGREEMENT
ADMINISTRATION COMMITTEE:
None.
LEGISLATIVE AND PUBLIC AFFAIRS COMMITTEE:
None.
STEERING COMMITTEE:
6. REQUEST FOR FUNDING - WASTEWATER FLOW & LOADING STUDY 2020-881
RECOMMENDATION:
Approve the Orange County Sanitation District's on-going participation in the California
Association of Sanitation Agencies wastewater flow and loading study and the
Participating Agency Contribution Pledge of $410,676.
Originator: Lorenzo Tyner
Attachments: Agenda Report
Pledge Form OCSD Phase 213
Page 3 of 6
BOARD OF DIRECTORS Regular Meeting Agenda Wednesday, January 22, 2020
7. GENERAL MANAGER'S FISCAL YEAR 2019-2020 WORK PLAN 2020-882
MID-YEAR UPDATE
RECOMMENDATION:
Receive and file the General Manager's Fiscal Year 2019-2020 Work Plan Mid-Year
Update and Memorandum.
Originator: Jim Herberg
Attachments: Agenda Report
GM's FY 2019-20 Work Plan Mid-Year Update & Memo
NON-CONSENT:
8. HEADWORKS MODIFICATIONS AT PLANT NO. 2 FOR GWRS FINAL 2019-677
EXPANSION, PROJECT NO. P2-122
RECOMMENDATION: Recommend to the Board of Directors to:
A. Receive and file Bid Tabulation and Recommendation for Headworks Modifications
at Plant No. 2 for GWRS Final Expansion, Project No. P2-122;
B. Award a Construction Contract to Shimmick Construction Co., Inc. for Headworks
Modifications at Plant No. 2 for GWRS Final Expansion, Project No. P2-122, for
a total amount not to exceed $14,487,735; and
C. Approve a contingency of $1,448,773 (10%).
Originator: Kathy Millea
Attachments: Agenda Report
P2-122 Contract Agreement Package
9. HEADWORKS MODIFICATIONS AT PLANT NO. 2 FOR GWRS FINAL 2019-854
EXPANSION, PROJECT NO. P2-122
RECOMMENDATION: Recommend to the Board of Directors to:
A. Approve a Professional Construction Services Agreement with CDM Smith Inc. to
provide construction support services for Headworks Modifications at Plant No. 2
for GWRS Final Expansion, Project No. P2-122, for an amount not to exceed
$2,200,000; and
B. Approve a contingency of $220,000 (10%).
Originator: Kathy Millea
Attachments: Agenda Report
P2-122 PCSA Agreement - CDM Smith
Page 4 of 6
BOARD OF DIRECTORS Regular Meeting Agenda Wednesday, January 22, 2020
INFORMATION ITEMS:
None.
AB 1234 DISCLOSURE REPORTS:
This item allows Board members to provide a brief oral report regarding the disclosure of outside committees,
conferences, training, seminars, etc. attended at the Agency's expense, per Government Code§53232.3(d).
CLOSED SESSION:
During the course of conducting the business set forth on this agenda as a regular meeting of the Board, the
Chairperson 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 the Board takes final action on any of these subjects, the minutes
will reflect all required disclosures of information.
CONVENE IN CLOSED SESSION.
CS-1 CONFERENCE WITH LEGAL COUNSEL RE ANTICIPATED 2020-873
LITIGATION - GOVERNMENT CODE SECTION 54956.9(d)(4)
RECOMMENDATION: Convene in Closed Session:
Number of Potential Cases: 1
Initiation of litigation regarding development fees and conditions at Project OCSD
Headquarters Building: City of Fountain Valley
Attachments: Agenda Report
Memo re Anticipated Litigation Headquaters Building
CS-2 CONFERENCE WITH REAL PROPERTY NEGOTIATORS - 2020-874
GOVERNMENT CODE SECTION 54956.8
RECOMMENDATION: Convene in Closed Session:
Property: 18475 Bandilier Cir. Fountain Valley, CA - APN No.156-163-15;
Agency negotiators: General Manager, Jim Herberg; Assistant General Manager,
Lorenzo Tyner; Assistant General Manager, Rob Thompson; and Director of
Engineering, Kathy Millea.
Negotiating parties: Sukut Real Properties II, LLC
Page 5 of 6
BOARD OF DIRECTORS Regular Meeting Agenda Wednesday, January 22, 2020
Under negotiation: Price and terms of payment
Attachments: Agenda Report
Memo re Real Property
RECONVENE IN REGULAR SESSION.
CONSIDERATION OF ACTION, IF ANY, ON MATTERS CONSIDERED IN CLOSED
SESSION:
OTHER BUSINESS AND COMMUNICATIONS OR SUPPLEMENTAL AGENDA ITEMS, IF
ANY:
BOARD OF DIRECTORS INITIATED ITEMS FOR A FUTURE MEETING:
At this time Board members may request staff to place an item on a future agenda.
ADJOURNMENT:
Adjourn the Board meeting until the Regular Meeting of the Board of Directors on February
26, 2020 at 6:00 p.m.
Page 6 of 6
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BOARD OF DIRECTORS (714)593 7433
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Agenda Report
File #: 2019-665 Agenda Date: 1/22/2020 Agenda Item No: 2.
FROM: James D. Herberg, General Manager
Originator: Kelly A. Lore, Clerk of the Board
SUBJECT:
APPROVAL OF MINUTES
GENERAL MANAGER'S RECOMMENDATION
RECOMMENDATION:
Approve Minutes of the Regular Meeting of the Board of Directors held December 18, 2019.
BACKGROUND
In accordance with the Board of Directors Rules of Procedure, an accurate record of each meeting
will be provided to the Directors for subsequent approval at the following meeting.
RELEVANT STANDARDS
• Resolution No. OCSD 19-19
ATTACHMENT
The following attachment(s) are included in hard copy and may also be viewed on-line at the OCSD website
(www.ocsd.com) with the complete agenda package:
• Minutes of the Board of Directors meeting held December 18, 2019
Orange County Sanitation District Page 1 of 1 Printed on 1/15/2020
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ORANGE COUNTY SANITATION DISTRICT
MINUTES
BOARD OF DIRECTORS
DECEMBER 18, 2019
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Board Room
Administration Building
10844 Ellis Avenue
Fountain Valley, CA 92708
(714) 593-7433
BOARD OF DIRECTORS Minutes December 18, 2019
CALL TO ORDER
A regular meeting of the Board of Directors of the Orange County Sanitation District was
called to order by Board Chairman David Shawver on December 18, 2019 at 6:02 p.m. in the
Administration Building. Director Christina Shea delivered the invocation and led the Pledge
of Allegiance.
ROLL CALL AND DECLARATION OF QUORUM
The Clerk of the Board declared a quorum present as follows:
PRESENT: Brad Avery, Doug Chaffee, Robert Collacott, James Ferryman,
Cecilia Iglesias, Steve Jones, Lucille Kring, Sandra Massa-Lavitt,
Mark Murphy, Richard Murphy, Andrew Nguyen, Glenn Parker, Erik
Peterson, Tim Shaw, David Shawver, Christina Shea, Jesus Silva,
Fred Smith, Chad Wanke, John Withers, Mariellen Yarc, Marshall
Goodman (Alternate), Patrick Harper (Alternate) and Chuck Puckett
(Alternate)
ABSENT: Phil Hawkins
STAFF MEMBERS PRESENT: Jim Herberg, General Manager; Rob Thompson, Assistant
General Manager; Lorenzo Tyner, Assistant General Manager; Celia Chandler, Director of
Human Resources; Kathy Millea, Director of Engineering; Lan Wiborg, Director of
Environmental Services; Kelly Lore, Clerk of the Board; Jennifer Cabral; Raul Cuellar; Mike
Dorman; Brian Engeln; Dean Fisher; Lisa Frigo; Al Garcia; Tom Grant; Tina Knapp; Rebecca
Long; Laura Maravilla; Josh Martinez; Cory Mayne; Tom Meregillano; Jeff Mohr; Cindy Murra;
John Preston; Roy Reynolds; Wally Ritchie; Sharon Yin and Ruth Zintzun
OTHERS PRESENT: Brad Hogin (General Counsel); and Alternate Board Member Bob
Ooten (CMSD); Connor Medina, OCBC; Eric Sapirstein, ENS; and Eric O'Donnell, TPA.
1. APPOINTMENTS TO THE ORANGE COUNTY SANITATION DISTRICT 2019-840
BOARD OF DIRECTORS
Originator: Kelly Lore
Chair Shawver announced that Late Communications from member agencies had
been received regarding the item.
WITHOUT OBJECTION ACTION TAKEN TO:
Receive and file minute excerpts of member agencies relating to appointments to the
Orange County Sanitation District Board of Directors effective January 1, 2020:
Agency Director Alternate Director
City of La Palma Peter Kim Nitesh Patel
The Clerk of the Board received late communication after the publication of the agenda
Page 1 of 14
BOARD OF DIRECTORS Minutes December 18, 2019
regarding Item No. 1. Additional minute excerpts of member agencies were received
and filed relating to appointments to the Orange County Sanitation District Board of
Directors effective as follows:
Agency Director Alternate Director
City of Cypress Mariellen Yarc Stacy Berry (effective 12/09/2019)
City of Huntington Beach Erik Peterson Lyn Semeta (effective 01/01/2020)
City of La Habra Tim Shaw Rose Espinoza (effective 12/16/2019)
Midway City
Sanitary District Andrew Nguyen Margie L. Rice (effective 12/10/2019)
Chair Shawver acknowledged and thanked Alternate Director Marshall Goodman for his
service as an active Alternate Director on the OCSD Board of Directors.
PUBLIC COMMENTS:
None.
SPECIAL PRESENTATIONS:
SP-1 ORANGE COUNTY BUSINESS COUNCIL PRESENTATION OF 2019 SUSTAINABLE
AND GREEN DEVELOPMENT AWARD
Government Affairs Specialist Connor Medina presented the Orange County Business
Council's 2019 Sustainable and Green Development Award for OCSD's Food Waste
Diversion Project to OCSD's Board Chair Shawver and the project team.
Vice-Chair Withers departed the meeting at 6:07 p.m.
SP-2 ANNUAL LEGISLATIVE AFFAIRS UPDATE FOR 2019 2019-792
Originator: Jim Herberg
WITHOUT OBJECTION ACTION TAKEN TO RECEIVE:
Information regarding the legislative affairs program will be provided to the Board of
Directors. Orange County Sanitation District's Federal and State Lobbyists will provide
an overview of the annual update for 2019.
REPORTS:
Chair Shawver stated that prior to the Board meeting, the Orange County Fire Authority picked
up over 300 toys that were donated to the Spark of Love Toy Drive by OCSD staff, so that
disadvantaged children in Southern California can have a joyous Christmas.
He also stated that all Committee meetings would be dark in January, but the Steering and
Board meeting would be held on the regularly scheduled meeting date of January 22.
Page 2 of 14
BOARD OF DIRECTORS Minutes December 18, 2019
General Manager Jim Herberg reported that the Headworks Modification project at Plant No.
2 received five construction bids on Tuesday with the lowest bid $10 million under the
engineers estimate. He stated this item will be coming directly to the January Board for
award.
Mr. Herberg reported on the progress of the Headquarters Building design stating that the
project is currently on schedule with 95% design completion; and meetings continue with the
City of Fountain Valley.
Mr. Herberg stated that he attended a celebration for former Board member Pier Swan and
Vice-Chairman John Withers for their 30 years of service at IRWD; and presented Mark Lewis,
Public Works Director for the City of Fountain Valley a commendation for his 30 years of
service.
CONSENT CALENDAR:
2. APPROVAL OF MINUTES 2019-738
Originator: Kelly Lore
MOVED, SECONDED, AND DULY CARRIED TO:
Approve Minutes of the Regular Meeting of the Board of Directors held November 20,
2019.
AYES: Brad Avery, Doug Chaffee, Robert Collacott, James Ferryman,
Cecilia Iglesias, Steve Jones, Lucille Kring, Sandra Massa-Lavitt,
Mark Murphy, Richard Murphy, Andrew Nguyen, Glenn Parker, Erik
Peterson, Tim Shaw, David Shawver, Christina Shea, Jesus Silva,
Fred Smith, Chad Wanke, Mariellen Yarc, Marshall Goodman
(Alternate), Patrick Harper (Alternate) and Chuck Puckett (Alternate)
NOES: None
ABSENT: Phil Hawkins and John Withers
ABSTENTIONS: None
3. PRIMARY SEDIMENTATION BASINS NO. 6-31 RELIABILITY 2019-842
IMPROVEMENTS AT PLANT NO. 1, PROJECT NO. P1-133
Originator: Kathy Millea
MOVED, SECONDED, AND DULY CARRIED TO:
Page 3 of 14
BOARD OF DIRECTORS Minutes December 18, 2019
A. Approve the Amended Professional Design Services Agreement with Carollo
Engineers, Inc. to provide engineering services for Primary Sedimentation
Basins No. 6-31 Reliability Improvements at Plant No. 1, Project No. P1-133, for
an amount not to exceed $1,219,667; and
B. Approve a contingency of $121,967 (10%).
AYES: Brad Avery, Doug Chaffee, Robert Collacott, James Ferryman,
Cecilia Iglesias, Steve Jones, Lucille Kring, Sandra Massa-Lavitt,
Mark Murphy, Richard Murphy, Andrew Nguyen, Glenn Parker, Erik
Peterson, Tim Shaw, David Shawver, Christina Shea, Jesus Silva,
Fred Smith, Chad Wanke, Mariellen Yarc, Marshall Goodman
(Alternate), Patrick Harper (Alternate) and Chuck Puckett (Alternate)
NOES: None
ABSENT: Phil Hawkins and John Withers
ABSTENTIONS: None
RECEIVE AND FILE:
4. REPORT OF THE INVESTMENT TRANSACTIONS FOR THE MONTH 2O19-681
OF NOVEMBER 2019
Originator: Lorenzo Tyner
WITHOUT OBJECTION ACTION TAKEN TO RECEIVE:
Report of the Investment Transactions for the month of November 2019.
5. COMMITTEE MEETING MINUTES 2019-736
Originator: Kelly Lore
WITHOUT OBJECTION ACTION TAKEN TO RECEIVE:
A. Minutes of the Steering Committee Meeting held October 23, 2019
B. Minutes of the Legislative and Public Affairs Committee held November 4, 2019
C. Minutes of the Operations Committee Meeting held November 6, 2019
D. Minutes of the Administration Committee Meeting held November 13, 2019
OPERATIONS COMMITTEE:
6. PROTEIN MATRIX DEMONSTRATION STUDY AT PLANT NO. 1, 2019-820
PROJECT NO. RE18-02
Originator: Kathy Millea
MOVED, SECONDED, AND DULY CARRIED TO:
Page 4 of 14
BOARD OF DIRECTORS Minutes December 18, 2019
A. Ratify the prior Sole Source Purchases to Protein Matrix LLC for the
procurement of Protein Matrix Compound PM-4 for Protein Matrix
Demonstration Study at Plant No. 1, Project No. RE 18-02, for a total amount of
$148,500-1 and
B. Approve a Sole Source Purchase Order to Protein Matrix LLC for the
procurement of Protein Matrix Compound PM-4 for Protein Matrix
Demonstration Study at Plant No. 1, Project No. RE18-02, for a total amount not
to exceed $150,000.
AYES: Brad Avery, Doug Chaffee, Robert Collacott, James Ferryman,
Cecilia Iglesias, Steve Jones, Lucille Kring, Sandra Massa-Lavitt,
Mark Murphy, Richard Murphy, Andrew Nguyen, Glenn Parker, Erik
Peterson, Tim Shaw, David Shawver, Christina Shea, Jesus Silva,
Fred Smith, Chad Wanke, Mariellen Yarc, Marshall Goodman
(Alternate), Patrick Harper (Alternate) and Chuck Puckett (Alternate)
NOES: None
ABSENT: Phil Hawkins and John Withers
ABSTENTIONS: None
7. 480 VOLT CABLE REPLACEMENT AT PLANT NO. 2 HEADWORKS, 2019-822
PROJECT NO. MP-509
Originator: Kathy Millea
MOVED, SECONDED, AND DULY CARRIED TO:
A. Receive and file Bid Tabulation and Recommendation for 480 Volt Cable
Replacement at Plant No. 2 Headworks, Project No. MP-509;
B. Award a Construction Contract to Mass. Electric Construction Co. for 480 Volt
Cable Replacement at Plant No. 2, Project No. MP-509, for a total amount not to
exceed $434,327; and
C. Approve a contingency of $86,865 (20%).
AYES: Brad Avery, Doug Chaffee, Robert Collacott, James Ferryman,
Cecilia Iglesias, Steve Jones, Lucille Kring, Sandra Massa-Lavitt,
Mark Murphy, Richard Murphy, Andrew Nguyen, Glenn Parker, Erik
Peterson, Tim Shaw, David Shawver, Christina Shea, Jesus Silva,
Fred Smith, Chad Wanke, Mariellen Yarc, Marshall Goodman
(Alternate), Patrick Harper (Alternate) and Chuck Puckett (Alternate)
NOES: None
ABSENT: Phil Hawkins and John Withers
ABSTENTIONS: None
Page 5 of 14
BOARD OF DIRECTORS Minutes December 18, 2019
8. ACTIVATED SLUDGE PLANT CLARIFIER INLET GATE 2019-823
REPLACEMENT AT PLANT NO. 2, PROJECT NO. MP-638
Originator: Kathy Millea
MOVED, SECONDED, AND DULY CARRIED TO:
A. Receive and file Bid Tabulation and Recommendation for Activated Sludge Plant
Clarifier Inlet Gate Replacement at Plant No. 2, Project No. MP-638;
B. Award a Construction Contract to Innovative Construction Solutions for Activated
Sludge Plant Clarifier Inlet Gate Replacement at Plant No. 2, Project No. MP-
638, for a total amount not to exceed $658,300; and
C. Approve a contingency of $65,830 (10%).
AYES: Brad Avery, Doug Chaffee, Robert Collacott, James Ferryman,
Cecilia Iglesias, Steve Jones, Lucille Kring, Sandra Massa-Lavitt,
Mark Murphy, Richard Murphy, Andrew Nguyen, Glenn Parker, Erik
Peterson, Tim Shaw, David Shawver, Christina Shea, Jesus Silva,
Fred Smith, Chad Wanke, Mariellen Yarc, Marshall Goodman
(Alternate), Patrick Harper (Alternate) and Chuck Puckett (Alternate)
NOES: None
ABSENT: Phil Hawkins and John Withers
ABSTENTIONS: None
9. AGREEMENT FOR THE PURCHASE OF LIQUID CATIONIC 2019-824
POLYMER, SPECIFICATION NO. C-2019-1087BD
Originator: Rob Thompson
MOVED, SECONDED, AND DULY CARRIED TO:
A. Approve a Chemical Supplier Agreement with Polydyne, Inc. for the purchase of
Cationic Polymer, Specification No. C-2019-108713D, for the period beginning
February 1, 2020 through January 31, 2021 for a unit price of $2.548 per active
pound plus freight and applicable sales tax, for a total estimated annual amount
of $3,866,280 with four (4) one-year renewal options; and
B. Approve an annual unit price contingency of 15%.
AYES: Brad Avery, Doug Chaffee, Robert Collacott, James Ferryman,
Cecilia Iglesias, Steve Jones, Lucille Kring, Sandra Massa-Lavitt,
Mark Murphy, Richard Murphy, Andrew Nguyen, Glenn Parker, Erik
Peterson, Tim Shaw, David Shawver, Christina Shea, Jesus Silva,
Fred Smith, Chad Wanke, Mariellen Yarc, Marshall Goodman
(Alternate), Patrick Harper (Alternate) and Chuck Puckett (Alternate)
NOES: None
Page 6 of 14
BOARD OF DIRECTORS Minutes December 18, 2019
ABSENT: Phil Hawkins and John Withers
ABSTENTIONS: None
10. SEAL BEACH PUMP STATION REPLACEMENT, PROJECT NO. 3-67 2019-825
Originator: Kathy Millea
MOVED, SECONDED, AND DULY CARRIED TO:
A. Approve a Professional Design Services Agreement with Lee & Ro, Inc. to
provide engineering services for Seal Beach Pump Station Replacement,
Project No. 3-67, for an amount not to exceed $5,947,850; and
B. Approve a contingency of $594,785 (10%).
AYES: Brad Avery, Doug Chaffee, Robert Collacott, James Ferryman,
Cecilia Iglesias, Steve Jones, Lucille Kring, Sandra Massa-Lavitt,
Mark Murphy, Richard Murphy, Andrew Nguyen, Glenn Parker, Erik
Peterson, Tim Shaw, David Shawver, Christina Shea, Jesus Silva,
Fred Smith, Chad Wanke, Mariellen Yarc, Marshall Goodman
(Alternate), Patrick Harper (Alternate) and Chuck Puckett (Alternate)
NOES: None
ABSENT: Phil Hawkins and John Withers
ABSTENTIONS: None
11. WESTMINSTER BOULEVARD FORCE MAIN REPLACEMENT, 2019-826
PROJECT NO. 3-62
Originator: Kathy Millea
MOVED, SECONDED, AND DULY CARRIED TO:
A. Approve a Professional Construction Services Agreement with Stantec
Consulting, Inc. to provide construction support services for Westminster
Boulevard Force Main Replacement, Project No. 3-62, for a total amount not to
exceed $1,183,000; and
B. Approve a contingency of $118,300 (10%).
AYES: Brad Avery, Doug Chaffee, Robert Collacott, James Ferryman,
Cecilia Iglesias, Steve Jones, Lucille Kring, Sandra Massa-Lavitt,
Mark Murphy, Richard Murphy, Andrew Nguyen, Glenn Parker, Erik
Peterson, Tim Shaw, David Shawver, Christina Shea, Jesus Silva,
Fred Smith, Chad Wanke, Mariellen Yarc, Marshall Goodman
(Alternate), Patrick Harper (Alternate) and Chuck Puckett (Alternate)
NOES: None
ABSENT: Phil Hawkins and John Withers
ABSTENTIONS: None
Page 7 of 14
BOARD OF DIRECTORS Minutes December 18, 2019
12. WESTMINSTER BOULEVARD FORCE MAIN REPLACEMENT, 2019-827
PROJECT NO. 3-62
Originator: Kathy Millea
MOVED, SECONDED, AND DULY CARRIED TO:
A. Receive and file Bid Tabulation and Recommendation for Westminster
Boulevard Force Main Replacement, Project No. 3-62;
B. Award a Construction Contract to Teichert Energy & Utilities Group, Inc. for
Westminster Boulevard Force Main Replacement, Project No. 3-62, for a total
amount not to exceed $27,743,000; and
C. Approve a contingency of $2,774,300.
AYES: Brad Avery, Doug Chaffee, Robert Collacott, James Ferryman,
Cecilia Iglesias, Steve Jones, Lucille Kring, Sandra Massa-Lavitt,
Mark Murphy, Richard Murphy, Andrew Nguyen, Glenn Parker, Erik
Peterson, Tim Shaw, David Shawver, Christina Shea, Jesus Silva,
Fred Smith, Chad Wanke, Mariellen Yarc, Marshall Goodman
(Alternate), Patrick Harper (Alternate) and Chuck Puckett (Alternate)
NOES: None
ABSENT: Phil Hawkins and John Withers
ABSTENTIONS: None
ADMINISTRATION COMMITTEE:
13. PAYMENT OF ANNUAL NATIONAL POLLUTANT DISCHARGE AND 2019-848
ELIMINATION SYSTEM (NPDES) PERMIT FEES
Originator: Lan Wiborg
MOVED, SECONDED, AND DULY CARRIED TO:
Approve payment of $653,081 for annual NPDES (ocean discharge) permit fees.
