Richmond City Council
July 2, 2024

Case 3:05-cv-03829-MMC Document 57 Filed 06/04/18 Page 65 of 126 2579
x Prepare protocols, metrics, and site selection criteria for field demonstration of selected innovative condition assessment technologies and decision-support systems.

To meet these project objectives, a stakeholder group was established to review all task products, and a technology forum was convened to help compile and assess the current state-of-the-art and evolving technologies including any critical gaps in performance, affordability or applicability to wastewater collection systems. During the literature review for the White Paper, internal camera inspection technologies were researched and evaluated for immediate transfer to utilities at large; advanced integrity assessment technologies that apply non-contact, remote sensing approaches were also reviewed. In the main portion of the project, protocols/metrics for field demonstration of selected technologies will be developed, as will criteria for selecting demonstration sites. Finally, field demonstrations of select technologies will be conducted.

The work products resulting from the project will include:
x White paper summarizing current state of the technology. x Summary of technology forum discussions and findings. x Comprehensive inventory of condition assessment technologies. x Information transfer document on internal camera inspection technologies. x Information transfer document on advanced integrity monitoring technologies. x Quality assurance project plan for conducting field demonstrations and data analysis. x Technical memoranda summarizing each task.
x Final project report.

A draft white paper was prepared and used as a basis for discussion at the project’s Technology Forum held in Edison, NJ on September 11 and 12, 2008. It was distributed to the expert panel, stakeholders and other participants in advance of the meeting. This final white paper incorporates feedback received at the Technology Forum.

1.3 Definition of Terms
A wastewater collection system or sanitary sewer system is defined as the network of pipes and pumping systems used to convey sanitary flow to a wastewater treatment facility for treatment prior to discharge to the environment. A wastewater collection system is designed to convey only sanitary flow, whereas a combined system is designed to convey sanitary and stormwater flows.

A gravity line is a sewer pipe that is sloped to convey flow via gravitational forces. Typical design standards are based on open channel flow equations under normal flow conditions utilizing Manning’s equation. Design criteria for a gravity line generally take into consideration anticipated defects as a pipe remains in service. An allowable rate of inflow and infiltration expressed in terms of gallons per minute per in. diameter per mile length (gpm/in-mile) is included in hydraulic design of gravity lines. It is also typical to select a frictional coefficient that is based upon a sediment accumulation at the invert of the pipe. The minimum diameter of a gravity line (excluding service laterals) is typically 8 inches (in.); however, large interceptors can have diameters in excess of 12 feet (ft). Older systems may contain 6-in. gravity lines.

Service laterals are the gravity lines that convey wastewater from a building’s foundation to the sanitary line, or main, in the street. The ownership of the service lateral varies widely from area to area. It may be defined by property line limits, with the private sewer lateral extending from the house or building foundation to the property line and the municipal or public lateral located within the public right of way.

In other cases, the property owner may own the service lateral all the way to the main.

Case 3:05-cv-03829-MMC Document 57 Filed 06/04/18 Page 66 of 126 2580
A force main is a pressure line used to convey pumped sewage. The Water Environment Research Federation (WERF) 2004 survey indicated that force mains comprise, on average, 7.5% of a collection system. This percentage does vary considerably depending on the region and the topography.

Approximately 46% of the force mains have diameters less than 12-in. and 20% are greater than 36-in.

The most common pipe materials for force mains are cast iron and ductile iron.

Asset Management - The primary components of any asset management program include the identification, location, and condition of assets; the determination of their useful life and their valuation.

The key to asset management is to understand the types, frequency, and costs of failure. Asset management often employs a risk-based management approach that utilizes information on asset failures as part of a decision making model to manage funding and maintenance priorities. One risk model often employed is Failure Mode and Effects Analysis (FMEA). FMEA analyzes a system’s potential failure modes so they can be classified by severity or determination of the effect upon the system. It is widely used in manufacturing as a risk mitigation tool in various phases of product life cycle and product quality planning.

The Water Research Foundation (formerly the American Water Works Association Research Foundation (AwwaRF)) and the Water Environment Federation (WEF) have both produced guidance documents on asset management and risk-based analysis of assets. The Capacity, Management, Operation and Maintenance (CMOM) program also outlines the framework necessary to develop an information-based strategy on managing assets. Such approaches are not unique to the wastewater industry. Developing an understanding of the risks and potential costs of system failure can aid in the decision making process.

Condition assessment is one of the core components of an asset management program. It provides the critical information needed to assess the condition and remaining useful life and long-term performance of a piping system. Condition assessment can also be used to determine the functionality of the pipes in meeting their design criteria. USEPA has defined “condition assessment” as the collection of data and information through the direct inspection, observation, and investigation and in-direct monitoring and reporting, and the analysis of the data and information to make a determination of the structural, operational and performance status of capital infrastructure assets (USEPA, 2007).

The type of pipe defect varies depending on the pipe material and pipe diameter, as discussed in Section

3.2. The most prevalent defects are as follows: cracks/broken pipe, root intrusion, sediment, grease build-up, off-set joints, corrosion, manhole frame and cover leaks, and pipe sags.

Pipe failure includes collapse, which may cause extensive property damage and/or discharge of untreated sewage, severe hydraulic restrictions, and severe decrease in hydraulic capacity. Other less severe pipe conditions could also be considered “failure” depending on the performance standards set for the system.

The term inspection technologies in this white paper refers to the various methods used for detecting pipe defects, structural and operational condition, and environmental conditions that could potentially impact pipe condition. These technologies, discussed in Section 4.0, have varying abilities for detecting and quantifying specific types of pipe defects. Inspection technologies may have limited applications depending on pipe material and/or pipe diameter. A robust condition assessment method would likely include a variety of inspection technologies, based on the specific characteristics of a utility’s sewer network.

1.4 Critical Gaps in Inspection Technologies and Condition Assessment A previous research project (Thomson et al., 2004) surveyed large wastewater utility districts to determine critical gaps in condition assessment of gravity pipelines and force mains. The survey found that 100% of the 31 survey respondents relied almost exclusively on CCTV as the primary means to inspect pipes. The general limitations of current CCTV technology were the focus of the identification of critical gaps. There were also several respondents who expressed concerns with the inability to measure

Case 3:05-cv-03829-MMC Document 57 Filed 06/04/18 Page 67 of 126 2581
the structural integrity of the pipe wall and the inability to measure crown corrosion of concrete pipe and internal corrosion for ferrous pipes.

1.4.1 Gravity Line Inspection
The majority of sewer pipeline inspection activities performed by utilities involve gravity pipelines. In the 2004 utility survey (Thomson et al. 2004), critical gaps for inspection technologies for gravity lines were defined as follows:
x The needs for improvements to CCTV - higher resolution cameras with better lighting; improvements in crawler technology to negotiate obstructions, grease, offset-joints; and cameras for inspection of laterals.
x Ability to monitor in surcharged (i.e., flooded) conditions. x Inability to obtain information on pipe wall thickness. x Inability to measure slope.
x Inability to locate manholes1.
x Inability to locate soil voids above or below a pipe segment. x Inability to quantify corrosion (e.g., internal, external).

1.4.2 Pressure Line/Force Main Inspection
Inspection of force mains is currently limited to pipelines that are taken out of service. For this reason, force mains are infrequently inspected by utilities, primarily because of the inability to take the line out of service without costly by-pass pumping. Other critical gaps in inspection of force mains include the limited number of inspection technologies suitable for use in force mains; and the inability to determine wall thickness, cracking, and pitting with currently available inspection technologies (Thomson et al. 2004).

1.4.3 Condition Assessment Protocols
Based on a survey of twenty-four Canadian sewer agencies using condition assessment protocols, Rahman and Vanier (2004) identified the lack of consistent, standard condition assessment protocols as a critical gap. The survey results showed 68% of the respondents used a protocol based on that of the National Water Research Council. The biggest gaps identified were systematic collection of data and use of formal risk assessment methods to prioritize resources for maintenance and rehabilitation activities.

Research has focused on the use of models to standardize the risk-based decision-making process.

1.5 Research Questions
The following key research questions relating to sewer inspection and condition assessment have emerged from EPA research (USEPA, 2007). These questions reflect critical gaps in our knowledge of the performance of innovative inspection technologies, our understanding of proven condition assessment techniques, and our ability to diagnose and predict infrastructure failures. x Can emerging and innovative inspection technologies be identified and demonstrated in field settings to improve our understanding of their cost-effectiveness, technical performance, and reliability?
1 Other sources indicate that manholes can be located via CCTV inspection. CCTV crawlers can be equipped with radio transponders to aid in manhole location.

Case 3:05-cv-03829-MMC Document 57 Filed 06/04/18 Page 68 of 126 2582
x Can advances in remote monitoring and wireless technologies be applied to reduce confinedspace entry requirements for sewer system inspection and investigation? x What measurements or operational data can be used to determine and track the condition of assets over time?
x Can standard technical guidelines, uniform data requirements, and indicators be developed for condition assessment of sewers and non-sewer assets, including manholes, service laterals, and pipe joints?
x Can technical guidance be developed for establishing an overall wastewater infrastructure inspection program, including inspection prioritization, inspection frequency, inspection type (physical vs. visual, maintenance vs. structural), inspection by asset type, and inspection costeffectiveness? x How can a municipality determine the impact of deteriorating collection systems on their financial budgets?
x Can infrastructure failure mechanisms be better characterized to improve risk assessment models?

Case 3:05-cv-03829-MMC Document 57 Filed 06/04/18 Page 69 of 126 2583

2.0 Condition Assessment
Condition assessment has gained considerable attention in recent years amongst municipalities and utility districts as a component of an asset management program. It can be used to prioritize infrastructure projects based on relative risk, thereby easing the financial burden on wastewater utilities and their customers. WERF estimates that wastewater utility purveyors spend approximately $4.2 billion annually to rehabilitate sanitary pipelines. Local and state governments are required to tabulate the value of their public assets (i.e., buildings, roads, utilities, etc.) to support the development of a unified cost accounting system, per the Governmental Accounting Standards Board Bulletin 34. This program requires detailed financial accounting of all assets, however, the level of detail to which it is implemented can vary from city to city. Condition assessment can also assist utilities in implementing USEPA’s proposed guidance for evaluating the Capacity, Management, Operation, and Maintenance (CMOM) program for sanitary sewer collection systems (USEPA, 2005). The CMOM program requires a municipality that operates a sanitary sewer system to provide adequate conveyance capacity for all parts of the system and to take all feasible steps to stop and mitigate the impacts of sanitary sewer overflows.

A variety of processes have been developed for performing condition assessments, ranging from simple to complex. They generally follow a similar progression of steps: setting objectives for the condition assessment, identification of assets and available data, asset inspection, data analysis, and decision making. Specific condition assessment processes are described in the WERF publication “Condition Assessment Strategies and Protocols for Water and Wastewater Utilities” (Marlow et al., 2007) and in the National Research Council’s “Guidelines for Condition Assessment and Rehabilitation of Large Sewers” (McDonald and Zhao, 2001). Figure 2-1 illustrates the steps in the condition assessment process.

Inventory database
Impact assessment
Prioritization
Frequency of
next inspection Inspection
Rehabilitation
Condition
Assessment
Decision- making on
rehabilitation actions
Source: McDonald and Zhao, 2001
Figure 2-1: Condition Assessment

Case 3:05-cv-03829-MMC Document 57 Filed 06/04/18 Page 70 of 126 2584

2.1 Program Development
The development of a condition assessment program must first consider the program drivers and objectives. The drivers may include regulatory compliance, operation and maintenance efficiency, risk management, and/or financial budgeting forecast. Often, the primary driver for wastewater utilities is investigation of sources of infiltration/inflow (I/I) that would require a system-wide condition assessment program. Other utilities are more concerned with identifying high risk pipes for which a catastrophic failure could lead to extensive service disruptions and environmental damage. A risk-based condition assessment program would focus on specific pipes that present these types of risk.

Objectives for performing the condition assessment should be explicitly stated, so that the program’s effectiveness can be evaluated. The objectives will also establish how the results of the condition assessment will be used in the decision making process, the final step of condition assessment. Key performance indicators (KPIs), metrics used to determine the utility’s progress to defined goals, would be defined at this step. Objectives for performing a condition assessment could be to understand the structural condition, performance, and/or progression of deterioration (i.e. remaining service life) of the asset.

The costs of conducting condition assessment must be documented and compared to the anticipated benefits in order to justify the program. The costs are typically easier to quantify but should include both the direct costs of inspection and the indirect costs to the utility and other parties of carrying out the inspection work and collecting and analyzing the data. The benefits are more difficult to quantify and derive mainly from the reduction in the risk of failure (likelihood times consequences of failure) and from the knowledge that allows maintenance, rehabilitation and replacement to be carried out on the most cost effective schedule. More specifically, the costs of condition assessment include:
x Equipment and labor costs to conduct field inspections including excavation, traffic control, road surface restoration, monitoring equipment and data collection. x Labor costs before and after field work for planning, data analysis and reporting. x Cost of service disruptions due to inspection work.

Specific benefits of a condition assessment program may include:
x Avoided emergency repair costs.
x Avoided costs of extended service disruptions due to a catastrophic failure. x Avoided restoration costs due to environmental and property damage from a catastrophic failure.
x Avoided public health costs (i.e. injury, death, disease transmission) from catastrophic failure.
x Improved planning and prioritization of rehabilitation and replacement projects due to condition assessment information and improved estimates of service life. x Avoided costs of premature pipe replacement or rehabilitation.

Comparing the costs to benefits for gravity sewers and force mains, it has been reported (Thomson 2008) that:
x The cost of inspection of gravity sewers is typically low with respect to the value of the asset (e.g. the cost of inspection of a 12-in diameter sewer at 13-ft depth is less than 1% of the asset value) and the proportion decreases with increasing depth and diameter of sewer. x The benefits from inspection of gravity sewers are likely to exceed costs for all but small diameter sewers at shallow depths.

Case 3:05-cv-03829-MMC Document 57 Filed 06/04/18 Page 71 of 126 2585
x The cost of inspection of force mains is high with indirect costs often exceeding the direct costs of inspection (emptying the line, providing temporary bypass, accessing the line). x The monetary benefits of inspection may be less than the cost of inspection for smaller lines in less populated areas (fail and fix approach may be chosen) although this ratio may change in environmentally sensitive areas. The benefits increase greatly for larger diameter force mains and urban areas due to the increased risk of major consequences.

When performing condition assessment, it is essential to compile an inventory of assets and existing system data (i.e. pipe material, size, age, maintenance history, inspection records). The utility should understand the content and form of existing data, and should identify data gaps at this step. System maps and geographic information system (GIS) databases are good information resources. Inspection and testing records may include I/I studies: flow data, smoke testing, flow isolation studies, and/or dye tracer studies. Failure data from within the system or from research on similar conditions (e.g., soil bedding type, material, age) in utility districts can be used to define risk of failure. Data gaps identified in this step are used to plan the inspection program.

A key difficulty in developing a rational inspection, condition assessment, and asset management program is that some of the most critical elements of the sewer infrastructure are the most difficult and expensive to inspect. For example, large diameter sewers have continuous and high levels of flow that make bypassing the sewer difficult or impossible. They may contain large debris that hinder inspections unless the pipes are cleaned first, and they may not have been inspected for decades. Similar conditions exist for force mains in terms of the consequences of failure vs. the ability to inspect.

2.2 Asset Inspection
The primary purpose of an inspection is to define the current condition of an asset, in order to detect and evaluate the progression of deterioration and to make informed decisions on asset management. A well developed inspection plan will maximize the value of the program, while minimizing the cost of inspection. A detailed work plan and quality assurance project plan should also be established at this step to outline how the proposed inspection program would meet the program objectives. The inspection plan should focus on what assets to inspect, when they should be inspected, and what technologies will be used for inspection. Ideally, an inspection would occur at a point prior to failure where an intervention could effectively renew the asset. For a buried pipeline, there is limited ability to obtain a warning indicator as to the appropriate time and location to perform an inspection. It is this unknown state that is the inherent risk in managing buried assets.

2.2.1 Selection of Assets for Inspection
It may be considered cost prohibitive to inspect every linear foot of a wastewater collection system especially when confronting the need to inspect a large system with little prior inspection history. It is for this reason that condition assessment programs generally use a planned approach to focus on high consequence/high risk pipes or to utilize statistical sampling to select assets for inspection. Decisions on which assets to inspect should be related to the objectives and KPIs defined in the program development phase of the condition assessment process. For example, if the objective or KPI is to reduce SSOs, then a utility may focus on service lateral, which are often a large source of I/I. If the objective or KPI is to reduce risk of failure of high consequence pipes, then a utility may focus on pipes with higher impact and probability of failure, and not inspect service laterals, as they are not high risk or high consequence.

Case 3:05-cv-03829-MMC Document 57 Filed 06/04/18 Page 72 of 126 2586

2.2.2 Prioritization of Assets
Two models for prioritizing assets for inspection are described below:
x The National Research Council’s approach (McDonald and Zhao, 2001) utilizes an “impact assessment” to prioritize assets for inspection. Impact assessment is a weighted average of six separate impact factors: location, soil support, size, depth, sewer function, and seismic factors. Impact assessment can then be directly calculated in a uniform approach based on a weighted average.
x SCRAPS (Sewer Cataloging, Retrieval, and Prioritization System) is based on the general approach of defining risk factors based on consequence of failure and likelihood of failure (Merrill et al., 2004). The term “Consequence of Failure” is defined as the impact of a failure in terms of repair cost, disruption to the public and economy, impairment of system operation, regulatory compliance, public health and safety, and damages to the environment.

The same terminology can also be applied to the decision making process used in applying condition assessment to asset management. The impact of a failure must be understood and quantified. If the impact can be quantified in dollars, then it can be compared to both the cost of condition assessment and the cost of replacement and/or rehabilitation.

2.2.3 Asset Inspection
The type of inspection performed depends on the objective of the condition assessment program. The selected inspection technique needs to be consistent with the type of asset to be inspected and provide the information and data required to support decision making. Flow monitoring is usually utilized when conducting I/I studies, to evaluate hydraulic capacity and determine hydraulic restrictions. CCTV is the most commonly used method of inspecting sewers for structural defects; however, there are a variety of technologies available for this type of inspection; these technologies are discussed in-depth in Section 4.0.

A detailed work plan and quality assurance project plan should be established; these documents ideally would outline how the proposed inspection program would meet the program objectives.

2.3 Data Management
A successful condition assessment program as part of an asset management program requires that the data collected are organized, analyzed, and maintained in a database system. This important step allows a utility to develop an understanding of trends. There are three general approaches to database management that have varying degrees of cost and complexity but all of which use commercially available software:

1. Software specifically designed for condition assessment and asset management.

2. Database software that is not specifically designed for condition assessment.

3. Spreadsheet software.

2.3.1 Condition Assessment/Asset Management Software
There are numerous commercially available data management programs for condition assessment that range in level of complexity and cost. The primary component is a database to store defect coding on pipe segments both spatially and over time. The commercially available systems can also incorporate additional elements such as cost accounting, develop work orders for maintenance calls, and order parts to maintain required spare parts. Another useful feature is the incorporation of GIS functionality into the system. The GIS component highlights the geo-spatial distribution of the data, and can provide a very effective tool for the utility to plan subsequent inspections and/or rehabilitation activities. The benefit of

Case 3:05-cv-03829-MMC Document 57 Filed 06/04/18 Page 73 of 126 2587
the commercially available programs is that they are designed specifically for the intended purpose.

However, the cost of system maintenance can be significant, as can licensing costs, depending upon system complexity.

Another type of commercially available software is designed to summarize the results of a CCTV inspection and the resulting defect code data. This has become standard practice in the industry. The National Association of Sewer Service Companies (NASSCO) licenses software programs to be consistent using the PACP and Manhole Assessment Certification Program (MACP) rating systems, which are discussed in Section 2.4.2. The certification programs allow commercial providers to submit their pipe assessment software for evaluation and certification to ensure that their software adheres to NASSCO standards. It is important to verify the software has been approved to decrease the set-up time required to enter ranking and coding information. Pipeline inspection software is used simultaneously with pipeline inspection hardware to accurately document the status of sewer pipe, storm drains, or water pipelines. The software gives access to text data, video, and still photos all of which help the user identify the condition of the pipe and precisely complete a pipeline inspection. Defects can be quickly categorized by location, type, and severity. The software compiles this data into a searchable database which can be distributed into printed reports.