AYES: Brad Avery, Doug Chaffee, Robert Collacott, James Ferryman,
Cecilia Iglesias, Steve Jones, Lucille Kring, Sandra Massa-Lavitt,
Mark Murphy, Richard Murphy, Andrew Nguyen, Glenn Parker, Erik
Peterson, Tim Shaw, David Shawver, Christina Shea, Jesus Silva,
Fred Smith, Chad Wanke, Mariellen Yarc, Marshall Goodman
(Alternate), Patrick Harper (Alternate) and Chuck Puckett (Alternate)
NOES: None
ABSENT: Phil Hawkins and John Withers
ABSTENTIONS: None
Page 8 of 14
BOARD OF DIRECTORS Minutes December 18, 2019
14. INVEST AND/OR REINVEST ORANGE COUNTY SANITATION 2019-849
DISTRICT'S FUNDS AND ADOPT INVESTMENT POLICY
STATEMENT
Originator: Lorenzo Tyner
MOVED, SECONDED, AND DULY CARRIED TO:
Adopt Resolution No. OCSD 19-21, entitled, "A Resolution of the Board of Directors of
the Orange County Sanitation District, Authorizing the Orange County Sanitation
District's Treasurer to Invest and/or Reinvest Orange County Sanitation District's
Funds, Adopting the Orange County Sanitation District's Investment Policy Statement
and Performance Benchmarks, and Repealing Resolution No. OCSD 18-23".
AYES: Brad Avery, Doug Chaffee, Robert Collacott, James Ferryman,
Cecilia Iglesias, Steve Jones, Lucille Kring, Sandra Massa-Lavitt,
Mark Murphy, Richard Murphy, Andrew Nguyen, Glenn Parker, Erik
Peterson, Tim Shaw, David Shawver, Christina Shea, Jesus Silva,
Fred Smith, Chad Wanke, Mariellen Yarc, Marshall Goodman
(Alternate), Patrick Harper (Alternate) and Chuck Puckett (Alternate)
NOES: None
ABSENT: Phil Hawkins and John Withers
ABSTENTIONS: None
LEGISLATIVE AND PUBLIC AFFAIRS COMMITTEE:
15. PUBLIC AFFAIRS UPDATE FOR THE MONTH OF NOVEMBER 2019 2019-836
Originator: Jim Herberg
MOVED, SECONDED, AND DULY CARRIED TO:
Receive and file the Public Affairs Update for the month of November 2019.
AYES: Brad Avery, Doug Chaffee, Robert Collacott, James Ferryman,
Cecilia Iglesias, Steve Jones, Lucille Kring, Sandra Massa-Lavitt,
Mark Murphy, Richard Murphy, Andrew Nguyen, Glenn Parker, Erik
Peterson, Tim Shaw, David Shawver, Christina Shea, Jesus Silva,
Fred Smith, Chad Wanke, Mariellen Yarc, Marshall Goodman
(Alternate), Patrick Harper (Alternate) and Chuck Puckett (Alternate)
NOES: None
ABSENT: Phil Hawkins and John Withers
ABSTENTIONS: None
Page 9 of 14
BOARD OF DIRECTORS Minutes December 18, 2019
16. LEGISLATIVE AFFAIRS UPDATE FOR THE MONTH OF NOVEMBER 2019-837
2019
Originator: Jim Herberg
MOVED, SECONDED, AND DULY CARRIED TO:
Receive and file the Legislative Affairs Update for the month of November 2019.
AYES: Brad Avery, Doug Chaffee, Robert Collacott, James Ferryman,
Cecilia Iglesias, Steve Jones, Lucille Kring, Sandra Massa-Lavitt,
Mark Murphy, Richard Murphy, Andrew Nguyen, Glenn Parker, Erik
Peterson, Tim Shaw, David Shawver, Christina Shea, Jesus Silva,
Fred Smith, Chad Wanke, Mariellen Yarc, Marshall Goodman
(Alternate), Patrick Harper (Alternate) and Chuck Puckett (Alternate)
NOES: None
ABSENT: Phil Hawkins and John Withers
ABSTENTIONS: None
17. 2020 LEGISLATIVE/REGULATORY PLAN 2019-838
Originator: Jim Herberg
MOVED, SECONDED, AND DULY CARRIED TO:
Approve the Orange County Sanitation District 2020 Legislative and Regulatory Plan.
AYES: Brad Avery, Doug Chaffee, Robert Collacott, James Ferryman,
Cecilia Iglesias, Steve Jones, Lucille Kring, Sandra Massa-Lavitt,
Mark Murphy, Richard Murphy, Andrew Nguyen, Glenn Parker, Erik
Peterson, Tim Shaw, David Shawver, Christina Shea, Jesus Silva,
Fred Smith, Chad Wanke, Mariellen Yarc, Marshall Goodman
(Alternate), Patrick Harper (Alternate) and Chuck Puckett (Alternate)
NOES: None
ABSENT: Phil Hawkins and John Withers
ABSTENTIONS: None
STEERING COMMITTEE:
18. MEMORANDUM OF UNDERSTANDING WITH ORANGE COUNTY 2019-843
EMPLOYEES RETIREMENT SYSTEM REGARDING PAYMENT OF
UNFUNDED ACTUARIAL ACCRUED LIABILITIES
Originator: Lorenzo Tyner
MOVED, SECONDED, AND DULY CARRIED TO:
Page 10 of 14
BOARD OF DIRECTORS Minutes December 18, 2019
Adopt Resolution No. OCSD 19-20 entitled, "A Resolution of the Board of Directors of
the Orange County Sanitation District authorizing the Execution of the Memorandum of
Understanding with the Orange County Employees Retirement System establishing the
terms to recognize and apply the Orange County Sanitation District's satisfaction of its
Unfunded Accrued Actuarial Liability and deferred Unfunded Accrued Actuarial Liability.
AYES: Brad Avery, Doug Chaffee, Robert Collacott, James Ferryman, Steve
Jones, Lucille Kring, Sandra Massa-Lavitt, Mark Murphy, Richard
Murphy, Andrew Nguyen, Glenn Parker, Erik Peterson, Tim Shaw,
David Shawver, Christina Shea, Jesus Silva, Fred Smith, Chad
Wanke, Marshall Goodman (Alternate), Patrick Harper (Alternate)
and Chuck Puckett (Alternate)
NOES: Mariellen Yarc
ABSENT: Phil Hawkins and John Withers
ABSTENTIONS: Cecilia Iglesias
NON-CONSENT:
None.
INFORMATION ITEMS:
None.
AB 1234 DISCLOSURE REPORTS:
None.
CLOSED SESSION:
CONVENED IN CLOSED SESSION PURSUANT TO GOVERNMENT CODE SECTIONS
54956.8 & 54956.9(d)(4):
The Board convened in closed session at 6.46 p.m. to discuss four 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 Session Meetings.
CS-1 CONFERENCE WITH LEGAL COUNSEL RE ANTICIPATED 2019-844
LITIGATION - GOVERNMENT CODE SECTION 54956.9(d)(4)
Alternate Director Harper recused himself and left the meeting during discussion on
Item No. CS-1.
CONVENED IN CLOSED SESSION:
Page 11 of 14
BOARD OF DIRECTORS Minutes December 18, 2019
Number of Potential Cases: 1
Initiation of litigation regarding development fees and conditions at Project OCSD
Headquarters Building: City of Fountain Valley
CS-2 CONFERENCE WITH LEGAL COUNSEL RE ANTICIPATED 2019-845
LITIGATION - GOVERNMENT CODE SECTION 54956.9(d)(4)
CONVENED IN CLOSED SESSION:
The Board voted unaimously to deny the claim from Shimmick Construction.
Number of Potential Cases: 1
Claim received from Shimmick Construction pertaining to Project No. J-117B - Outfall
Low Pump Station Ocean Outfall System Rehabilitation
AYES: Brad Avery, Doug Chaffee, Robert Collacott, James Ferryman,
Cecilia Iglesias, Steve Jones, Lucille Kring, Sandra Massa-Lavitt,
Mark Murphy, Richard Murphy, Andrew Nguyen, Glenn Parker, Erik
Peterson, Tim Shaw, David Shawver, Christina Shea, Jesus Silva,
Fred Smith, Chad Wanke, Mariellen Yarc, Marshall Goodman
(Alternate), Patrick Harper (Alternate) and Chuck Puckett (Alternate)
NOES: None
ABSENT: Phil Hawkins and John Withers
ABSTENTIONS: None
CS-3 CONFERENCE WITH LEGAL COUNSEL RE ANTICIPATED 2019-846
LITIGATION - GOVERNMENT CODE SECTION 54956.9(d)(4)
CONVENED IN CLOSED SESSION:
The Board voted unanimously to deny the claim from Terra Insurance Company.
Number of Potential Cases: 1
Claim received from Terra Insurance Company pertaining to insurance requirements
for Orange County Sanitation District Project No. PS17-03 - Active Fault Location Study
at Plant No. 2
AYES: Brad Avery, Doug Chaffee, Robert Collacott, James Ferryman,
Cecilia Iglesias, Steve Jones, Lucille Kring, Sandra Massa-Lavitt,
Mark Murphy, Richard Murphy, Andrew Nguyen, Glenn Parker, Erik
Peterson, Tim Shaw, David Shawver, Christina Shea, Jesus Silva,
Fred Smith, Chad Wanke, Mariellen Yarc, Marshall Goodman
(Alternate), Patrick Harper (Alternate) and Chuck Puckett (Alternate)
NOES: None
ABSENT: Phil Hawkins and John Withers
Page 12 of 14
BOARD OF DIRECTORS Minutes December 18, 2019
ABSTENTIONS: None
CS-4 CONFERENCE WITH REAL PROPERTY NEGOTIATORS - 2019-847
GOVERNMENT CODE SECTION 54956.8
CONVENED IN CLOSED SESSION:
Property: 18475 Bandilier Cir. Fountain Valley, CA - APN No.156-163-15;
Agency negotiators: General Manager, Jim Herberg; Assistant General Manager,
Lorenzo Tyner; Assistant General Manager, Rob Thompson; and Director of
Engineering, Kathy Millea.
Negotiating parties: Sukut Real Properties II, LLC
Under negotiation: Price and terms of payment
RECONVENED IN REGULAR SESSION.
The Board reconvened in regular session at 7:16 p.m.
CONSIDERATION OF ACTION, IF ANY, ON MATTERS CONSIDERED IN CLOSED
SESSION:
General Counsel Brad Hogin provided the following report:
CS-2 - The Board voted unanimously to deny the claim from Shimmick Construction on the
grounds that it does not meet legal requirements.
CS-3 - The Board voted unanimously to deny the claim from Terra Insurance Company.
OTHER BUSINESS AND COMMUNICATIONS OR SUPPLEMENTAL AGENDA ITEMS, IF
ANY:
None.
BOARD OF DIRECTORS INITIATED ITEMS FOR A FUTURE MEETING:
None.
ADJOURNMENT:
At 7:17 p.m., Chair Shawver adjourned the meeting until the Regular Meeting of the Board of
Directors to be held on January 22, 2020 at 6:00 p.m.
Page 13 of 14
BOARD OF DIRECTORS Minutes December 18, 2019
Submitted by:
Kelly A. Lore, MMC
Clerk of the Board
Page 14 of 14
oJ�jV SAN17gTO9 Orange Count Sanitation District Administration Building
5� o, g � 10844 Ellis Avenue
2 9 Fountain Valley, CA 92708
BOARD OF DIRECTORS (714)593 7433
9oTFCTN0 THE ENVQ����2
Agenda Report
File #: 2019-737 Agenda Date: 1/22/2020 Agenda Item No: 3.
FROM: James D. Herberg, General Manager
Originator: Kelly A. Lore, Clerk of the Board
SUBJECT:
COMMITTEE MEETING MINUTES
GENERAL MANAGER'S RECOMMENDATION
RECOMMENDATION: Receive and file the following:
A. Minutes of the Steering Committee Meeting held November 20, 2019
B. Minutes of the GWRS Steering Committee Meeting held October 14, 2019
BACKGROUND
In accordance with the Board of Directors Rules of Procedure, an accurate record of each meeting
will be provided to the Directors for subsequent approval at the following meeting
RELEVANT STANDARDS
• Resolution No. OCSD 18-12
ADDITIONAL INFORMATION
The minutes of the Committee meeting are approved at their respective Committees and brought
forth to the Board of Directors for receive and file only.
ATTACHMENT
The following attachment(s) are included in hard copy and may also be viewed on-line at the OCSD website
(www.ocsd.com) with the complete agenda package:
• Minutes of the Monthly Committee Meetings
Orange County Sanitation District Page 1 of 1 Printed on 1/15/2020
powered by LegistarTM
Orange County Sanitation District J�j� snNlryT�o Wednesday, November 20, 2019
Minutes for the °° 20 5:00 PM
STEERING COMMITTEE 2- Conference Room A
C
Administration Building
CD
10844 Ellis Avenue
9 Fountain Valley, CA 92708
o��cl/Hs rae a V\Qo��� (714) 593-7433
CALL TO ORDER
A regular meeting of the Steering Committee of the Orange County Sanitation District was
called to order by Board Chairman David Shawver on Wednesday, November 20, 2019 at
5:03 p.m. in the Administration Building of the Orange County Sanitation District.
DECLARATION OF QUORUM:
A quorum was declared present, as follows:
PRESENT: David Shawver, John Withers, Robert Collacott, Peter Kim, Chad
Wanke and Glenn Parker
ABSENT: Tim Shaw
STAFF PRESENT:
Jim Herberg, General Manager; Rob Thompson, Assistant General Manager; Lorenzo Tyner,
Assistant General Manager; Kathy Millea, Director of Engineering; Kelly Lore, Clerk of the
Board; Daisy Covarrubias; Al Garcia; Tom Grant; Tina Knapp; Laura Maravilla; Jeff Mohr;
Tyler Ramirez; Wally Ritchie; Roya Sohanaki and Mickey Whitney.
OTHERS PRESENT:
Brad Hogin, General Counsel; Roger Cerda and Peter Maisitis, Alston & Bird (Special
Counsel).
PUBLIC COMMENTS:
None.
REPORTS:
None.
CONSENT CALENDAR:
1. APPROVAL OF MINUTES 2019-650
Originator: Kelly Lore
MOVED, SECONDED, AND DULY CARRIED TO:
Page 1 of 4
STEERING COMMITTEE Minutes November 20, 2019
Approve Minutes of the Regular Meeting of the Steering Committee held October 23,
2019.
AYES: David Shawver, John Withers, Robert Collacott, Peter Kim, Chad
Wanke and Glenn Parker
NOES: None
ABSENT: Tim Shaw
ABSTENTIONS: None
NON-CONSENT:
2. ORANGE COUNTY SANITATION DISTRICT'S STRATEGIC PLAN 2019-719
Originator: Rob Thompson
Assistant General Manager Rob Thompson provided a brief summary of the steps
taken in the preparation of the Strategic Plan.
MOVED, SECONDED, AND DULY CARRIED TO: Recommend to the Board of
Directors to:
A. Adopt the 2019 Strategic Plan; and
B. Direct staff to implement the goals contained in the Strategic Plan.
AYES: David Shawver, John Withers, Robert Collacott, Peter Kim, Chad
Wanke and Glenn Parker
NOES: None
ABSENT: Tim Shaw
ABSTENTIONS: None
INFORMATION ITEMS:
None.
DEPARTMENT HEAD REPORTS:
None.
CLOSED SESSION:
CONVENED IN CLOSED SESSION PURSUANT TO GOVERNMENT CODE SECTIONS
54956.9(d)(4) & 54956.9(d)(1):
The Committee convened in closed session at 5:07 p.m. to discuss three items. Confidential
minutes of the Closed Sessions 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 Session Meetings.
Page 2 of 4
STEERING COMMITTEE Minutes November 20, 2019
CS-1 CONFERENCE WITH LEGAL COUNSEL RE ANTICIPATED 2019-725
LITIGATION - GOVERNMENT CODE SECTION 54956.9(d)(4)
CONVENED IN CLOSED SESSION:
Number of Potential Cases: 1
Initiation of litigation regarding permittee: Aseptic Technology, LLC
CS-2 CONFERENCE WITH LEGAL COUNSEL RE ANTICIPATED 2019-726
LITIGATION - GOVERNMENT CODE SECTION 54956.9(d)(4)
CONVENED IN CLOSED SESSION:
Number of Potential Cases: 1
Initiation of litigation regarding development fees and conditions at Project OCSD
Headquarters Building: City of Fountain Valley
CS-3 CONFERENCE WITH LEGAL COUNSEL RE EXISTING LITIGATION - 2019-741
GOVERNMENT CODE SECTION 54956.9(d)(1)
CONVENED IN CLOSED SESSION:
Number of Cases: 1
Klean Waters, Inc. v. Orange County Sanitation District, United States District Court,
Central District of California, Southern Division, Case No. 8:15-cv-00627.
The Committee reconvened in regular session at 6:01 p.m.
CONSIDERATION OF ACTION, IF ANY, ON MATTERS CONSIDERED IN CLOSED
SESSION:
General Counsel Brad Hogin did not provide a report.
OTHER BUSINESS AND COMMUNICATIONS OR SUPPLEMENTAL AGENDA ITEMS, IF
ANY:
None.
BOARD OF DIRECTORS INITIATED ITEMS FOR A FUTURE MEETING:
None.
ADJOURNMENT:
Chair Shawver declared the meeting adjourned at 6:02 p.m. to the next Steering Committee
meeting to be held on Wednesday, December 18, 2019 at 5:00 p.m.
Page 3 of 4
STEERING COMMITTEE Minutes November 20, 2019
Submitted by:
Q a"Ap"-�
Kelly A. L , MMC
Cle of tqq Board
Page 4 of 4
MINUTES OF THE MEETING
GROUNDWATER REPLENISHMENT SYSTEM STEERING COMMITTEE
Monday, October 14, 2019
OCSD Director Shawver called the Groundwater Replenishment System Steering Committee
meeting to order in the Boardroom at the District office. Following the Pledge of Allegiance to
the flag, the Secretary called the roll and reported a quorum.
Committee Members
David Shawver
Roger Yoh
James Ferryman
Cathy Green
Tim Shaw
Vicente Sarmiento (absent)
Alternates
Jesus Silva (absent)
Phil Hawkins (absent)
Erik Peterson
Tri Ta
Dina Nguyen (absent)
Steve Sheldon (absent)
OCWD Directors Bilodeau, Brandman and Rowe were in attendance.
OCWD Staff OCSD Staff
Mike Markus, Sandy Scott-Roberts Jim Herber , Jennifer Cabral
Christina Fuller, Assistant District Secretary
CONSENT CALENDAR
The Consent Calendar was approved upon motion by Director Green, seconded by Director
Shaw and carried [6-0] as follows.
Yes—Shawver, Yoh, Green, Ferryman, Shaw, Ta
1. Minutes of Previous Meeting
The minutes of the GWRS Steering Committee meeting held July 8, 2019 are approved
as presented.
INFORMATIONAL ITEMS
2. GWRS Operations Update
GWRS Program Manager Sandy Scott-Roberts reported that the average daily production for
the quarter, July through September, was 91 mgd. She advised that the average production
was lower than normal due to maintenance activities at OCSD that limited flow to the GWRS.
She stated that as of September 30, 2019, the GWRS Fiscal Year to Date production total is
25,644 of which is 318 of below the target production running average of 25,962 of for the
2019-2020 fiscal year.
3. Update on GWRS Final Expansion
Ms. Scott-Roberts reported that construction bids on the GWRS Final Expansion Project were
received and opened on July 23, 2019. She stated that Shimmick Construction Company was
awarded the project on September 4, 2019 and the project budget was revised. Ms. Scott-
Roberts reported that the Notice to Proceed will be issued on November 2, 2019.
She advised that the design for Contract 2, the Pipeline Rehabilitation Project, is scheduled to
be complete at the end of 2019.
4. Quarterly Outreach Report [August— September 20191
Orange County Sanitation District representative Jennifer Cabral stated the report is contained
in the packet and provided details of the upcoming GWRS Groundbreaking event to be held on
November gcn
ADJOURNMENT
There being no further business to come before the Committee, the meeting was adjourned at
5:30 p.m.
OCSD Direct r David Shawver, Chair
2
oJ�jV SAN17gTO9 Orange Count Sanitation District Administration Building
5� o, g � 10844 Ellis Avenue
2 9 Fountain Valley, CA 92708
BOARD OF DIRECTORS (714)593 7433
9oTFCTN0 THE ENVQ����2
Agenda Report
File #: 2019-800 Agenda Date: 1/22/2020 Agenda Item No: 4.
FROM: James D. Herberg, General Manager
Originator: Lorenzo Tyner, Assistant General Manager
SUBJECT:
REPORT OF THE INVESTMENT TRANSACTIONS FOR THE MONTH OF DECEMBER 2019
GENERAL MANAGER'S RECOMMENDATION
RECOMMENDATION: Receive and file the following:
Report of the Investment Transactions for the month of December 2019.
BACKGROUND
The CA Government Code requires that a monthly report of investment transactions be provided to
the legislative body. Attached is the monthly report of investment transactions for the month ended
December 31, 2019.
RELEVANT STANDARDS
• CA Government Code Section 53607
PRIOR COMMITTEE/BOARD ACTIONS
N/A
FINANCIAL CONSIDERATIONS
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.com) with the complete agenda package:
• Report of the Investment Transactions for the Month of December 2019
Orange County Sanitation District Page 1 of 1 Printed on 1/15/2020
powered by LegistarTM
U.S. Bank
Transaction History
December 2019
Entry Date CUSIP Id Explanation Units Price Net Cash Arnt Cost Gain/Loss
ACQUISITIONS
12/24/2019 06367BED7 PURCHASED PAR VALUE OF BANK OF MONTREAL C D 1.890% 5/21/20/BMO CAPITAL 1,000,000.0000 1.000000 -1,000,000.00 1,000,000.00 0.00
MARKETS CORP/BONDS/1,000,000 PAR VALUE AT 100%
12/19/2019 06367BDS5 PURCHASED PAR VALUE OF BANK OF MONTREAL C D 2.000% 3/18/20/RBC CAPITAL 1,000,000.0000 1.000049 -1,000,049.48 1,000,049.48 0.00
MARKETS, LLC/1,000,000 PAR VALUE AT 100.004948%
12/02/2019 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 5,458,519.8000 1.000000 -5,458,519.80 5,458,519.80 0.00
12/03/2019 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 2,788.5000 1.000000 -2,788.50 2,788.50 0.00
12/03/2019 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 3,676.2900 1.000000 -3,676.29 3,676.29 0.00
12/06/2019 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 5,375.0000 1.000000 -5,375.00 5,375.00 0.00
12/06/2019 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 500,000.0000 1.000000 -500,000.00 500,000.00 0.00
12/09/2019 912828YH7 PURCHASED PAR VALUE OF U S TREASURY NT 1.500% 9/30/24/J.P.MORGAN 6,000,000.0000 0.991602 -5,949,609.38 5,949,609.38 0.00
SECURITIES LLC/6,000,000 PAR VALUE AT 99.16015633%
12/11/2019 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 37,500.0000 1.000000 -37,500.00 37,500.00 0.00
12/12/2019 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 83,500.0000 1.000000 -83,500.00 83,500.00 0.00
12/13/2019 9128283J7 PURCHASED PAR VALUE OF U S TREASURY NT 2.125% 11/30/24/GOLDMAN 7,500,000.0000 1.017227 -7,629,199.22 7,629,199.22 0.00
SACHS&CO. LLC/7,500,000 PAR VALUE AT 101.72265627%
12/16/2019 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 1,088,240.6500 1.000000 -1,088,240.65 1,088,240.65 0.00
12/16/2019 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 31,233.0000 1.000000 -31,233.00 31,233.00 0.00
12/18/2019 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 637,012.6300 1.000000 -637,012.63 637,012.63 0.00
12/19/2019 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 95,999,894.9600 1.000000 -95,999,894.96 95,999,894.96 0.00
12/19/2019 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 137,500.0000 1.000000 -137,500.00 137,500.00 0.00
12/19/2019 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 38,000,000.0000 1.000000 -38,000,000.00 38,000,000.00 0.00
12/20/2019 06367BDS5 PURCHASED PAR VALUE OF BANK OF MONTREAL C D 2.000% 3/18/20/RBC CAPITAL 8,000,000.0000 1.000049 -8,000,389.30 8,000,389.30 0.00
MARKETS, LLC/8,000,000 PAR VALUE AT 100.00486625%
12/20/2019 313384RU5 PURCHASED PAR VALUE OF F H L B DISC NTS 1/14/20/NOMURA SECURITIES 1,200,000.0000 0.998910 -1,198,691.67 1,198,691.67 0.00
INTERNATIONA/1,200,000 PAR VALUE AT 99.8909725%
12/20/2019 313384SD2 PURCHASED PAR VALUE OF F H L B DISC NTS 1/23/20/BARCLAYS CAPITAL 5,000,000.0000 0.998517 -4,992,586.11 4,992,586.11 0.00
INC. FIXED IN/5,000,000 PAR VALUE AT 99.8517222%
12/20/2019 313384SK6 PURCHASED PAR VALUE OF F H L B DISC NTS 1/29/20/JEFFERIES 4,500,000.0000 0.998261 -4,492,175.00 4,492,175.00 0.00
LLC/4,500,000 PAR VALUE AT 99.82611111 %
12/20/2019 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 3,848.7300 1.000000 -3,848.73 3,848.73 0.00
12/23/2019 89114M2Z9 PURCHASED PAR VALUE OF TORONTO DOMINION C D 2.200% 1/23/20/GOLDMAN 2,000,000.0000 1.000143 -2,000,285.65 2,000,285.65 0.00
SACHS&CO. LLC/2,000,000 PAR VALUE AT 100.0142825%
12/23/2019 912796RT8 PURCHASED PAR VALUE OF U S TREASURY BILL 1/02/20/CITIGROUP GLOBAL 7,500,000.0000 0.999587 -7,496,905.21 7,496,905.21 0.00
MARKETS INC./7,500,000 PAR VALUE AT 99.95873613%
12/23/2019 912796WM7 PURCHASED PAR VALUE OF U S TREASURY BILL 1/07/20/NOMURA 7,500,000.0000 0.999376 -7,495,320.31 7,495,320.31 0.00
SECURITIES INTERNATIONA/7,500,000 PAR VALUE AT 99.93760413%
1 of 9
U.S. Bank
Transaction History
December 2019
Entry Date CUSIP Id Explanation Units Price Net Cash Arnt Cost Gain/Loss
12/23/2019 912796TH2 PURCHASED PAR VALUE OF U S TREASURY BILL 3/05/20/WELLS FARGO 7,500,000.0000 0.996893 -7,476,699.31 7,476,699.31 0.00
SECURITIES,LLC/7,500,000 PAR VALUE AT 99.68932413%
12/23/2019 912828VJ6 PURCHASED PAR VALUE OF U S TREASURY NT 1.875% 6/30/20/WELLS FARGO 15,000,000.0000 1.001484 -15,022,265.63 15,022,265.63 0.00
SECURITIES,LLC/15,000,000 PAR VALUE AT 100.14843753%
12/23/2019 912828357 PURCHASED PAR VALUE OF U S TREASURY NT 2.000% 1/31/20/CITIGROUP 5,000,000.0000 1.000391 -5,001,953.13 5,001,953.13 0.00
GLOBAL MARKETS INC./5,000,000 PAR VALUE AT 100.0390626%
12/23/2019 912828357 PURCHASED PAR VALUE OF U S TREASURY NT 2.000% 1/31/20/CITIGROUP 5,000,000.0000 1.000391 -5,001,953.13 5,001,953.13 0.00
GLOBAL MARKETS INC./5,000,000 PAR VALUE AT 100.0390626%
12/23/2019 912828357 PURCHASED PAR VALUE OF U S TREASURY NT 2.000% 1/31/20/NOMURA 5,000,000.0000 1.000391 -5,001,953.13 5,001,953.13 0.00
SECURITIES INTERNATIONA/5,000,000 PAR VALUE AT 100.0390626%
12/23/2019 912828VV9 PURCHASED PAR VALUE OF U S TREASURY NT 2.125% 8/31/20/NOMURA 15,000,000.0000 1.003320 -15,049,804.69 15,049,804.69 0.00
SECURITIES INTERNATIONA/15,000,000 PAR VALUE AT 100.33203127%
12/24/2019 912828YH7 PURCHASED PAR VALUE OF U S TREASURY NT 1.500% 9/30/24/MORGAN 8,000,000.0000 0.988711 -7,909,687.50 7,909,687.50 0.00
STANLEY&CO.LLC/8,000,000 PAR VALUE AT 98.87109375%
12/24/2019 912828L57 PURCHASED PAR VALUE OF U S TREASURY NT 1.750% 9/30/22/BOFA 7,000,000.0000 1.002109 -7,014,765.63 7,014,765.63 0.00
SECURITIES, INC./FXD INC/7,000,000 PAR VALUE AT 100.21093757%
12/24/2019 912828357 PURCHASED PAR VALUE OF U S TREASURY NT 2.000% 1/31/20/NOMURA 5,000,000.0000 1.000352 -5,001,757.81 5,001,757.81 0.00
SECURITIES INTERNATIONA/5,000,000 PAR VALUE AT 100.0351562%
12/24/2019 9128283J7 PURCHASED PAR VALUE OF U S TREASURY NT 2.125% 11/30/24/GOLDMAN 9,000,000.0000 1.017188 -9,154,687.50 9,154,687.50 0.00
SACHS&CO. LLC/9,000,000 PAR VALUE AT 101.71875%
12/24/2019 912828MP2 PURCHASED PAR VALUE OF U S TREASURY NT 3.625% 2/15/20/NOMURA 5,000,000.0000 1.002734 -5,013,671.88 5,013,671.88 0.00
SECURITIES INTERNATIONA/5,000,000 PAR VALUE AT 100.2734376%
12/26/2019 912828L32 PURCHASED PAR VALUE OF U S TREASURY NT 1.375% 8/31/20/NOMURA 5,000,000.0000 0.998203 -4,991,015.63 4,991,015.63 0.00
SECURITIES INTERNATIONA/5,000,000 PAR VALUE AT 99.8203126%
12/26/2019 912828XY1 PURCHASED PAR VALUE OF U S TREASURY NT 2.500% 6/30/20/NOMURA 5,000,000.0000 1.004414 -5,022,070.31 5,022,070.31 0.00
SECURITIES INTERNATIONA/5,000,000 PAR VALUE AT 100.4414062%
12/26/2019 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 0.0700 1.000000 -0.07 0.07 0.00
12/26/2019 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 100,634.4500 1.000000 -100,634.45 100,634.45 0.00
12/26/2019 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 156,854.3400 1.000000 -156,854.34 156,854.34 0.00
12/27/2019 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 14,628.0000 1.000000 -14,628.00 14,628.00 0.00
12/31/2019 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 203,125.0000 1.000000 -203,125.00 203,125.00 0.00
12/31/2019 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 146,875.0000 1.000000 -146,875.00 146,875.00 0.00
TOTAL ACQUISITIONS 290,311,206.4200 -290,528,703.03 290,528,703.03 0.00
DISPOSITIONS
12/02/2019 73358WAG9 MATURED PAR VALUE OF PORT AUTH NY NJ 5.309%12/01/19 2,440,000 PAR -2,440,000.0000 1.000000 2,440,000.00 -2,507,633.89 -67,633.89
VALUE AT 100%
12/02/2019 912828G61 MATURED PAR VALUE OF U S TREASURY NT 1.500% 11/30/19 2,500,000 PAR -2,500,000.0000 1.000000 2,500,000.00 -2,483,211.50 16,788.50
VALUE AT 100%
2of9
U.S. Bank
Transaction History
December 2019
Entry Date CUSIP Id Explanation Units Price Net Cash Arnt Cost Gain/Loss
12/06/2019 94988J5G8 MATURED PAR VALUE OF WELLS FARGO MTN 2.150% 12/06/19 500,000 PAR -500,000.0000 1.000000 500,000.00 -498,425.00 1,575.00
VALUE AT 100%
12/09/2019 31846V567 SOLD UNITS OF FIRST AM GOVT OB FD CL Z -5,629,322.4900 1.000000 5,629,322.49 -5,629,322.49 0.00
12/13/2019 31846V567 SOLD UNITS OF FIRST AM GOVT OB FD CL Z -7,634,860.0800 1.000000 7,634,860.08 -7,634,860.08 0.00
12/16/2019 31348SWZ3 PAID DOWN PAR VALUE OF F H L M C#786064 4.678% 1/01/28 NOVEMBER -10.5000 0.000000 10.50 -10.24 0.26
FHLMC DUE 12/15/19
12/16/2019 3133TCE95 PAID DOWN PAR VALUE OF F H L M C MLTCL MTG 4.027% 8/15/32 -381.1000 0.000000 381.10 -381.50 -0.40
12/16/2019 47788BAD6 PAID DOWN PAR VALUE OF JOHN DEERE OWNER 1.820% 10/15/21 -28,285.3200 14.656796 28,285.32 -28,283.25 2.07
12/16/2019 47788CAC6 PAID DOWN PAR VALUE OF JOHN DEERE OWNER 2.660% 4/18/22 -89,079.4600 4.653959 89,079.46 -89,073.05 6.41
12/16/2019 47789JAB2 PAID DOWN PAR VALUE OF JOHN DEERE OWNER 2.850% 12/15/21 -250,228.2300 1.656776 250,228.23 -250,216.82 11.41
12/16/2019 65478VAD9 PAID DOWN PAR VALUE OF NISSAN AUTO 1.320% 1/15/21 -65,825.8800 6.298012 65,825.88 -65,298.76 527.12
12/16/2019 65478GAD2 PAID DOWN PAR VALUE OF NISSAN AUTO 1.750% 10/15/21 -153,480.3600 2.701142 153,480.36 -151,100.22 2,380.14
12/16/2019 89238BAB8 PAID DOWN PAR VALUE OF TOYOTA AUTO 2.100% 10/15/20 CMO FINAL -31,233.0000 0.000000 31,233.00 -31,229.81 3.19
PAUYDOWN
12/16/2019 89239AAB9 PAID DOWN PAR VALUE OF TOYOTA AUTO 2.830% 10/15/21 -272,353.3400 1.522185 272,353.34 -272,328.61 24.73
12/18/2019 43814RACO PAID DOWN PAR VALUE OF HONDA AUTO 1.210%12/18/20 -106,100.0400 0.000000 106,100.04 -104,935.43 1,164.61
12/18/2019 43814PAC4 PAID DOWN PAR VALUE OF HONDA AUTO 1.790% 9/20/21 -164,004.9300 0.000000 164,004.93 -161,403.91 2,601.02
12/18/2019 43814WAB1 PAID DOWN PAR VALUE OF HONDA AUTO 2.750% 9/20/21 -350,163.5400 0.000000 350,163.54 -350,140.99 22.55
12/20/2019 36225CAZ9 PAID DOWN PAR VALUE OF G N M A 1 1#080023 4.125% 12/20/26 NOVEMBER GNMA -151.7000 0.000000 151.70 -154.21 -2.51
DUE 12/20/19
12/20/2019 36225CC20 PAID DOWN PAR VALUE OF G N M A 1 1#080088 3.875% 6/20/27 NOVEMBER GNMA -187.2300 0.000000 187.23 -191.33 -4.10
DUE 12/20/19
12/20/2019 36225CNM4 PAID DOWN PAR VALUE OF G N M A 1 1#080395 3.875% 4/20/30 NOVEMBER GNMA -150.5600 0.000000 150.56 -149.19 1.37
DUE 12/20/19
12/20/2019 36225CN28 PAID DOWN PAR VALUE OF G N M A 1 1#080408 3.875% 5/20/30 NOVEMBER GNMA -1,851.6900 0.000000 1,851.69 -1,832.88 18.81
DUE 12/20/19
12/20/2019 36225DCB8 PAID DOWN PAR VALUE OF G N M A 1 1#080965 3.250% 7/20/34 NOVEMBER GNMA -1,120.4300 0.000000 1,120.43 -1,119.73 0.70
DUE 12/20/19
12/20/2019 31846V567 SOLD UNITS OF FIRST AM GOVT OB FD CL Z -10,683,452.7800 1.000000 10,683,452.78 -10,683,452.78 0.00
12/20/2019 31846V567 SOLD UNITS OF FIRST AM GOVT OB FD CL Z -8,001,278.1900 1.000000 8,001,278.19 -8,001,278.19 0.00
12/23/2019 06417G5Q7 MATURED PAR VALUE OF BANK OF NOVA C D 2.610% 12/23/19 2,300,000 PAR -2,300,000.0000 1.000000 2,300,000.00 -2,300,614.40 -614.40
VALUE AT 100%
12/23/2019 31846V567 SOLD UNITS OF FIRST AM GOVT OB FD CL Z -60,558,044.9200 1.000000 60,558,044.92 -60,558,044.92 0.00
12/23/2019 31846V567 SOLD UNITS OF FIRST AM GOVT OB FD CL Z -1,972,473.7600 1.000000 1,972,473.76 -1,972,473.76 0.00
12/23/2019 31846V567 SOLD UNITS OF FIRST AM GOVT OB FD CL Z -4,890,970.7200 1.000000 4,890,970.72 -4,890,970.72 0.00
12/24/2019 90331HNB5 FULL CALL PAR VALUE OF US BANK MTN 2.000% 1/24/20/CALLS/ -2,000,000.0000 1.000000 2,000,000.00 -2,000,240.00 -240.00
12/24/2019 31846V567 SOLD UNITS OF FIRST AM GOVT OB FD CL Z -8,102,958.0600 1.000000 8,102,958.06 -8,102,958.06 0.00
3of9
U.S. Bank
Transaction History
December 2019
Entry Date CUSIP Id Explanation Units Price Net Cash Arnt Cost Gain/Loss
12/24/2019 31846V567 SOLD UNITS OF FIRST AM GOVT OB FD CL Z -1,000,000.0000 1.000000 1,000,000.00 -1,000,000.00 0.00
12/24/2019 31846V567 SOLD UNITS OF FIRST AM GOVT OB FD CL Z -24,092,157.4100 1.000000 24,092,157.41 -24,092,157.41 0.00
12/26/2019 31398VJ98 PAID DOWN PAR VALUE OF F H L M C MLTCL MTG 4.251% 1/25/20 -156,100.7800 0.138540 156,100.78 -164,954.62 -8,853.84
12/26/2019 31394JY35 PAID DOWN PAR VALUE OF F H L M C MLTCL MTG 6.500% 9/25/43 -8,230.9000 0.000000 8,230.90 -9,321.49 -1,090.59
12/26/2019 31371NUC7 PAID DOWN PAR VALUE OF F N M A#257179 4.500% 4/01/28 NOVEMBER FNMA -137.0300 0.000000 137.03 -144.92 -7.89
DUE 12/25/19
12/26/2019 31376KT22 PAID DOWN PAR VALUE OF F N M A#357969 5.000% 9/01/35 NOVEMBER FNMA -3,121.4100 0.000000 3,121.41 -3,355.52 -234.11
DUE 12/25/19
12/26/2019 31381PDA3 PAID DOWN PAR VALUE OF F N M A#466397 3.400%11/01/20 NOVEMBER FNMA -754.2900 0.000000 754.29 -737.97 16.32
DUE 12/25/19
12/26/2019 31403DJZ3 PAID DOWN PAR VALUE OF F N M A#745580 5.000% 6/01/36 NOVEMBER FNMA -1,647.8700 0.000000 1,647.87 -1,771.46 -123.59
DUE 12/25/19
12/26/2019 31403GXF4 PAID DOWN PAR VALUE OF F N M A#748678 5.000%10/01/33 NOVEMBER FNMA -9.0700 0.000000 9.07 -9.75 -0.68
DUE 12/25/19
12/26/2019 31406PQY8 PAID DOWN PAR VALUE OF F N M A#815971 5.000% 3/01/35 NOVEMBER FNMA -5,800.0600 0.000000 5,800.06 -6,235.06 -435.00
DUE 12/25/19
12/26/2019 31406XWT5 PAID DOWN PAR VALUE OF F N M A#823358 4.647% 2/01/35 NOVEMBER FNMA -477.4000 0.000000 477.40 -473.67 3.73
DUE 12/25/19
12/26/2019 31407BXH7 PAID DOWN PAR VALUE OF F N M A#826080 5.000% 7/01/35 NOVEMBER FNMA -82.7800 0.000000 82.78 -88.99 -6.21
DUE 12/25/19
12/26/2019 31410F4V4 PAID DOWN PAR VALUE OF F N M A#888336 5.000% 7/01/36 NOVEMBER FNMA -2,693.7800 0.000000 2,693.78 -2,895.81 -202.03
DUE 12/25/19
12/26/2019 3138EG6F6 PAID DOWN PAR VALUE OF F N M A#AL0869 4.500% 6/01/29 NOVEMBER FNMA -120.8900 0.000000 120.89 -127.85 -6.96
DUE 12/25/19
12/26/2019 31417YAY3 PAID DOWN PAR VALUE OF F N M A#MA0022 4.500% 4/01/29 NOVEMBER FNMA -468.6300 0.000000 468.63 -495.62 -26.99
DUE 12/25/19
12/26/2019 31397QREO PAID DOWN PAR VALUE OF F N M A GTD REMIC 2.825% 2/25/41 -3,091.1500 0.000000 3,091.15 -3,090.18 0.97
12/26/2019 31846V567 SOLD UNITS OF FIRST AM GOVT OB FD CL Z -10,095,985.7800 1.000000 10,095,985.78 -10,095,985.78 0.00
TOTAL DISPOSITIONS -154,098,847.5400 154,098,847.54 -154,153,181.82 -54,334.28
OTHER TRANSACTIONS
12/02/2019 3135GOF73 INTEREST EARNED ON F N M A 1.500% 11/30/20$1 PV ON 7500000.0000 0.0000 0.000000 56,250.00 0.00 0.00
SHARES DUE 11/30/2019
12/02/2019 31846V567 INTEREST EARNED ON FIRST AM GOVT OB FD CL Z UNIT ON 0.0000 SHARES DUE 0.0000 0.000000 2,788.50 0.00 0.00
11/30/2019 INTEREST FROM 11/1/19 TO 11/30/19
12/02/2019 31846V567 INTEREST EARNED ON FIRST AM GOVT OB FD CL Z UNIT ON 0.0000 SHARES DUE 0.0000 0.000000 3,676.29 0.00 0.00
11/30/2019 INTEREST FROM 11/1/19 TO 11/30/19
12/02/2019 73358WAG9 INTEREST EARNED ON PORT AUTH NY NJ 5.309%12/01/19$1 PV ON 2440000.0000 0.0000 0.000000 64,769.80 0.00 0.00
SHARES DUE 12/1/2019
4 of 9
U.S. Bank
Transaction History
December 2019
Entry Date CUSIP Id Explanation Units Price Net Cash Arnt Cost Gain/Loss
12/02/2019 912828XE5 INTEREST EARNED ON U S TREASURY NT 1.500% 5/31/20$1 PV ON 5000000.0000 0.0000 0.000000 37,500.00 0.00 0.00
SHARES DUE 11/30/2019
12/02/2019 912828G61 INTEREST EARNED ON U S TREASURY NT 1.500% 11/30/19$1 PV ON 2500000.0000 0.0000 0.000000 18,750.00 0.00 0.00
SHARES DUE 11/30/2019
12/02/2019 912828R69 INTEREST EARNED ON U S TREASURY NT 1.625% 5/31/23$1 PV ON 5000000.0000 0.0000 0.000000 40,625.00 0.00 0.00
SHARES DUE 11/30/2019
12/02/2019 912828U65 INTEREST EARNED ON U S TREASURY NT 1.750% 11/30/21 $1 PV ON 7000000.0000 0.0000 0.000000 61,250.00 0.00 0.00