2.3.2 General Database Management Software
Utilization of commercially available database software requires a utility to design a database specific to their needs. The benefit would be the reduced initial licensing cost of the software. Most utilities would have database software as part of their professional software packages licensed for their operating system.

Another benefit is that it may cost less to maintain than the condition assessment software described above. A drawback to this approach is the significant up-front work and required expertise to design a database system for the intended purpose.

2.3.3 Spreadsheet Software
Spreadsheet software is the least costly of the three systems; however, it also has the most limitations.

This type of software is readily available and likely exists at each of the utilities. A simple yet effective system can be designed to collect and store data. However, spreadsheets are a flat file system and are very limited in usefulness as the database expands. It can become overly cumbersome if multiple spread sheets are required.

2.4 Data Analysis
The data resulting from inspection may quantify the level of service and/or structural defects. It does not, however, provide any ability to reduce risk or define the significance of the finding. The follow-up step is to process and analyze the inspection data. There are two general analysis methods used, based on the type of inspection performed. If flow monitoring was employed as the inspection technology, an analysis of hydraulic capacity is performed, using hydraulic modeling techniques. If an inspection of structural defects utilizing CCTV or one of the other non-destructive technologies was performed, analysis is generally performed by coding defects in accordance with one of the various methods available, such as the Water Research Centre (WRc)’s system or NASCCO’s PACP and MACP programs

2.4.1 Hydraulic Capacity/Hydraulic Restrictions
Hydraulic capacity is the primary performance measure for a wastewater collection system. Flow data gathered by flow meters has been used to guide sewer system management for at least three decades.

Case 3:05-cv-03829-MMC Document 57 Filed 06/04/18 Page 74 of 126 2588
Advancements in technology and software have brought a new level of condition assessment information to utility managers. The purpose of this section is to discuss the use of flow data as a tool in condition assessment. A description of improvements in flow meter technology is discussed in Section 4.5.

Historically, flow data have been used in Sewer System Evaluation Survey (SSES) as a screening tool to prioritize areas for further study. Flow data presented over a period of time are useful in demonstrating the system impacts due to rainfall or elevated groundwater. It provides the required information to calibrate a hydraulic model or conduct I/I studies. The hydraulic model can then be used as a predictive tool to project overflow and/or surcharged conditions for various design storms.

The following is a list of the most common indirect measurements that allow an operator to assess the general condition or rate of I/I:
x Average Daily Dry Weather Flow includes the average flow from a sewershed, which is composed of the wastewater production rate and base infiltration of the system. x Base Wastewater Flow is estimated on the number and type of sewer users, domestic water usage records, and predicted diurnal flow variations. It equates to the anticipated flow rate of only wastewater in the system.
x Groundwater infiltration is determined by subtracting the estimated Base Wastewater Flow from the Average Daily Dry Weather Flow.
x Capture coefficient or percentage of rainfall that enters the sewer. x Relationship between rainfall and peak flow rate.

The I/I values are valuable for planning purposes, providing a good indicator of pipe conditions upstream of a flow meter. As the sub-areas for which data are collected increase in size, flow data are less useful as a predictive tool for condition assessment. It does, however, provide the data to quantify groundwater infiltration and wet weather derived flow for the area tributary to the metering location.

The real value of flow monitoring data of sewers is developing a database on long-term historic trends in order to determine seasonal variations and impacts of wet weather. Flow data provide the direct correlation needed to determine if performance measures are being attained. Flow data are also useful as a screening tool to determine problems areas of a system that require further study by other means.

The traditional method of viewing flow data is hydrographs, which reveal information on condition upstream of flow meters. Alternatively, flow data can be viewed as scattergraphs, which provide information on hydraulic conditions downstream, or in the vicinity of, a flow meter. Scattergraphs are created by plotting flow depth versus flow velocity data. When flow meters are working correctly, a normal pipe curve is plotted unless normal open channel flow is not occurring. In these cases, the scattergraph data can be used to identify such hydraulic restrictions as silt or obstacles, bottlenecks, and negative grade pipe, as well as surcharged conditions.

2.4.2 Structural Condition
For wastewater collection systems, analysis of inspection data generally involves coding the defects based on both the type and severity of defects. Structural pipe defects and hydraulic restrictions encountered during the inspection need to be ranked by severity level based on the potential to negatively impact the system’s hydraulic capacity.

The WRc, located in the United Kingdom, developed a set of standards to rank the severity of pipe defects found in an inspection. European authorities adopted these standards as their benchmark pipe defect coding standard. In 2001, NASSCO developed a set of coding standards based on the WRc system (NAASCO, 2001). The NASSCO PACP standards have successfully become the industry standard for coding pipe defects. NASSCO has also developed the MACP, which is similar to PACP but applies to manholes instead of pipelines. NASSCO has training programs to certify and train inspection

Case 3:05-cv-03829-MMC Document 57 Filed 06/04/18 Page 75 of 126 2589
professionals in PACP and MACP. NASSCO has begun work on developing a coding system for service laterals.

The PACP coding system categorizes defects and features into five sections: continuous defect coding, structural defect coding, operational and maintenance coding, construction features coding, and miscellaneous features coding. For each type of defect, the PACP uses a combination of capital letters to describe the type of defect and a number to rank the severity of the defect. An example is “FL” for a longitudinal fracture. Defect codes are recorded on a standardized form along with pertinent system data including defect type, continuous distance of the defect, severity, size, circumferential location (clock location), joint number, image/video reference number, and comments.

A brief description of the PACP defect coding system is described below:
x Continuous Defect Coding: Continuous defect coding is made up of two separate coding classifications. The first is called “Truly”. Truly continuous defects are defects that run along the sewer for a minimum distance of three ft. These defects include longitudinal fractures and cracks. “Repeated” continuous defect coding defects are continuous defects that occur at regular intervals along the pipe. These usually occur at pipe joints and include encrustation, open joints, and circumferential fractures. Continuous defect coding can be used in conjunction with other types of coding to accurately describe defects on the PACP form.
x Structural Defect Coding: Structural defect coding is made up of a number of separate coding classifications. This section uses coding to define the type of defects that are related to structural degradation of the pipe due to various reasons. The coding under structural defects are as follows: crack (C), fracture (F), broken (B), hole (H), deformed (D), collapse (X), joint (J), surface damage (S), lining failure (LF), weld failure (WF), point repair (PR), and brick work (BW). Under each of these subtitles there are also other letters to further define the type of defect. For example: HSV is for a hole with visible soil. x Operational and Maintenance Defect Coding: This section uses coding to define the type of defects that are related to lack of maintenance on the pipe system. Operational and maintenance defect coding is made up of a number of separate coding classifications as follows: deposits (D), roots (R), infiltration (I), obstacles (OB), and vermin (V). Under each of these subtitles there are also other letters to further define the type of defect. For example:

VR designates that there are vermin, specifically, rats in the pipe. x Construction Features Coding: This section uses coding to define construction features located in or around the pipe system. Construction features coding is made up of a number of separate coding classifications as follows: tap (T), intruding seal material (IS), line (L), and access point (A). Under each of these subtitles there are also other letters to further define the type of defect. For example: AMH designates that there is an access point in the line that is a manhole.
x Miscellaneous Features Coding: Miscellaneous features coding is made up of a number of separate subcoding classifications. This section uses coding to define miscellaneous (M) features in the pipe system. Under this subtitle there are also other letters to further define the type of defect. For example: MCU designates that the camera is underwater.

The PACP uses a numerical grading system to define the severity of pipe defects. Condition grades for structural defects and operation and maintenance (O&M) defects are assigned based on the risk of further deterioration or failure. The numerical system uses numbers ranging from 1 to 5 with 1 being the best

Case 3:05-cv-03829-MMC Document 57 Filed 06/04/18 Page 76 of 126 2590
and 5 being the worst. The severity ranking considers the immediate defect, risk of failure, and rate of deterioration.
x Grade 5 – Pipe segment has failed or will likely fail within the next five years. Pipe segment requires immediate attention.
x Grade 4 – Pipe segment has severe defects with the risk of failure within the next five to ten years.
x Grade 3 – Pipe segment has moderate defects. Deterioration may continue, but not for ten to twenty years.
x Grade 2 – Pipe segment has minor defects. Pipe is unlikely to fail for at least 20 years. x Grade 1 – Pipe segment has minor defects. Failure is unlikely in the foreseeable future.

Pipe ratings are based on the number of occurrences for each condition grade and are calculated separately for both structural and O&M defects for each pipe segment. Each pipe segment will be assigned a segment grade based on the number of occurrences of each graded defect. The graded defect is multiplied by the number of occurrences, and this equals the segment grade. The overall pipe rating is calculated by adding all of the segment grades per pipeline. The structural defects are added separately from the O&M grades, so each pipeline receives two separate grades.

The PACP also uses a quick grading system, which is a shorthand method of expressing the number of occurrences for the 2 highest grade levels. The quick grading system uses four characters:

1. The first character is the highest severity grade occurring along the pipe length.

2. The second character is the total number of occurrences of the highest severity grade. If the total number exceeds 9, then alphabetic characters are used as follows: 10 to 14-A, 15-19-B, 20 to 24-C and so on.

3. The third character is the next highest severity grade occurring along the pipe length.

4. The fourth character is the total number of the second highest severity grade occurrences, which is formatted the same way as the second character.

For example, a code of 3224 would equate to two grade 3 defects and four grade 2 defects in a pipe segment. This also shows that no grade 4 or 5 defects were found. The quick grading system allows the pipe defects to be summarized in an efficient manner. As with the longhand method, structural defects are graded separately from O&M defects.

2.5 Decision Making
Decision making for condition assessment of a wastewater collection system entails understanding the possible risks and determining at what point a utility should intervene to avoid a failed condition with an unacceptable cost and/or consequence. It is important to note that condition assessment alone does not provide any benefit in risk reduction. The follow-up decision making process that leads to prioritization ranking and rehabilitation ranking followed by action to fix problems and upgrade the system is what leads to risk reduction.

The purpose of this section is to highlight and summarize the decision making process, the final step in the condition assessment process. In addition to inspection data, the utility requires supplemental data on long-term asset performance to aid in the decision making process.

Marlow et al. (2007) posed the following questions that need to be addressed to provide the required information for decision making:
x What are the consequences of asset failure?

Case 3:05-cv-03829-MMC Document 57 Filed 06/04/18 Page 77 of 126 2591
x What are the costs to replace/rehabilitate the assets? x What alternatives exist, given the results of the condition and performance assessment (e.g., replacement, deferment, rehabilitation, non-structural maintenance)? Important definitions to consider are failed condition and service life. The American Concrete Institute defines service life as the period of time following installation during which all properties exceed minimum accepted standards when routinely maintained.
x Technical service life – period of time until an unacceptable condition is reached. x Functional service life – period of time until the system element no longer provides functional service.
x Economic service life – period of time until it becomes economically more effective to replace or rehab than to continue to operate in its current condition.

The objective for the decision making model is to understand risk and to determine when to intervene to avoid unacceptable consequences (e.g., economic, socio-economic, environmental). However, it is not possible to have a robust decision making model without obtaining sufficient condition data to track pipe deterioration and to understand the pipe or system failure modes.

In general terms, decisions on pipe rehabilitation/replacement can be made based on one or more of the following: engineering calculations, probability of failure, and remaining life estimation. x Engineering Calculations: Inspection data are interpreted deterministically. An example would be to calculate structural condition of a pipe segment directly based on measured minimum wall thickness, actual loading conditions, and existing soil bedding. A second example of this methodology is the calculation of hydraulic capacity. Flow data can provide direct measurement of actual flow conditions; and then be interpolated using a hydraulic model to calculate hydraulic capacity of a pipe segment under current or projected conditions.

Both of these examples illustrate a direct calculation of the condition or performance of the pipe segment. If it does not meet the required design conditions or performance conditions, then replacement or rehabilitation is required.
x Probability of Failure: This type of output would ideally provide a direct forecast of pipe deterioration over time. If a utility have the data to support this type of forecast, then an intervention could be implemented before an unacceptable level of service occurred. In practice, it is difficult and potentially costly to directly determine the probability of failure.

However, the American Concrete Institute (2000) did reference studies and models to predict failure rate in reinforced concrete pipe. Regression forecasts and models were developed to predict failure of reinforced concrete pipe (RCP) based on chloride concentrations, extent of spalling and mechanical loading conditions, and sulfate concentration. Repeated data collection and analysis over time are required to obtain the decay curves based on the different paths to failure and the system or environmental conditions that exacerbate each failure mode.
x Remaining Life Estimation: Remaining life estimation is commonly used to characterize condition of buried assets. Remaining life is defined as the duration of time until an unacceptable condition exists or an asset no longer meets its primary function. Standard coding systems are used to define condition and performance. NASSCO’s PACP system, discussed in Section 2.4.2, has become the standard to follow in the United States for wastewater pipe systems.

Case 3:05-cv-03829-MMC Document 57 Filed 06/04/18 Page 78 of 126 2592
A variety of decision making models have been developed for sewer assets. WERF is developing a webbased model based on remaining economic life of water and wastewater pipes. T-WARP is a software program that uses fuzzy logic to analyze the possibilities of pipe failure. The European Union’s Computer-Aided Rehabilitation Program for Sewers (CARE-S) is a software program that supports efficiency in rehabilitation decisions. McDonald and Zhao (2001) propose a matrix approach for decision making based on asset condition grades and an impact assessment rating as summarized in Table 2-1.

The term impact assessment is defined by the authors as a weighted average of six separate impact factors: location, soil support, size, depth, sewer function, and seismic factors.

Table 2-1: Condition Assessment Matrix
Asset condition
grade*
Implication of asset
condition
Impact assessment Action Inspection
frequency
5 Failed or imminent failure 1 to 5 Immediate NA
4 Condition poor, high risk of
structural failure
5 Immediate NA
1 to 4 High 2 to 6 years
3 Condition poor, moderate
structural risk
4 to 5 Medium 3 yrs
1 to 3 Low 5 to 10 years
2 Fair condition, minimal
structural risk
5 Medium 5 years
1 to 4 Low 10 to 15 years
0 to 1 Good condition 5Not required 10 years
1 to 4 15 to 25 years
* Condition grade is based on WRc coding system (Manual of Sewer Condition Assessment, WRc 2003).

NA – Not Applicable
Source: McDonald and Zhao, 2001

Case 3:05-cv-03829-MMC Document 57 Filed 06/04/18 Page 79 of 126 2593

3.0 Dynamics of Wastewater Collection System Failure
In conducting condition assessment, it is important to understand the dynamics of pipe failure including the level, type, and severity of a failure mechanism. Failure modes can include sudden, catastrophic collapse of a pipe or restricted hydraulic capacity. The purpose of condition assessment is to detect pipe defects which indicate the likelihood of pipe failure, as well as to assess the collection system’s performance. This section discusses the mechanisms of pipe failure, the various types of pipe defects, and the relationship between the condition of a pipe and its performance. It is important to understand that pipe failure and defects are highly dependent upon the pipe material, diameter, and type of sewer (e.g. force main, gravity line).

3.1 Failure Mechanisms
Pipe failures can be grouped into three general categories according to the cause of failure: hydraulic restrictions (e.g. blockage), hydraulic capacity, and structural condition. The following sections provide additional details on these failure mechanisms.

3.1.1 Hydraulic Restrictions
The primary function of a wastewater collection system is to convey wastewater; therefore, hydraulic capacity and factors that limit it are of paramount concern. Hydraulic restrictions are the most prevalent condition encountered in wastewater collection systems. The characteristics of untreated wastewater are such that accumulation of sediment, grease, and rags is a constant maintenance item. There are situations in larger diameter sewers, especially combined sewers, when large items create obstructions and rapid hydraulic restrictions. This can lead to street and basement flooding.

Standards used for hydraulic design mandate minimum slopes for various pipe diameters to achieve scouring velocities that minimize debris accumulation. However, there are many external conditions that encourage debris accumulation (e.g. root intrusion, grease, pipe sags).

Blockages are easily detected by visual inspection. The direct cause of a blockage sometimes is not evident. For most conditions, the failure rate is slow over time. A standard maintenance program for cleaning and flushing sewers is typically adequate to control blockages. The types of defects that fall within the category of hydraulic restrictions are as follows: root intrusion, sediment accumulation, and grease build-up. It should be noted that off-set joints and pipe sags can directly impact pipe flow thereby creating low velocity conditions that are conducive to solids deposition.

3.1.2 Hydraulic Capacity
Failure due to hydraulic capacity is defined as a pipe segment not having adequate, available capacity for the designed conditions. The failure condition may be caused by excessive I/I, pipe deformation, and/or inadequate slope.

I/I have a direct impact on the capacity available to convey wastewater. The groundwater and storm water enter the collection system through direct connections or indirectly via cracks and defects. Zero I/I is not a realistic design objective. The hydraulic design of new sewers considers an anticipated level of I/I in determining pipe size.

Pipe deformation and inadequate slope directly impact the hydraulic capacity of the pipe. Flow can be calculated based on the Manning’s equation for normal flow conditions:

Case 3:05-cv-03829-MMC Document 57 Filed 06/04/18 Page 80 of 126 2594
2/3*S1/2 Q = 1/n *A* Rh
Whereas
Q = Flow2
(volume per time).

A = Cross-sectional flow area (area).
n = Manning’s roughness coefficient.

Rh = Hydraulic radius (length).

S = Pipe slope.

The mathematical relationship of change in area due to pipe deformation or inadequate slope is selfevident. A decrease in flow area and/or pipe slope will result in a proportional decrease in flow capacity.

Failure due to hydraulic capacity is often a sign of other types of defects such as structural defects. Major sources of I/I can be cracks, broken pipes, leaks from manhole frames and covers, and off-set joints. Pipe sags and areas of inadequate pipe slope can be due to loss of pipe bedding or inadequate construction controls.

3.1.3 Structural Failure
Structural failure is caused by defects of the pipe wall and/or the soil envelope used to support the pipe.

In general, the types of defects that are associated with structural failure include cracks, misaligned or offset joints, pipe deflection, cracked manhole frames and covers, and internal and external corrosion.

Internal corrosion is caused by hydrogen sulfide formation, and external corrosion is due to soil corrosivity.

The pipe is supported by a soil envelope that consists of the soil bedding and the cover soil. The soil bedding acts as the foundation for the pipe and distributes the vertical load around the exterior of the pipe wall. The pipe is subjected to live loads and earth loads. The goal of the bedding design is to transmit this load to the bedding and avoid point loads on the pipe. Loss of bedding can result in the pipe bridging areas of reduced bedding. This can lead to pipe deflection, pipe deformation, and longitudinal cracking.

Increased traffic load or loss of soil cover is another cause of structural failure.

The type and degree of failure differ by pipe material. Some pipe material (e.g. PCCP) is susceptible to sudden failure while others fail gradually and are easily detected by visual inspections. Typical failure modes for various types of pipe material used in sewer collection systems include:
x Ferrous Pipe (Ductile Iron, Cast Iron, Steel) - The primary failure mode for metal pipes is internal or external corrosion, which leads to breaks or holes in the pipe wall. Cast iron in particular is brittle, making these pipes prone to cracking. Large diameter steel pipes are susceptible to collapse as well as corrosion.
x Concrete Pipe (RCP, PCCP) - Corrosion is often a major factor in the structural failure of concrete pipe. RCP typically fails after the interior surface of the pipe wall has deteriorated to such a degree that the reinforcing steel is exposed. As the reinforcing steel corrodes, it swells, beginning to break up the surrounding concrete and causing failure. PCCP has a distinctive failure mechanism as failure occurs when the pre-stressed wires break, generally as a result of corrosion or direct physical damage to the pipe. x Ceramic-based pipe (Brick, Vitrified Clay Pipe (VCP)) - Brick pipes generally fail by collapse, often caused by weakened mortar. VCP fails when external loads create cracks in 2 Please note a factor of 1.49 is used when utilizing British Units.

Case 3:05-cv-03829-MMC Document 57 Filed 06/04/18 Page 81 of 126 2595
the material. Failure is often exacerbated by the loss of surrounding soil into the pipe after initial fracture leading to void formation and loss of soil support to the pipe. x Plastic Pipe (Polyvinyl Chloride (PVC), High-density Polyethylene (HDPE)) - The primary failure mode of plastic pipe is environmental stress cracking, which occurs from stress developed in a deflected pipe or due to slow crack growth, a phenomenon that occurs when a pipe is subjected to long duration tensile stress. Leaking joints can also contribute to plastic pipe failure.