SHARES DUE 11/30/2019
12/02/2019 912828M80 INTEREST EARNED ON U S TREASURY NT 2.000% 11/30/22$1 PV ON 8000000.0000 0.0000 0.000000 80,000.00 0.00 0.00
SHARES DUE 11/30/2019
12/02/2019 912828U57 INTEREST EARNED ON U S TREASURY NT 2.125% 11/30/23$1 PV ON 0.0000 0.000000 159,375.00 0.00 0.00
15000000.0000 SHARES DUE 11/30/2019
12/06/2019 94988J5G8 INTEREST EARNED ON WELLS FARGO MTN 2.150% 12/06/19$1 PV ON 500000.0000 0.0000 0.000000 5,375.00 0.00 0.00
SHARES DUE 12/6/2019 ACCRUED INTEREST ON 12/6/2019 MATURITY
12/09/2019 313383QR5 INTEREST EARNED ON F H L B DEB 3.250% 6/09/23$1 PV ON 5000000.0000 0.0000 0.000000 81,250.00 0.00 0.00
SHARES DUE 12/9/2019
12/09/2019 3130AOF70 INTEREST EARNED ON F H L B DEB 3.375%12/08/23$1 PV ON 10000000.0000 0.0000 0.000000 168,750.00 0.00 0.00
SHARES DUE 12/8/2019
12/09/2019 69353RFL7 INTEREST EARNED ON PNC BANK NA MTN 3.500% 6/08/23$1 PV ON 5000000.0000 0.0000 0.000000 87,500.00 0.00 0.00
SHARES DUE 12/8/2019
12/09/2019 912828YH7 PAID ACCRUED INTEREST ON PURCHASE OF U S TREASURY NT 1.500% 9/30/24 0.0000 0.000000 -17,213.11 0.00 0.00
12/11/2019 313379RB7 INTEREST EARNED ON F H L B DEB 1.875% 6/11/21 $1 PV ON 4000000.0000 0.0000 0.000000 37,500.00 0.00 0.00
SHARES DUE 12/11/2019
12/12/2019 912828WUO BOOK VALUE OF U S TREASURY I P S 0.125% 7/15/24 ADJUSTED BY 11856.00 UNITS 0.0000 0.000000 0.00 0.00 0.00
INCREASE TO ADJUST FOR CHANGE IN CPI
12/12/2019 912828WUO FED BASIS OF U S TREASURY I P S 0.125% 7/15/24 ADJUSTED BY 11856.00 UNITS 0.0000 0.000000 0.00 11,856.00 0.00
INCREASE TO ADJUST FOR CHANGE IN CPI
12/12/2019 313383HU8 INTEREST EARNED ON F H L B DEB 1.750% 6/12/20$1 PV ON 5000000.0000 0.0000 0.000000 43,750.00 0.00 0.00
SHARES DUE 12/12/2019
12/12/2019 89114QCA4 INTEREST EARNED ON TORONTO DOMINION MTN 2.650% 6/12/24$1 PV ON 0.0000 0.000000 39,750.00 0.00 0.00
3000000.0000 SHARES DUE 12/12/2019
12/12/2019 912828WUO PAR VALUE OF U S TREASURY I P S 0.125% 7/15/24 ADJUSTED BY 11856.0000 11,856.0000 0.000000 0.00 0.00 0.00
UNITS INCREASE TO ADJUST FOR CHANGE IN CPI
12/12/2019 912828WUO STATE COST OF U S TREASURY I P S 0.125% 7/15/24 ADJUSTED BY 11856.00 UNITS 0.0000 0.000000 0.00 0.00 0.00
INCREASE TO ADJUST FOR CHANGE IN CPI
12/13/2019 9128283,17 PAID ACCRUED INTEREST ON PURCHASE OF U S TREASURY NT 2.125% 11/30/24 0.0000 0.000000 -5,660.86 0.00 0.00
12/16/2019 02587AAJ3 INTEREST EARNED ON AMERICAN EXPRESS 1.930% 9/15/22$1 PV ON 10084.2400 0.0000 0.000000 10,084.24 0.00 0.00
SHARES DUE 12/15/2019$0.00161/PV ON 6,270,000.00 PV DUE 12/15/19
12/16/2019 3130A1XJ2 INTEREST EARNED ON F H L B 2.875% 6/14/24$1 PV ON 11110000.0000 0.0000 0.000000 159,706.25 0.00 0.00
SHARES DUE 12/14/2019
5of9
U.S. Bank
Transaction History
December 2019
Entry Date CUSIP Id Explanation Units Price Net Cash Arnt Cost Gain/Loss
12/16/2019 31348SWZ3 INTEREST EARNED ON F H L M C#786064 4.678% 1/01/28$1 PV ON 7.0300 SHARES 0.0000 0.000000 7.03 0.00 0.00
DUE 12/15/2019 OCTOBER FHLMC DUE 12/15/19
12/16/2019 3133TCE95 INTEREST EARNED ON F H L M C MLTCL MTG 4.027% 8/15/32$1 PV ON 24.0100 0.0000 0.000000 24.01 0.00 0.00
SHARES DUE 12/15/2019$0.00336/PV ON 7,155.25 PV DUE 12/15/19
12/16/2019 43815NABO INTEREST EARNED ON HONDA AUTO 1.900% 4/15/22$1 PV ON 5589.1500 0.0000 0.000000 5,589.15 0.00 0.00
SHARES DUE 12/15/2019$0.00158/PV ON 3,530,000.00 PV DUE 12/15/19
12/16/2019 47788BAD6 INTEREST EARNED ON JOHN DEERE OWNER 1.820%10/15/21 $1 PV ON 534.3600 0.0000 0.000000 534.36 0.00 0.00
SHARES DUE 12/15/2019$0.00152/PV ON 352,321.54 PV DUE 12/15/19
12/16/2019 477870AB5 INTEREST EARNED ON JOHN DEERE OWNER 2.280% 5/16/22$1 PV ON 5320.0000 0.0000 0.000000 5,320.00 0.00 0.00
SHARES DUE 12/15/2019$0.00190/PV ON 2,800,000.00 PV DUE 12/15/19
12/16/2019 47788CAC6 INTEREST EARNED ON JOHN DEERE OWNER 2.660% 4/18/22$1 PV ON 2665.0400 0.0000 0.000000 2,665.04 0.00 0.00
SHARES DUE 12/15/2019$0.00222/PV ON 1,202,272.32 PV DUE 12/15/19
12/16/2019 47789JAB2 INTEREST EARNED ON JOHN DEERE OWNER 2.850%12/15/21 $1 PV ON 7162.7200 0.0000 0.000000 7,162.72 0.00 0.00
SHARES DUE 12/15/2019$0.00238/PV ON 3,015,882.88 PV DUE 12/15/19
12/16/2019 47788EAC2 INTEREST EARNED ON JOHN DEERE OWNER 3.080%11/15/22$1 PV ON 0.0000 0.000000 11,883.67 0.00 0.00
11883.6700 SHARES DUE 12/15/2019$0.00257/PV ON 4,630,000.00 PV DUE 12/15/19
12/16/2019 65478VAD9 INTEREST EARNED ON NISSAN AUTO 1.320% 1/15/21 $1 PV ON 111.9100 0.0000 0.000000 111.91 0.00 0.00
SHARES DUE 12/15/2019$0.00110/PV ON 101,736.92 PV DUE 12/15/19
12/16/2019 65478GAD2 INTEREST EARNED ON NISSAN AUTO 1.750% 10/15/21 $1 PV ON 2503.5200 0.0000 0.000000 2,503.52 0.00 0.00
SHARES DUE 12/15/2019$0.00146/PV ON 1,716,703.80 PV DUE 12/15/19
12/16/2019 65479JAD5 INTEREST EARNED ON NISSAN AUTO 1.930% 7/15/24$1 PV ON 6730.8700 0.0000 0.000000 6,730.87 0.00 0.00
SHARES DUE 12/15/2019$0.00161/PV ON 4,185,000.00 PV DUE 12/15/19
12/16/2019 65479GAD1 INTEREST EARNED ON NISSAN AUTO 3.060% 3/15/23$1 PV ON 9078.0000 0.0000 0.000000 9,078.00 0.00 0.00
SHARES DUE 12/15/2019$0.00255/PV ON 3,560,000.00 PV DUE 12/15/19
12/16/2019 89238BAB8 INTEREST EARNED ON TOYOTA AUTO 2.100% 10/15/20$1 PV ON 54.6600 0.0000 0.000000 54.66 0.00 0.00
SHARES DUE 12/15/2019$0.00175/PV ON 31,233.00 PV DUE 12/15/19
12/16/2019 89239AAB9 INTEREST EARNED ON TOYOTA AUTO 2.830% 10/15/21 $1 PV ON 7141.0300 0.0000 0.000000 7,141.03 0.00 0.00
SHARES DUE 12/15/2019$0.00236/PV ON 3,027,995.80 PV DUE 12/15/19
12/18/2019 43814RACO INTEREST EARNED ON HONDA AUTO 1.210% 12/18/20$1 PV ON 337.9400 0.0000 0.000000 337.94 0.00 0.00
SHARES DUE 12/18/2019$0.00101/PV ON 335,148.93 PV DUE 12/18/19
12/18/2019 43814PAC4 INTEREST EARNED ON HONDA AUTO 1.790% 9/20/21 $1 PV ON 2631.6500 0.0000 0.000000 2,631.65 0.00 0.00
SHARES DUE 12/18/2019$0.00149/PV ON 1,764,236.43 PV DUE 12/18/19
12/18/2019 43814WAB1 INTEREST EARNED ON HONDA AUTO 2.750% 9/20/21 $1 PV ON 9485.2800 0.0000 0.000000 9,485.28 0.00 0.00
SHARES DUE 12/18/2019$0.00229/PV ON 4,139,028.61 PV DUE 12/18/19
12/18/2019 43814UAG4 INTEREST EARNED ON HONDA AUTO 3.010% 5/18/22$1 PV ON 4289.2500 0.0000 0.000000 4,289.25 0.00 0.00
SHARES DUE 12/18/2019$0.00251/PV ON 1,710,000.00 PV DUE 12/18/19
12/19/2019 CASH RECEIPT INCOMING WIRES RECEIVED FROM BANC OF CALIF 12/19/19 0.0000 0.000000 97,000,000.00 0.00 0.00
12/19/2019 CASH RECEIPT INCOMING WIRES RECEIVED FROM BANC OF CALIF 12/19/19 0.0000 0.000000 38,000,000.00 0.00 0.00
12/19/2019 3137EAEN5 INTEREST EARNED ON F H L M C 2.750% 6/19/23$1 PV ON 10000000.0000 0.0000 0.000000 137,500.00 0.00 0.00
SHARES DUE 12/19/2019
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U.S. Bank
Transaction History
December 2019
Entry Date CUSIP Id Explanation Units Price Net Cash Arnt Cost Gain/Loss
12/19/2019 06367BDS5 PAID ACCRUED INTEREST ON PURCHASE OF BANK OF MONTREAL C D 2.000% 0.0000 0.000000 -55.56 0.00 0.00
3/18/20
12/20/2019 36225CAZ9 INTEREST EARNED ON G N M A 1 1#080023 4.125% 12/20/26$1 PV ON 50.2100 0.0000 0.000000 50.21 0.00 0.00
SHARES DUE 12/20/2019 NOVEMBER GNMA DUE 12/20/19
12/20/2019 36225CC20 INTEREST EARNED ON G N M A 1 1#080088 3.875% 6/20/27$1 PV ON 40.4000 0.0000 0.000000 40.40 0.00 0.00
SHARES DUE 12/20/2019 NOVEMBER GNMA DUE 12/20/19
12/20/2019 36225CNM4 INTEREST EARNED ON G N M A 1 1#080395 3.875% 4/20/30$1 PV ON 20.5900 0.0000 0.000000 20.59 0.00 0.00
SHARES DUE 12/20/2019 NOVEMBER GNMA DUE 12/20/19
12/20/2019 36225CN28 INTEREST EARNED ON G N M A 1 1#080408 3.875% 5/20/30$1 PV ON 156.0500 0.0000 0.000000 156.05 0.00 0.00
SHARES DUE 12/20/2019 NOVEMBER GNMA DUE 12/20/19
12/20/2019 36225DCB8 INTEREST EARNED ON G N M A 1 1#080965 3.250% 7/20/34$1 PV ON 119.8700 0.0000 0.000000 119.87 0.00 0.00
SHARES DUE 12/20/2019 NOVEMBER GNMA DUE 12/20/19
12/20/2019 06367BDS5 PAID ACCRUED INTEREST ON PURCHASE OF BANK OF MONTREAL C D 2.000% 0.0000 0.000000 -888.89 0.00 0.00
3/18/20
12/23/2019 06417G5Q7 INTEREST EARNED ON BANK OF NOVA C D 2.610% 12/23/19$1 PV ON 0.0000 0.000000 46,023.00 0.00 0.00
2300000.0000 SHARES DUE 12/23/2019 INTEREST ON 12/23/19 MATURITY
12/23/2019 3135GOU35 INTEREST EARNED ON F N M A 2.750% 6/22/21 $1 PV ON 7500000.0000 0.0000 0.000000 103,125.00 0.00 0.00
SHARES DUE 12/22/2019
12/23/2019 3135GOD75 INTEREST EARNED ON F N M A DEB 1.500% 6/22/20$1 PV ON 5000000.0000 0.0000 0.000000 37,500.00 0.00 0.00
SHARES DUE 12/22/2019
12/23/2019 43815HAC1 INTEREST EARNED ON HONDA AUTO 2.950% 8/22/22$1 PV ON 9759.5800 0.0000 0.000000 9,759.58 0.00 0.00
SHARES DUE 12/21/2019$0.00246/PV ON 3,970,000.00 PV DUE 12/21/19
12/23/2019 89114M2Z9 PAID ACCRUED INTEREST ON PURCHASE OF TORONTO DOMINION C D 2.200% 0.0000 0.000000 -18,211.11 0.00 0.00
1/23/20
12/23/2019 912828VJ6 PAID ACCRUED INTEREST ON PURCHASE OF U S TREASURY NT 1.875% 6/30/20 0.0000 0.000000 -134,510.87 0.00 0.00
12/23/2019 912828357 PAID ACCRUED INTEREST ON PURCHASE OF U S TREASURY NT 2.000% 1/31/20 0.0000 0.000000 -39,402.17 0.00 0.00
12/23/2019 912828357 PAID ACCRUED INTEREST ON PURCHASE OF U S TREASURY NT 2.000% 1/31/20 0.0000 0.000000 -39,402.17 0.00 0.00
12/23/2019 912828357 PAID ACCRUED INTEREST ON PURCHASE OF U S TREASURY NT 2.000% 1/31/20 0.0000 0.000000 -39,402.17 0.00 0.00
12/23/2019 912828VV9 PAID ACCRUED INTEREST ON PURCHASE OF U S TREASURY NT 2.125% 8/31/20 0.0000 0.000000 -99,828.30 0.00 0.00
12/24/2019 166764AH3 INTEREST EARNED ON CHEVRON CORP 3.191% 6/24/23$1 PV ON 3500000.0000 0.0000 0.000000 55,842.50 0.00 0.00
SHARES DUE 12/24/2019
12/24/2019 90331HNB5 INTEREST EARNED ON US BANK MTN 2.000% 1/24/20$1 PV ON 2000000.0000 0.0000 0.000000 16,666.60 0.00 0.00
SHARES DUE 12/24/2019
12/24/2019 912828YH7 PAID ACCRUED INTEREST ON PURCHASE OF U S TREASURY NT 1.500% 9/30/24 0.0000 0.000000 -27,868.85 0.00 0.00
12/24/2019 912828L57 PAID ACCRUED INTEREST ON PURCHASE OF U S TREASURY NT 1.750% 9/30/22 0.0000 0.000000 -28,449.45 0.00 0.00
12/24/2019 912828357 PAID ACCRUED INTEREST ON PURCHASE OF U S TREASURY NT 2.000% 1/31/20 0.0000 0.000000 -39,673.91 0.00 0.00
12/24/2019 9128283,17 PAID ACCRUED INTEREST ON PURCHASE OF U S TREASURY NT 2.125% 11/30/24 0.0000 0.000000 -12,540.98 0.00 0.00
12/24/2019 912828MP2 PAID ACCRUED INTEREST ON PURCHASE OF U S TREASURY NT 3.625% 2/15/20 0.0000 0.000000 -64,521.06 0.00 0.00
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U.S. Bank
Transaction History
December 2019
Entry Date CUSIP Id Explanation Units Price Net Cash Arnt Cost Gain/Loss
12/26/2019 03215PFN4 INTEREST EARNED ON AMRESCO 2.73625% 6/25/29$1 PV ON 271.3900 0.0000 0.000000 271.39 0.00 0.00
SHARES DUE 12/26/2019$0.00228/PV ON 119,021.64 PV DUE 12/26/19
12/26/2019 31398VJ98 INTEREST EARNED ON F H L M C MLTCL MTG 4.251% 1/25/20$1 PV ON 753.5600 0.0000 0.000000 753.56 0.00 0.00
SHARES DUE 12/25/2019$0.00354/PV ON 212,720.33 PV DUE 12/25/19
12/26/2019 31394JY35 INTEREST EARNED ON F H L M C MLTCL MTG 6.500% 9/25/43$1 PV ON 3677.4200 0.0000 0.000000 3,677.42 0.00 0.00
SHARES DUE 12/25/2019$0.00542/PV ON 678,909.17 PV DUE 12/25/19
12/26/2019 31371NUC7 INTEREST EARNED ON F N M A#257179 4.500% 4/01/28$1 PV ON 54.1800 SHARES 0.0000 0.000000 54.18 0.00 0.00
DUE 12/25/2019 NOVEMBER FNMA DUE 12/25/19
12/26/2019 31376KT22 INTEREST EARNED ON F N M A#357969 5.000% 9/01/35$1 PV ON 396.2400 0.0000 0.000000 396.24 0.00 0.00
SHARES DUE 12/25/2019 NOVEMBER FNMA DUE 12/25/19
12/26/2019 31381PDA3 INTEREST EARNED ON F N M A#466397 3.400% 11/01/20$1 PV ON 951.7300 0.0000 0.000000 951.73 0.00 0.00
SHARES DUE 12/25/2019 NOVEMBER FNMA DUE 12/25/19
12/26/2019 31403DJZ3 INTEREST EARNED ON F N M A#745580 5.000% 6/01/36$1 PV ON 372.6100 0.0000 0.000000 372.61 0.00 0.00
SHARES DUE 12/25/2019 NOVEMBER FNMA DUE 12/25/19
12/26/2019 31403GXF4 INTEREST EARNED ON F N M A#748678 5.000% 10/01/33$1 PV ON 7.3500 SHARES 0.0000 0.000000 7.35 0.00 0.00
DUE 12/25/2019 NOVEMBER FNMA DUE 12/25/19
12/26/2019 31406PQY8 INTEREST EARNED ON F N M A#815971 5.000% 3/01/35$1 PV ON 632.7500 0.0000 0.000000 632.75 0.00 0.00
SHARES DUE 12/25/2019 NOVEMBER FNMA DUE 12/25/19
12/26/2019 31406XWT5 INTEREST EARNED ON F N M A#823358 4.647% 2/01/35$1 PV ON 419.7300 0.0000 0.000000 419.73 0.00 0.00
SHARES DUE 12/25/2019 NOVEMBER FNMA DUE 12/25/19
12/26/2019 31407BXH7 INTEREST EARNED ON F N M A#826080 5.000% 7/01/35$1 PV ON 74.0000 SHARES 0.0000 0.000000 74.00 0.00 0.00
DUE 12/25/2019 NOVEMBER FNMA DUE 12/25/19
12/26/2019 31410F4V4 INTEREST EARNED ON F N M A#888336 5.000% 7/01/36$1 PV ON 726.5600 0.0000 0.000000 726.56 0.00 0.00
SHARES DUE 12/25/2019 NOVEMBER FNMA DUE 12/25/19
12/26/2019 3138EG6F6 INTEREST EARNED ON F N M A#AL0869 4.500% 6/01/29$1 PV ON 36.1400 0.0000 0.000000 36.14 0.00 0.00
SHARES DUE 12/25/2019 NOVEMBER FNMA DUE 12/25/19
12/26/2019 31417YAY3 INTEREST EARNED ON F N M A#MA0022 4.500% 4/01/29$1 PV ON 59.6700 0.0000 0.000000 59.67 0.00 0.00
SHARES DUE 12/25/2019 NOVEMBER FNMA DUE 12/25/19
12/26/2019 31397QREO INTEREST EARNED ON F N M A GTD REMIC 2.825% 2/25/41 $1 PV ON 359.4200 0.0000 0.000000 359.42 0.00 0.00
SHARES DUE 12/25/2019$0.00199/PV ON 180,610.99 PV DUE 12/25/19
12/26/2019 90331HNB5 INTEREST EARNED ON US BANK MTN 2.000% 1/24/20$1 PV ON 2000000.0000 0.0000 0.000000 0.07 0.00 0.00
SHARES DUE 12/24/2019 ADDITIONAL ACCRUED INTEREST ON 12/24/19 FULL CALL
12/26/2019 931142EK5 INTEREST EARNED ON WALMART INC 3.400% 6/26/23$1 PV ON 3880000.0000 0.0000 0.000000 65,960.00 0.00 0.00
SHARES DUE 12/26/2019
12/26/2019 912828L32 PAID ACCRUED INTEREST ON PURCHASE OF U S TREASURY NT 1.375% 8/31/20 0.0000 0.000000 -22,098.21 0.00 0.00
12/26/2019 912828XY1 PAID ACCRUED INTEREST ON PURCHASE OF U S TREASURY NT 2.500% 6/30/20 0.0000 0.000000 -60,801.63 0.00 0.00
12/27/2019 912828WUO BOOK VALUE OF U S TREASURY I P S 0.125% 7/15/24 ADJUSTED BY 13312.00 UNITS 0.0000 0.000000 0.00 0.00 0.00
INCREASE TO ADJUST FOR CHANGE IN CPI
12/27/2019 912828WUO FED BASIS OF U S TREASURY I P S 0.125% 7/15/24 ADJUSTED BY 13312.00 UNITS 0.0000 0.000000 0.00 13,312.00 0.00
INCREASE TO ADJUST FOR CHANGE IN CPI
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U.S. Bank
Transaction History
December 2019
Entry Date CUSIP Id Explanation Units Price Net Cash Arnt Cost Gain/Loss
12/27/2019 02665WCZ2 INTEREST EARNED ON AMERICAN HONDA MTN 2.400% 6/27/24$1 PV ON 0.0000 0.000000 14,628.00 0.00 0.00
1219000.0000 SHARES DUE 12/27/2019
12/27/2019 912828WUO PAR VALUE OF U S TREASURY I P S 0.125% 7/15/24 ADJUSTED BY 13312.0000 13,312.0000 0.000000 0.00 0.00 0.00
UNITS INCREASE TO ADJUST FOR CHANGE IN CPI
12/27/2019 912828WUO STATE COST OF U S TREASURY I P S 0.125% 7/15/24 ADJUSTED BY 13312.00 UNITS 0.0000 0.000000 0.00 0.00 0.00
INCREASE TO ADJUST FOR CHANGE IN CPI
12/31/2019 912828XW5 INTEREST EARNED ON U S TREASURY NT 1.750% 6/30/22$1 PV ON 5000000.0000 0.0000 0.000000 43,750.00 0.00 0.00
SHARES DUE 12/31/2019
12/31/2019 912828VJ6 INTEREST EARNED ON U S TREASURY NT 1.875% 6/30/20$1 PV ON 0.0000 0.000000 140,625.00 0.00 0.00
15000000.0000 SHARES DUE 12/31/2019
12/31/2019 912828XX3 INTEREST EARNED ON U S TREASURY NT 2.000% 6/30/24$1 PV ON 5000000.0000 0.0000 0.000000 50,000.00 0.00 0.00
SHARES DUE 12/31/2019
12/31/2019 912828N30 INTEREST EARNED ON U S TREASURY NT 2.125% 12/31/22$1 PV ON 5000000.0000 0.0000 0.000000 53,125.00 0.00 0.00
SHARES DUE 12/31/2019
12/31/2019 912828XY1 INTEREST EARNED ON U S TREASURY NT 2.500% 6/30/20$1 PV ON 5000000.0000 0.0000 0.000000 62,500.00 0.00 0.00
SHARES DUE 12/31/2019
TOTAL OTHER TRANSACTIONS 25,168.0000 136,429,855.49 25,168.00 0.00
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oJ�jV SAN17gTO9 Orange Count Sanitation District Administration Building
5� o, g � 10844 Ellis Avenue
2 9 Fountain Valley, CA 92708
OPERATIONS COMMITTEE (714)593 7433
9oTFCTN0 THE ENVQ����2
Agenda Report
File #: 2019-821 Agenda Date: 1/22/2020 Agenda Item No: 5.
FROM: James D. Herberg, General Manager
Originator: Kathy Millea, Director of Engineering
SUBJECT:
AWARD OF CORROSION MANAGEMENT SUPPORT SERVICES, SPECIFICATION NO. CS-2019-
1071 BD
GENERAL MANAGER'S RECOMMENDATION
RECOMMENDATION:
A. Approve a Professional Consultant Services Agreement with Corrpro Companies, Inc. for
Corrosion Management Support Services, Specification No. CS-2019-1071 BD, for the period
of January 1, 2020 through December 31, 2020, for a total annual amount not to exceed
$600,000, with four (4) one-year renewal options; and
B. Approve an annual contingency of$60,000 (10%).
BACKGROUND
The Orange County Sanitation District (Sanitation District) owns, maintains, and operates nearly $11
billion of assets in its collections system, Reclamation Plant No. 1 in Fountain Valley, and Treatment
Plant No. 2 in Huntington Beach. To ensure that our facilities are reliable, an Asset Management
Program is in place to proactively assess and track the condition and performance of critical assets
and develop targeted maintenance and capital investment strategies.
Condition and corrosion assessments provide an accurate understanding of the condition of the
assets, identify deficiencies that need to be addressed, and provide a timeline of when the
recommended mitigations need to be completed. This agreement will provide corrosion and
condition assessment staffing to perform condition and corrosion assessments and prepare
assessment and recommendation reports.
RELEVANT STANDARDS
• Sustain 1, 5, 20-year planning horizons
• Maintain and adhere to appropriate internal planning documents - Strategic Plan
• Maintain a proactive asset management program
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File #: 2019-821 Agenda Date: 1/22/2020 Agenda Item No: 5.
PROBLEM
The Sanitation District has a need for consulting support to conduct corrosion and condition
assessment of assets.
PROPOSED SOLUTION
Solicit and contract for Professional Consultant Services for corrosion and condition assessment.
TIMING CONCERNS
The previous contract for Corrosion Management support expired on June 30, 2019. Further delay of
the new contract will prevent the use of these services to support the Asset Management Program.
RAMIFICATIONS OF NOT TAKING ACTION
Without the condition and corrosion management support, Sanitation District staff would not have
accurate condition and corrosion information on assets and will be less able to develop maintenance
and capital investment strategies.
PRIOR COMMITTEE/BOARD ACTIONS
N/A
ADDITIONAL INFORMATION
Staff Evaluation of Proposals
A Request for Proposal for Corrosion Management Support Services was advertised on September
11, 2019. The following evaluation criterion were described in the Request for Proposals and used to
determine the most qualified firm.
CRITERION WEIGHT
Qualifications & Experience of Firm 30%
Proposed Staffing & Project Organization 40%
Interviews 30%
On October 3, 2019, a non-mandatory pre-proposal meeting was conducted, and two firms attended.
One proposal was received on October 24, 2019 from Corrpro Companies. It was evaluated in
accordance with the evaluation process set forth in Sanitation District's Purchasing Ordinance No.
OCSD-52 by a pre-selected evaluation team consisting of the following Sanitation District staff:
Engineering Manager, Maintenance Manager, Chief Plant Operator, Senior Engineer, and Engineer.
A representative from the Purchasing Division also participated in the evaluation process as a non-
voting member.
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File #: 2019-821 Agenda Date: 1/22/2020 Agenda Item No: 5.
Following scoring by the evaluation team, it was determined that the information provided in the
proposal was sufficient to determine the qualifications of the firm and proposed staffing. As a result,
no interview was conducted, and Corrpro Companies was selected as a qualified Consultant based
on the scoring shown below (out of 70 possible points).
Firm Qualifications of Proposed Interviews Total Score
Firm Staffing (Max N/A) (Max 70)
(Max 30) (Max 40)
Corrpro 27.6 35.6 N/A 63.2
Companies
Corrpro Companies is qualified based on the firm's qualifications and experience in the field of
corrosion control and engineering and the proposed team's experience with the Sanitation District
and other agencies and facilities conducting similar work.
Negotiations:
Staff conducted negotiations with Corrpro Companies on November 14, 2019 clarifying scope of
work, assumptions, and contract multipliers.
Staff has reviewed the proposed positions, rates, and terms and believes that the proposed fee is fair
and reasonable. Contract profit is 9%, which is consistent with the Sanitation District's standard
professional agreements.
CEQA
This is not a project as defined by the California Environmental Quality Act (CEQA); therefore, CEQA
does not apply.
FINANCIAL CONSIDERATIONS
This request complies with authority levels of the Sanitation District's Purchasing Ordinance. This
recommendation would be funded under the Professional/Contractual Services line item for the
Engineering Department (Budget Update Fiscal Year 2019-20, Page 45), and the available funding is
sufficient for the action.
ATTACHMENT
The following attachment(s) may be viewed on-line at the OCSD website (www.ocsd.com) with the complete agenda
package:
• Professional Consultant Services Agreement
EY:sa
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PROFESSIONAL CONSULTANT SERVICES AGREEMENT
Corrosion Management Support Services
Specification No. CS-2019-1071 BD
THIS AGREEMENT is made and entered into as of the date fully executed below, by and between
Orange County Sanitation District, with a principal place of business at 10844 Ellis Avenue,
Fountain Valley, CA 92708 (hereinafter referred to as "OCSD") and Corrpro with a principal place
of business at 10260 Matern Place, Santa Fe Springs, CA 90670 (hereinafter referred to as
"Consultant") collectively referred to as the "Parties".
WITNESSETH
WHEREAS, based on Consultant's expertise and experience, OCSD desires to temporarily
engage Consultant to provide Corrosion Management Staffing Support Services "Services" as
described in Exhibit "A"; and
WHEREAS, Consultant submitted its Proposal, dated October 24, 2019; and
WHEREAS, on January 22, 2020, the Board of Directors of OCSD, by minute order, authorized
execution of this Agreement between OCSD and Consultant; and
WHEREAS, OCSD has chosen Consultant to conduct Services in accordance with Ordinance
No. OCSD-52; and
NOW, THEREFORE, in consideration of the mutual promises and mutual benefits exchanged
between the Parties, the Parties mutually agree as follows:
1. Introduction
1.1 This Agreement and all exhibits hereto (called the "Agreement") is made by OCSD and the
Consultant. The terms and conditions herein exclusively govern the purchase of Services
as described in Exhibit "A".
1.2 Exhibits to this Agreement are incorporated by reference and made a part of this Agreement
as though fully set forth at length herein.
Exhibit "A" Scope of Work
Exhibit "B" Proposal
Exhibit "C" Acknowledgement of Insurance Requirements
Exhibit "D" OCSD Safety Standards
Exhibit "E" Human Resources Policies
Exhibit "F" Allowable Direct Costs
1.3 In the event of any conflict or inconsistency between the provisions of this Agreement and
any of the provisions of the exhibits hereto, the provisions of this Agreement shall in all
respects govern and control.
1.4 This Agreement may not be modified, changed, or supplemented, nor may any obligations
hereunder be waived or extensions of time for performance granted, except by written
instrument signed by both Parties.
1.5 The various headings in this Agreement are inserted for convenience only and shall not
affect the meaning or interpretation of this Agreement or any section or provision hereof.
Orange County Sanitation District 1 of 12 Specification No. CS-2019-1071BD
Version 120518
1.6 The term "days", when used in the Agreement, shall mean calendar days, unless otherwise
noted as workdays.
1.7 The term "workday". Workdays are defined as all days that are not Saturday, Sunday, or
OCSD observed holidays. Meetings with OCSD staff shall be scheduled from Monday
through Thursday between the hours of 8 a.m. and 4 p.m. (exception is Operations staff
who maintain plant operations 24/7 and work a rotated 12-hour shift) and shall conform to
OCSD work schedules. OCSD review periods shall not include OCSD observed holidays.
1.8 OCSD holidays (non-working days) are as follows: New Year's Day, Lincoln's Birthday,
Presidents' Day, Memorial Day, Independence Day, Labor Day, Veterans Day,
Thanksgiving Day, Day after Thanksgiving, Christmas Eve, and Christmas Day.
1.9 Work Hours: The work required under this Agreement may include normal business hours,
evenings, and weekends. OCSD will not pay for travel time.
1.10 Consultant shall provide OCSD with all required premiums and/or overtime work at no
charge beyond the total amount of the Agreement.
1.11 Except as expressly provided otherwise, OCSD accepts no liability for any expenses,
losses, or action incurred or undertaken by Consultant as a result of work performed in
anticipation of purchases of said Services by OCSD.
2. Scope of Work Subject to the terms of this Agreement, Consultant shall perform the
Services identified in Exhibit "A". Consultant warrants that all of its Services shall be
performed in a competent, professional, and satisfactory manner.
3. Modifications to Scope of Work Requests for modifications to the Scope of Work
hereunder can be made by OCSD at any time. All modifications must be made in writing
and signed by both Parties. A review of the time required for the modification will be made
by OCSD and Consultant and the Agreement period adjusted accordingly.
4. Compensation
4.1 Compensation to be paid by OCSD to Consultant for the Services provided under this
Agreement shall be a total amount not to exceed Six Hundred Thousand Dollars
($600,000.00).
4.2 As a portion of the total compensation to be paid to Consultant, OCSD shall pay to
Consultant a sum equal to the burdened salaries (salaries plus benefits, overhead, and
profit per Exhibit "B") actually paid by Consultant charged on an hourly-rate basis and paid
to the personnel of Consultant not to exceed the maximum hourly rates per Exhibit "B-1".
Upon request of OCSD, Consultant shall provide OCSD with certified payroll records of all
employees' work that is charged to this Agreement.
4.3 "Field Staff" are defined as staff on-site at OCSD facilities assigned by Consultant, working
at OCSD's facilities for an assigned period exceeding thirty (30) continuous calendar days.
The overhead rates for Field Staff are included in Exhibit "B".
4.4 "Home Office Staff' are defined as staff assigned by Consultant, supporting the assigned
work, either by working at Consultant's or subconsultant's offices or at OCSD's site for
periods less than thirty (30) continuous calendar days. The overhead rates for Home
Office Staff are included in Exhibit "B".
Orange County Sanitation District 2 of 12 Specification No. CS-2019-1071BD
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4.5 Profit for Consultant and subconsultants shall be nine percent (9%). Amendments shall be
governed by the same maximum profit percentage. As a portion of the total compensation
to be paid to Consultant and subconsultants, OCSD shall pay profit for all services
rendered by Consultant and subconsultants for this Agreement.
4.6 For all subconsultants, Consultant may pay to subconsultants total compensation on an
hourly-rate basis per Exhibit "B" and as specified in the Exhibit "A". OCSD shall pay to
Consultant the actual costs of subconsultants, without markup.
4.7 For purposes of adjusting the maximum hourly rates agreed to by the Parties in Exhibit "B-
1" for Consultant employees and any subconsultant employees performing services under
this Agreement shall be adjusted annually based on the Consumer Price Index (CPI) of
Los Angeles-Long Beach-Anaheim, California as of September of each year. This rate is
from the United States Department of Labor Bureau of Labor Statistics. The annual salary
figures used in calculating hourly rates shall not otherwise be adjusted, regardless of
whether any Consultant employees may have received a salary increase form Consultant
that exceeds the increase in CPI. The annual adjustments shall not exceed three percent
(3%). The first hourly rate escalation will occur January 1, 2021.
4.8 OCSD will reimburse the Consultant for reasonable travel and business expenses as
described in this section and further described in Exhibit "F" -Allowable Direct Costs to
this Agreement. The reimbursement of the above mentioned expenses will be based on an
"accountable plan" as considered by U.S. 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
OCSD can be found on the U.S. General Services Administration (GSA) website at
http://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. OCSD 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 OCSD any excess reimbursements after
the reimbursement has been paid by OCSD.
Travel and travel arrangements—Any travel involving airfare, overnight stays or multiple
day attendance must be approved by OCSD in advance.
Local travel is considered travel by the Consultant within the OCSD 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 vehicles for local travel.
Lodging — Overnight stays will not be approved by OCSD for local travel. However, under
certain circumstances overnight stay may be allowed at the discretion of OCSD 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 OCSD.
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Travel Meals — Per-diem rates as approved by the 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
Exhibit "F" to this Agreement.
OCSD shall also pay to Consultant actual costs for equipment rentals, leases or
purchases with prior approval of OCSD.
OCSD will not pay per diem for Field Staff nor will it pay for any relocation of staff to be
assigned under this Agreement.
5. California Department of Industrial Relations (DIR)Registration and Record of Waqes
5.1 To the extent Consultant's employees and/or subconsultants who will perform work 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.
5.2 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.
5.3 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 Standards Enforcement of the Department of Industrial Relations.
5.4 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(e).
6. Payment and Invoicing
6.1 OCSD shall pay, net thirty (30) days, upon receipt and approval, by OCSD's Project
Manager or designee, of itemized invoices submitted monthly for Services rendered as
required in Exhibit "A". OCSD, at its sole discretion, shall be the determining party as to
whether the Services have been satisfactorily completed.
6.2 Invoices shall be emailed by Consultant to OCSD Accounts Payable at
APStaff OCSD.com and "INVOICE" with the Purchase Order Number and Specification
No. CS-2019-1071 BD shall be referenced in the subject line.
7. Audit Rights Consultant agrees that, during the term of this Agreement and for a period of
three (3) years after its termination, OCSD shall have access to and the right to examine
any directly pertinent books, documents, and records of Consultant relating to the invoices
submitted by Consultant pursuant to this Agreement.
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8. Commencement and Term The Services provided under this Agreement shall be for the
period of one (1) year commencing on February 1, 2020 and continuing through January
31, 2021.
9. Renewals
9.1 OCSD may exercise the option to renew this Agreement for up to four (4) one-year periods
based upon the criteria set forth in Exhibit "A", under the terms and conditions contained
herein. OCSD shall make no obligation to renew nor give reason if it elects not to renew.
9.2 This Agreement may be renewed by OCSD Purchase Order.
10. Extensions The term of this Agreement may be extended only by written instrument signed
by both Parties.
11. Performance Time is of the essence in the performance of the provisions hereof.
12. Termination
12.1 OCSD reserves the right to terminate this Agreement for its convenience, with or without
cause, in whole or in part, at any time, by written notice from OCSD. Upon receipt of a
termination notice, Consultant shall immediately discontinue all work under this Agreement
(unless the notice directs otherwise). OCSD shall thereafter, within thirty (30) days, pay
Consultant for work performed (cost and fee) to the date of termination. Consultant
expressly waives any claim to receive anticipated profits to be earned during the
uncompleted portion of this Agreement. Such notice of termination shall terminate this
Agreement and release OCSD from any further fee, cost or claim hereunder by Consultant
other than for work performed to the date of termination.
12.2 OCSD reserves the right to terminate this Agreement immediately upon OCSD's
determination that Consultant is not complying with the Scope of Work requirements, if the
level of service is inadequate, or any other default of this Agreement.
12.3 OCSD may also immediately terminate for default of this Agreement in whole or in part by
written notice to Consultant:
• if Consultant becomes insolvent or files a petition under the Bankruptcy Act; or
• if Consultant sells its business; or
• if Consultant breaches any of the terms of this Agreement; or
• if total amount of compensation exceeds the amount authorized under this Agreement.
12.4 All OCSD property in the possession or control of Consultant shall be returned by Consultant
to OCSD on demand, or at the termination of this Agreement, whichever occurs first.
13. Indemnification and Hold Harmless Provision Consultant shall assume all responsibility
for damages to property and/or injuries to persons, including accidental death, which may
arise out of or be caused by Consultant's services under this Agreement, or by its
subconsultant(s) or by anyone directly or indirectly employed by Consultant, and whether
such damage or injury shall accrue or be discovered before or after the termination of the
Agreement. Except as to the sole active negligence of or willful misconduct of OCSD,
Consultant shall indemnify, protect, defend and hold harmless OCSD, its elected and
appointed officials, officers, agents and employees, from and against any and all claims,
liabilities, damages or expenses of any nature, including attorneys' fees: (a) for injury to or
death of any person or damage to property or interference with the use of property, arising
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out of or in connection with Consultant's performance under the Agreement, and/or (b) on
account of use of any copyrighted or uncopyrighted material, composition, or process, or
any patented or unpatented invention, article or appliance, furnished or used under the
Agreement, and/or (c) on account of any goods and services provided under this
Agreement. This indemnification provision shall apply to any acts or omissions, willful
misconduct, or negligent misconduct, whether active or passive, on the part of Consultant
or anyone employed by or working under Consultant. To the maximum extent permitted by
law, Consultant's duty to defend shall apply whether or not such claims, allegations,
lawsuits, or proceedings have merit or are meritless, or which involve claims or allegations
that any of the parties to be defended were actively, passively, or concurrently negligent, or
which otherwise assert that the parties to be defended are responsible, in whole or in part,
for any loss, damage, or injury. Consultant agrees to provide this defense immediately upon
written notice from OCSD, and with well qualified, adequately insured, and experienced
legal counsel acceptable to OCSD. This section shall survive the expiration or early
termination of the Agreement.
14. Insurance Consultant and all subconsultants shall purchase and maintain, throughout the
life of this Agreement and any periods of warranty or extensions, insurance in amounts equal
to the requirements set forth in the signed Acknowledgement of Insurance Requirements,
Exhibit "C". Consultant shall not commence work under this Agreement until all required
insurance is obtained in a form acceptable to OCSD, nor shall Consultant allow any
subconsultant to commence service pursuant to a subcontract until all insurance required
of the subconsultant has been obtained. Failure to maintain required insurance coverage
shall result in termination of this Agreement.
15. Key Personnel Personnel, as provided in Exhibit "B", are considered "key" to the work
under this Agreement and will be available for the term of the Agreement. No person
designated as key under this Agreement shall be removed or replaced without prior written
consent of OCSD. If OCSD requests Consultant to remove a person designated as key
under this Agreement, Consultant agrees to do so immediately regardless of the reason, or
the lack of reason, for OCSD's request. Consultant shall assign only competent personnel
to perform Services pursuant to this Agreement.
16. Confidentiality and Non-Disclosure
16.1 Consultant acknowledges that in performing the Services hereunder, OCSD may have to
disclose to Consultant orally and in writing certain confidential information that OCSD
considers proprietary and has developed at great expense and effort.
16.2 Consultant agrees to maintain in confidence and not disclose to any person, firm, or
corporation, without OCSD's prior written consent, any trade secret or confidential
information, knowledge or data relating to the products, process, or operation of OCSD.
16.3 Consultant further agrees to maintain in confidence and not to disclose to any person, firm,
or corporation any data, information, technology, or material developed or obtained by
Consultant during the term of this Agreement.
16.4 Consultant agrees as follows:
• To use the confidential information only for the purposes described herein; to not reproduce
the confidential information; to hold in confidence and protect the confidential information
from dissemination to and use by anyone not a party to this Agreement; and to not use the
confidential information to benefit itself or others.
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• To restrict access to the confidential information to its Consultant or personnel of Consultant
who (1) have a need to have such access and (2) have been advised of and have agreed
in writing to treat such information in accordance with the terms of this Agreement.
• To return all confidential information in Consultant's possession upon termination of this
Agreement or upon OCSD's request, whichever occurs first.
• To hold in confidence information and materials, if any, developed pursuant to the Services
hereunder.
16.5 The provisions of this section shall survive termination or expiration of this Agreement and
shall continue for so long as the material remains confidential.
17. Ownership of Documents All drawings, specifications, reports, records, documents,
memoranda, correspondence, computations, and other materials prepared by Consultant,
its employees, subconsultants, and agents in the performance of this Agreement shall be
the property of OCSD and shall be promptly delivered to OCSD upon request of OCSD's
Project Manager or designee, or upon the termination of this Agreement, and Consultant
shall have no claim for further employment or additional compensation as a result of the
exercise by OCSD of its full rights of ownership of the documents and materials hereunder.
Any use of such completed documents for other projects and/or use of incomplete
documents without specific written authorization by the Consultant will be at OCSD's sole
risk and without liability to Consultant. Consultant shall ensure that all its subconsultants
shall provide for assignment to OCSD of any documents or materials prepared by them.
18. Ownership of Intellectual Property
18.1 Consultant agrees that all designs, plans, reports, specifications, drawings, schematics,
prototypes, models, inventions, and all other information and items made during the course
of this Agreement and arising from the Services (hereinafter referred to as "New
Developments") shall be and are assigned to OCSD as its sole and exclusive property.
18.2 Consultant agrees to promptly disclose to OCSD all such New Developments. Upon
OCSD's request, Consultant agrees to assist OCSD, at OCSD's expense, to obtain patents
or copyrights for such New Developments, including the disclosure of all pertinent
information and data with respect thereto, the execution of all applications, specifications,
assignments, and all other instruments and papers which OCSD shall deem necessary to
apply for and to assign or convey to OCSD, its successors and assigns, the sole and
exclusive right, title and interest in such New Developments. Consultant agrees to obtain or
has obtained written assurances from its employees and contract personnel of their
agreement to the terms hereof with regard to New Developments and confidential
information.
18.3 Consultant warrants that Consultant has good title to any New Developments, and the right
to assign New Developments to OCSD free of any proprietary rights of any other party or
any other encumbrance whatever.