3.2 Pipe Defects
Sewer defects are generally categorized as service or structural. Structural defects include cracks, fractures, breaks, deformations, collapses, joint displacements, and open joints. Service defects include tree roots, obstructions, debris, and encrustation. Pipe defects can also be classified by whether they are defects of the internal pipe surface, a pipe wall defect, a leak, or an alignment defect. Thomson et al. (2004) classify defects as internal pipe surface (sediment, debris, and roots), pipe wall (pipe sags and deflections, pits and voids, corrosion and metal loss, off-set joints, pipe cracks, broken pre-stressed wires, wall thickness, service connections and deteriorated insulation), leakage, and pipe support (bedding condition and voids).

The most prevalent defects in wastewater collection systems are cracks/broken pipe, root intrusion, sediment, grease build-up, off-set joints, corrosion, frame and cover leaks, and pipe sags. However, pipe defects vary with the pipe material and pipe diameter. Because gravity lines and force mains are generally constructed of different materials, they are susceptible to different types of defects.

Gravity pipes are usually constructed of VCP or PVC which are prone to grease build-up and joint misalignment/leakage. However, VCP is likely to experience cracks/breaks and root intrusion, whereas PVC is more likely to have excessive deflection, grade and/or alignment issues, and lateral connection defects.

Unlike gravity pipes, most force mains are constructed of ferrous materials (i.e., welded steel, ductile iron, or cast iron) or plastic (PVC, HDPE). Large diameter force mains have also been constructed of PCCP. While ferrous pipes tend to experience defects similar to VCP and PVC, internal and external corrosion are the primary defects. Table 3-1 provides a summary of the most common pipe defects by pipe material from a recent utility survey (Thomson et al., 2004).

Case 3:05-cv-03829-MMC Document 57 Filed 06/04/18 Page 82 of 126 2596
Table 3-1: Most Common Pipe Defects Identified
Defect
Concrete Ferrous Ceramic Plastic Concrete pipe Asbestos cement PCCP/ CCP Cast iron/ ductile iron Steel VCP Brick PVC HDPE
Internal pipe surface
Root intrusion x x x x x x x x
Grease build-up x x x x x x x x
Pipe wall condition
Cracks/ broken pipe x x x
Internal corrosion x x x x
External corrosion x x x
Leakage
General x x x x x
Joint leakage x x
Leaking laterals x x
Alignment/grade
Alignment x x x
Joint misalignment x x x x
Excessive deflection x x x
Grade x x
Other 1 2 3 4
1 – Liner separation, weld failure 3 – Lateral connections 2 – Missing bricks, soft mortar, vertical deflection, collapse 4 – Pressure capacity (force mains only) Source: Thomson et al. (2004). Reprinted with permission from WERF.

3.3 Correlations between Assessed Conditions and Performance Measures The measure of performance for a wastewater collection system can be based on four critical areas:
service level, regulatory compliance, public health and safety, and environmental protection (Fleury and Warner, 2007). The subsections below describe how these performance measures can be correlated to pipe condition.
x Service Level: Wastewater utilities strive to provide continuous, efficient service for their customers. Pipe conditions that affect service level include defects or conditions that affect the available hydraulic capacity to convey current and future planned wastewater flows.

Excess hydraulic capacity in a newly constructed piping system can diminish over time due to many types of defects: corrosion, I/I, sediment accumulation, pipe deflections, and crossconnections. x Regulatory Compliance: Wastewater utilities must comply with existing regulations. The Clean Water Act (CWA) prohibits discharges of pollutants to waters of the U.S., unless authorized by a National Pollutant Discharge Elimination System permit. Unpermitted discharges from the sanitary sewer system constitute a violation of the CWA. Noncompliance with the SSO regulations, specifically the CMOM provisions, will result in enforcement actions including mandated O&M programs and fines. Pipe conditions that affect regulatory compliance may include defects or conditions that cause sewage overflows or back-ups.

Case 3:05-cv-03829-MMC Document 57 Filed 06/04/18 Page 83 of 126 2597
x Public Health and Safety: Wastewater utilities protect public health and safety by minimizing conditions where the public can be exposed to untreated sewage such as receiving waters used for drinking water sources, fishing, and/or contact recreation such as swimming.

Pipe conditions that affect protection of public health include defects or conditions that cause sewage overflows, back-ups or catastrophic pipe failure. x Environmental Protection: Pipe failure may cause extensive property damage and/or discharge of untreated sewage. Failures of large diameter pipes and force mains contribute to the formation of sinkholes that may lead to damage and/or disruption to roadways and utilities, as well as the creation of hydraulic restrictions. Pipe conditions that affect environmental protection efforts are similar to those listed above—defects or conditions that cause sewage overflows, back-ups, or catastrophic pipe failure.

Utilities use pipe condition information to assess how well they are meeting each of these performance measures and to identify and prioritize system needs. The goal is to provide the best possible service in a cost-effective manner. Utilities need to know what is an acceptable level of performance that can provide regulatory compliance, environmentally acceptable performance, and operational effectiveness at the lowest possible life cycle cost? Inspection and condition assessment provide key information for helping the utility address these questions and balance system needs and costs.

Case 3:05-cv-03829-MMC Document 57 Filed 06/04/18 Page 84 of 126 2598

4.0 Inspection Technologies
Inspection technologies and their use in condition assessment for wastewater collection systems are presented in this section. Each technology is briefly described, and commercially available and emerging products utilizing the technology are discussed. Table 4-1 provides a summary of typical applications for each technology.

Table 4-1: Inspection Technology Overview
Technology Sewer type
Pipe materialPipe diameter
Defects detected
GravityForce main Lateral Internalcondition Pipe wall Leakage Pipe support Camera
Digital cameras x Any 6-in.-
60-in. x x x
Zoom cameras x Any >6-in. x x x
Push-camera x Any 1-in.-
12-in.
x x x
Acoustic
In-line leak detectors x x Any >4-in. x
Acoustic monitoring
systems
x PCCP >18-in. x
Sonar/ultrasonic x x Any >2-in. x x
Electrical/electromagnetic
Electrical leak location x x x
Nonferrous >3-in. x
Remote field eddy current x x x
Ferrous,
PCCP >2-in. x x
Magnetic flux leakage x x x Ferrous 2-in.-
56-in. x
Laser
Laser
profiling
x x Any 4-in.-
160-in. x x
Innovative technologies
Gamma-gamma logging x x x Concrete Not yet
defined x
Ground penetrating radar x x x Any Not yet
defined x x
Infrared thermograph x x x Any Not yet
defined x x
Micro-deflection x Brick Not yet
defined
x x
Impact echo/SASW x
Brick/
Concrete >6-ft. x

Case 3:05-cv-03829-MMC Document 57 Filed 06/04/18 Page 85 of 126 2599

4.1 Camera Inspection
CCTV inspection is a very effective method of evaluating and creating a permanent video record of underground pipe conditions. The visual inspection of sanitary sewer lines enables a CCTV operator to locate and identify specific defects that contribute to the infiltration of groundwater into the collection system and exfiltration of sewage into the substrate surrounding a pipeline. This is a well established and common industry method for pipeline assessment. In a recent survey report (Thomson et al., 2004), 100% of survey respondents from large wastewater utility districts relied on CCTV as their primary method of collection system inspections; hence, it is not surprising that the critical gaps identified in this survey parallel the limitations of CCTV inspection. CCTV provides a means to inspect a pipeline that is either too small or hazardous for direct human entry inspection. The primary disadvantages to the technology are that it only provides a view of the pipe surface above the waterline and does not provide any structural data on the pipe wall integrity or a view of the soil envelope supporting the pipe.

The technology and level of ancillary equipment used for CCTV inspection of sewer systems varies significantly based on the diameter of the line being inspected. In general, CCTV technology uses a video camera with lighting to provide a visual recording of the inside condition of a pipeline. The means to convey the camera through the pipeline vary in complexity from simple pushrod cameras (pushcams) to complex remote controlled robot crawlers. The level of optical control on the camera also varies in complexity. The ability to pan, tilt, and zoom has become the industry standard for sewer inspection because it allows the operator to gain a full circumferential view of the pipe.

Data obtained from CCTV inspection include:
x Evidence of sediment, debris, roots, etc.
x Evidence of pipe sags and deflections.
x Off-set joints.
x Pipe cracks.
x Leaks.
x Location and condition of service connections.

As noted above, CCTV technology does have limitations due to its ability to only provide a visual representation of the inside surface of a pipe above the waterline. Additionally, the quality of defect identification and pipe condition assessment using CCTV is highly dependent on many factors including operator interpretation, picture quality, and flow level. In terms of benefits, it is a cost-effective technology providing the broadest base level of data used in condition assessment. For example, many technologies exist (as described in later section) that provide data on the structural condition of the pipe wall, and other technologies exist that can determine the condition of the soil surrounding the pipe.

However, these technologies are unable to provide visual data on leaks, location of service laterals, and sediment and debris accumulation. It is for this reason that CCTV will remain an important inspection tool in any condition assessment program for wastewater collection systems.

The following sections present innovative technologies specific to CCTV and its use in condition assessment for wastewater collection systems. Each technology will be briefly described, noting manufacturers and/or providers of the technology and typical applications. The technologies described in this section include:
x Zoom Camera Inspection.
x Digital Scanning.
x Camera Deployment.

Case 3:05-cv-03829-MMC Document 57 Filed 06/04/18 Page 86 of 126 2600

4.1.1 Zoom Camera Inspection
Like traditional CCTV inspection, zoom camera inspection technology involves the generation of still imagery and/or recorded video imagery of a pipe. The key difference is that in zoom camera inspection, the camera mount is stationary. The technology does not require the camera equipment to pass though the entire length of the pipe segments being inspected. Instead, the camera is mounted either on a truck, crane, pole, or a tripod. The equipment is then lowered into a manhole to perform the inspection and the camera “zooms” down any pipe entering or exiting the manhole.

Historically, zoom cameras have been utilized to perform manhole inspection and inspect a few ft down the pipe utilizing a camera mounted on the end of a telescopic pole. This technology is commonly referred to as a down look camera. Newer zoom cameras can pan 360 degrees and zoom up to 100-ft. in 6-in. diameter pipe and up to 700-ft. for larger pipe diameters.

This technology involves setting up the zoom camera at each manhole and inspecting the manhole and pipes. Potentially, the technology could allow for the inspection of an entire section of pipe from one manhole to the next. Zoom camera inspection has some of the same limitations as traditional CCTV pipe inspection in that it cannot inspect what is beneath the fluid being conveyed through the pipe. It is not designed to replace conventional CCTV systems, but rather to screen and prioritize pipes for further conventional CCTV work and/or cleaning pipelines. The technology does not provide the detailed visual evaluation of conventional CCTV. The primary advantage to the technology is improved production rate.

The set-up eliminates the need for cleaning prior to the inspection, as well as the inevitable down-time associated with an obstruction to a crawler mounted camera. An inspection crew can move through a service area in an expeditious manner and highlight segments requiring a more detailed inspection.

Zoom camera inspection is a very efficient, cost-effective method of performing manhole inspections, which has been its primary use. It is, however, limited in its ability to inspect pipe segments. Image resolution, lighting, and limitation in optical zoom are the primary disadvantages of this technology. The technologies described below attempt to overcome these limitations with improvements to lighting and zoom ability. This technology also increases the production rate of sewer inspections, as it collects data at a speed several times faster than traditional CCTV inspection. This is in part because pipes generally do not have to be flushed and cleaned prior to inspection.

Zoom camera inspection is only useful for inspecting gravity sewers because its access to the sewer is via a manhole. Force mains and/or service laterals do not have the required access points to deploy this technology. As with all camera inspection technologies, zoom camera inspection can be used with any pipe material.

Zoom camera inspection services are available from a variety of service providers. Both regional and national service providers have the ability to provide this service. It is not known if the use of the longer range cameras with increased zoom capabilities is a commonly used inspection tool in the industry.

Provided below is a description of four manufacturers of zoom cameras used for the inspection of gravity sewers.

No new zoom camera technologies under development have been specifically identified as emerging technologies. Likely, the identified manufacturers will continue product development and increase optical and digital zooming capabilities. It is also likely that the technology will be equipped with a digital inspection system as described in Section 4.1.2. Table 4-2 provides a summary description of the zoom camera technology.

Case 3:05-cv-03829-MMC Document 57 Filed 06/04/18 Page 87 of 126 2601
Table 4-2: Zoom Camera Inspection Summary

SUMMARY
Sewer type Gravity sewers only
Material Any
Pipe size > 6-in.

Defects detected Cracks, leaks, root intrusion, overall surface condition of pipe/manholes Original application Manhole inspection
Status Commercially available
Advantages High production rate, effective/efficient at prioritizing segments requiring more detailed inspection/maintenance
Disadvantages Inability to inspect manhole to manhole for average diameter lines, potential to miss significant defects
CUES IMX - Truck Mounted Zoom Camera
The CUES-IMX truck-mounted zoom camera provides video inspection for manholes and pipelines. The CUES-IMX camera offers imaging technology with a 25:1 optical zoom that is stabilized and remotely controlled by a telescopic boom. The camera can record images from up to 300’ into the pipeline. The camera mounting fork is designed to pan the camera head 360° continuously, tilt mechanically 45° up or 90° down, and tilt optically 166°. The camera imager, optics, mechanics and electronics are housed in a damage resistant, waterproof, rugged enclosure that is 7-in. in diameter and 16-in. in length. The CUESIMX system includes the camera, high intensity discharge lighting heads, mast system and controller.

The manufacturer indicates that the system can be mounted within an inspection van, all-terrain vehicle, or a trailer.

The system is equipped with data collection, GIS software and global positioning system (GPS) equipment. The GIS software and GPS equipment are used to create sewer maps in the field and create an asset management database for the system. Defects detected during the inspection can be stored in a database along with photos and video clips. All data is geo-referenced to the field collected GPS coordinates. This is common to the industry and the subject of further discussion in a later section.

The objective of the CUES-IMX camera system is to increase the production rate of the inspection process, as compared to traditional CCTV. The manufacturer indicates that an inspection process using zoom technology has a production rate of five to eight times higher than traditional CCTV and is a useful tool to efficiently characterize a collection system and prioritize segments for further inspection and/or cleaning. Inspections using the CUES-IMX camera provides mapping, inventory and condition information that can be used immediately to reduce system operation and maintenance issues by quickly identifying areas of high-risk due to blockage or structural defects. The risk of backups or overflows can be assessed and addressed rapidly.

GE Technologies - Ca-Zoom PTZ and QuickView
GE Technologies offers three truck-mounted Everest Ca-Zoom Pan-Tilt Zoom (PTZ) cameras for sewer inspection. Each camera has a different PTZ camera head. The PTZ 140 has a 300:1 zoom capability (optical 25:1, digital 12:1) and is equipped with two high-power 35-watt lights. The camera has the ability to record imagery up to 250 ft down a pipe segment with diameters between 15 in. and 60 in. The PTZ100 has 40:1 zoom capability (10:1 optical, 4:1 digital), and four 5-watt light-emitting diode (LED) lights. The PTZ270 also has a 40:1 zoom capacity, but has eight 5-watt LED lights.

The smaller hand-held QuickView unit is a pole mounted camera with a total zoom capability of 216:1 (18:1 optical, 12:1 digital). It has the ability to zoom to between 75 and 250 ft within pipe diameters of 6 in. to 60 in. The unit is mounted on an 18 foot telescoping pole.

Case 3:05-cv-03829-MMC Document 57 Filed 06/04/18 Page 88 of 126 2602
The benefits and limitations of these cameras are similar to those of the CUES-IMX camera system as described above.

CTZoom Technologies - PortaZoom
Innovative Technology Products, Inc. offers sewer inspection with the PortaZoom camera, manufactured by CTZoom Technologies. The PortaZoom is housed in a compact enclosure, just 6 in. in diameter. The camera pans more than 350° and has a 312:1 zoom capability (26:1 optical, 12:1 digital). The camera has full-circumference integrated lighting, including peripheral lighting to reduce shadows. The PortaZoom is operated by a computer, joystick and keyboard. The PortaZoom can be mounted to any vehicle or hand-held pole, and can zoom approximately 100 ft to 200 ft into pipes.

AquaData, Inc. - AquaZoom
AquaData Inc. also manufacturers zoom camera inspection equipment. They manufacture the AquaZoom system though it is not commercially available. The AquaZoom can be used on pipes with diameters of 6 in. or larger and can inspect pipelines for approximately 100 ft. It is normally mounted on either a truck or tripod, which is claimed to provide better stability compared to pole mounted devices. It also utilizes a built-in control center and video recording equipment to perform pipe inspections.

Aries Industries – HC3000 Zoom Pole Camera
The Aries HC3000 Zoom camera has a 432:1 zoom ratio (36:1 optical, 12:1 digital). The camera has two LED lights, and is mounted on a 6-foot to 18-foot telescoping pole. The camera can view up to 100 ft into the pipeline being inspected. The image is transmitted via radio frequency technology to a media case, which houses a radio frequency receiver and monitor. A small portable monitor is also available for viewing the images as the camera zooms down the pipe. The pole mounted device provides easy portability and rapid setup.

4.1.2 Digital Scanning
Digital scanning is a state-of-the-art technology within the camera inspection industry. Like conventional CCTV, digital cameras are transported through sewer lines using self-propelled crawlers. Unlike conventional CCTV systems, digital scanning uses one or two high-resolution digital cameras with wideangle lenses in the front, or front and rear, section of the housing. During pipe inspections, parallel mounted lights are triggered at the same position in the pipe. The hemispherical pictures scanned are put together to form 360° spherical images. There is one specific manufacturer that utilizes a single camera with a wide angle lens to accomplish the same result.

During the scanning process, data are transmitted to a surface viewing station where it can be viewed in real-time and recorded for later evaluation. The major advantage to digital scanning technology is that it is possible for the data to be assessed independently of the real-time sewer inspection. By comparison, conventional CCTV relies on a camera operator to pan, tilt, and zoom into critical areas for further review. The image, as controlled by the operator, is stored. Therefore, if the operator does not see a defect, the camera is not stopped for further investigation.

Digital scanning develops a full digital image of the pipe segment. This allows the individual reviewing the images to control the direction of the PTZ features and to stop the image at any point to capture video clips and images. The inner pipe surface can be “unfolded” providing a view of pipe conditions, which permits computer-aided measurement of defects and objects. Digital scanning provides a more consistent and complete assessment of pipe condition. It provides a second level of quality control in the review

Case 3:05-cv-03829-MMC Document 57 Filed 06/04/18 Page 89 of 126 2603
process and allows other individual(s) involved in the process to gain insight into the pipe condition (e.g., designers, rehabilitation contractors, and utility owners).

Digital scanning technology is primarily used for gravity lines in the 6-in. to 60-in. diameter range. Its applicability for use in inspecting sewer laterals is limited since laterals are typically less than 6 in. in diameter and access is generally through a small diameter clean-out. It is also limited in its ability to inspect force mains. Like conventional CCTV technology, digital scanning is only able to provide useful images above the waterline; force mains would have to be taken out of service and drained before digital recording. Access to force mains also typically restricts the use of digital and CCTV technology. Force mains are pressurized and do not have access manholes to insert CCTV equipment. Digital scanning can be used with any pipe material. Table 4-3 provides a summary description of the digital camera scanning technology.

Table 4-3: Digital Camera Scanning Inspection Summary

SUMMARY
Sewer type Gravity sewers, limited applicability for force mains and service laterals Material Any
Pipe size 6-in. to 60-in.

Defects detected Cracks, leaks, root intrusion, overall condition of pipe Original application Inspection of piping
Status Commercially available, new applications under development Advantages Increased QA/QC control, additional project personnel able to review/control data imagery, able to make digital measurements of defects, can compare data directly from one inspection to the next
Disadvantages More costly then CCTV, lower production rate compared to traditional CCTV, only works above waterline.

Digital scanning camera systems are available from a variety of vendors. Several commercial applications are specifically designed for the investigation of water, storm drain, and sewer pipelines.

The following are descriptions of some of the products available from several vendors.

Blackhawk-PAS - Sewer Scanning Evaluation Technology (SSET) SSET was developed in Japan in 1994, and introduced through field trials in the United States in 1997.