18.4 The originals of all computations, drawings, designs, graphics, studies, reports, manuals,
photographs, videotapes, data, computer files, and other documents prepared or caused to
be prepared by Consultant or its subconsultants in connection with these Services shall be
delivered to and shall become the exclusive property of OCSD. OCSD may utilize these
documents for OCSD applications on other projects or extensions of this project, at its own
risk.
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19. No Solicitation of Employees
19.1 Consultant agrees that it shall not, during the term of this Agreement and for a period of one
(1) year immediately following termination of this Agreement, or any extension hereof, call
on, solicit, or take away any of the employees whom Consultant became aware of as a result
of Consultant's Services to OCSD.
19.2 Consultant acknowledges that OCSD's employees are critical to its business and OCSD
expends significant resources to hire, employ, and train employees. Should Consultant
employ or otherwise engage OCSD's employees during the term of this Agreement and for
a period of one (1) year following termination of this Agreement, Consultant will pay OCSD
fifty percent (50%) of the former employee's most recent annual salary earned at OCSD to
accurately reflect the reasonable value of OCSD's time and costs. This payment is in
addition to any other rights and remedies OCSD may have at law.
20. Independent Contractor Capacity
20.1 The relationship of Consultant to OCSD is that of an independent contractor and nothing
herein shall be construed as creating an employment or agency relationship.
20.2 Consultant shall act independently and not as an officer or employee of OCSD. OCSD
assumes no liability for Consultant's action and performance, nor assumes responsibility for
taxes, funds, payments or other commitments, implied or expressed, by or for Consultant.
20.3 Consultant shall not be considered an agent of OCSD for any purpose whatsoever, nor shall
Consultant have the right to, and shall not, commit OCSD to any agreement, contract or
undertaking. Consultant shall not use OCSD's name in its promotional material or for any
advertising or publicity purposes without expressed written consent.
20.4 Consultant shall not be entitled to any benefits accorded to those individuals listed on
OCSD's payroll as regular employees including, without limitation, worker's compensation,
disability insurance, vacation, holiday or sick pay. Consultant shall be responsible for
providing, at Consultant's expense, disability, worker's compensation or other insurance as
well as licenses and permits usual or necessary for conducting the Services hereunder.
20.5 Consultant shall be obligated to pay any and all applicable Federal, State and local payroll
and other taxes incurred as a result of fees hereunder. Consultant hereby indemnifies OCSD
for any claims, losses, costs,fees, liabilities, damages or penalties suffered by OCSD arising
out of Consultant's breach of this provision.
20.6 Consultant shall not be eligible to join or participate in any benefit plans offered to those
individuals listed on OCSD's payroll as regular employees. Consultant shall remain ineligible
for such benefits or participation in such benefit plans even if a court later decides that OCSD
misclassified Consultant for tax purposes.
21. Licenses, Permits Consultant represents and warrants to OCSD that it has obtained all
licenses, permits, qualification and approvals of whatever nature that are legally required to
engage in this work. Any and all fees required by Federal, State, County, City and/or
municipal laws, codes and/or tariffs that pertain to work performed under the terms of this
Agreement will be paid by Consultant.
22. Consultant's Representations In the performance of duties under this Agreement,
Consultant shall adhere to the highest fiduciary standards, ethical practices and standards
of care and competence for their trade/profession. Consultant agrees to comply with all
applicable Federal, State and local laws and regulations.
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23. Familiarity with Work By executing this Agreement, Consultant warrants that: 1) it has
investigated the work to be performed; 2)it has investigated the site of the work and is aware
of all conditions there; and 3) it understands the facilities, difficulties and restrictions of the
work under this Agreement. Should Consultant discover any latent or unknown conditions
materially differing from those inherent in the work or as represented by OCSD, it shall
immediately inform OCSD of this and shall not proceed, except at Consultant's risk, until
written instructions are received from OCSD.
24. Right to Review Services, Facilities, and Records
24.1 OCSD reserves the right to review any portion of the Services performed by Consultant
under this Agreement, and Consultant agrees to cooperate to the fullest extent possible.
24.2 Consultant shall furnish to OCSD such reports, statistical data, and other information
pertaining to Consultant's Services as shall be reasonably required by OCSD to carry out
its rights and responsibilities under its agreements with its bondholders or noteholders and
any other agreement relating to the development of the project(s) and in connection with the
issuance of its official statements and other prospectuses with respect to the offering, sale,
and issuance of its bonds and other obligations.
24.3 The right of OCSD to review or approve drawings, specifications, procedures, instructions,
reports, test results, calculations, schedules, or other data that are developed by Consultant
shall not relieve Consultant of any obligation set forth herein.
25. Force Maieure Neither party shall be liable for delays caused by accident, flood, acts of
God, fire, labor trouble, war, acts of government or any other cause beyond its control, but
said party shall use reasonable efforts to minimize the extent of the delay. Work affected by
a Force Majeure condition may be rescheduled by mutual consent or may be eliminated
from the Agreement.
26. Severability If any section, subsection, or provision of this Agreement, or any agreement
or instrument contemplated hereby, or the application of such section, subsection, or
provision is held invalid, the remainder of this Agreement or instrument in the application of
such section, subsection or provision to persons or circumstances other than those to which
it is held invalid, shall not be affected thereby, unless the effect of such invalidity shall be to
substantially frustrate the expectations of the Parties.
27. Waiver The waiver of either party of any breach or violation of, or default under, any
provision of this Agreement, shall not be deemed a continuing waiver by such party of any
other provision or of any subsequent breach or violation of this Agreement or default
thereunder. Any breach by Consultant to which OCSD does not object shall not operate as
a waiver of OCSD's rights to seek remedies available to it for any subsequent breach.
28. Remedies In addition to other remedies available in law or equity, if the Consultant fails to
make delivery of the goods or Services or repudiates its obligations under this Agreement,
or if OCSD rejects the goods or Services or revokes acceptance of the goods or Services,
OCSD may(1) terminate the Agreement; (2)recover whatever amount of the purchase price
OCSD has paid, and/or (3) "cover" by purchasing, or contracting to purchase, substitute
goods or Services for those due from Consultant. In the event OCSD elects to "cover" as
described in (3), OCSD shall be entitled to recover from Consultant as damages the
difference between the cost of the substitute goods or Services and the Agreement price,
together with any incidental or consequential damages.
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29. Governin_g Law This Agreement shall be governed by and interpreted under the laws of
the State of California and the Parties submit to jurisdiction in Orange County, in the event
any action is brought in connection with this Agreement or the performance thereof.
30. Environmental Compliance Consultant shall, at its own cost and expense, comply with all
Federal, State, and local environmental laws, regulations, and policies which apply to the
Consultant, its sub-consultants, and the Services, including, but not limited to, all applicable
Federal, State, and local air pollution control laws and regulations.
31. Attorney's Fees If any action at law or inequity 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.
32. Dispute Resolution
32.1 In the event of a dispute as to the construction or interpretation of this Agreement, or any
rights or obligations hereunder, the Parties shall first attempt, in good faith, to resolve the
dispute by mediation. The Parties shall mutually select a mediator to facilitate the resolution
of the dispute. If the Parties are unable to agree on a mediator, the mediation shall be
conducted in accordance with the Commercial Mediation Rules of the American Arbitration
Agreement, through the alternate dispute resolution procedures of Judicial Arbitration
through Mediation Services of Orange County("JAMS"), or any similar organization or entity
conducting an alternate dispute resolution process.
32.2 In the event the Parties are unable to timely resolve the dispute through mediation, the
issues in dispute shall be submitted to arbitration pursuant to California Code of Civil
Procedure, Part 3, Title 9, Sections 1280 et seq. For such purpose, an agreed arbitrator
shall be selected, or in the absence of agreement, each party shall select an arbitrator, and
those two (2) arbitrators shall select a third. Discovery may be conducted in connection with
the arbitration proceeding pursuant to California Code of Civil Procedure Section 1283.05.
The arbitrator, or three (3) arbitrators acting as a board, shall take such evidence and make
such investigation as deemed appropriate and shall render a written decision on the matter
in question. The arbitrator shall decide each and every dispute in accordance with the laws
of the State of California. The arbitrator's decision and award shall be subject to review for
errors of fact or law in the Superior Court for the County of Orange, with a right of appeal
from any judgment issued therein.
33. Dama_ge to OCSD's Property Any OCSD property damaged by Consultant will be subject
to repair or replacement by Consultant at no cost to OCSD.
34. OCSD Safety Standards OCSD requires Consultant and its subconsultants to follow and
ensure their employees follow all Federal, State and local regulations as well as OCSD
Safety Standards while working at OCSD locations. If during the course of the Agreement it
is discovered that OCSD Safety Standards do not comply with Federal, State or local
regulations, then the Consultant is required to follow the most stringent regulatory
requirement at no additional cost to OCSD. Consultant and all of its employees and
subconsultants, shall adhere to all applicable OCSD Safety Standards attached hereto in
Exhibit "D" and the Human Resources Policies (Exhibit "E").
35. Frei_ght (F.O.B. Destination) Consultant assumes full responsibility for all transportation,
transportation scheduling, packing, handling, insurance, and other services associated with
delivery of all products deemed necessary under this Agreement.
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36. Assi_gnments Consultant shall not delegate any duties nor assign any rights under this
Agreement without the prior written consent of OCSD. Any such attempted delegation or
assignment shall be void.
37. Conflict of Interest and Reportin_g
37.1 Consultant shall at all times avoid conflicts of interest or appearance of conflicts of interest
in performance of this Agreement.
37.2 Consultant affirms that to the best of its knowledge there exists no actual or potential conflict
between Consultant's families, business or financial interest or its Services under this
Agreement, and in the event of change in either its private interests or Services under this
Agreement, it will raise with OCSD any question regarding possible conflict of interest which
may arise as a result of such change.
38. Third Party Rights Nothing in this Agreement shall be construed to give any rights or
benefits to anyone other than OCSD and Consultant.
39. Non-Liability of OCSD Officers and Employees No officer or employee of OCSD shall
be personally liable to Consultant, or any successor-in-interest, in the event of any default
or breach by OCSD or for any amount which may become due to Consultant or to its
successor, or for breach of any obligation of the terms of this Agreement.
40. Authority to Execute The persons executing this Agreement on behalf of the Parties
warrant that they are duly authorized to execute this Agreement and that by executing this
Agreement, the Parties are formally bound.
41. Read and Understood By signing this Agreement, Consultant represents that it has read
and understood the terms and conditions of the Agreement.
42. Entire Agreement This Agreement constitutes the entire agreement of the Parties and
supersedes all prior written or oral and all contemporaneous oral agreements,
understandings, and negotiations between the Parties with respect to the subject matter
hereof.
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43. Notices All notices under this Agreement must be in writing. Written notice shall be
delivered by personal service or sent by registered or certified mail, postage prepaid, return
receipt requested, or by any other overnight delivery service which delivers to the noticed
destination and provides proof of delivery to the sender. Any facsimile notice must be
followed within three (3) days by written notice. Rejection or other refusal to accept or the
inability to deliver because of changed address for which no notice was given as provided
hereunder shall be deemed to be receipt of the notice, demand or request sent. All notices
shall be effective when first received at the following addresses:
OCSD: Jackie Lagade
Principal Buyer
Orange County Sanitation District
10844 Ellis Avenue
Fountain Valley, CA 92708-7018
Consultant: Edward Bonar
Operations Manager
Corrpro
10260 Matern Place
Santa Fe Springs, CA 90670
Each party shall provide the other party written notice of any change in address as soon as
practicable.
IN WITNESS WHEREOF, intending to be legally bound, the Parties hereto have caused this
Agreement to be signed by the duly authorized representatives.
ORANGE COUNTY SANITATION DISTRICT
Dated: By:
David John Shawver
Chair, Board of Directors
Dated: By:
Kelly A. Lore
Clerk of the Board
Dated: By:
Ruth Zintzun
Purchasing and Contracts Manager
CORRPRO
Dated: By:
Print Name and Title of Officer
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oJ�1V SAN17gTO9 Orange Count Sanitation District Administration Building
5� o, g � 10844 Ellis Avenue
2 9 Fountain Valley, CA 92708
BOARD OF DIRECTORS (714)593 7433
9oTFCTN0 THE ENVQ����2
Agenda Report
File #: 2020-881 Agenda Date: 1/22/2020 Agenda Item No: 6.
FROM: James D. Herberg, General Manager
Originator: Lorenzo Tyner, Assistant General Manager
SUBJECT:
REQUEST FOR FUNDING - WASTEWATER FLOW & LOADING STUDY
GENERAL MANAGER'S RECOMMENDATION
RECOMMENDATION:
Approve the Orange County Sanitation District's on-going participation in the California Association of
Sanitation Agencies wastewater flow and loading study and the Participating Agency Contribution
Pledge of $410,676.
BACKGROUND
The Orange County Sanitation District's (Sanitation District) goal has always been to fairly and
equitably allocate the cost of wastewater management to all its customers in a cost-effective manner.
Agencies throughout the state, including the Sanitation District, use engineering estimates of average
loadings (wastewater flowrates and strength data according to use category) to proportionately
allocate wastewater management costs and minimize administrative expenses. Water suppliers
have established more aggressive water conservation measures in response to drought conditions
and, therefore, it is prudent to review the wastewater loadings at this time and update them, if
necessary, to ensure that they accurately reflect current wastewater characteristics. The California
Association of Sanitation Agencies (CASA) has coordinated a statewide wastewater flow and loading
study that is funded by participating sanitation agencies across the state. The cost of the study is
shared amongst participating agencies in proportion to discharge volume. The Sanitation District
contributed $510,399 toward the cost of the initial RFP, Phase 1, and Phase 2A of the study. In
return, the Sanitation District is participating in structuring the study and will have access to the
results of the study.
CASA is now preparing for Phase 213 of the study. The estimated total cost of Phase 213 is
$2,840,000, with the Sanitation District's contribution being $410,676. Phase 213 consists of the
expanded non-residential sampling study and a return to sewer/water consumption data analysis.
These are included in the original contract as tasks requiring funding by each of the participating
agencies. Due to additional agencies joining in the study, the Sanitation District's costs are lower
than originally anticipated.
Phase 213 is expected to be completed in fiscal year 2020-21, along with the data analysis and
handbook with results of the study.
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File #: 2020-881 Agenda Date: 1/22/2020 Agenda Item No: 6.
RELEVANT STANDARDS
• Ensure the public's money is wisely spent
PROBLEM
Water suppliers have established more aggressive water conservation measures in response to
drought conditions; therefore, it is prudent to review the wastewater loadings at this time and update
them, if necessary, to ensure that they accurately reflect current wastewater characteristics.
PROPOSED SOLUTION
CASA has coordinated a statewide wastewater flow and loading study to be funded by participating
sanitation agencies across the state.
TIMING CONCERNS
In order to move forward with Phase 2B of the wastewater flow and loading study, CASA needs the
commitment and payment from the Sanitation District no later than February 15, 2020.
RAMIFICATIONS OF NOT TAKING ACTION
Without the commitment of the Sanitation District, the sampling pilot study will not be able to move
forward and maintain the timeline that is needed to collect accurate flow and loading information.
PRIOR COMMITTEE/BOARD ACTIONS
May 2018 - Board approved a contribution of $360,149 toward the cost of Phase 2A of the flow and
loading study ($360,149 was the actual amount spent).
June 2017 - Board approved a contribution of $83,600 toward the cost of Phase 1 B of the flow and
loading study ($67,750 was the actual amount spent).
November 2016 - Board approved a contribution of $82,500 toward the cost of the first phase of the
flow and loading study.
ADDITIONAL INFORMATION
N/A
CEQA
N/A
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File #: 2020-881 Agenda Date: 1/22/2020 Agenda Item No: 6.
FINANCIAL CONSIDERATIONS
This contribution pledge of $410,676 has not been budgeted entirely. $350,000 was budgeted for
2019-20. $200,000 was budgeted for 2018-19 and was not spent. Budgeted funds are available
from other budgeted line items with expected savings and, upon Board approval, these funds will be
transferred to cover this item. In total, actual operating costs for FY 2019-20 will not exceed the
annual operating budget.
ATTACHMENT
The following attachment(s) is included in hard copy and may also be viewed on-line at the OCSD website
(www.ocsd.com) with the complete agenda package:
• Participating Agency Contribution Pledge Form - CASA Flow and Loading Study
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California Association of Sanitation Agencies
Flow and Loading Study Project
Phase 2B
Participating Agency Contribution Pledge Form
Please Respond by February 15, 2020
Agency: Orange County Sanitation District
Contact Name:
Telephone &
Email:
My agency is committed to contributing the following amount to the Flow and Loading
Study project being managed by CASA. I understand that CASA will be sending an
invoice (or series of invoices) for the following total contribution amount in the future:
$ 410,676.00
The relative agency contribution levels have been determined per the funding share
agreement that was previously distributed to all counsel.
Please return Contribution Commitment Form to:
Adam D. Link, CASA Executive Director
1225 8t" Street, Suite 595
Sacramento, CA 95814
Telephone: (916)446-0388
E•Mail: alink@casaweb.org
You do not need to send a check at this time.
You will receive an invoice based upon your pledge.
Signature:
Date:
Thank You!
oJ�V SAN17gTO9 Orange Count Sanitation District Administration Building
5� o, g � 10844 Ellis Avenue
2 9 Fountain Valley, CA 92708
BOARD OF DIRECTORS (714)593 7433
9oTFCTN0 THE ENVQ����2
Agenda Report
File #: 2020-882 Agenda Date: 2/5/2020 Agenda Item No: 7.
FROM: James D. Herberg, General Manager
Originator: James D. Herberg, General Manager
SUBJECT:
GENERAL MANAGER'S FISCAL YEAR 2019-2020 WORK PLAN MID-YEAR UPDATE
GENERAL MANAGER'S RECOMMENDATION
RECOMMENDATION:
Receive and file the General Manager's Fiscal Year 2019-2020 Work Plan Mid-Year Update and
Memorandum.
BACKGROUND
Each year, the General Manager prepares a work plan of activities to be accomplished during the
fiscal year. Attached is the mid-year update for the General Manager's Fiscal Year 2019-2020 work
plan.
RELEVANT STANDARDS
• Maintain a culture of improving efficiency to reduce the cost to provide the current service level
or standard
• Plan for and execute succession, minimizing vacant position times
• Cultivate a highly qualified, well-trained, and diverse workforce
• Maintain and adhere to appropriate internal planning documents: Biosolids, Odor, and Energy
Master Plans
• Use all practical and effective means for resource recovery
PRIOR COMMITTEE/BOARD ACTIONS
September 2019 - Presentation of the General Manager's Fiscal Year 2019-2020 Work Plan to the
Steering Committee and Board of Directors for approval.
August 2019 - Draft work plan reviewed by the Steering Committee and Board of Directors.
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File #: 2020-882 Agenda Date: 2/5/2020 Agenda Item No: 7.
ADDITIONAL INFORMATION
The General Manager's Work Plan includes goals for the fiscal year. At mid-year, seven items have
reached completion and all remaining items are on track to be completed by, or prior to, the end of
the fiscal year and the deadline of the overall work plan.
FINANCIAL CONSIDERATIONS
All items included in the General Manager's Work Plan are budgeted in the FY 2019-2020 Budget.
ATTACHMENT
The following attachment(s) is included in hard copy and may also be viewed on-line at the OCSD website
(www.ocsd.com) with the complete agenda package:
• General Manager's FY 2019-2020 Work Plan Mid-Year Update and Memorandum
Orange County Sanitation District Page 2 of 2 Printed on 1/15/2020
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4�1)IN SANI1gT0
� o
2 I 9
9olFCTiN6 THE
January 22, 2020
TO: Chairman and Members of the Board of Directors
FROM: James D. Herberg, General Manager
SUBJECT: General Manager's Fiscal Year 2019-2020 Work Plan Mid-Year Update
I am pleased to present the mid-year update for my Fiscal Year 2019-20 Work Plan. The Work Plan
has 20 individual goals organized under the five focus areas of safety and security, succession
planning, resource recovery, reliability, and operational optimization. This Work Plan was first
reviewed with the Steering Committee and Board of Directors on August 28, 2019 and finalized and
approved by the Board of Directors on September 25, 2019.
1. Safety and Security
• Emergency Preparedness—Develop and conduct an external emergency response and
recovery drill by June 30, 2020 that tests the Integrated Emergency Response Plan
(IERP).
UPDATE: The Great Shakeout Exercise was conducted on October 17, 2019 to test the
IERP. The exercise included Care Ambulance as external evaluators to provide feedback
on any areas of opportunity for improvement, which will be folded into our current plan.
• Safety Engineering Solutions — Complete six of the remaining eight Safety
Improvement Construction Projects by June 30, 2020.
UPDATE: Five of the eight Safety Improvement Construction Projects were completed
by December 31, 2019. Two of the remaining three are on schedule to be completed by
June 30, 2020.
• Voluntary Protection Plan (VPP) Certification—Apply for the VPP certification for Plant
No. 1 by June 30, 2020.
UPDATE: Staff continues to prepare for OCSD's forthcoming VPP application by
addressing findings from the 2018 VPP Gap Analysis and meeting with our VPP mentor
site, Eastern Municipal Water District, in October 2019. Additionally, staff attended a
Cal/OSHA VPP Workshop in December 2019 to obtain updates on the application
process. Application will be submitted prior to June 30, 2020.
• Physical Security Plan — Complete the development and implementation of a Physical
Security Plan by June 30, 2020.
UPDATE: Staff is developing a scope of work for the Physical Security Plan. The scope
of work is scheduled to be completed by December 31, 2019, with implementation to be
completed by June 30, 2020.
1
• Cyber Security Plan — Complete the development and implementation of a Cyber
Security Plan by June 30, 2020.
UPDATE: Development of the Cyber Security Plan is underway with a preliminary draft
targeted for the end of January 2020.
2. Succession Planning
• Leadership Development — Provide at least two specialized trainings tailored to the
Supervisory Level and one for the EMT/ Managers by June 30, 2020.
UPDATE: Staff developed and conducted a Return to Work Training for all management
staff in September 2019. Currently, staff is developing a "Back to Basics" training
targeted for various levels of management to provide the tools and resources needed to
navigate the core functions of OCSD. The training should be completed and ready for
implementation by June 30, 2020.
3. Resource Recovery
• Groundwater Replenishment System (GWRS) Final Expansion — Meet the following
milestones to support the final expansion of GWRS:
o Advertise for Construction of Project P2-122, Headworks Modifications at Plant
No. 2 for GWRS Expansion by January 31, 2020.
UPDATE: The Headworks Modification at Plant No. 2 Project advertised for
Construction on October 10, 2019, two weeks ahead of its original schedule.
o Issue Construction Contract Notice to Proceed for Project P2-122, Headworks
Modifications at Plant No. 2 for GWRS Expansion by June 30, 2020.
UPDATE: A recommendation to award a construction contract for the Headworks
Modification at Plant No.2 project is scheduled for the January 2020 Board of
Directors Meeting.
• Emerging Contaminants — Work with industry, academic, and agency partners to
develop science-based regulations and an adaptive plan by June 30, 2020 to address the
potential impact of PFAS to OCSD.
UPDATE: PFAS regulations for water, wastewater, solids waste, and biosolids are under
early development at the federal and state levels. In the interim, OCSD is collaborating
with multiple partners to develop analytical methods for non-potable water samples and
pragmatic source control strategies in preparation for anticipated Santa Ana Water
Regional Control Board's Phase 3 Investigative Order for PFAS.
• Food Waste Digestion Pricing Policy — Present a draft policy and pricing plan to the
Board of Directors by June 30, 2020.
UPDATE: Staff have gathered data from California sister agencies with food waste
digestion pricing experience and consulted with General Counsel on business model
options such as cost-recovery and revenue-generating. A draft policy is on track to be
presented to the Board of Directors.
4. Reliability
• Asset Management Plan — Develop an Asset Management Plan by December 31, 2019
that includes an inventory of critical assets for each process area and the collection
system; an evaluation of their condition and performance; and an implementation plan to
maintain, rehabilitate, and replace these assets to meet the required levels of service at
the lowest life cycle cost and at an acceptable level of risk.
2
UPDATE: A draft Asset Management Plan was developed and reviewed in September
2019. The Plan was finalized in December 2019 and will be presented at the March 2020
Operations and Administration Committee Meetings as an informational item.
• Central Generation Engines — Implement an in-house heavy mechanical maintenance
team and award a contract by December 31, 2019 to overhaul two Central Generation
Engines.
UPDATES: A Heavy Mechanical Maintenance team was implemented in October 2019
and a contract to overhaul two Central Generation Engines was awarded in November
2019.
• Pump Station Bypass Exercises — Bypass pump two Pump Stations to prove
emergency readiness and use the exercise to do critical valve and electrical maintenance
at those Pump Stations by June 30, 2020.
UPDATES: MacArthur Pump Station was bypassed on August 3, 2019 to replace a failed
force main valve. Contract services were utilized to perform the bypass operation due to
the long run of temporary pipe installation. The second pump station will be bypassed
prior to June 30, 2020.
5. Operational Optimization
• OCSD Headquarters Building — Advertise for Construction for Headquarters Complex
Site Preparation, Contract No. P1-128C by February 29, 2020. Obtain City of Fountain
Valley approvals for the Headquarters Building by June 30, 2020.
UPDATE: The advertisement for Construction for Project P1-128C is scheduled for
February 2020. The plans and specifications for the new Headquarters will be finalized
and ready for submission to the City of Fountain Valley in March 2020. This effort is on
schedule.
• Document Management—Complete Records Management and Trusted System Needs
Assessment by November 30, 2019.
UPDATE: The records management survey, document inventory, workflow workshops,
taxonomy sessions, and staffing evaluation are all completed. The schedule has been
pushed back with a current anticipated finish date of January 22, 2020 as a result of
staffing changes. Findings & Recommendations draft submitted in November; current
system evaluation and future recommendations draft submitted in December; and
assessment of OCSD's Records Management program draft due in January 2020.
• Communications Audit—Complete the audit and provide a report to the Legislative and
Public Affairs Committee by March 30, 2020.
UPDATE: The Communications Audit is complete, and a report will be submitted to the
Legislative and Public Affairs Committee by March 30, 2020.
• Capital Project Delivery — Complete a formal design review framework by June 30,
2020. Complete a framework for regular updates of engineering policies and procedures,
design guidelines, and engineering standards by June 30, 2020.
UPDATE: The Engineering Department conducted a retreat with the department
Managers and Supervisors in October 2019 to prepare for a design review framework
and a departmental strategy for an updated standard for documentation maintenance.
Management staff have developed a draft design review framework and standard for
3
maintaining policies and procedures, design guidelines, and engineering standards.
Formal implementation plans will be finalized by June 30, 2020.
• Solids Handling Optimization —Complete commissioning and optimize performance of
new solids handling facilities at each plant by December 31, 2019.
UPDATE: The new solids handling facilities at both facilities were commissioned and
optimized in October 2019.
• Strategic Plan — Complete new Strategic Plan for adoption by the Board of Directors by
November 30, 2019.
UPDATE: The Strategic Plan was finalized and adopted by the Board of Directors on
November 20, 2019.
• Two Year Budget — Complete new two-year budget for adoption by the Board of
Directors on June 24, 2020.
UPDATE: The two-year budget process is set to begin in January 2020 and be submitted
to the Board of Directors for adoption in June 2020.
4
oJ�1V SAN17gTO9 Orange Count Sanitation District Administration Building
5� o, g � 10844 Ellis Avenue
2 9 Fountain Valley, CA 92708
BOARD OF DIRECTORS (714)593 7433
9oTFCTN0 THE ENVQ����2
Agenda Report
File #: 2019-677 Agenda Date: 1/22/2020 Agenda Item No: 8.
FROM: James D. Herberg, General Manager
Originator: Kathy Millea, Director of Engineering
SUBJECT:
HEADWORKS MODIFICATIONS AT PLANT NO. 2 FOR GWRS FINAL EXPANSION, PROJECT
NO. P2-122
GENERAL MANAGER'S RECOMMENDATION
RECOMMENDATION: Recommend to the Board of Directors to:
A. Receive and file Bid Tabulation and Recommendation for Headworks Modifications at Plant
No. 2 for GWRS Final Expansion, Project No. P2-122;
B. Award a Construction Contract to Shimmick Construction Co., Inc. for Headworks
Modifications at Plant No. 2 for GWRS Final Expansion, Project No. P2-122, for a total amount
not to exceed $14,487,735; and
C. Approve a contingency of $1,448,773 (10%).
BACKGROUND
Sewage from four trunk lines is blended in the Orange County Sanitation District's (Sanitation
District) Plant No. 2 Headworks. One of the trunk lines is non-reclaimable because it includes flows
from the Santa Ana River Interceptor and non-reclaimable side streams generated at Plant No. 1 and
the Orange County Water District (OCWD). Several Plant No. 2 side streams are also non-
reclaimable.
This project is necessary for the final expansion of the Groundwater Replenishment System (GWRS)
and will be reimbursed by OCWD per an existing agreement dated March 2019.
RELEVANT STANDARDS
• Meet volume and water quality needs for the GWRS
• Use all practical and effective means for resource recovery
• Comply with California Public Contract Code Section 20103.8, award construction contract to
lowest responsible bidder
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File #: 2019-677 Agenda Date: 1/22/2020 Agenda Item No: 8.
PROBLEM
Reclaimable and non-reclaimable flows are currently combined in the Plant No. 2 Headworks, which
makes all of Plant No. 2 effluent non-reclaimable. To recover reclaimable flows, the two streams
must be separated.
PROPOSED SOLUTION
Award a Construction Contract for Headworks Modifications at Plant No. 2 for GWRS Final
Expansion, Project No. P2-122. This contract will modify the Headworks by installing new gates and
a diversion pipe to separate flows, replacing three of the main sewage pumps, adding recirculation
piping, and rerouting internal non-reclaimable side stream flows.
TIMING CONCERNS
If awarded in January 2020, substantial completion of this project would be expected in December
2022.
OCWD's GWRS Final Expansion projects will be completed by December 2022 but cannot be placed
into service until portions of three of the Sanitation District's projects, including all of this project, are
completed. At present, the critical path for startup of the GWRS Final Expansion is completion of the
Plant Water Pump Station expected in June 2023 under Outfall Low Flow Pump Station, Contract No.
J-117B.
RAMIFICATIONS OF NOT TAKING ACTION
Not awarding this project would not allow recovery of 30 mgd of reclaimable flow.
PRIOR COMMITTEE/BOARD ACTIONS
N/A
ADDITIONAL INFORMATION
Construction Contract Solicitation
The Sanitation District advertised Project No. P2-122 for bids on October 10, 2019 and five sealed
bids were received on December 17, 2019. A summary of the bid opening follows:
Engineer's Estimate: $24,900,000
Bidder Amount of Bid
Shimmick Construction Co., Inc. $14,487,735
PCL Construction, Inc. $16,413,000
Steve P. Rados Inc. $16,726,000
J.F. Shea Construction, Inc. $18,268,000
Myers and Sons Construction, Inc. $21,395,000
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File #: 2019-677 Agenda Date: 1/22/2020 Agenda Item No: 8.
The bids were evaluated in accordance with the Sanitation District's policies and procedures. A
notice was sent to all bidders on December 31, 2019 informing them of the intent of Sanitation
District staff to recommend award of the Construction Contract to Shimmick Construction Co., Inc.
Staff recommends awarding a construction contract to the lowest responsive bidder, Shimmick
Construction Co., Inc. for Headworks Modifications at Plant No. 2 for GWRS Final Expansion, Project
No. P2-122, for a total amount not to exceed $14,487,735.
Staff, in consultation with the design consultant, have reviewed the Engineer's Estimate to identify
reasons for the large difference between the estimate and the bids. Some of the identified factors
include a $1.8 million escalation calculation error, conservative shoring system cost assumptions,
and equipment and material suppliers offering contractors lower prices than quoted to the design
consultant. Other factors may be specific to the low bidder, such as self-performing work that most
general contractors subcontract out and overhead savings due to already being mobilized on site for
other construction projects. Staff believes that the low bid is valid and recommends award as stated
above.
Groundwater Replenishment System (GWRS)
The Sanitation District and OCWD have partnered to enable the GWRS to provide a reliable water
supply for Orange County. Currently, the Sanitation District provides all the secondary effluent (100
mgd) from Plant No. 1 to GWRS. The final expansion of GWRS will increase production capacity
from 100 million gallons per day (mgd) to 130 mgd by using effluent from Plant No. 2. The Effluent
Reuse Study/GWRS Final Expansion Implementation Plan, Project No. SP-173, recommended
modifying Plant No. 2 to separate reclaimable and non-reclaimable flows.
The Sanitation District is implementing these modifications through two capital projects. The Plant
Water Pump Station is being relocated by Outfall Low Flow Pump Station, Contract No. J-11713; and
Headworks modifications and rerouting of side stream flows will be performed by this project. Per an
existing agreement, OCWD will reimburse the Sanitation District for the cost of these projects up to
$50 million.
CEQA
To comply with the California Environment Quality Act, the Sanitation District as a responsible agency
approved the lead agency OCWD Program EIR/EIS GWRS Final Expansion Project Addendum No. 6
on November 16, 2016. This addendum covered Project No. P2-122.
FINANCIAL CONSIDERATIONS
This request complies with authority levels of the Sanitation District's Purchasing Ordinance. This
item has been budgeted (FY 2019-20 Budget Update, Appendix A, Page A-9). The budget is
sufficient for the recommendation action.
Costs for this project will be reimbursed by OCWD per the current GWRS agreement dated March
2019.
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File #: 2019-677 Agenda Date: 1/22/2020 Agenda Item No: 8.
ATTACHMENT
The following attachment(s) may be viewed on-line at the OCSD website (www.ocsd.com) with the complete agenda
package:
• Construction Contract
SN:dm:sa
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PART A
CONTRACT AGREEMENT
C-CA-072619
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................................................................................. 10
SECTION - 14 CONTRACTOR'S EMPLOYEES COMPENSATION....................... 10
SECTION - 15 SURETY BONDS ............................................................................ 12
SECTION - 16 INSURANCE.................................................................................... 13
SECTION - 17 RISK AND INDEMNIFICATION.......................................................23
SECTION - 18 TERMINATION................................................................................23
SECTION - 19 WARRANTY....................................................................................24
SECTION - 20 ASSIGNMENT.................................................................................25
SECTION - 21 RESOLUTION OF DISPUTES ........................................................25
SECTION - 22 SAFETY & HEALTH ........................................................................25
SECTION - 23 NOTICES.........................................................................................26
C-CA-072619
CONTRACT AGREEMENT
ORANGE COUNTY SANITATION DISTRICT
PROJECT NO. P2-122
HEADWORKS MODIFICATIONS AT PLANT 2 FOR GWRS FINAL EXPANSION
THIS AGREEMENT is made and entered into, to be effective, this January 22, 2020, by and
between Shimmick Construction Co., Inc., 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.
CONFORMED C-CA-072619
PROJECT NO. P2-122
HEADWORKS MODIFICATIONS AT PLANT 2 FOR GWRS FINAL EXPANSION
Page 1 of 27
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. Plans and Specifications— in these documents the order of precedence shall be:
i. Specifications (Divisions 0 1-17)
ii. Plans
iii. General Requirements (GR)
i. 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
shape and details of construction. Specifications shall govern as to material
and workmanship.
C-CA-072619 CONFORMED
PROJECT NO. P2-122
HEADWORKS MODIFICATIONS AT PLANT 2 FOR GWRS FINAL EXPANSION
Page 2 of 27
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.
CONFORMED C-CA-072619
PROJECT NO. P2-122
HEADWORKS MODIFICATIONS AT PLANT 2 FOR GWRS FINAL EXPANSION
Page 3 of 27
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. P2-122
HEADWORKS MODIFICATIONS AT PLANT 2 FOR GWRS FINAL EXPANSION
C-CA-072619 CONFORMED
PROJECT NO. P2-122
HEADWORKS MODIFICATIONS AT PLANT 2 FOR GWRS FINAL EXPANSION
Page 4 of 27
SECTION —4 PLANS AND SPECIFICATONS
The Work to be done is shown in a set of Plans and Specifications entitled:
PROJECT NO. 132-122
HEADWORKS MODIFICATIONS AT PLANT 2 FOR GWRS FINAL EXPANSION
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.
[REVISED PER ADDENDUM NO. 1 ISSUED ON OCTOBER 15, 2019]
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 one thousand one hundred two (1,102) 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 twenty (20) 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
CONFORMED C-CA-072619
PROJECT NO. P2-122
HEADWORKS MODIFICATIONS AT PLANT 2 FOR GWRS FINAL EXPANSION
Page 5 of 27
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,
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 — 8 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-072619 CONFORMED
PROJECT NO. P2-122
HEADWORKS MODIFICATIONS AT PLANT 2 FOR GWRS FINAL EXPANSION
Page 6 of 27
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 Fourteen Million Four Hundred Eighty-Seven
Thousand Seven Hundred Thirty-Five Dollars ($14,487,735) as itemized on the Attached
Exhibit "A".
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Upon satisfaction of the conditions precedent to payment set forth in the General
Requirements, Additional General Requirements and General Conditions (including but
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.
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B. As used in this Section, the following defined terms shall have the following meanings:
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."
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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.
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
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agrees that not less than said prevailing rates shall be paid to workers employed on this
public works Contract as required by Labor Code Section 1774 of the State of California.
Per California Labor Code 1773.2, OCSD will have on file copies of the prevailing rate of
per diem wages at its principal office and at each job site, which shall be made available to
any interested party upon request.
C. 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. Workday:
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 et seq.) 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
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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.
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
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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:
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
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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
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 Ten Million Dollars ($10,000,000) for bodily injury, personal injury
and property damage unless aggregate applies separately to this project (via use of
ISO CG 25 03 or 25 04), then aggregate limit = $ 5 Million (i.e.; '/2 the general
aggregate). Coverage shall include each of the following:
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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 Ten Million
Dollars ($10,000,000) 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
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.
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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:
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. Drone Liability Insurance: If a drone will be used, drone liability insurance must be
maintained by CONTRACTOR in the amount of One Million Dollars ($1,000,000) in a
form acceptable by OCSD.
Worker's Compensation/Employer's Liability: CONTRACTOR shall provide such
Worker's Compensation Insurance as required by the Labor Code of the State of
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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
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.
5. Pollution Liability Insurance: CONTRACTOR shall purchase and maintain insurance
for pollution liability covering bodily injury, property damage (including loss of use of
damaged property or property that has not been physically injured or destroyed),
cleanup costs, and defense costs (including costs and expenses for investigation,
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defense, or settlement of claims). Coverage shall carry limits of at least One Million
Dollars ($1,000,000) and shall apply to sudden and non-sudden pollution conditions
(including sewage spills), both at the site or needed due to migration of pollutants
from the site, resulting from the escape or release of smoke, vapors, fumes, acids,
alkalis, toxic chemicals, liquids or gases, waste materials, or other irritants,
contaminants or pollutants.
If CONTRACTOR provides coverage written on a claims-made basis, OCSD has the
right to approve or reject such coverage in its own discretion. If written on a claims-
made basis, the CONTRACTOR warrants that any retroactive date applicable to
coverage under the policy precedes the effective date of this Contract, and that
continuous coverage will be maintained, or an extended discovery period will be
exercised, for a period of two years beginning from the time that the Project under
this Contract is completed.
6. Errors and Omissions/Professional Liability Insurance:
CONTRACTOR shall maintain in full force and effect, throughout the term of this
Contract, standard industry form professional liability/errors and omissions insurance
coverage with coverage limits of not less than Two Million Dollars ($2,000,000) 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 Contract, and for a period of five (5) years
from the date of the completion of the Work hereunder.
In the event of termination of said policy during this period, CONTRACTOR shall
obtain continuing insurance coverage for the prior acts or omissions of
CONTRACTOR during the course of performing Work under the terms of this
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Contract. 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 Contract or
until completion of the Work provided for in this Contract, 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 or omissions of CONTRACTOR
during the course of performing Work under the terms of this Contract.
CONTRACTOR shall provide to the OCSD a certificate of insurance in a form
acceptable to the OCSD 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.
7. 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.
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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
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
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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
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 VIII, 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
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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
"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. Required Forms and Endorsements
1. Required ACORD Form
a. Certificate of Liability Form 25
2. Required 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
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3. Required 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
5. Pollution Liability Endorsements
There shall be a Separation of Insured Clause or endorsement, providing that
coverage applies separately to each insured, except with respect to the limits of
liability. There shall also be an endorsement or policy language containing a waiver
of subrogation rights on the part of the insurer.
OCSD, its directors, officers, agents, CONSULTANTS and employees and all public
agencies from whom permits will be obtained as well as their directors, officers,
agents, and employees shall be included as insureds under the policy. Any
additional insured endorsement shall contain language at least as broad as the
coverage language contained in ISO form CG 20 10 11 85 or alternatively in both
CG 20 10 10 01 and CG 20 37 10 01 together.
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,
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
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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
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
C-CA-072619 CONFORMED
PROJECT NO. P2-122
HEADWORKS MODIFICATIONS AT PLANT 2 FOR GWRS FINAL EXPANSION
Page 24 of 27
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 et. 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.
CONFORMED C-CA-072619
PROJECT NO. P2-122
HEADWORKS MODIFICATIONS AT PLANT 2 FOR GWRS FINAL EXPANSION
Page 25 of 27
SECTION — 23 NOTICES
Any notice required or permitted under this Contract shall be sent by certified mail, return receipt
requested, at the address set forth below. Any party 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: Shimmick Construction Co., Inc.
530 Technology Drive, Suite 300
Irvine, CA 92618
Copy to: W. Andrew Sloane, III, Executive Vice-President
Shimmick Construction Co., Inc.
530 Technology Drive, Suite 300
Irvine, CA 92618
C-CA-072619 CONFORMED
PROJECT NO. P2-122
HEADWORKS MODIFICATIONS AT PLANT 2 FOR GWRS FINAL EXPANSION
Page 26 of 27
IN WITNESS WHEREOF, the parties hereto have executed this Contract Agreement as the
date first hereinabove written.
CONTRACTOR: Shimmick Construction Co., Inc.
530 Technology Drive, Suite 300
Irvine, CA 92618
By
Printed Name
Its
CONTRACTOR's State License No. 594575 (Expiration Date — 05/31/2020)
OCSD: Orange County Sanitation District
By
David John Shawver
Board Chairman
By
Kelly A. Lore
Clerk of the Board
By
Ruth Zintzun
Purchasing & Contracts Manager
CONFORMED C-CA-072619
PROJECT NO. P2-122
HEADWORKS MODIFICATIONS AT PLANT 2 FOR GWRS FINAL EXPANSION
Page 27 of 27
EXHIBIT A
SCHEDULE OF PRICES
C-EXA-080414
TABLE OF CONTENTS
EXHIBIT A
SCHEDULE OF PRICES
EXA-1 BASIS OF COMPENSATION............................................................................. 1
EXA-2 PROGRESS PAYMENTS ..................................................................................1
EXA-3 RETENTION AND ESCROW ACCOUNTS........................................................1
EXA-4 STOP PAYMENT NOTICE.................................................................................3
EXA-5 PAYMENT TO SUBCONTRACTORS................................................................3
EXA-6 PAYMENT OF TAXES .......................................................................................3
EXA-7 FINAL PAYMENT...............................................................................................4
EXA-8 DISCOVERY OF DEFICIENCIES BEFORE AND AFTER FINAL PAYMENT ...5
ATTACHMENT 1 - CERTIFICATION FOR REQUEST FOR PAYMENT.........................7
ATTACHMENT 2 - SCHEDULE OF PRICES...................................................................8
C-EXA-080414
EXHIBIT
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.
CONFORMED C-EXA-080414
PROJECT NO. P2-122
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Page 1 of 8
B. Substitution of Securities:
CONTRACTOR may, at its sole expense, substitute securities as provided in
General Conditions—"Retained Funds; Substitution of Securities." Payment of
Escrow Agent:
In lieu of substitution of securities as provided above, the CONTRACTOR may
request and OCSD shall make payment of retention earned directly to the
escrow agent at the expense of the CONTRACTOR. At the expense of the
CONTRACTOR, the CONTRACTOR may direct the investment of the
payments into securities consistent with Government Code §16430 and the
CONTRACTOR shall receive the interest earned on the investments upon the
same terms provided for in this article for securities deposited by the
CONTRACTOR. Upon satisfactory completion of the Contract, the
CONTRACTOR shall receive from the escrow agent all securities, interest and
payments received by the escrow agent from OCSD, pursuant to the terms of
this article. The CONTRACTOR shall pay to each Subcontractor, not later than
twenty (20) calendar days after receipt of the payment, the respective amount
of interest earned, net of costs attributed to retention withheld from each
Subcontractor, on the amount of retention withheld to ensure the performance
of the Subcontractor. The escrow agreement used by the escrow agent
pursuant to this article shall be substantially similar to the form set forth in
§22300 of the California Public Contract Code.
C. Release of Retention:
Upon Final Acceptance of the Work, the CONTRACTOR shall submit an
invoice for release of retention in accordance with the terms of the Contract.
D. Additional Deductibles:
In addition to the retentions described above, OCSD may deduct from each
progress payment any or all of the following:
1. Liquidated Damages that have occurred as of the date of the application for
progress payment;
2. Deductions from previous progress payments already paid, due to OCSD's
discovery of deficiencies in the Work or non-compliance with the
Specifications or any other requirement of the Contract;
3. Sums expended by OCSD in performing any of the CONTRACTOR'S
obligations under the Contract that the CONTRACTOR has failed to
perform, and;
4. Other sums that OCSD is entitled to recover from the CONTRACTOR
under the terms of the Contract, including without limitation insurance
deductibles and assessments.