The third-generation SSET was refined by Blackhawk-PAS for commercial marketing. SSET uses two digital image capture devices mounted on a remotely controlled tractor. One of the cameras records a forward view of the pipeline while the other camera scans the side of the pipe to create a spiral, perpendicular view. SSET can be used in pipes ranging from 8-in. to 36-in. diameter, operating at a rate of approximately 13 ft per minute.

RapidView – IBAK, USA - Panoramo
The RapidView-IBAK, USA Panoramo system was developed by IBAK Helmut Hunger GmbH & Co.

KG of Kiel Germany in partnership with RapidView, LLC. The application was first developed and used in 2002. The first application in the United States was in 2007.

The Panoramo system uses two high-resolution digital photo cameras with 186° wide-angle lenses fit into the front and rear section of the housing. During pipe inspections, parallel mounted xenon flashlights are triggered at the same position in the pipe. The hemispherical pictures scanned are put together to form 360° spherical images. The Panoramo can scan 8-in. to 48-in. diameter pipes at a speed of up to 70 ft per minute in forward or reverse motion.

Case 3:05-cv-03829-MMC Document 57 Filed 06/04/18 Page 90 of 126 2604
During the Panoramo scanning process, the data are transmitted digitally to the inspection vehicle and are at the operator's disposal. The scans can be viewed as live pictures for orientation purposes and for locating any obstructions. In addition, the data are stored in the form of "PANORAMO films", on removable hard disks or digital video discs (DVDs).

This image scanning method makes it possible for the pipe inspection to be assessed by personnel away from the field. The reviewer has the ability to pan, tilt, or zoom in on potential defects as if in the truck with the field crew. The reviewer can stop at any position, turn a full circle, zoom, and complete the data analysis. An unfolded view of the inner pipe surface which is available simultaneously gives the reviewer a rapid view of the state of the pipe and permits computer-aided measurement of the position and size of objects. The Panoramo system works in conjunction with WinCan Scan Explorer Software Version 8.

Envirosight - DigiSewer
The Envirosight DigiSewer system was originally developed by DigiSewer and manufactured by IPEK (provider of crawlers and cameras to Envirosight). The DigiSewer was originally designed to be used for borehole inspection and was first used in Europe in 2003. It was officially released to the North American market in April 2007.

The DigiSewer uses one high-resolution photo cameras with 180° wide-angle fisheye lens, integrated into the front of the rover crawler. The DigiSewer can scan pipes from 6-in. to 60-in. diameter at a scan speed of 70 ft per minute. The DigiSewer can scan pipes over a length of approximately 650 ft.

Emerging Technologies
No digital scanning applications have been specifically identified as emerging technologies. Likely, the identified manufacturers will continue product development and increase optical and digital zoom capabilities. The technology is four to five years old in Europe and Asia; however it has a limited history in North America. The manufacturers and users listed above are constantly developing new ways to use these products. Our research indicates that future research will focus on enhancements to the software used for defect recognition and digital defect measurements. RapidView and Envirosight are developing manhole inspection capabilities with the use of the digital scan cameras. Envirosight is also planning to increase the scan distance to approximately 1,650 ft by fall 2008 and provide improved scanning rates.

4.1.3 Camera Deployment
In a CCTV inspection, cameras are deployed into pipelines in a variety of ways. Mobile robots called crawlers or tractors are available in a variety of sizes and configurations, thus enabling their use in a host of pipes sizes. These are typically introduced into the sewer via a manhole. Cameras can also be mounted to float rigs for inspecting large diameter pipes partially filled with water. Pushrod cameras are typically used in smaller diameter pipes (6 in. and less) such as service laterals and are typically introduced into the sewer through a cleanout.

This section describes innovations to vehicles used to carry CCTV cameras as well as technologies that can be added to the conventional camera vehicles to further assist in CCTV inspection.

A variety of innovations have been applied to the tractors or crawlers which carry CCTV cameras. These innovations include extra long range tractors/floats compared to the typical applications in use, smaller than typical tractors that can be used for some laterals, tractors that are able to dispatch smaller lateral cameras from the main line, and segmented robots that can bend around odd angles in small diameter pipes.

Case 3:05-cv-03829-MMC Document 57 Filed 06/04/18 Page 91 of 126 2605
Different camera tractor innovations are available from a variety of vendors. Several commercial applications are specifically designed for the investigation of water, storm drain, and sewer pipelines.

Pushcams are used almost exclusively in smaller diameter sewers such as service laterals. Tractor innovations have been broken down into four groups: small diameter tractors, long range tractors, segmented tractors, and lateral launchers - tractors that can launch lateral cameras off of the main inspection vehicle.

Pushcams
Pushrod camera, or pushcam, technology involves the inspection of pipeline via a small diameter camera mounted to a pushrod and reel setup which produces video of the pipeline. This technology is primarily designed for laterals and small diameter force main applications. Conventional pushcams use straight view cameras capable of inspecting pipes of 2-in. or greater. Advancements include pushcams capable of inspecting pipes smaller than 2-in. as well as steerable and pan/tilt pushcams.

Pushcams are typically used in an environment where it is otherwise impossible to get photographs or video footage such as a small diameter water, sewer, or drain pipes. Typically, they are used in applications where crawlers/robotic camera vehicles are unable to function due to their larger size.

Conventional pushcams systems are comprised of a camera/probe, cable/reel, and computer/recorder/controller. The probe used to advance the camera is usually a semi-rigid rod, constructed of fiberglass. The primary limitations are image quality, lighting, and ability to move past obstructions. Table 4-4 summarizes a variety of commercially available pushcams.

Table 4-4: Pushcam Product Comparison

PRODUCT
(VENDOR)
PIPE

DIAMETER

INSPECTION
LENGTH
NOTES
CrystalCam Push Camera
(Inuktun)
>2-in. High resolution low lux camera – highly
effective in low light environments. Can be
tractor mounted, can be used as a reverse
camera
Flexiprobe
(Pearpoint)
1-in. to 8-in. 500-ft
Hydrus
(Rapidview-IBAK, USA)
>2-in. Straight view camera only
Orion
(Rapidview-IBAK, USA)
>4-in. Pan and tilt functions
Orion L
(Rapidview-IBAK, USA)
>4-in. Pan and tilt, includes “steer stick” allowing
device to be steered around bends or turns
Push Camera
(Insight Vision)
1-in. to 12-in. 300-ft Uses Clearview line of camera heads, large

10.4 in. LCD monitor
Tractors/Crawlers
Tractors and crawlers are mobile robots used to deploy CCTV through a pipeline. Most are wheeled or tracked, and are tethered via a cable to a controller unit located near the point of entry to the sewer system. Conventional CCTV inspection tractors are larger vehicles that are not able to get into smaller pipes or laterals. Many of the tractors are not steerable and can only inspect pipe runs of 300 to 500 ft.

Advancements in technologies now include lateral launchers that are able to deploy smaller diameter pushcams into laterals; small diameter tractors that can be deployed in pipes as small as 4 in. in diameter; long range tractors that can inspect pipes at great distances from the point of entry; and segmented robots that can bend around odd bends or angles in small diameter pipes. Tables 4-5, 4-6, and 4-7 summarize a selection of commercially available innovative tractor and crawler technologies.

Case 3:05-cv-03829-MMC Document 57 Filed 06/04/18 Page 92 of 126 2606
Table 4-5: Lateral Launcher Product Comparison

PRODUCT
(VENDOR)

MAINLINE LATERAL
Pipe NOTES
diameter
Inspection
length
Pipe
diameter
Inspection
length
IBAK LISY 150-M
(RapidView-IBAK, USA)
>6-in. Tungsten carbide
wheel for grip
LAMP 6-in. to 24- 2-in. to 6- >80-ft
(CUES) in. in.

Lateral Evaluation Television
System
(Aries Industries)
>8-in. 800-ft 3-in. to 6-
in.
80-ft Can ID pipe locations
with locator beacon
Lateral Inspection System (RS
Technical Services)
8-in. to 24-
in.
1,000-ft 4-in. to 8-
in.
100-ft
Table 4-6: Small Diameter Tractor Product Comparison

PRODUCT
(VENDOR)
PIPE

DIAMETER

INSPECTION
LENGTH
NOTES
ELK T100 Mini
(Pearpoint)
4-in. to 10-in. 500-ft
KRA 65
(RapidView – IBAK, USA)
>4-in. Steerable, electric stabilizing function
Mighty Mini Transporter
(RS Technical Services)
4-in. to 12-in. 500-ft
Rovver 100
(Environsight-IPEK)
4-in. to 12-in. 660-ft Steerable, PVC wheel with titanium spikes for traction
Versatrax 100
(Inuktun)
>4-in. 600-ft Tracked crawler
Xpress Silver-Bullet Crawler
(Insight Vision)
4-in. to 15-in. 600-ft 4-wheel drive crawler
Table 4-7: Long Range Tractor Product Comparison

PRODUCT
(VENDOR)
PIPE

DIAMETER

INSPECTION
LENGTH
NOTES
Versatrax 300 VLR
(Inuktun)
>12-in. 6,000-ft Modular construction for onsite customization, optional reverse camera can be mounted on
crawler
Responder
(RedZone)
>36-in. 5,280-ft Skid steer enabled tractor, Kevlar reinforced buoyant cable, submersible to 500-ft
Segmented Robots
Electromechanica, Inc. designs custom inspection robotics and other applications on an as needed basis.

For example, the client may have a specific type of small diameter pipe system containing tees or wyes, or other angles that a typical tractor or crawler would not be able to navigate. One such development is the Internal Pipe Inspection Robot. This design uses a unique “inchworm” movement which optimizes movement within the pipe. The robot itself consists of three arm linkages that expand radially to force the different segments to grip the inside of the pipe and move it along. The multiple segments also can be useful in overcoming obstacles or looking down laterals. The robot uses pneumatic cylinders to provide force to move the robot through the pipe. The robot can be outfitted with cameras, sensors or tools to achieve many different types of jobs in pipes including pipe inspection. As stated above, this is not a commercial product, but one that must be custom ordered for the client’s specialized needs.

Case 3:05-cv-03829-MMC Document 57 Filed 06/04/18 Page 93 of 126 2607
Emerging Technologies
x Pushcams - The IPEK Agilios pushcam system was developed for small diameter pipes and has pan/tilt capability. It works in conjunction with the vision control unit and is battery powered.
x Autonomous Crawlers - An autonomous crawler does not require a real-time remote operator. The crawler’s behavior is programmed in advance of deployment. The vehicle is programmed to cue off of particular environmental landmarks. For instance, RedZone Robotics, a Pittsburgh, Pennsylvania based company, has designed a robot that constantly monitors the diameter of the pipe as the robot progresses through the pipe. Infrared sensors atop the vehicle sense when the distance to the roof of the pipe alters radically, which the robot then interprets as a manhole. The vehicle may be programmed to stop at the first manhole it encounters, or stop after encountering some specified number of manholes.

Autonomous crawlers are beginning to enter the marketplace. x Autonomous Floaters - Automatika, Inc. based in Pittsburgh, Pennsylvania, is developing the prototype of a neutrally buoyant, untethered pipe inspection robot called PipeEye. The robot is a 12-in. sphere designed to float in pipes greater than 24 in. in diameter. Cameras and lights will operate above the waterline, and ultrasonic transducers will operate below the waterline. The PipeEye system is derived from an oil/gas pipeline inspection module codeveloped by Automatika and Shell Oil. Currently, the system does not yet have a product status.

4.2 Acoustic Technologies
Acoustic technology in general terms uses measuring devices to detect vibrations and/or sound waves. In pipeline assessment, acoustic sensors are used to detect signals emitted by defects and are utilized by a variety of commercially available products. Acoustic technologies are used extensively for inspection of water mains; therefore, this category of inspection technology can also be used for force main inspection.

There are three distinct classifications of acoustic technologies:
x Leak detectors, which are used to detect the acoustic signals emitted by pipeline leaks. x Acoustic monitoring systems, which are used to evaluate the condition of PCCP. x Sonar, or ultrasonic, systems, which emit high frequency sound waves and measure their reflection off the pipe wall in order to detect a variety of pipe defects.

Table 4-8 summarizes these classifications of acoustic technologies.

Case 3:05-cv-03829-MMC Document 57 Filed 06/04/18 Page 94 of 126 2608
Table 4-8: Acoustic Technology Summary

SUMMARY IN-LINE LEAK

DETECTORS

ACOUSTIC MONITORING

SYSTEMS SONAR/ ULTRASONIC
Sewer type Force mains, gravity
sewers
Force mains Force mains, gravity sewers
Material Any PCCP Any
Pipe size >4-in. >18-in. >4-in.

Defects detected Leaks Broken pre-stressed wires Pipe wall deflections, corrosion, pits, voids, and
cracks, debris
Original application Leak detection in
pressurized water lines
Monitoring PCCP water lines Maritime use
Status Commercially available
for sewer inspection
Commercially available for
sewer inspection
Commercially available for
sewer inspection
Advantages Can detect very small
leaks.

Useful as a screening
technique prior to more
detailed inspection
Suitable for pipes of any
material and a wide range of
diameters
Disadvantages Requires minimum flow to
be carried through pipe
Only detects general distress Only inspects pipe below
the waterline

4.2.1 Leak Detectors
Leak detectors are devices used to detect the sound or vibration produced by leaks in pressurized waterlines or in sewers. These include hand-held listening devices such as listening rods, underwater microphones (also known as aqua phones, sonoscopes, water phones or hydrophones), and geophones (ground microphones); leak noise correlators; and in-line devices which collect information on leaks remotely. Listening devices and leak noise correlators are widely available, and have been used for leak detection for decades. In-line leak detectors are a more recent advancement in the use of acoustic technology for condition assessment of pipes.

The simplest forms of leak detector are mechanical listening devices. These include listening rods and aquaphones, which are both metallic rods fitted with an earpiece. These devices are operated by placing the rod in direct contact with pipes, allowing the device operator to hear leaks through the earpiece.

Geophones are another type of listening device; these are placed on soil or pavement above a pipe, allowing the operator to hear the sound from leaks as it is transmitted through the soil. Listening rod and aquaphones may also be electronic, these are similar to the mechanical devices described above but also include special elements such as noise filters, adjustable amplifiers, and sensing elements such as piezoelectric materials; leaks can be detected either by operators listening through headphones or in some cases by soundmeters that can store the sound levels emitted by leaking pipes.

Leak-noise correlators are a more complex and accurate type of leak detector, which have been used for leak detection since the 1980s. These are computer-based devices which are used to measure sound or vibration at two points on a pipe, on either side of a suspected leak. Depending on the device, the measurements are made by a vibration sensor such as an accelerometer attached to pipe contact points or an underwater microphone which is inserted into the pipe itself. Signals detected by the sensor are wirelessly transmitted to the correlator, which pinpoints the location of leaks based on the time lag between the leak signals measured from the two points.

The most complex forms of leak detectors are in-line systems, which are deployed in a pipeline and continuously monitor leakage. The rest of this section focuses on these systems. There are several

Case 3:05-cv-03829-MMC Document 57 Filed 06/04/18 Page 95 of 126 2609
commercially available in-line leak detectors which utilize acoustic technologies for pipe condition assessment. Both regional and national service providers have the ability to evaluate wastewater systems, although the technology is far more prevalent in its use for condition assessment of water distribution systems. Provided below is a description of several of these products.

Sahara£ – Pressure Pipe Inspection Company
The Sahara system was originally developed by WRc for detecting leaks in pressurized water lines, and is a proven technology for that application. In the United States, the Sahara system has begun to be used for wastewater collection systems. A series of pilot studies using the Sahara for wastewater pipeline leak detection were conducted in the United Kingdom in 2005 and North America in 2006. The system is now available in the United States from the Pressure Pipe Inspection Company.

The Sahara system consists of a sensor head and a hydrophone, which is an electrical instrument used to detect or monitor sound under water. The sensor head is inserted into a pipe through any access point greater than three inches in diameter. As the sensor head is transported through the pipe line by product flow, acoustic signals are picked up at the surface by the hydrophone. The signal is then fed through a cable, and from there to processing equipment. The system operator is able to hear signals from the system directly as well as view the signal on a computer with spectrogram software. The system locates leaks by identifying acoustic signals; the size of leaks can be estimated based on the acoustic signal recorded by the device.

The Sahara system can be used in pipelines of any material to detect leaks as slow as approximately 0.25 gallons/hour. It can be used to inspect force mains 4-in. in diameter and larger. The system requires a minimum flow velocity of approximately 3 ft/s to ensure the device can move though the pipe.

Additionally, pressure within the pipe must be between 10 and 150 psi in order for the system to recognize leaks.

Smartball£ - Pure Technologies
The Smartball£ leak detector was made commercially available by Pure Technologies in 2005. It is a proprietary system maintained by Pure Technologies. The technology is only used for inspections of pressure pipelines. It can be used for any pipeline material.

The Smartball£ consists of a neutrally buoyant, foam ball equipped with an instrumented aluminum inner core. The aluminum inner core contains several sensors including an acoustic sensor, accelerometer, magnetometer, temperature gauge, and pressure gauge. The inner core also contains a microprocessor with an ultrasonic transmitter. The system is powered by a DC battery and contains a data logger. The Smartball£ can be inserted into a pipeline and travel with the water flow for more than twelve hours, collecting data on the collection system with a single deployment. The Smartball£ has a diameter of 2.6- in. and can be used on a pipe with 10-in. or greater in diameter. A minimum flow velocity of 1.64 ft/sec is required to convey the sensor.

The system can be inserted into a full or partially full pipe, and is carried along by the flow of water or wastewater. The Smartball£ is silent; therefore its acoustic sensor can detect the sound of very small leaks in the pipeline. As the Smartball£ passes through the pipe its progress can be tracked by a variety of methods, allowing for leak location to be determined within one meter of accuracy. The system can operate for up to twelve hours before it is retrieved and data downloaded.

LxSentry – LxSix Photonics, Inc.

The LxSentry pipeline monitoring system was recently introduced by LxSix, Photonics Inc. LxSentry is a highly sensitive fiber optic system designed to detect leaks in gas pipelines. Acoustical sounds are

Case 3:05-cv-03829-MMC Document 57 Filed 06/04/18 Page 96 of 126 2610
classified by the proprietary Red Alert software, which is capable of distinguishing between pipeline leaks, tampering, intrusions, and machinery and vehicles operating in the pipeline vicinity. Minimal information on the details of the operation and use of this product is currently available. No information was available on the use of the technology for water and/or wastewater systems.

4.2.2 Acoustic Monitoring Systems
Acoustic monitoring systems are installed along PCCP to provide continuous monitoring of the general condition of the pipe. PCCP has been used historically for large diameter force mains, and has been subject to failure due to internal or external corrosion. The systems work by detecting the acoustic signal produced by breaking or broken prestressed wire within pipes. While the systems do not identify individual defects, they are useful as screening techniques to determine if further condition assessment should be performed. There are currently two technologies available that provide continuous acoustic monitoring of PCCP. These products are described below.

Acoustic Emission Testing (AET) – Pressure Pipe Inspection Company Acoustic Emission Testing (AET) is as an acoustic monitoring system used primarily to monitor the deterioration of PCCP water mains. It has also been used to evaluate sewage force mains. AET is based on the detection of the acoustic energy released when prestressed wire breaks or deflects. The system detects general distress in the pipeline by determining the frequency and number of wire breaks, or wire related events, over a period of time. The AET system determines the location of the wire related events based on the arrival time of the acoustic signals at a series of sensors within the pipe. Since the technique does not detect the number of broken wires, but rather general distress in a given section of pipeline, it is best used as a screening technique prior to utilizing other methods to pinpoint defects.

The AET system is made up of a series of units located along the pipeline. Each unit contains a sensor (either a hydrophone or an accelerometer) and a signal processor, a base station, and a precision timing device. The hydrophones are inserted into the pipeline through taps at a spacing of approximately 500 to 3,000 ft; spacing is largely dependent on pipeline diameter (smaller pipes require closer spacing than larger ones). The accelerometers are surface mounted; spacing is more flexible when this type of sensor is employed. The signal processor is a small mobile computer that is located close to the hydrophone. It monitors the signals detected by the hydrophone and transmits signals that indicate wire related events to the base station. The base station consists of a personal computer, a wireless communication module, and an internet communication module. The precision timing device, a GPS antenna and processor, provides location information on each sensor and determines the timing of acoustic events.