C-EXA-080414 CONFORMED
PROJECT NO. P2-122
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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 et. 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 stop 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-6 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.
CONFORMED C-EXA-080414
PROJECT NO. P2-122
HEADWORKS MODIFICATIONS AT PLANT 2 FOR GWRS FINAL EXPANSION
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 filed 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 CONFORMED
PROJECT NO. P2-122
HEADWORKS MODIFICATIONS AT PLANT 2 FOR GWRS FINAL EXPANSION
Page 4 of 8
acceptance by OCSD, the revised application for Final Payment will
become the approved application for Final Payment.
4. If no Claims have been filed 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;
CONFORMED C-EXA-080414
PROJECT NO. P2-122
HEADWORKS MODIFICATIONS AT PLANT 2 FOR GWRS FINAL EXPANSION
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 CONFORMED
PROJECT NO. P2-122
HEADWORKS MODIFICATIONS AT PLANT 2 FOR GWRS FINAL EXPANSION
Page 6 of 8
ATTACHMENT 1 — 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 Acts 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 Acts 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 Act 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
CONFORMED C-EXA-080414
PROJECT NO. P2-122
HEADWORKS MODIFICATIONS AT PLANT 2 FOR GWRS FINAL EXPANSION
Page 7 of 8
ATTACHMENT 2 — SCHEDULE OF PRICES
See next pages from the Bid Submittal Forms (Shimmick Construction Co., Inc.)
BF-14 Schedule of Prices, Pages 1-2
C-EXA-080414 CONFORMED
PROJECT NO. P2-122
HEADWORKS MODIFICATIONS AT PLANT 2 FOR GWRS FINAL EXPANSION
Page 8 of 8
Bid Submitted By: Shimmick Construction Co., Inc.
(Name 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, and overhead, 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.
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-053119
PROJECT NO. P2-122
HEADWORKS MODIFICATIONS AT PLANT 2 FOR GWRS FINAL EXPANSION
Page 1 of 2
Bid Submitted By: Shimmick Construction Co.. Inc.
(Name of Firm)
EXHIBIT A
SCHEDULE OF PRICES
Item Description Unit of Measurement Extended Price
No.
1. Mobilization as described in Division 01, Section 01155 and in conformance with the
Contract Documents for the lump sum price of... Lump Sum $800,000
2. Sheeting, Shoring and Bracing: Furnish all labor, equipment and materials necessary to
provide furnishing, erecting, maintaining, and removal of sheeting, shoring, and bracing
and other equivalent methods, as required for protection of life and limb and utilities in Lump Sum $ 3q9 o-o . o a
trenches, open excavations and confined spaces, in conformance with the Contract '
Documents for the lump sum price of...
3. Contract Work: Furnish all labor, materials and equipment necessary for the completion of
the Contract Work, except for the work specified in Bid Items 1, 2, and 4, in conformance Lump Sum $ 13, o35, 43S'.oa
with the Contract Documents for the lump sum price of...
4. Demobilization including final progress payment, clean-up, and restoration of the project
site as described in Division 01, Section 01155 and in conformance with Contract Lump Sum $250,000
Documents for a lump sum price of...
TOTAL AMOUNT OF BID (BASIS OF AWARD) $ 14, y oo
BF-14 SCHEDULE OF PRICES C-BF-053119
PROJECT NO. P2-122
HEADWORKS MODIFICATIONS AT PLANT 2 FOR GWRS FINAL EXPANSION
Page 2 of 2
oJ�1V SAN17gTO9 Orange Count Sanitation District Administration Building
5� o, g � 10844 Ellis Avenue
2 9 Fountain Valley, CA 92708
BOARD OF DIRECTORS (714)593 7433
9oTFCTN0 THE ENVQ����2
Agenda Report
File #: 2019-854 Agenda Date: 1/22/2020 Agenda Item No: 9.
FROM: James D. Herberg, General Manager
Originator: Kathy Millea, Director of Engineering
SUBJECT:
HEADWORKS MODIFICATIONS AT PLANT NO. 2 FOR GWRS FINAL EXPANSION, PROJECT
NO. P2-122
GENERAL MANAGER'S RECOMMENDATION
RECOMMENDATION: Recommend to the Board of Directors to:
A. Approve a Professional Construction Services Agreement with CDM Smith Inc. to provide
construction support services for Headworks Modifications at Plant No. 2 for GWRS Final
Expansion, Project No. P2-122, for an amount not to exceed $2,200,000; and
B. Approve a contingency of $220,000 (10%).
BACKGROUND
CDM Smith Inc. was selected as part of a competitive, qualifications-based solicitation process to
design Headworks Modifications at Plant No. 2 for GWRS Final Expansion, Project No. P2-122. At
the time of solicitation, the Orange County Sanitation District (Sanitation District) documented its
intent to award a subsequent agreement to the design consultant for continuation of engineering
services during construction.
This project is necessary for the final expansion of the Groundwater Replenishment system (GWRS)
and will be reimbursed by Orange County Water District (OCWD) per an existing agreement dated
March 2019.
RELEVANT STANDARDS
• Meet volume and water quality needs for the GWRS
• Use all practical and effective means for resource recover
• Comply with California Government Code Section 4526 to engage the best qualified firm "on
the basis of demonstrated competence and qualifications" and "negotiate fair and reasonable
fees"
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File #: 2019-854 Agenda Date: 1/22/2020 Agenda Item No: 9.
PROBLEM
This project requires the design consultant to provide as-needed services during construction
including submittal review, responding to Contractor's requests for information, reviewing
construction change orders, participating in meetings, site visits, and preparing record drawings.
PROPOSED SOLUTION
Award a Professional Construction Services Agreement with the design consultant CDM Smith Inc. to
provide engineering services during construction.
TIMING CONCERNS
Engineering support services will be required at the start of construction. Construction is anticipated
to start in February 2020.
RAMIFICATIONS OF NOT TAKING ACTION
The engineering support services needed to facilitate and review construction activities would not be
available by the Engineer of Record, which may negatively impact the contract execution.
PRIOR COMMITTEE/BOARD ACTIONS
May 2017 - Approved a Professional Design Services Agreement with CDM Smith Inc. to provide
engineering design services for the Headworks Modifications at Plant No. 2 for GWRS Final
Expansion, Project No. P2-122, for an amount not to exceed $5,319,930, and approved a 10%
contingency ($531,993).
ADDITIONAL INFORMATION
CDM Smith Inc. has successfully furnished engineering services for this project and their support
services during construction will provide continuity through the completion of this project. Staff
negotiated with CDM Smith Inc. for these support services in accordance with the Sanitation District's
adopted policies and procedures. A review of the proposed price was conducted using estimated
quantities of requests for support, as well as level of effort for preparing record drawings. Based on
this review, staff determined the negotiated fee to be fair and reasonable for these services.
CEQA
To comply with the California Environment Quality Act, the Sanitation District as a responsible agency
approved the lead agency OCWD Program EIR/EIS GWRS Final Expansion Project Addendum No. 6
on November 16, 2016. This addendum covered Project No. P2-122.
FINANCIAL CONSIDERATIONS
This request complies with authority levels of the Sanitation District's Purchasing Ordinance. This
item has been budgeted (FY 2019-20 Budget Update, Appendix A, Page A-9). The budget is
sufficient for the recommendation action.
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File #: 2019-854 Agenda Date: 1/22/2020 Agenda Item No: 9.
Costs for this project will be reimbursed by OCWD per current GWRS agreement dated March 2019.
ATTACHMENT
The following attachment(s) may be viewed on-line at the OCSD website (www.ocsd.com) with the complete agenda
package:
Professional Construction Services Agreement
SN:dm:sa
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PROFESSIONAL CONSTRUCTION SERVICES AGREEMENT
THIS AGREEMENT, is made and entered into to be effective the 22nd day of January
2020 by and between the ORANGE COUNTY SANITATION DISTRICT, hereinafter referred to
as "SANITATION DISTRICT", and CDM Smith Inc. for purposes of this Agreement hereinafter
referred to as "CONSULTANT".
WITNESSETH:
WHEREAS, the SANITATION DISTRICT desires to engage a CONSULTANT to provide
Construction Support Services for HEADWORKS MODIFICATIONS AT PLANT 2 FOR GWRS
FINAL EXPANSION, PROJECT NO. P2-122; and,
WHEREAS, CONSULTANT is qualified to provide the necessary services for
Construction Support Services in connection with these requirements; and,
WHEREAS, the SANITATION DISTRICT has adopted procedures in accordance with
the SANITATION DISTRICT's Purchasing Ordinance Section 4.03(B) for the continuation of
services and has proceeded in accordance with said procedures to perform this work; and,
WHEREAS, at its regular meeting on January 22, 2020, the Board of Directors, by
Minute Order, accepted the recommendation of the Operations Committee pursuant to
SANITATION DISTRICT's Purchasing Ordinance 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.
B. CONSULTANT is responsible for the quality of work prepared under this
Agreement and shall ensure that all work is performed to the prevailing standards
of engineering practice for clarity, uniformity, and completeness.
PCSA PROJECT NO. P2-122
Revised 062316 HEADWORKS MODIFICATIONS AT PLANT 2 FOR GWRS FINAL EXPANSION
Page 1 of 19
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 CADD drawings, figures, and other work shall be produced by
CONSULTANTS and Subconsultants using the SANITATION DISTRICT
standard software. 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 be subject to an acceptance period as stated in the Scope of
Work during which the SANITATION DISTRICT shall perform appropriate
acceptance tests. CONSULTANT shall correct any discrepancies or errors
detected and reported within the acceptance period at no additional cost to the
SANITATION DISTRICT.
E. 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 Two Million Two
Hundred Thousand Dollars ($2,200,000.00). 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
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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
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. Subconsultants
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 Subconsultant 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
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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. Other Direct Costs
Other Direct Costs incurred by CONSULTANT and its Contractor due to
modifications in scope of work resulting from field investigations and field work
required by Contract. These items may include special equipment, test
equipment and tooling and other materials and services not previously identified.
Refer to attachment "D" Allowable Direct Costs for payment information.
H. 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
http://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
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.
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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.
I. Limitation of Costs
If, at any time, CONSULTANT estimates the cost of performing the services
described in CONSULTANT's Proposal will exceed 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.
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
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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
ii. 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
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.
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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.
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(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
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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
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: One
Million Dollars ($1,000,000) per occurrence with Two Million Dollars ($2,000,000)
aggregate unless aggregate applies separately to this project (via use of ISO CG
25 03 or 25 04), then aggregate limit equals One Million Dollars ($1,000,000) or
'/2 the general 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,
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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)with Two
Million Dollars ($2,000,000) aggregate 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. Drone Liability Insurance
If a drone will be used, drone liability insurance must be maintained by
CONSULTANT in the amount of one million dollars ($1,000,000) in form
acceptable to the SANITATION DISTRICT.
F. 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.
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G. 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 Two Million Dollars ($2,000,000)
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.
H. 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 1001 and CG 2037 1001
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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.
I. 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. 161, 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.
J. 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.
K. Separation of Insured
All liability policies shall contain a "Separation of Insureds" clause.
L. 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.
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M. 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.
N. 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.
O. 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.
P. 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, 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
Subconsultant and each CONSULTANT's project team member. CONSULTANT shall
include the respective compensation amounts for CONSULTANT and each
Subconsultant 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.
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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.
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.
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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: Clarice Marcin, Senior Contracts Administrator
Copy: Shahrzad Namini, Project Manager
Notices shall be mailed to CONSULTANT at:
CDM Smith Inc.
46 Discovery, Suite 250
Irvine, CA 92618
Attention: Hala Titus, Vice President
With copies to:
CDM Smith Inc.
46 Discovery, Suite 250
Irvine, CA 92618
Attention: Alberto Acevedo, Project Manager
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.
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.
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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
A. Labor
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.
B. Air Pollution
CONSULTANT and its subconsultants and subcontractors shall comply with all
applicable federal, state and local air pollution control laws and regulations.
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.
PCSA PROJECT NO. P2-122
Revised 062316 HEADWORKS MODIFICATIONS AT PLANT 2 FOR GWRS FINAL EXPANSION
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, consultants, 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 consultants fees and costs and the SANITATION DISTRICT's
general and administrative expenses (individually, a "Claim", or 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, consultants, 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 from:
(A) the sole or 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.
PCSA PROJECT NO. P2-122
Revised 062316 HEADWORKS MODIFICATIONS AT PLANT 2 FOR GWRS FINAL EXPANSION
Page 16 of 19
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 SANITATION DISTRICT POLICIES AND PROCEDURES
CONSULTANT shall comply with all SANITATION DISTRICT policies and procedures
including the OCSD Safety Standards, as applicable, all of which may be amended from
time to time.
PCSA PROJECT NO. P2-122
Revised 062316 HEADWORKS MODIFICATIONS AT PLANT 2 FOR GWRS FINAL EXPANSION
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.
PCSA PROJECT NO. P2-122
Revised 062316 HEADWORKS MODIFICATIONS AT PLANT 2 FOR GWRS FINAL EXPANSION
Page 18 of 19
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: CDM Smith Inc.
By
Date
Printed Name & Title
ORANGE COUNTY SANITATION DISTRICT
By
David John Shawver Date
Board Chairman
By
Kelly A. Lore Date
Clerk of the Board
By
Ruth Zintzun Date
Purchasing & Contracts 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 Attached
Attachment "H" —Not Attached
Attachment "I" — Cost Matrix & Summary
Attachment "J" — Not Used
Attachment "K" — Minor Subconsultant Hourly Rate Schedule
Attachment "L" — OCSD Safety Standards
CMM
PCSA PROJECT NO. P2-122
Revised 062316 HEADWORKS MODIFICATIONS AT PLANT 2 FOR GWRS FINAL EXPANSION
Page 19 of 19
oJ�V SAN17gTO9 Orange Count Sanitation District Administration Building
5� o, g � 10844 Ellis Avenue
2 9 Fountain Valley, CA 92708
BOARD OF DIRECTORS (714)593 7433
9oTFCTN0 THE ENVQ����2
Agenda Report
File #: 2020-873 Agenda Date: 1/22/2020 Agenda Item No: CS-1
FROM: James D. Herberg, General Manager
SUBJECT:
CONFERENCE WITH LEGAL COUNSEL RE ANTICIPATED LITIGATION - GOVERNMENT CODE
SECTION 54956.9(D)(4)
RECOMMENDATION: Convene in Closed Session:
Number of Potential Cases: 1
Initiation of litigation regarding development fees and conditions at Project OCSD Headquarters
Building: City of Fountain Valley
BACKGROUND
During the course of conducting the business set forth on this agenda as a regular meeting of the
Board, the Chairperson may convene the Board in closed session to consider matters of pending real
estate negotiations, pending or potential litigation, or personnel matters.
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 the Board takes
final action on any of these subjects, the minutes will reflect all required disclosures of information.
RELEVANT STANDARDS
• Government Code Sections 54956.8, 54956.9, 54957, or 54957.6, as noted
ATTACHMENT
The following attachment(s) are included in hard copy and may also be viewed on-line at the OCSD website
(www.ocsd.com) with the complete agenda package:
• Memorandum from General Counsel
Orange County Sanitation District Page 1 of 1 Printed on 1/15/2020
powered by LegistarTM
RITA
WOODRUFF, SPRADLIN&SMART
555 ANTON BOULEVARD, SUITE 1200
COSTA MESA, CA 92626-7670
(714)558-7000
MEMORANDUM
TO: Hon. Chair and Members of the Orange County Sanitation District Board of
Directors
FROM: Bradley R. Hogin, Esq.
General Counsel
DATE: January 14, 2020
RE: Closed Session Items
The Board of Directors desires to hold a closed session on January 22, 2020 for the
purpose of conferring with its legal counsel regarding potential litigation. Based on existing
facts and circumstances, the Board is deciding whether to initiate litigation against another party.
The closed session will be held pursuant to the authority of California Government Code Section
54956.9(d)(4). The facts and circumstances are as follows: a dispute has arisen between the City
of Fountain Valley and the District regarding fees and conditions that the City seeks to impose
on the District's construction of a new headquarters building. In the view of the District, these
fees and conditions are unlawful.
Respectfully submitted,
By
Brad ey R. Hogi , General Counsel
1114541.2
oJ�1V SAN17gTO9 Orange Count Sanitation District Administration Building
5� o, g � 10844 Ellis Avenue
2 9 Fountain Valley, CA 92708
BOARD OF DIRECTORS (714)593 7433
9oTFCTN0 THE ENVQ����2
Agenda Report
File #: 2020-874 Agenda Date: 1/22/2020 Agenda Item No: CS-2
FROM: James D. Herberg, General Manager
SUBJECT:
CONFERENCE WITH REAL PROPERTY NEGOTIATORS - GOVERNMENT CODE SECTION
54956.8
RECOMMENDATION: Convene in Closed Session:
Property: 18475 Bandilier Cir. Fountain Valley, CA - APN No.156-163-15;
Agency negotiators: General Manager, Jim Herberg; Assistant General Manager, Lorenzo Tyner;
Assistant General Manager, Rob Thompson; and Director of Engineering, Kathy Millea.
Negotiating parties: Sukut Real Properties II, LLC
Under negotiation: Price and terms of payment
BACKGROUND
During the course of conducting the business set forth on this agenda as a regular meeting of the
Board, the Chairperson may convene the Board in closed session to consider matters of pending real
estate negotiations, pending or potential litigation, or personnel matters.
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 the Board takes
final action on any of these subjects, the minutes will reflect all required disclosures of information.
RELEVANT STANDARDS
• Government Code Sections 54956.8, 54956.9, 54957, or 54957.6, as noted
ATTACHMENT
The following attachment(s) are included in hard copy and may also be viewed on-line at the OCSD website
(www.ocsd.com) with the complete agenda package:
• Memorandum from General Counsel
Orange County Sanitation District Page 1 of 1 Printed on 1/15/2020
powered by LegistarTM
RITA
WOODRUFF, SPRADLIN&$MART
555 ANTON BOULEVARD, SUITE 1200
COSTA MESA, CA 92626-7670
(714)558-7000
MEMORANDUM
TO: Hon. Chair and Members of the Orange County Sanitation District Board of
Directors
FROM: Bradley R. Hogin, Esq.
General Counsel
DATE: January 14, 2020
RE: Closed Session Items
The Board of Directors desires to hold a closed session on January 22, 2020 for the
purpose of conferring with its negotiators regarding the purchase of real property. The property
is 18475 Bandilier Cir. Fountain Valley, APN No. 156-163-15. The District's negotiators are Jim
Herberg, Lorenzo Tyner, Rob Thompson and Kathy Millea. The adverse negotiators will be
representatives of Sukut Real Properties, LLC. Said closed session will be held pursuant to
authority of California Government Code Section 54956.8.
Respect submitted,
By:
Bradley . Hogin, G neral Counsel
1411299.1
ORANGE COUNTY SANITATION DISTRICT
COMMON ACRONYMS
Association of California Local Agency Formation Regional Water Quality
ACWA Water Agencies LAFCO Commission RWQCB Control Board
APWA American Public Works LOS Level Of Service SARFPA Santa Ana River Flood
Association Protection Agency
AQMD Air Quality Management MGD Million Gallons Per Day SARI Santa Ana River
District Interceptor
ASCE American Society of Civil MOU Memorandum of SARWQCB Santa Ana Regional Water
Engineers Understanding Quality Control Board
BOD Biochemical Oxygen Demand NACWA National Association of Clean SAWPA Santa Ana Watershed
Water Agencies Project Authority
CARB California Air Resources NEPA National Environmental SCADA Supervisory Control And
Board Policy Act Data Acquisition
California Association of Non-Governmental Southern California
CASA Sanitation Agencies NGOs Organizations SCAP Alliance of Publicly Owned
Treatment Works
CCTV Closed Circuit Television NPDES National Pollutant Discharge SCAQMD South Coast Air Quality
Elimination System Management District
CEQA California Environmental NWRI National Water Research SOCWA South Orange County
Quality Act Institute Wastewater Authority
CIP Capital Improvement O& M Operations&Maintenance SRF Clean Water State
Program Revolving Fund
CRWQCB California Regional Water OCCOG Orange County Council of SSMP Sewer System
Quality Control Board Governments Management Plan
CWA Clean Water Act OCHCA Orange County Health Care SSO Sanitary Sewer Overflow
Agency
CWEA California Water Environment OCSD Orange County Sanitation SWRCB State Water Resources
Association District Control Board
EIR Environmental Impact Report OCWD Orange County Water District TDS Total Dissolved Solids
EMT Executive Management Team OOBS Ocean Outfall Booster Station TMDL Total Maximum Daily Load
EPA US Environmental Protection OSHA Occupational Safety and TSS Total Suspended Solids
Agency Health Administration
Professional Waste Discharge
FOG Fats, Oils, and Grease PCSA Consultant/Construction WDR Requirements
Services Agreement
gpd gallons per day PDSA Professional Design Services WEF Water Environment
Agreement Federation
GWRS Groundwater Replenishment POTW Publicly Owned Treatment WERF Water Environment&
System Works Reuse Foundation
ICS Incident Command System ppm parts per million WIFIA Water Infrastructure
Finance and Innovation Act
Integrated Emergency Professional Services Water Infrastructure
IERP Response Plan PSA Agreement WIIN Improvements for the
Nation Act
JPA Joint Powers Authority RFP Request For Proposal WRDA Water Resources
Development Act
ORANGE COUNTY SANITATION DISTRICT
GLOSSARY OF TERMS
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
known 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.
BIOGAS—A gas that is produced by the action of anaerobic bacteria on organic waste matter in a digester tank that can be used
as a fuel.
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 farmland 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.
CONTAMINANTS OF POTENTIAL CONCERN (CPC) — Pharmaceuticals, hormones, and other organic wastewater
contaminants.
DILUTION TO THRESHOLD (D/T) —The dilution at which the majority of people detect the odor becomes the D/T for that air
sample.
GREENHOUSE GASES (GHG) — 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 SYSTEM(GWRS)—Ajoint 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 per day of drinking quality water to replenish the local groundwater supply.
LEVEL OF SERVICE (LOS)—Goals to support environmental and public expectations for performance.
N-NITROSODIMETHYLAMINE (NDMA) — A N-nitrosamine 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 and Water
Environment Federation, with advisory support from the US Environmental Protection Agency. NBP is committed to developing
and advancing environmentally sound and sustainable biosolids management practices that go beyond regulatory compliance
and promote public participation 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)—A municipal wastewater treatment plant.
SANTA ANA RIVER INTERCEPTOR (SARI) LINE—A regional brine line designed to convey 30 million gallons per day 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 runoff.
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.
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. The Orange County Sanitation District's service
area is in the Santa Ana River Watershed.