AET can be used to monitor active distress in PCCP 18-in. or greater in diameter. The system works while pipelines are fully operational. The technique is valuable for providing advanced warning of pipe failure, and for screening pipe networks to determine which pipes are deteriorating. However, the technique cannot detect individual defects within a pipe.

SoundPrint£ - Pure Technologies
SoundPrint£ is a patented acoustic monitoring technology used to provide continuous, non-destructive remote monitoring of water and wastewater pipelines, storage tanks and other structures. Introduced in 1993, the original version of SoundPrint£ used hydrophones to detect breaks in prestressed wire in PCCP. The newer SoundPrint£ AFO system, introduced in 2005, uses acoustic fiber-optic cable for detecting acoustic signals.

Soundprint£ AFO monitoring of PCCP involves the deployment of fiber-optic cable into the pipeline.

The cable is inserted into pipelines through new valves installed in manholes. Because the entire fiberPage 4-33 Case 3:05-cv-03829-MMC Document 57 Filed 06/04/18 Page 97 of 126 2611
optic cable acts as a sensor, up to 12,000 ft of pipeline can be monitored from a single access point. The sensor does not contain any electronics, therefore there is little to no background noise created by the device.

4.2.3 Sonar and Ultrasonic Testing
Sonar, an acronym for Sound Navigation and Ranging, was developed in 1906, and is widely used for maritime use. The first use of sonar for inspection of pipelines was carried out by WRc in 1987. Sonar testing involves very high frequency ultrasonic sound waves that reflect off the material being inspected, allowing for the detection of defects.

Sonar/ultrasonic inspections of pipelines are accomplished by passing a sonar head through the pipe being inspected. Depending on the size and flow conditions of a pipe, the sonar head is deployed into the pipeline on a raft, skid, or robotic tractor. As the sonar head moves through the pipeline, it sends out very high frequency ultrasonic signals, which are reflected by the pipe walls and then received by the sonar head. The reflection of the signals changes when there is a change in the material it is being reflected by, allowing for the detection of defects. The time between when the signal is sent and received can be used to determine the distance between the sonar head and the pipe wall, as well as to determine the internal profile of the pipe.

Sonar inspection results in a detailed profile of the pipe wall below the water surface, which can be analyzed by a variety of methods. Sonar can detect pipe wall deflections, corrosion, pits, voids, and cracks. Sonar inspection can also detect and quantify debris, grease, and silt, and can distinguish between hard and soft debris; however, defects in the pipe wall can sometimes be obscured by grease and debris.

According to Thomson et al. (2004), defects greater than 1/8 inch (3 mm) can be detected. This applies to pipe wall pitting and cracks as well as debris accumulation. Sonar does not require bypass pumping or pipe cleaning. Sonar inspection can be used in areas of poor visibility where it is difficult to use CCTV inspection. It is a versatile inspection method and can be used for inspecting gravity sewers and force mains.

One drawback to sonar is that it can only be operated in air or in water, not in both simultaneously. In some cases, a sonar system is utilized with a CCTV system, so that inspection of pipes both above and below the waterline can be accomplished simultaneously. In order to overcome this limitation, research is being done into development of systems with separate transducers, one for use in air and one in water, so that inspection of partially filled pipes can be accomplished. Additionally, longitudinal cracks in pipes can be difficult to detect.

Commercial sonar pipe inspection tools typically consist of an underwater scanning transducer, a sonar processor, and a color monitor. Table 4-9 highlights a selection of sonar-based pipe inspection products.

Case 3:05-cv-03829-MMC Document 57 Filed 06/04/18 Page 98 of 126 2612
Table 4-9: Sonar Product Comparison
DEVICE:

VENDOR

SEWER TYPE/

PIPE SIZE

DEFECTS

DETECTED NOTES
Amtec Sonar:

Amtec Surveying, Ltd.

Force mains
>21 in.

Deformations, holes, breaks,
and pipe wall loss.

A-SIS
Aquacoustic
>12 in. Pipe size & distortion,
holes, debris, scour, erosion
Combines sonar and
CCTV
Envirosight Gravity
>4 in.

Pipe diameter, shape
capacity, corrosion, cracks,
debris
Attachment for CCTV
PipeEye:

PipeEye International
Force mains, gravity
>10 in.

Build-up, deformities, flow
restriction, water level
RVS2:

R&R Visual
>10 in. Open cracks, debris,
sediment
Sonar Profiler System
(submerged): CUES
Force mains
>12 in.

Defects, blockage, debris
Sonar Profiler System
(semi-submerged): CUES
>12 in. Defects, blockage, debris Combines sonar and
CCTV
Sonar Sewer Profiling
Attachment: Redzone
Force mains, gravity
>36 in.

Blockages, deformations,
capacity, sediment
Attachment for the
Responder platform
Sonar Sweep Attachment
Redzone:

Force mains, gravity
>36 in.

Blockages, deformations,
capacity, sediment
Attachment for the
Responder platform
TISCIT:

Amtec Surveying, Ltd.

Gravity
>21 in.

Deformations, holes, breaks,
and pipe wall loss
Combines sonar and
CCTV
Ultrascan CD:

GE Oil & Gas
Force mains, gravity Axial cracks
Ultrascan DUO:

GE Oil & Gas
Force mains, gravity
>24 in.

Wall loss and cracks
Ultrascan WM:

GE Oil & Gas
Force mains, gravity Wall loss
Ultrasonic Inspection Robot
Inspector Systems
Force mains
12 -20 in.

Wall loss (measures wall
thickness)
Incorporates highresolution CCTV
Wavemaker:

Guided Ultrasonics
Force mains, gravity
>2 in.

Wall loss Uses guided waves
(Lamb wave), mounted
to outer surface of pipe.

4.3 Electrical and Electromagnetic Methods
Several sewer evaluation techniques utilize electrical or electromagnetic currents. The electrical leak location method is used to detect leaks in surcharged non-ferrous pipes. Eddy current testing (ECT) and remote field eddy current (RFEC) technology identify defects in ferrous pipes. Magnetic flux leakage (MFL) inspection is widely used in the oil and gas industry to measure metal loss and detect cracks in ferrous pipelines. Table 4-10 summarizes these technologies.

Case 3:05-cv-03829-MMC Document 57 Filed 06/04/18 Page 99 of 126 2613
Table 4-10: Electrical and Electromagnetic Methods Summary

SUMMARY ELECTRICAL LEAK

LOCATION ECT/RFEC MFL
Sewer type Force main, gravity
sewers, service laterals
Force main, gravity sewers,
service laterals
Force main, gravity sewers,
service laterals
Material Non-ferrous Ferrous Ferrous
Pipe size >3-in. >2-in. 2-in. to 56-in.

Defects detected Cracks, leaks Metal loss, cracks, leaks, broken wire, graphitization,
wall thickness
Metal loss, circumferential
and longitudinal cracks
Original application Leak potential in
geomembrane liners
Inspection of piping and
tubing including boilers, heat
exchangers, cast iron pipes,
and gas pipelines.

Petrochemical industry
Status Commercially available
for wastewater pipes
Commercially available for
wastewater pipes
Commercially available,
limited use in wastewater
applications
Advantages Available for service
laterals
Can be used on pipes of most
diameters, can be used to
locate a variety of defects.

Extensive experience with
method in the oil and gas
sector
Disadvantages Gravity pipes must be
filled prior to inspection
Limited to ferrous pipes,
typically requires postprocessing of data by vendor.

Has not been extensively
used for assessment of
sewer pipes.

4.3.1 Electrical Leak Location Method
The Electrical Leak Location Method was first developed in 1981 for the inspection of geomembrane liners. The method became commercially available in 1985, and is one of the most widely used techniques for detecting leaks in geomembrane liners. The technique involves placing an electrode on either side of the material being tested, and connecting voltage to each electrode. Because the material being tested is an electrical insulator, voltage only flows through holes in the material. The area of defects in the material has high current density, which can be detected by measuring electrical potential in the survey area. Although primarily used for geomembrane liner inspection, the technique is also applicable to pipe inspection.

As this technology relies on the pipe material being an electrical insulator, it can only be used on nonferrous pipes. The technology is useful for inspecting force mains, service laterals, and smaller gravity lines. While it is possible to inspect larger diameter gravity lines, since the technology requires gravity lines to be surcharged, the time and effort required to fill larger pipes might make this inspection method infeasible.

Although there are more than twenty commercial providers of electrical leak location services for integrity monitoring of geomembrane liners, the Focused Electrode Leak Location (FELL) is the only application developed specifically for detecting leaks in pipelines. FELL, also referred to as Electro-Scan technology, and was developed in Germany by Seba Dynatronic in 1999. GRW Engineers, Inc. has introduced the FELL system in the US. The FELL system identifies leak potential in non-conductive (i.e. non-ferrous) sanitary sewer mains, gravity lines, and service laterals using electrical continuity technology. The original application, FELL-41, was designed for use in force mains. A technique has been devised to allow for the inspection of gravity sewers by this method as well. The corporation later developed FELL-21 for inspection of service laterals. As of 2004, there were three electro-scan devices located in the United States, two of which are owned by GRW Engineering in Louisville, KY.

Case 3:05-cv-03829-MMC Document 57 Filed 06/04/18 Page 100 of 126 2614
FELL 41– Seba Dynatronic/Metrotech
FELL, or Electro-Scan, inspection is accomplished by feeding a mobile electrode, called a sonde, through the pipe of interest. Simultaneously, a fixed surface electrode, usually a metal stake, is placed in the ground. Electrical current is generated by the sonde and flows through the water within the pipe, through the pipe wall and earth surrounding the pipe, and to the surface electrode. As water, earth, and the connecting cables have a low electrical resistance and the pipe material has a high electrical resistance, very little current flows between the two electrodes. However, if a leak exists in the pipe, the electrical current passes through it easily; the larger the defect, the greater the current that flows through. The electrical current flowing between the two electrodes is measured by the sonde; this data is then transmitted to a laptop computer, which records data and displays graphically the current flowing through the pipe.

The technique only detects defects in surcharged portions of a pipe; to inspect the entire circumference of pipes that are typically not surcharged, such as gravity sewers, the pipe must first be prepared by completely filling it with water. Two techniques are used to fill pipes in preparation for FELL-41 investigation. The first involves plugging the downstream manhole and then filling the pipe with enough water that the pipe is covered at the upstream manhole; this method can be quite time-consuming and may result in back-up of service laterals. The alternative method involves the use of a sliding pipe plug. The sonde is attached to the upstream side of the plug, which is manually pulled a short distance down the pipe. The upstream portion of the pipe is filled so that the sonde is submerged, and then the plug and attached sonde is pulled through the pipe, so that the entire pipe wall can be assessed.

FELL-41 is suitable for inspecting force mains ranging from 6-in. to 60-in. in diameter. The system only works on non-conductive pipes and lined metallic pipes, and can only detect defects below the water line.

Although gravity sewers can be manually filled to allow for a complete inspection; the process of surcharging large diameter pipes requires extensive time and preparation. The product can be used to detect leaks caused by radial and longitudinal cracks, as well as faulty joints.

FELL 21 – Seba Dynatronic/Metrotech
The FELL-21works on the same principle as FELL-41, but is designed for use in 3-in. to 6-in. diameter service laterals. Rather than being deployed through the pipeline via a haul line, this device is inserted via a cleanout and moved through the pipe with a push rod. Like FELL-41, the device can only be used for the inspection of non-conductive pipes or non-ferrous pipes. FELL-21 detects leaks caused by radial and longitudinal cracks, as well as faulty joints.

4.3.2 Eddy Current Testing and Remote Field Eddy Current Technology ECT and RFEC technology involve the generation of electric currents and magnetic fields to investigate the condition of ferrous material. ECT pipe inspection involves the use of an alternating current magnetic coil to induce an electric current in conductive pipes. In turn, the electric current generates small magnetic fields or eddy currents in opposition to the coil’s magnetic field, which results in a change in the impedance of the coil. As the magnetic coil transverses the pipeline, the change in impedance is measured, allowing for the identification of defects. The effectiveness of ECT for pipeline inspection is limited by an electromagnetic phenomenon termed “skin effect”. The density of eddy currents decreases exponentially with depth. This limits the detection of defects to those located on the surface of the pipe nearest the magnetic coil, because defects located deeper within the pipeline cannot be measured.

The RFEC method was developed to surmount the limitations of standard eddy current testing. This method can detect both internal and external defects in pipelines. RFEC involves the deployment of a probe consisting of multiple magnetic coils, an exciter coil and one or more detector coils, through the pipeline. As in standard eddy current testing, eddy currents are induced in the pipe wall. These direct

Case 3:05-cv-03829-MMC Document 57 Filed 06/04/18 Page 101 of 126 2615
currents quickly attenuate as they flow along the pipe wall towards the detector coil that is typically located approximately two pipe-diameters apart from the exciter. A second magnetic field passes from the exciter to the outside of the pipe and flows along the outer pipe wall, then back into the interior of the pipe to reach the detector. This remote field attenuates very slowly along the outer pipe wall, and is therefore much stronger then the direct field when it reaches the detector. Pipeline defects and pipe wall thickness affect the propagation of the magnetic fields along the pipe walls, thereby altering the signal received by the detector. This allows for the identification of pipeline defects.

ECT and RFEC testing are primarily used to detect defects in ferrous pipe walls, such as pitting, corrosion, leaks and cracks. These testing methods can be used for the inspection of small-diameter pipes, in some cases as small as two inches in diameter, as well as very large diameter pipelines.

ECT/RFEC can be used in empty, full, and partially full pipelines. Devices utilizing ECT and RFEC technology can be used to inspect force mains and gravity sewers. However, since most gravity sewers are not constructed of ferrous materials, the technology has limited use for this application.

ECT and RFEC testing services for ferrous structures are available from a variety of vendors. Several commercial applications are specifically designed for the investigation of gas, water, and sewer pipelines.

The following are descriptions of some of these applications; as these technologies use the same basic principal, the summaries focus primarily on the differences between the various applications.

Broadband Electromagnetic Methodology (BEM) – Rock Solid Proprietary Limited (Pty. Ltd), Australia
BEM was originally developed by Rock Solid Pty. Ltd for use in the Australian mineral exploration industry. The technology has since been modified for use in pipeline inspection, and has been used for this purpose in both the United States and Europe. Unlike other RFEC applications, BEM is frequency independent, allowing operation of the device to be modified based on the material being investigated and site conditions. This reduces the likelihood that the device will be affected by electromagnetic noise, which can occur with the use of other ECT/RFEC applications.

BEM has primarily been used for condition assessment of water mains. The technology can only be used on ferrous pipes, but does work through thick coatings and linings. This technology can be used to detect a variety of pipe defects including cracks and anomalies in the pipe wall. Thomson et al. (2004) conducted field demonstrations of this method, and they state it is able to detect metal loss to 0.04 inch (1mm). BEM can also be used to measure wall thickness, quantify graphitization, and locate broken wires in PCCP.

BEM pipeline inspection can either be accomplished internally or externally. Internal pipeline inspection generally requires the pipeline to be taken out of service and emptied prior to deployment of the BEM device. As an alternative, the BEM device can be waterproofed. Internal inspection of pipelines can be accomplished in large diameter pipes by either pulling or pushing the device through the pipeline. A robotic version of the application is available for smaller pipelines (less than 36-in. in diameter). Results of pipeline inspections using BEM cannot be analyzed on-site; rather, results must be post processed.

Special software is used to create a topographic map of the pipeline which can then be analyzed to detect pipe defects.

Hydroscope – Hydroscope, Inc.

The Hydroscope was developed as a collaborative effort between Hydroscope, Canada and EPCOR Water Services (Edmonton, Canada’s privatized water utility). The application was first used in 1995 in Canada and became commercially available in the United States in 1996. However, the U.S. licensee for Hydroscope is currently in bankruptcy. Therefore, the technology may not be available in the U.S.

Case 3:05-cv-03829-MMC Document 57 Filed 06/04/18 Page 102 of 126 2616
Originally developed for inspection of waterlines, the technology has since been used for the inspection of sewer mains.

The Hydroscope consists of a series of stainless steel modules embedded with circuitry, creating a flexible probe which can travel through pipelines. The probe is connected to a computer in a service vehicle by a tether and data cable. Data cannot be analyzed in the field; rather, data are analyzed at the Hydroscope Analysis Center with a proprietary software package called HYDA or the more advanced HYREL.

Like all ECT/RFEC-based pipeline inspection applications, the Hydroscope can only be used in pipes composed of ferrous material. One advantage of the Hydroscope system is that it functions in both dry and submerged conditions. Probes are available for pipe diameters in the range of 6-in. to 15-in. The technology can detect pitting, corrosion, graphitization and wall thinning in pipes.

See Snake Tool – Russell NDE Systems, Inc.

Russell NDE System’s, Inc.’s See Snake is a small, flexible device which uses RFEC technology to detect corrosion and pitting in pipelines and to measure wall thickness and surface area. The tool can also detect areas of pipe under external stress such as movement of soil, poor support, rippling, bridging and denting.

This technology is primarily intended for inspection of pipes before purchase or after construction to ensure pipeline integrity, and after a pipeline failure to determine if there are additional defects in the vicinity of the break.

Unlike most RFEC devices, which pass signals through a data cable, signals from the See Snake are detected from above ground. This allows for tracking the tool as it passes through the pipeline. Another distinguishing feature of the See Snake is that data analysis can be performed on site during the inspection, unlike other technologies which require off-site analysis.

The See Snake is primarily used in the oil and gas industry. Currently, the tool is only available for small pipes, ranging in size from 2-in. to 8-in. in diameter. Given the small size of the device, and its ability to be pushed through pipelines by liquid, the See Snake is potentially viable for inspection of force mains.

P-Wave£ - Pure Technologies
Pure Technologies’ P-Wave3
system generates an electromagnetic field and detects changes induced in the field by broken wires in PCCP. Results of P-Wave inspection include an estimate of the number of broken wires, as well as their location. The technology allows for the evaluation of a pipe’s current condition and the identification of distressed areas. The system is available for use in sewer pipes; however, the pipe must be empty to use the product. P-Wave inspection is often followed up with the use of an acoustic monitoring technology, such as Soundprint“, also available from Pure Technologies.

Remote Field Eddy Current/Transformer Coupling (RFEC/TC) – Pressure Pipe Inspection Company Pressure Pipe Inspection Company’s patented RFEC/TC is specifically designed for use in pre-stressed concrete pipe, including embedded Concrete Pipe, lined cylinder pipe, and bar-wrapped pipe. Rather than detecting defects such as corrosion, pitting, and leaks, this technology is primarily used to detect and quantify broken wires within the concrete pipe to determine whether pipe segments need further monitoring, repair, or replacement. In this application, the electromagnetic field generated by the exciter is amplified by the pre-stressed wires within the pipe. Signals generated by broken wires can be differentiated from those generated by intact wires.

RFEC/TC is effective for inspecting pipes 25-in. in diameter and larger. The largest pipe inspected to date is 252-in. In addition to broken wires, RFEC/TC can detect manholes, blow-offs, short pipe lengths, 3 P-Wave stands for Polar Wave

Case 3:05-cv-03829-MMC Document 57 Filed 06/04/18 Page 103 of 126 2617
cylinder thickness, cylinder composition, wire pitch, diameter and wraps (Pressure Pipe Inspection Company, n.d.). RFEC/TC can be used for the investigation of both force mains and gravity sewers.

Emerging Technology
Due to the versatility of RFEC testing for the inspection of pipelines, several institutions are working on the development of new applications. The Gas Technology Institute is currently developing a tool for the inspection of gas pipelines of a variety of diameters, including ones with valve and bore restrictions and tight bends. The Southwest Research Institute has recently developed an inspection technology for 6-in. to 8-in. diameter gas pipelines that couples an RFEC system to a robotic transport tool, the Explorer II, developed by Carnegie Mellon University’s Robotics Engineering Consortium. Monash University in Australia has developed a RFEC tool called TESTAU. This instrument provides an improvement to the quality of visual data over other RFEC tools.

4.3.3 Magnetic Flux Leakage Detection
MFL is a widely used inspection technique for oil and gas pipelines. The MFL technique was first developed in the 1920s and 30s for materials testing. The Tuboscope, which became commercially available in 1965, was the first tool specifically developed for pipeline inspection.

MFL detection involves the placement of one or more magnets near a pipe wall, leading to the inducement of a direct current magnetic field in the pipe wall. The strength and direction of magnetic fields are represented by flux lines. When a magnet is near a conductive pipe wall, the majority of flux lines pass through the pipe wall. However, in areas of metal loss, less flux can be carried than the intact, full wall sections of pipe. This leads to leakage of flux from pipe areas which have undergone metal loss, as well as a change in the shape of the induced magnetic field. Flux leakage is detected by sensors; computer software is then used to determine the type and size of anomalies detected by the sensor.

MFL devices consist of several systems packaged into a single tool. At a minimum, an MFL tool contains a magnetizing element, sensor, data recording, and power systems. MFL tools are usually categorized as single piece or segmented. Single piece MFL tools contain all system components in a single rigid tool while segmented tools consist of multiple pieces joined to one another with flexible connectors.

Inspection of pipelines via MFL detection involves the deployment of an MFL device through the pipeline. As the device moves through the pipeline, usually pushed by the product flowing through the pipeline, the tool detects and records changes in magnetic flux. Traditional MFL devices, also called axial MFL, produce a magnetic field oriented along the axis of the pipe. More recently, circumferential MFL has been developed whereby the magnetic field is oriented around the pipe, allowing for better detection of axial defects such as cracks, seam weld defects, and groove corrosion.

MFL inspection only works on conductive cast iron or steel pipelines. Most MFL applications are large, and therefore only suited to larger diameter pipelines; however, some commercial applications have been developed for use in smaller diameter pipelines. Although MFL is most commonly used to detect metal loss, the technique can detect a variety of pipeline anomalies, including circumferential and longitudinal cracks. Newer, advanced MFL tools are additionally capable of producing accurate measurements of pipe defects.

Given the widespread use of MFL technology in the oil and gas industry, there are a variety of commercial MFL products available. However, the technology has yet to gain acceptance in condition assessment for wastewater collection systems. The majority of MFL tools operate on the basic principles outlined in the previous section. The primary distinction between them is whether they use axial or

Case 3:05-cv-03829-MMC Document 57 Filed 06/04/18 Page 104 of 126 2618
circumferential MFL, and the applicable diameter range. Table 4-11 provides basic specifications on available MFL tools.

Table 4-11: MFL Product Comparison

DEVICE VENDOR TYPE PIPE SIZE NOTE
AES 19 Advanced Engineering
Services
Circumferential 3-in. to 12-in.

AES ECAT Advanced Engineering
Services
Axial >12-in. Works externally
Axial Flaw Detection
(AFD) Tool
Rosen Inspection Circumferential 6-in. to 56-in.

Corrosion Detection
Pig (CDP)
Rosen Inspection Axial 6-in. to 56-in.

CPIG Baker Hughes Axial 4-in. to 48-in.

LINSCAN Lin Scan Axial 6-in. to 56-in.

MagneScan GE Energy Axial 6-in. to 56-in.

MAGPIE TDW Services, Inc. Axial 4-in. to 42-in.

MFL Inspection Tool NGKS Axial 8-in. to 56-in.

Pipesurvey MFL Pipesurvey
International
Axial Bidirectional
TranScan GE Energy Circumferential 12-in. to 36-in.

VECTRA BJ Services Company Circumferential Inertial navigation Vertiline /V-Line* Baker Hughes Axial 2-in. to 36-in. Bidirectional *According to Baker Hughes, the Vertiline/V-line system is applicable for use in sewer lines.

4.4 Laser Profiling
Laser profiling generates a profile of a pipe’s interior wall. The technique involves using a laser to create a line of light around the pipe wall. For this reason, it is also called the lightline method. The laser light highlights the shape of the sewer, allowing for the detection of changes to the pipe’s shape, which may be caused by deformation, corrosion, or siltation. Laser inspection can only be used to inspect dry portions of a pipe. To assess the entire internal surface of a pipeline requires the pipe to be taken out of service.

Lasers are often used in combination with other inspection methods, most commonly CCTV and/or sonar.

Table 4-12 provides a summary description of the laser profiling technology.

Table 4-12: Laser Profiling Summary

SUMMARY
Sewer type Gravity sewers, force mains.

Material Any
Pipe size Product dependent
Defects detected Deformations, siltation, corrosion,
Original application Earlier use in large diameter tunnels and caverns Status Commercially available
Advantages Provides better data quality then CCTV alone, can be used to create 3D models of pipelines.

Disadvantages Can only detect defects above the water line.

Specific examples of laser profiling technologies are presented in the following section.

Case 3:05-cv-03829-MMC Document 57 Filed 06/04/18 Page 105 of 126 2619
Active 3D Laser Scanning – Redzone Robotics
RedZone Robotics offers the Active 3D Laser Scanning Attachment for its Responder Robotic platform.

This attachment creates a three dimensional model of the pipe, which allows for visualization of features not visible by CCTV inspection. The attachment can be used to assess pipes ranging from 48-in. to 100- in. in diameter, and requires a minimum 24-in. diameter manhole for deployment. Inspections up to 5,500-ft. are standard while specialized configurations enable custom inspections of up to 14,000-ft.

Coolvision – Sima Environmental
Coolvision is an attachment for traditional CCTV systems. The laser system results in reports which detail pipe grade and deflection. The system allows for the detection and measurement of cracks, as well as the measurement of sediment, water depth, and service locations.

Laser Profiler – CUES
CUES offers the Laser Profiler as an attachment to the CUES CCTV system. The attachment easily snaps on to the system, and allows for the creation of reports which include measurements of sewer defects.

The attachment works by projecting a ring of light on the pipe’s surface. The light is recorded by the CCTV camera as the inspection is conducted. Software is used to analyze the laser ring and create a 3D digital profile of the pipe. This can be done either from live or recorded video. The profiler can be used to detect and measure pipe size, ovality and capacity, laterals, water levels, and off-set joints, as well as to collect survey data. The CUES laser attachment can be used to inspect pipes ranging from 6-in. to 72-in. in diameter.

Laser Profiling Tool - Envirosight
Envirosight provides a laser profiling tool which can be used with either the ROVVER or SuperVision crawlers and a CCTV camera. The device can detect corrosion, cracks, debris, pipe deformation, and incorrect installation of liner. The tool can be used individually, or in combination with a sonar profiler to inspect the pipe surface below the flow line. The tool can be used in pipes ranging from 4-in. to 160-in. in diameter. The tool is used with machine vision software, which uses data gathered from the CCTV video to create a variety of reports, statistical analyses, and 2D or 3D models of the pipe.

Laser Profiler – R&R Visual
R&R Visual offers the Laser Profiler for inspection of dry gravity sewers. The tool works on pipes ranging in sizes from 6-in. to 160-in. in diameter. The device allows for accurate pipeline measurement, measurement of sediment depth and volume. R&R Visual suggests utilizing this technology to assist in soliciting accurate price quotes for pipeline cleaning in order to create cost savings for the utility owner.

The system works with R&R Visual proprietary software and Clearline software for 3D modeling.

4.5 Flow Meters
Flow meters (area-velocity meters) typically operate by direct measurement of depth and velocity. Flow is then calculated based on the continuity equation. Metering devices referred to as “depth-only” or “primary” metering devices calculate flow using weirs or flumes based on flow discharge relationship equations. These metering devices are limited for pipe reaches that do not surcharge. Other “velocityonly” metering devices function by measuring velocity in pipe sections that continually operate under full flow conditions.

Case 3:05-cv-03829-MMC Document 57 Filed 06/04/18 Page 106 of 126 2620
Communication with a flow meter can be achieved in the following manners: direct connection by laptop in the field, telephone land lines, wireless digital telephone or internet technology, or radio frequency networks. This includes communication through such technologies as general packet radio service/enhanced data rates for global evolution (GPRS/EDGE); code division multiple access (CDMA); mobile digital radio technology, including CDMA-1XRTT and CDMA-EVDO (evolution data optimized). Although most meter data are collected with laptops in the field, wireless communication is becoming the most popular method for new meters. Most wireless communication uses internet technology. A major distinction between the communication approaches is whether each meter is assigned a fixed internet protocol (IP) address or a floating IP address. The floating IP address is the easiest and least costly to deploy, but it also allows only one-way communication from the meter to the host. Communication with a fixed IP address occurs only when initiated by the meter. Fixed IP addresses allow the user to communicate with the meter for altering set up features, changing alarm setup features and downloading new software. Many wireless carriers do not offer fixed IP addresses.

Real time communication is a very popular concept and is becoming widely used in wastewater treatment plants. Implementing real time communication in sewers is more difficult for two reasons. Most meters operate by battery and frequent communication uses more energy than data collection does. Energy use for communication is high both for operating a modem with land lines and operating the radio frequency equipment for wireless communication. Additionally, the term “real-time” in sewers is actually “near time”, because most meter measurements are in 5-minute or 15-minute collection frequencies, as many operators prefer lower collection frequencies to achieve longer battery life. Most metering technologies relying on wireless communication operate in a one-way mode from the meter to the host. This strategy is dictated primarily by the energy cost to “stay awake” for incoming communication.

The traditional view of real time data is from a Supervisory Control and Data Acquisition (SCADA) perspective in which data are collected at a high frequency from many “dumb” sensors and a central computer sorts and archives the data. This approach works well for process control. An operator is alerted to problems by the use of “set points”, such as a drop in dissolved oxygen level below a specified concentration. This may trigger an alarm condition requiring an operator response. Real time data in sewers have less value because there rarely are controllable processes in sewers, except for pump stations and perhaps diversion gates.

Software for collecting and reporting flow monitoring data has evolved along with improvements in communication protocols. Desk-top programs for analyzing flow data, performance monitoring, and project reporting are being replaced with web-based applications, which connect wirelessly to flow monitors. These software applications automate time-consuming tasks; making them more reliable and cost-effective than traditional software programs. Additionally, some of the programs incorporate GIS functionality, allowing users to integrate flow data with GIS models of the sewer system.

4.6 Innovative Technologies
Besides the range of commercially available technologies for evaluation of wastewater systems and other underground pipes, several other innovative technologies are currently under development. While the following technologies are not currently commercially available for condition assessment of wastewater systems, they may be feasible methods of sewer assessment in the future.

4.6.1 Gamma-Gamma Logging
Gamma-gamma logging is a technique used primarily to evaluate cast-in-place concrete pilings and for vertical borehole investigation in the mining and oil and gas industries. The technique involves the use of a gamma-gamma probe, which consists of a source of gamma radiation such as cesium-137 and one or

Case 3:05-cv-03829-MMC Document 57 Filed 06/04/18 Page 107 of 126 2621
more gamma detectors. The detectors are shielded from direct radiation by a heavy metal such as lead.

The gamma-gamma probe emits photons which react to surrounding material based on density. The photons are backscattered by the surrounding material, and data are recorded as a density log. Inspection using this technique is accomplished by raising and lowering the probe within a PVC inspection tube that is inserted into the concrete piling or borehole. Results of the inspection yield information on the average bulk density of the concrete. Properly constructed structures will have a consistent density. The technique can also be used to locate voids.

To date, gamma-gamma logging has not been used in pipeline inspection. However, researchers at Karlsruhe University in Germany performed laboratory tests that indicated a gamma-gamma probe could be used to locate lateral connections and locate and measure the size of cavities in the bedding surrounding a pipe. The technology may be applicable for evaluating the overall condition of concrete pipe or for detecting voids in bedding surrounding pipes. However, significant application issues would exist in terms of training requirements and the tracking of the nuclear materials. These issues are faced by the users of nuclear density gauges for soil compaction control.

4.6.2 Ground Penetrating Radar
The U.S. military originally developed ground penetrating radar (GPR) to locate underground tunnels and mines. GPR operates on the same principle as radar. A transmitting antenna emits high-frequency radio waves into the ground. The waves travel through the ground until they reach a material which has a different conductivity and dielectric constant than the earth. The signal is reflected and recorded by a separate receiving antenna. The amount of time it takes for the electromagnetic radio waves to be reflected by subsurface materials can be analyzed to determine the position and depth of features below the earth’s surface.

There are a number of commercially available GPR systems. While some are designed to be used to locate underground utilities, none is significantly used at present for pipeline inspection. GPR systems that have been used to date in North America for internal pipe inspection could be considered more in the prototype stage than in commercial use. However, since GPR can detect underground voids, it is potentially useful for examination of pipe bedding. GPR can also potentially be used to locate leaks, since saturated soil slows radio waves, resulting in a GPR profile showing a pipe deeper then would be expected. Research into using GPR for sewer and bedding condition inspections is ongoing. Research has already been conducted on its use for small diameter sewer lines and brick sewers.

4.6.3 Infrared Thermography
Infrared thermography (IRT) involves the use of an infrared camera to measure the temperature differential across the surface of an object. Software can then be used to create an image displaying different temperatures as different colors. This allows for the detection of the surface expression of thermal conditions beneath the surface. In this regard, it is a potential method of detecting sewer defects such as leaks and voids, both of which can result in surface temperature variations when a sufficient internal/external temperature difference exists.

Two basic methods of IRT are generally employed: passive IRT, which requires no external heat source; and active IRT, which requires the use of a heat source such as an infrared tube light. Research into the use of passive IRT to detect defects in and around subsurface pipelines has been conducted. The method has been demonstrated to be capable of detecting subsurface defects such as leaks, voids, and deteriorated insulation. Because the process is carried out from the surface, and the equipment used can scan a large area quickly, the technology can be an efficient method for detecting pipe defects. Active IRT has been proposed as a method for pipeline assessment, but has not yet been evaluated.

Case 3:05-cv-03829-MMC Document 57 Filed 06/04/18 Page 108 of 126 2622

4.6.4 Micro-Deflection
Micro-deflection is a nondestructive technology used to evaluate brick, concrete, and clay structures. The method involves the use of a load to create slight deformation, termed a micro-deflection, in the test material. The change in position of the structure is measured, and a graph of load versus deflection is created. Structurally sound test materials would be expected to have a consistent load versus deflection graph, while deteriorated sections of the material would have a different value on the graph.

Although not a widespread method of evaluating wastewater pipes, micro-deflection has been used to evaluate brick sewers. However, the usefulness of micro-deflection is limited, because the process can only give a general understanding of pipe condition, such as the integrity of joints, rather than identifying individual defects. In addition, plastics such as PVC and HDPE cannot be inspected using this method.

4.6.5 Impact Echo/Spectral Analysis of Surface Waves (SASW) Impact Echo and SASW are two related techniques for evaluation of concrete and masonry. Both work by subjecting a pipe to an elastic impact, produced by a device such as a pneumatic hammer, which then propagates through the pipe. The waves are reflected by internal flaws, as well as the surface of the material, and the reflected waves are detected by an acoustic transducer such as a geophone located on the exterior of the pipe. The technique can locate and measure cracks, delaminations, voids, and honeycombing.

Impact Echo testing services are provided by several companies and its applicability for pipelines has been researched. The Acoustic Impact Hammer, developed by the University of Karlsruhe in Germany, uses a hammer to tap the inner surface of a pipe; laboratory trials resulted in the detection of cracks and cavities around the pipe. A German technology which uses lasers to scan the response to impacts and analyze them via SASW is available for tunnels and large pipes; however, this system requires entry into the pipe and is therefore only suitable for very large pipes.

4.6.6 Ultrasonic Testing Systems
Several new ultrasonic-based testing systems are currently under development. Researchers at King’s College in London are developing a multi-sensor system termed the Ultrasonic-Based Inspection System that can be integrated into existing CCTV inspection systems. This system automatically classifies data based on an artificial neural network, and can detect very small cracks in the millimeter range. Research into use of ultrasonic pulse velocity for the evaluation of concrete is being carried out at the University of Waterloo in Canada. Researchers at Pennsylvania State University are working to develop a sensor using No-Contact Ultrasonic technology, which would be deployed into pipelines on a wheeled carriage.

Case 3:05-cv-03829-MMC Document 57 Filed 06/04/18 Page 109 of 126 2623

5.0 Technology Forum Summary

5.1 Background
A technology forum was held on September 11 and 12, 2008 in Edison, New Jersey to discuss the state of the science for condition assessment of wastewater collection systems and to identify critical gaps in current knowledge. The white paper was distributed to participants in advance of the meeting and served as a basis for forum discussions. The objective of the forum was to present the findings of the research and obtain direction for additional research and further evaluation during the field demonstration tasks. Figure 5-1 lists the presenters and attendees at the Technology Forum.

WERF and other research institutions expressed interest in collaboration and sharing of research findings. WERF has completed twelve research projects related to condition assessment and rehabilitation of wastewater infrastructure in the last ten years; these research reports can be found at www.werf.org. WERF’s Condition Assessment Protocols project, completed in 2007, provides guidance on developing and implementing a condition assessment program, and includes an inventory of condition assessment tools and techniques. On-going WERF research includes development of decision support tools and implementation guidance for risk analysis, costbenefit, and estimation of residual life. Virginia Tech is working on a WERF project to create the National Database for Sustainable Water Infrastructure Management, with the objective of creating a web-based model that can be used by utilities to determine information requirements for asset management decisions and support the formal specification of data requirements.

5.2 General Discussion
The primary components of any asset management program include the identification, location and condition of assets; the determination of their useful life, and their valuation. Condition assessment provides the critical information needed to determine the condition of each pipe within the system and its estimated time to failure or remaining useful life. Critical gaps in the use of condition assessment as an asset management tool include lack of consistent, standard condition assessment protocols; methods for the systematic collection of data; and formal risk assessment methods to prioritize resources for maintenance and or/rehabilitation activities.

Data needs for conducting condition assessment and making asset management decisions were discussed at the Forum. It is important to define data needs so resources are spent wisely. The level of data needed for day-to-day management is different than what is needed for making decisions on major rehabilitation. Some meeting participants suggested that simple rules of thumb are adequate for making rehabilitation decisions (i.e., three or more major defects per 250-300 foot pipe segment triggers rehab or replacement). It was agreed by the participants that very detailed information is needed for CMOM. Better data including historical information are required for modeling. There is a concern that creating large databases for condition assessment data would be overwhelming to utilities. There is added value from gathering extra data. Information from a variety of inspection tools should be used to make better decisions; CCTV is only one aspect of assessment and should not be used in isolation.

Flow monitoring is an important tool in asset management. In one case, pipes were going to be replaced at tremendous cost, but flow monitoring data showed a restriction at a stream crossing was causing a backup; the restriction was fixed, and overflows were reduced dramatically at a much lower cost. Flow assessment data can be used to assess sewer condition and long-term system performance and to help calibrate models. Flow metering data is traditionally used to generate hydrographs which provide information about water upstream of the meter.

Scattergraphs (displays of paired depth and velocity readings that look like a pipe curve under normal flow conditions), can reveal both upstream and downstream conditions, and can be used as verification of other inspection data. Flow metering data may not be useful for predicting pipe failure.

The development and implementation of condition assessment programs was a topic of discussion. Most condition assessment programs are currently focused on identifying and correcting I/I problems. A question was raised as to whether condition assessment should focus on other sewer defects in the future. Some utilities focus on coding defects, but may not spend enough time on identifying and correcting problems. The condition

Case 3:05-cv-03829-MMC Document 57 Filed 06/04/18 Page 110 of 126 2624
assessment program should have a system-wide focus and not be limited to one aspect of the collection system such as laterals or manholes.

An understanding of pipe failure mechanisms is needed to tailor a condition assessment program to the utility’s high priority needs and also to improve use of predictive models. The United Kingdom has developed a comprehensive database on wastewater utility assets and pipe failures that can be used to study pipe failure mechanisms. Pipe failure is dependent on many factors including the system design, installation, operation, maintenance and inspection. For example, system operating conditions (i.e. hydraulics, I/I) together with poor maintenance practices may cause accumulation of sediment and other debris, resulting in sewage blockages, overflows, increased hydrogen sulfide production and/or increased corrosion. The main cause of failure in ferrous force mains is internal corrosion whereas PCCP fails most often due to external corrosion. Rehabilitated pipe may fail at an accelerated rate depending on contractor experience, selection of rehab technology and the understanding of baseline conditions. Many failures can be traced to human error.

There are many tools and risk assessment models for decision making related to asset management, ranging from simple to complex. A question was raised as to whether utilities should use simple vs. complex tools. A one-size fits all approach does not seem appropriate. One tool that is needed is a branched decision-making tree based on defect coding that can help prioritize areas for inspection. Decision making models are used to assess the probability of failure and the consequences of failure. With accurate assessments of the probability of failure and the consequences of failure, cost-effective decisions can be made on risk mitigation. While the physical science is good, the decision sciences are lagging. Utilities often lack the input data for pipe failure prediction models.

There is a need for better decision making, and to improve on the general rules-of-thumb to make decision making more cost effective.

A number of models related to risk-based pipe performance and condition assessment were presented and discussed at the Forum:
x An on-going WERF project is developing a web-based model that can be used by utilities to determine information requirements for asset management decisions and support the formal specification of data requirements. The project is developing protocols and methods for predicting the remaining economic life of water and wastewater pipes, and developing a condition/performance index.
x Fuzzy logic can be used for modeling pipe deterioration and to help make decisions on pipe renewal.

Fuzzy mathematics provides an alternative in cases where pipe condition data are lacking. It analyzes possibilities rather than probabilities of failure. The method was applied to large water transmission mains as part of an AwwaRF project. Prototype software T-WARP is available on AwwaRF’s website (AwwaRF Project No. 2883).
x CARE-S, funded by the European Union, was designed as a proactive approach to develop methods and software that support efficient rehabilitation decisions. Failure codes developed as part of this project have been adopted by six European countries to date. CARE-S can be used for failure forecasting, assessments of hydraulic performance and environmental impacts, and selection of rehabilitation technologies.
x A simple approach for condition assessment presented at the Forum taps into the utility’s extensive knowledge of the piping network rather than a comprehensive database of pipe information. The approach uses the utility’s “beliefs” or observations about pipe condition to develop a criticality rating of likelihood and consequences of failure. The approach is user friendly and does not require expert input. It can be applied using a simple computer program by utilities and their consultants.

The approach was developed by a WERF-funded project, SCRAPS.

5.3 Critical Gaps Identified in State of the Science
Critical gaps in our knowledge of inspection technologies, and our ability to diagnose and predict infrastructure failures were identified at the Technology Forum and are summarized below.

1. Research is needed to further define the costs and benefits of pipe inspection and rehabilitation as part of a utility’s condition assessment program. Methods of determining the impact of deteriorating collection systems on municipal budgets are needed.

Case 3:05-cv-03829-MMC Document 57 Filed 06/04/18 Page 111 of 126 2625

2. Inspection technologies need to be identified for the following applications:
a. Reduce use of confined space entry during sewer system inspections and investigations. b. Affordable inspection technology that utilizes multi-sensor devices on a small transportable package.
c. Inspecting pipes below the waterline.
d. Inspecting force mains that are in service.
e. Inspecting laterals.

3. Data management methods and models are available but a lack of standardization makes it difficult to compare historical data collected with different inspection technologies that have proprietary data structures.

4. Research is needed to improve how asset condition is tracked over time. Geospatial information (with a high degree of accuracy) needs to be collected along with pipe condition data in order to link historical inspection data with an exact physical location.

5. Information transfer to practitioners was identified as a critical industry need. Practitioners need training on topics such as infrastructure failure mechanisms; using historical inspection data for condition assessment applications; applying the PACP coding system to characterize pipe defects; developing a condition assessment program; and preparing accurate record drawings for new and rehabilitated pipe. Practitioners need simple condition assessment tools (i.e. scattergraphs for analyzing flow data, decision trees, and rules of thumb).

5.4 Recommended Next Steps
Based on the Technology Forum discussions and findings, the project team has identified the following technologies for possible inclusion in the project’s field demonstrations:

1. Focused Electrode Leak Location System FELLS 41.

2. Ultra-wide band (UWB).

3. Laser (2D/3D).

4. Autonomous crawler technology.

5. Zoom Camera.

6. Digital scanning vs. CCTV.

7. Flow metering analysis as input to decision making tools to prioritize need for inspection.

8. Embedded sensors to monitor deflection, corrosion potential, and pressure.

Case 3:05-cv-03829-MMC Document 57 Filed 06/04/18 Page 112 of 126 2626

PROJECT TEAM
The Cadmus Group
*Katherine Martel
Ralph Jones
Chi Ho Sham
The Louis Berger Group
Lou Ragozzino
*Christopher Feeney
Samantha Hogan
ADS
Pat Stevens
Michael Bonomo
RedZone Robotics
*Scott Thayer
Brian Bannon
*John Fortin-Independent Consultant

TECHNOLOGY EXPERTS
*D. Thomas Iseley - Purdue University *Lucio Soibelman - Carnegie Mellon University Jeff Plymale – RJN Group *Raymond L. Sterling - Louisiana Tech *Dan Murray - USEPA ORD *Tony Urquhart – MWH Global
*Roy Ramani – WERF *James Thomson - Consultant
*Duncan Rose – GHD Consulting Inc. *Annie Vanrenterghem-Raven - NYU Polytechnic *Sunil K. Sinha - Virginia Tech *Zack Zhao - Ultraliner, Inc.

US EPA PARTICIPANTS
Steve Allbee *Dennis Lai Ari Selvakumar
Richard Field *Dan Murray Anthony Tafuri
Evelyn Huertas Michael Royer Carlos Villafañe

STAKEHOLDERS
Steve Allbee – USEPA Office of Water
*Yehuda Kleiner – NRC Canada
Troy Norris – ASCE Pipeline Division
*Roy Ramani - Water Environment Research Foundation (WERF) *Rod Thornhill – National Association of Sewer Service Companies (NASSCO) Marty Umberg - National Association of Clean Water Agencies (NACWA) Robert A. Villee – WEF Collection System Committee

ADDITIONAL ATTENDEES
Wendy Condit – Battelle
George Kurz - Barge Waggoner Sumner & Cannon
Robert Pennington - Camp Dresser & McKee Inc.

Lily Wang - Battelle
Dan Watts - New Jersey Institute of Technology
*Technology Forum Presenter
Figure 5-1: Technology Forum Attendees

Case 3:05-cv-03829-MMC Document 57 Filed 06/04/18 Page 113 of 126 2627

6.0 References
American Concrete Institute. (2000). Service-Life Prediction: State- of-the-Art Report. American Concrete Institute: Framington Hills, MI.

American Water Works Association Research Foundation (AwwaRF). (2005). Risk Management of Large-Diameter Water Transmission Mains. AwwaRF Project No. 2883. AwwaRF: Denver, CO.

Fleury, M.A. and Warner, J. (2007). Arizona’s Largest Condition Assessment. Proceedings of WEF Collection Systems Specialty Conference, May 13-16, Portland, OR.

Marlow, D., Heart, S., Burn, S., Urquhart, A., Gould, S., Anderson, M., Cook, S., Ambrose, M., Madin, B., and Fitzgerald, A. (2007). Condition Assessment Strategies and Protocols for Water and Wastewater Utility Assets. Water Environment Research Foundation (WERF): Alexandria, VA and IWA Publishing: London, United Kingdom.

McDonald, S.E. and Zhao, J.Q. 2001. Condition Assessment and Rehabilitation of Large Sewers. Report No. NRCC-44696. Institute for Research in Construction, National Research Council Canada:

Ottawa, Canada
Merrill, M.S., Lukas, A., Palmer, R.N., and Hahn, M.A. (2004). Development of a Tool to Prioritize Sewer Inspections. WERF: Alexandria, VA.

National Association of Sewer Service Companies (NAASCO). (2001). Pipeline Assessment And Certificate Program (PACP),v. 3.0. NASSCO: Owings Mills, MD.

Pressure Pipe Inspection Company, The. (n.d.). The Remote Field Eddy Current / Transformer Coupling Technology (RFEC/TC). Retrieved December 10, 2008 from
http://www.ppic.com/home/download.html
Rahman, S. and Vanier, D.J. (2004). Municipal Infrastructure Investment Planning. MIIP Report: An Evaluation of Condition Assessment Protocols for Sewer Management. Report No. B-5123.6, Institute for Research in Construction: Ottawa, Canada.

Thomson, J.C. (2008). The Value of Inspection. Presented at: STREAMS Task Order 59 Condition Assessment of Collection Systems Technology Forum. Sept. 11-12, 2008. Edison, NJ.

Thomson, J.C., Hayward, P., Hazelden, G. Morrison, R.S., Sangster, T., Williams, D.S., Kopchynkski, R.K. (2004). An Examination of Innovative Methods used in the Inspection of Wastewater Systems.

WERF: Alexandria, VA and IWA Publishing: London, United Kingdom.

U.S. Environmental Protection Agency (USEPA). (2002). Clean Water and Drinking Water Infrastructure Gap Analysis. Report No. USEPA-816-R-02-020, USEPA, Office of Water:

Washington, District of Columbia.

USEPA. (2005). Guide for Evaluating Capacity, Management, Operation, and Maintenance (CMOM) Programs at Sanitary Sewer Collection Systems. Report No. EPA-305-B-05-002, USEPA Office of Enforcement and Compliance Assurance: Washington, District of Columbia.

Case 3:05-cv-03829-MMC Document 57 Filed 06/04/18 Page 114 of 126 2628
USEPA. (2007). Innovation and Research for Water Infrastructure for the 21st Century Research Plan.

Report No. EPA-ORD-NRMRL-CI-08-03-02, USEPA: Washington, District of Columbia.

Water Research Centre (WRc). (2003). Manual of Sewer Condition Assessment, 4th edition. WRc:

Swindon, Wiltshire, United Kingdom.

Case 3:05-cv-03829-MMC Document 57 Filed 06/04/18 Page 115 of 126 2629
Appendix A
Technology Vendors
Page A-1
Case 3:05-cv-03829-MMC Document 57 Filed 06/04/18 Page 116 of 126 2630
Camera Technologies
Digital Camera Inspection
Product(s) Vendor/Address Phone/Fax/Email/URL
DigiSewer Envirosight
111 Canfield Ave.

Randolph, NJ 07869
Tel: (866) 936-8476
Fax: (973) 252-1176
Email: through website
URL: http://www.envirosight.com
Panoramo Rapidview-IBAK USA
1828 West Olson Road
Rochester, IN 46975
Tel: (800) 656-4225
Fax: (574) 224-5426
Email: [email protected]
URL: http://www.rapidview.com
Sewer Scanning
Evaluation
Technology (SSET)
Hydromax USA, LLC
1766 Brent Drive
Newburgh, IN 47630
Tel: (812) 925-3930
Fax: (812) 925-3911
Email: [email protected]
URL: http://www.hydromaxusa.com
Zoom Cameras
Product Vendor/Address Phone/Fax/Email/URL
AquaZoom Aquadata, Inc.
95 5th Avenue
Pincourt, Quebec
Canada J7V 5K8
Tel: (800) 567-9003
Fax: (514) 425-3506
Email: [email protected]
URL: http://www.aquadata.com
Aries HC3000 Zoom Aries Industries Tel: (800) 234-7205
Pole Camera 550 Elizabeth St.

Waukesha, WI 53186
Fax: (262) 896-7099
Email: through website
URL: http://www.ariesind.com
Ca-Zoom PTZ GE Sensing & Inspection
Technologies
Tel: (888) 332-3848
Fax: (866) 899-4184
Quickview 721 Visions Drive
Skaneateles, NY 13152
Email: through website
URL:
http://www.geinspectiontechnologies.com
CUES IMX Truck
Mounted Zoom
Camera
CUES IMX Corporate Office
3600 Rio Vista Ave.

Orlando, FL 32805
Tel: (800) 327-7791
Fax: (407) 425-1569
Email: [email protected]
URL: http://www.cuesinc.com
Page A-2
Case 3:05-cv-03829-MMC Document 57 Filed 06/04/18 Page 117 of 126 2631
PortaZoom CTZoom Technologies Tel: (888) 965-8987
2500 Boul. Des Enteprises #104
Terrebonne (Quebec)
Canada J6X 4J8
Fax: (450) 965-8987
Email: [email protected]
URL: http://www.ctzoom.com
Push Cameras
Product(s) Address Phone/Fax/Email/URL
Insight Vision Push
Camera
Insight Vision
600 Dekora Woods Boulevard
Saukville, WI 53080
Tel: (800) 488-8177
Fax: (262) 268-9952
URL: http://insightvisioncameras.com
CrystalCam Push
Camera
Inuktun Services Ltd.
2569 Kenworth Road, Ste. C
Nanaimo, BC
Canada, V9T 3M4
Tel: (877) 468-5886
Fax: (250) 729-8080
Email: [email protected]
URL: http://www.inuktun.com/headoffice.htm
Flexiprobe Pearpoint/RADIODETECTION
154 Portland Road
Bridgton, ME 04000
Tel: (877) 247-3797
Fax: (207) 647-9495
Email: [email protected]
URL: http://www.pearpoint.com
Hydrus, Orion,
Orion L
Rapidview-IBAK USA
1828 West Olson Road
Rochester, IN 46975
Tel: (800) 656-4225
Fax: (574) 224-5426
Email: [email protected]
URL: http://www.rapidview.com
Lateral Launchers
Product(s) Vendor/Address Phone/Fax/Email/URL
LAMP CUES IMX Corporate Office
3600 Rio Vista Ave.

Orlando, FL 32805
Tel: (800) 327-7791
Fax: (407) 425-1569
Email: [email protected]
URL: www.cuesinc.com
Lateral Evaluation
Television System
Aries Industries
550 Elizabeth St.

Waukesha, WI 53186
Tel: (800) 234-7205
Fax: (262) 896-7099
URL: http://www.ariesind.com
Lateral Inspection
System
RS Technical Services
1327 Clegg St.

Petaluma, CA 94954
Tel: (800) 767-1974
Fax: (707) 778-1974
URL: http://www.rstechserv.com
Page A-3
Case 3:05-cv-03829-MMC Document 57 Filed 06/04/18 Page 118 of 126 2632
IBAK LISY 150-M Rapidview-IBAK USA Tel: (800) 656-4225
1828 West Olson Road
Rochester, IN 46975
Fax: (574) 224-5426
Email: [email protected]
URL: http://www.rapidview.com
Small Diameter Tractors
Product(s) Address Phone/Fax/Email/URL
ELKT100 Mini Pearpoint/RADIODETECTION
154 Portland Road
Bridgton, ME 04000
Tel: (877) 247-3797
Fax: (207) 647-9495
Email: [email protected]
URL: http://www.pearpoint.com
KRA 65 Rapidview-IBAK USA
1828 West Olson Road
Rochester, IN 46975
Tel: (800) 656-4225
Fax: (574) 224-5426
Email: [email protected]
URL: http://www.rapidview.com
Mighty Mini
Transporter
RS Technical Services
1327 Clegg St.

Petaluma, CA 94954
Tel: (800) 767-1974
Fax: (707) 778-1974
URL: http://www.rstechserv.com
Rovver 100 Envirosight
111 Canfield Ave.

Randolph, NJ 07869
Tel: (866) 936-8476
Fax: (973) 252-1176
Email: through website
URL: http://www.envirosight.com
Versatrax 100 Inuktun Services Ltd.
2569 Kenworth Road, Ste. C
Nanaimo, BC
Canada, V9T 3M4
Tel: (877) 468-5886
Fax: (250) 729-8080
Email: [email protected]
URL: http://www.inuktun.com/headoffice.htm
Xpress Silver-Bullet
Crawler
Insight Vision
600 Dekora Woods Boulevard
Saukville, WI 53080
Tel: (800) 488-8177
Fax: (262) 268-9952
URL: http://insightvisioncameras.com
Long Range Tractors
Product Vendor/Address Phone/Fax/Email/URL
Versatrax 300 VLR Inuktun Services Ltd.
2569 Kenworth Road, Ste. C
Nanaimo, BC
Canada, V9T 3M4
Tel: (877) 468-5886
Fax: (250) 729-8080
Email: [email protected]
URL: http://www.inuktun.com/headoffice.htm
Page A-4
Case 3:05-cv-03829-MMC Document 57 Filed 06/04/18 Page 119 of 126 2633
Responder Redzone Robotics Fax: (412) 476-8981
91 43rd St., Ste.250 Email: through website
Pittsburgh, PA 15201 URL: http://www.redzone.com
Acoustic Technologies
In-Line Leak Detectors
Product Address Phone/Fax/Email/URL
LxSentry LxSix Photonics
520 McCaffrey St.

St-Laurent, Quebec
Canada H4T 1N1
Tel: (514) 599-5714
Fax: (514) 599-5729
Email: [email protected]
URL: http://www.lxsix.com
Sahara Pressure Pipe Inspection
Company
1930 West Qual Avenue, Suite
A
Phenix, AZ 85027
Tel: (866)-990-2466
Email: [email protected]
URL: http://www.ppic.com
Smartball Pure Technologies
Suite A, 9130 Red Branch Road
Columbia, Maryland 21045
Tel:1-800-537-2806
Fax: (443) 766-7877
Email: through website
URL: http://www.puretechnologiesltd.com
Acoustic Monitoring Systems
Product Address Phone/Fax/Email/URL
AET Pressure Pipe Inspection
Company
1930 West Qual Avenue, Suite
A
Phenix, AZ 85027
Tel: (866)-990-2466
Email: [email protected]
URL: http://www.ppic.com
Soundprint AFO Pure Technologies
Suite A, 9130 Red Branch Road
Columbia, Maryland 21045
Tel:1-800-537-2806
Fax: (443) 766-7877
Email: through website
URL: http://www.puretechnologiesltd.com
Sonar/Ultrasonic
Product Address Phone/Fax/Email/URL
Amtec Sonar
TISCIT
Amtec Surveying Inc.
3355 Lenox Rd. Ste. 750
Atlanta, GA 30326
Tel: (404) 504-7044
Fax: (404) 504-7004
Email: [email protected]
URL: http://www.amtecsurveying.com
Page A-5
Case 3:05-cv-03829-MMC Document 57 Filed 06/04/18 Page 120 of 126 2634
A-SIS AquaCoustic Remote Tel: (888) 3749-7601
AquaCoustic Technologies, Inc.
3339 West 8th Ave.

Vancouver, BC
V6R 1Y3 Canada
Fax: (604) 730-8771
Email: [email protected]
URL: http://www.aquacoustic.com
Envirosight Envirosight
111 Canfield Ave.

Randolph, NJ 07869
Tel: (866) 936-8476
Fax: (973) 252-1176
Email: through website
URL: http://www.envirosight.com
PipeEye PipeEye International
Unit 28 – 6275 Harrison Dr.,
Park 2000
Las Vegas, NV 89120
Tel: (888) 756-2033
Fax: (250) 753-2642
Email: [email protected]
URL: http://pipe-eye-int.com
RVS2 R&R Visual, Inc.
1828 West Olson Rd.

Rochester, In 46975
Tel: (800) 776-5653
Fax: (574)-223-7953
Email: [email protected]
URL: http://www.expipeinspection.com
Sonar Profiler System CUES Corporate Office Tel: (800) 327-7791 (submerged/semi- 3600 Rio Vista Ave. Fax: (407) 425-1569 submerged) Orlando, FL 32805 Email: [email protected] URL: www.cuesinc.com
Sonar Sewer Profiling
Attachment
Sonar Sweep
Attachment
Redzone Robotics
91 43rd St., Ste.250
Pittsburgh, PA 15201
Fax: (412) 476-8981
Email – through website
URL: http://www.redzone.com
Ultrascan CD GE Inspection Technologies Tel: (866) 243-2638 Ultrascan DUO 50 Industrial Park Road Fax: (717) 242-2606 Ultrascan WM Lewistown, PA 17044 URL:
http://www.geinspectiontecnologies.com
Inspector Systems
Ultrasonic Inspection
Robot
Aqua Drill International Inc.
1300 FM 545 East
Dickinson, TX 77539
Tel: (281) 337-0900
Fax: (281) 337-7270
URL: http://www.inspector-systtems.com
Wavemaker Guided Ultrasonics Ltd.
30 Saville Road
Chiswick, London
W4 5HG
United Kingdom
Tel: +44 (0) 20 8991 3771
Fax: +44 (0) 20 8987 0558
Email: [email protected]
URL: http://www.guided-ultrasonics.com
Page A-6
Case 3:05-cv-03829-MMC Document 57 Filed 06/04/18 Page 121 of 126 2635
Electrical and Electromagnetic Products
Electrical Leak Location Method
Product Address Phone/Fax/Email/URL
FELL-21
FELL-41
Metrotech Corporation
3251 Olcott St.

Santa Clara, CA 95054
Tel: (800) 446-3392
Fax: (408) 734-1415
Email: [email protected]
URL: http://www.fell21.com
Eddy Current and Remote Field Eddy Current
Product Vendor/Address Phone/Fax/Email/URL
BEM Rock Solid Pty, Ltd.
11 Evans Str.

Burwood Vic 3124
Australia
Tel: (+613) 9335-6122
Fax: (613) 9335-6733
Email: [email protected]
URL: http://www.rocksolidgroup.com.au
Hydroscope Hydroscope Canada, Inc
8170 50 St. NW Suite 260
Edmonton, AB, T6B 1E6
Tel: (780)-450-6224
Fax: (780) 450-6224
Email: [email protected]
URL: http://www.hydroscope.com
See Snake Tool CHECK IF VENDOR
Russel NDE Systems, Inc.
4909 75th Avenue
Edmonton, AB, Canada T6B
2S3
Tel: (780) 468-6800
Fax: (780) 462-9378
Email: [email protected]
URL: http://www.russeltech.com
P-Wave Pure Technologies
Suite A, 9130 Red Branch Road
Columbia, Maryland 21045
Tel:1-800-537-2806
Fax: (443) 766-7877
Email: through website
URL: http://www.puretechnologiesltd.com
RFEC/TC Pressure Pipe Investigation
Company
[email protected]
http://www.ppic.com/home/index.asp
Page A-7
Case 3:05-cv-03829-MMC Document 57 Filed 06/04/18 Page 122 of 126 2636
Magnetic Flux Leakage
Product Address Phone/Fax/Email/URL
AES 19

AES ECAT
Advanced Engineering
Solutions, LTD
South Nelson Road
South Nelson Industrial Estate
Cramlington, Northumberland
NE23 1WF
United Kingdom
Tel: +41 41 618 0 300
Fax: +41 41 618 0 319
Email: [email protected]
URL: http://www.aesengs.co.uk
Axial Flaw Detection
(AFD)
Corrosion Detection
Pig (CDP)
Rosen Inspection
Obere Spichermatt 14
6370 Stans
Switzerland
Tel: +41 41 618 0 300
Fax: +41 41 618 0 319
Email: [email protected]
URL: www.RosenInspection.net
CPIG
Vertiline/V-line, CPIG
Baker Hughes
12645 West Airport Blvd.

Sugar Land, TX 77478
Tel: (281) 276-5400
Email:

[email protected]
URL: http://www.bakerhughesdirect.com

LINSCAN LIN SCAN
205/206
Al Zahra Shopping Complex
U.A.E.

Tel: +9716-7473600
Fax: : +9716-7473800
Email: [email protected],
URL: http://www.linscan.biz
MagneScan
TranScan
GE Energy URL:
http://www.gepower.com/contact/index.ht
m
MAGPIE TDW Services, Inc
4220 World Houston Pkwy,
Ste. 100
Houston, Texas 77032
Tel: (832) 448-7221
Email: [email protected]
URL: http://www.magpiesystems.com
MFL Inspection Tool NGKS
7, Guilyarovsky St.

Moscow, Russia 129090
Tel: + 7 495 937 86 36/26
Fax: + 7 495 937 86 35/31
Email: [email protected]
URL: http://www.ngksint.com
Page A-8
Case 3:05-cv-03829-MMC Document 57 Filed 06/04/18 Page 123 of 126 2637
Pipesurvey MFL Pipesurvey International
Schrijnwerkersstraat 13
3334 KH Zwijndrecht
P.O. BOX 117
3330 AC Zwijndrecht
the Netherlands
Tel + 31 78 610 1428
Fax + 31 78 610 2128
Email: [email protected]
URL:
http://www.pipesurveyinternational.com
VECTRA BJ Services Company
414 Pinckney
Houston, TX 77009
Tel: (713) 224-1105
Fax: (713) 229-0541
URL: http://www.bjservices.com/
Laser Products
Product Address Phone/Fax/Email/URL
Active 3D Laser
Scanning
Redzone Robotics
91 43rd St., Ste.250
Pittsburgh, PA 15201
Fax: (412) 476-8981
Email: through website
URL: http://www.redzone.com
Coolvision Sima Environmental
1153 E Ogden, # 705-135
Naperville, IL 60563
Phone: (630) 327-8503
Email: [email protected]
URL: http://www.simaenvironmental.com
Laser Profiler CUES IMX Corporate Office
3600 Rio Vista Ave.

Orlando, FL 32805
Tel: (800) 327-7791
Fax: (407) 425-1569
Email: [email protected]
URL: http://www.cuesinc.com
Laser Profiling Tool Envirosight
111 Canfield Ave.

Randolph, NJ 07869
Tel: (866) 936-8476
Fax: (973) 252-1176
Email: through website
URL: http://www.envirosight.com
Laser Profiler R&R Visual, Inc.
1828 West Olson Rd.

Rochester, In 46975
Tel: (800) 776-5653
Fax: (574)-223-7953
Email: [email protected]
URL: http://www.expipeinspection.com
Page A-9
Case 3:05-cv-03829-MMC Document 57 Filed 06/04/18 Page 124 of 126 2638

ATTACHMENT F
Case 3:05-cv-03829-MMC Document 57 Filed 06/04/18 Page 125 of 126 2639
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
!
!
!
!
! !!
!
!
!
!
!
!
! !
!
!
!
!
!
!
!
!
!
!
!
! !!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
! !
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
! !
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
(
(
(
(
( ((
(
(
(
(
(
(
( (
(
(
(
(
(
(
(
(
(
(
(
( ((
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
( (
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
( (
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
T 23RD S

CUTTING BLVD

SAN PABLO AVE

AST C RO ST

CARLSON BLVD

RE GATT A VLB D

GARRARD BLVD

MACDONALD AVE
TS HT73 S
22ND ST

POTRERO AVE

MARKET AVE

MEADE ST

Y W PK D N MO HCI R

ARLINGTON B LVD

BARRETT AVE

W CUTTING BLVD
23RD ST S
MRILL BLVD RU T H S 13T

MARIN A BAY PKWY

LVD B ANAL C

CHURCH LN

SAN PAB OL D MA RD

Y WA UR O RB AH

MCBRYDE AVE

HOFFMAN BLV D

KEARN YE TS

S YA WANI RA M
51ST S ST

JULIGA WOODS ST

TEWKSBURY AVE

PARK PL

W MACDONALD AVE

DV HORE BL S AST E
23RD ST

RICHMOND PKWY

GARRARD BLVD

CASTRO ST

BARRETT AVE
80 §¨¦
580 §¨¦
580 §¨¦
80 §¨¦
Castro
Canal
Wright
Coalinga
33rd Street
23rd Street
1st Street
North Harbor
Marine
South Harbor
West Cutting
47th Street
Harbor Minor Richmond
San Pablo
El Cerrito
Unincorporated County
1 inch = 2,000 feet
0 2,000 4,000
Feet
I
MAR 2018
City LimitGrade 5 Pipes Addressed with Projects
2012-2017 SSOsCount
!( 1
!( 2 - 4
!( 5 - 7
!( 8 - 11
!( 12 - 13
Capacity Projects
13th & DunnFirst StreetMacdonaldVirginiaHoffmanCutting Carlson Basins
1st23rd33rd47thCanalCastroCoalingaHarbor MinorMarineNorth HarborSouth HarborWest CuttingWright

WATER RESOURCERECOVERYDEPARTMENT
Case 3:05-cv-03829-MMC Document 57 Filed 06/04/18 Page 126 of 126 2640

July 2, 2024
Public Works
DATE: July 2, 2024
TO: Mayor Eduardo Martinez and Members of the City Council FROM: Daniel Chavarria, PE, Public Works Director
Robert Armijo, PE, Deputy Public Works Director / City
Engineer
Mary Phelps, Water Resource Division Manager
Subject: Resolution Authorizing the City Manager to Execute Recurring Contracts and Agreements
FINANCIAL IMPACT: The proposed expenditures will be funded as follows:

West Contra Costa County Transportation Authority
Membership Fees - $167,000 (20236031-400261) –
Measure J Funds
Contra Costa Transportation Authority Membership Fees
$27,000 (20236031-400261) – Measure J Funds
Caltrans - $125,000 ( 01232531-400540) This is general
fund (budgeted from General Fund)
Contra Costa County Public Works Department:

North Richmond Storm Drain Pump Station - $75,000
(40623431-400201)
Clean Water Program - $385,000 (40623431-400202)
The California State Water Resource Control Board:

SSO-WDR Permit - $45,500 (40322631-400293)
WWTP NPDES Permit - $125,000 (40322731- 400293)
City of Richmond Stormwater NPDES Permit - $40,500
(40623431-400293)
West County Agency - $850,000 (40322731-400201)
AGENDA
REPORT
2641

July 2, 2024
Stege Sanitary District Sewer Use Fees - $43,500
(40322731-400404)

PREVIOUS COUNCIL
ACTION:
12/5/2023 Resolution 137-23

STATEMENT OF THE
ISSUE:

Each fiscal year, the Public Works Department budget
includes line items for services and memberships
provided for and required by various agencies. The
proposed resolution authorizes the City Manager to
execute the contracts associated with these annual line items approved in the budget by the City Council.

Approving the resolution will expedite the contract
process and improve overall efficiency.

RECOMMENDED ACTION: ADOPT a resolution authorizing the city manager to execute recurring contracts per Fiscal Year, as adopted annually by each governing board (not to exceed) as
listed: Contra Costa County - North Richmond Storm
Drain Pump Station $75,000, Clean Water Program
$385,000; California State Water Resources Control
Board - WWTP National Pollutant Discharge Elimination
System (NPDES) $125,000, City of Richmond
Stormwater NPDES permit $40,500, Sanitary Sewer
Overflow Waste Discharge Requirement (WDR) Permit
$45,500; Other Agencies - West County Agency
$850,000, Stege Sanitary District Sewer Use Fees
$43,500, Caltrans $125,000, West Contra Costa
Transportation Advisory Committee (WCCTAC)
$167,000, Contra Costa Transportation Advisory
Committee (CCTAC) $27,000 - Public Works Department
(Daniel Chavarria 510-621-5478/Mary Phelps 510-621-
1269).

DISCUSSION:

Each fiscal year, the City of Richmond Public Works Department is required to pay fees based on various regulatory permits, membership dues, and joint powers agreements with multiple agencies. These obligations are detailed below:

Contra Costa County:
 North Richmond Storm Drain Pump Station
 Clean Water Program (Municipal Regional Permit)
California State Water Resources Control Board:
2642

July 2, 2024
 Wastewater Treatment Plant National Pollutant Discharge Elimination System (NPDES)
 City of Richmond Stormwater NPDES Permit
 Sanitary Sewer Overflow Waste Discharge Requirement (WDR) Permit Other Agencies:
 West County Agency (WCA) – Joint Powers Agreement (JPA)  Stege Sanitary District Sewer Use Fees
 Caltrans (maintenance of streetlights/traffic signals)  West Contra Costa Transportation Advisory Committee (WCCTAC)  Contra Costa Transportation Advisory Committee (CCTAC) The fees charged by these agencies are based on resolutions, memoranda of understanding, membership fees, and/or federal or state regulations.

The West County Agency (WCA) is a Joint Powers Agreement (JPA) between the City of Richmond and the West County Wastewater District. The budget for the JPA is voted on in June each year for the following fiscal year.

The West Contra Costa Transportation Advisory Committee (WCCTAC) is one of four Regional Transportation Planning Committees in Contra Costa County. In addition to managing revenues from Measures C and J, WCCTAC administers the Sub-regional Transportation Mitigation Fee Program (STMP) and participates in defining and implementing policies, programs, and projects to improve local and regional transportation and air quality. WCCTAC is governed by a Joint Exercise of Powers Agreement between the following member agencies: the cities of El Cerrito, Hercules, Pinole, Richmond, San Pablo; Contra Costa County; and the transit providers AC Transit, BART, and WestCAT. WCCTAC operates an annual budget from July 1st to June 30th, with revenues derived from dues paid by member agencies as well as from numerous reimbursable grants. Additionally, the STMP collects impact fees from development projects built in the West County Region.

To improve administrative efficiency, staff is requesting that the City Council adopt a resolution authorizing the City Manager to execute specific contracts listed in the resolution based on the budgets adopted by the governing boards and bodies of the above-listed agencies each fiscal year.

DOCUMENTS ATTACHED:

Attachment 1 – Resolution
2643

July 2, 2024
Attachment 2 – WCCTAC Agreement
Attachment 3 – Caltrans Agreement
Attachment 4 – Stege Sanitary District Agreement
Attachment 5 – West County Agency Joint Powers Agreement (with all amendments) Attachment 6 – West County Agency FY 2024-25 Adopted Budget Attachment 7 – West County Agency Biosolids/Leachate Expense Invoice 2644
Reso. No.

RESOLUTION NO.

A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF RICHMOND

AUTHORIZING THE CITY MANAGER TO EXECUTE RECURRING

CONTRACTS WITH CONTRA COSTA COUNTY, STEGE SANITARY

DISTRICT, WEST COUNTY WASTEWATER DISTRICT, THE

CALIFORNIA STATE WATER RESOURCES CONTROL BOARD, AND

CALTRANS FOR SERVICES RELATED TO PUBLIC WORKS

DEPARTMENT OPERATIONS AND FOR WEST CONTRA COSTA

TRANSPORATION ADVISORY COMMITTEE MEMBERSHIP FEES PER
FISCAL YEAR.

WHEREAS, there are certain specialized expenses and membership fees incurred by the Public Works Department for services provided by various public agencies which occur every year; and
WHEREAS, the specialized expenses and the specified public memberships for each agency are each year set forth in the Public Works Department budget as line items for budgetary approval purposes; and
WHEREAS, having the City Council authorize the City Manager to execute the contracts associated with the annual line items set forth and approved by the budget will expedite the contract approval process thereby increasing efficiency and reducing paperwork; and
WHEREAS, the annual line items that are specifically to be addressed in this manner are listed as follows:

SHARED COSTS - WEST COUNTY AGENCY

SHARED COSTS - STEGE SANITARY DISTRICT
SHARED COSTS - CONTRA COSTA COUNTY – NORTH RICHMOND

STORM DRAIN PUMP STATION
SHARED COSTS - CONTRA COSTA COUNTY – CLEAN WATER

PROGRAM

MEMBERSHIPS - WEST CONTRA COSTA TRANSPORTATION

ADVISORY COMMITTEE

MAINTENANCE - CALTRANS (STREET LIGHTS)

CALIFORNIA STATE WATER RESOURCES CONTROL BOARD

NATIONAL POLLUTANT DISCHARGE ELIMINATION SYSTEM (NPDES) PERMITS:
 STORMWATER PROGRAM
 WASTEWATER TREATMENT PLANT
WASTE DISCHARGE REQUIRMENTS (WDR):
 SANITARY SEWER OVERFLOW PROGRAM
NOW THEREFORE, BE IT RESOLVED by the City Council of the City of Richmond, as follows:

NOW THEREFORE, BE IT FURTHER RESOLVED. The foregoing recitals are true and correct and this City Council hereby so finds and determines.

NOW THEREFORE, BE IT FURTHER RESOLVED. City Manager is hereby authorized, per fiscal year, to execute the contracts as adopted annually by each governing board (not to exceed) as listed below:

Contra Costa County:

North Richmond Storm Drain Pump Station $75,000;
Clean Water Program $385,000;
2645
Reso. No.

California State Water Resources Control Board:

WWTP National Pollutant Discharge Elimination System (NPDES) $125,000; City of Richmond Stormwater NPDES permit $40,500;
Sanitary Sewer Overflow Waste Discharge Requirement (WDR) Permit $45,500; West County Agency $850,000
Stege Sanitary District Sewer Use Fees $43,500
These are sewer use fees for 101 residents located in the Stege Sanitary District (Canyon Estates). The City pays Stege to treat the wastewater. The City maintains the infrastructure.

Caltrans $125,000
West Contra Costa Transportation Advisory Committee (WCCTAC) $167,000 WCCTAC is a regional planning agency charged with obtaining the funding for regional transportation improvement projects in West Contra Costa County.

WCCTAC’s jurisdiction encompasses the western portion of the County, including unincorporated areas as well as the Cities of El Cerrito, Hercules, Pinole, Richmond and San Pablo.

NOW THEREFORE, BE IT FURTHER RESOLVED. This resolution shall take effect immediately upon its passage.
******************
2646
Reso. No.

I certify that the foregoing resolution was passed and adopted by the Council of the City of Richmond at a regular meeting thereof held on July 2, 2024, by the following vote:

AYES:

NOES:

ABSTENTIONS:

ABSENT:

CLERK OF THE CITY OF RICHMOND
(SEAL)
Approved:

Mayor
Approved as to form:

City Attorney
State of California }
County of Contra Costa : ss.

City of Richmond }
I certify that the foregoing is a true copy of Resolution No. _____, finally passed and adopted by the City Council of the City of Richmond at a regular meeting held on July 2, 2024.

Pamela Christian, Clerk of the City of Richmond
2647
Reso. No.

CLERK’S CERTIFICATE
I, Pamela Christian, City Clerk of the City of Richmond, do hereby certify as follows:

The foregoing resolution is a full, true and correct copy of Resolution No. ______ duly adopted at a regular meeting of the City Council of said City duly and regularly held at the regular meeting place thereof on the 5
th day of December 2023, of which meeting all of
the members of said City Council had due notice and at which a majority thereof were present; and that at said meeting said resolution was adopted by the following vote:

AYES:

NOES:

ABSTENTIONS:

ABSENT:

An agenda of said meeting was posted before said meeting at City Hall, 450 Civic Center Plaza in the City of Richmond, California, a location freely accessible to members of the public, and a brief description of said resolution appeared on said agenda.

I have carefully compared the foregoing with the original on file and of record in my office, and the foregoing is a full, true, and correct copy of the original resolution adopted at said meeting.

Said resolution has not been amended, modified, or rescinded since the date of its adoption and the same is now in full force and effect.

Dated: _________________, 2023.

City Clerk of the
City of Richmond
[SEAL]
2648
2649
2650
2651
2652
2653
2654
2655
2656
2657
2658
2659
2660
OF RICHJviOND
THIS AGREEY.lENT, made e.nd executed in duplicate thj_s day of -------• 19 __ , by snd. betwaen
the Business ~md Transportation Agency of the State of C'9.11fornia, acting by and. through the Department of Transportation, hereinafter called the "Department" and the City of Hichmond hereiP.after ref~rred to as "City".

W I T N E S S E T H:

1. RECITALS: The parties desire to provide for the ~aintenance of State highway routes within the City as provided in Section 130 of the Streets and Highways Code, and to arz~nge herein for the particular maintenance functions to be perrormed by the Gity and those to be performed by the Department and to specify the terma and conditions under which such work will be performed ..

2. AGREEMENT: This Agreement shall supersede any previous

AGREEFIIENT FOR MAINTENANCE OF STATE HIGHWAYS IN THE CITY OF RICH~IOND andjor AMENDMENTS thereto with the City.

In consideration of the mutual covenants and promises
herein contained, it is agreed:

The City will perform such maintenance work as is specifically delegated to it, and the Department will perform those particular functions of maintenance not otherwise assigned to the City on the State highway routes or portions thereof all as hereinafter described under Sections 8 and 9 hereof or as said sections may be subsequently modified with the consent of the parties hereto acting by and through their authorized representative. -1-
2661

3. MAINTENANCE DEFINED: Maintenance is defined in Section 27 of the Streets and Highways Code as follows:

Sec. 27. "(a) The preservation and keeping of rights-of-way, and each type of roadway, structure, safety convenience
or device, planting, illumination equipment and
other facility, in the safe and usable condition to
which it has been improved or constructed, but does
not include reconstruction or other improvement.
(b) Operation of special safety convenience and devices, and illuminating equipment.
(c) The special or emergency maintenance or repair necessitated by accidents or by storms or other weather conditions, slides, settlements or other
unusual or unexpected damage to a roadway, structure or facility.

The degree and type of maintenance for each highway,
or portion thereof, shall be determined in the
discretion of the authorities charged with the maintenance thereof, taking into consideration traffic requirements and moneys available therefor."

4. DEGREE OF MAINTENANCE: The degree or extent of maintenance work to be performed and the standards therefor shall be in accordance with the provisions of Section 27 of the Streets and Highways Code and the provisions of this Agreement as hereinafter specified or as may be prescribed from time to time by the District Director. "District Director", as used herein, means the District Director of the Department of Transportation assigned to the territory in which the city is located, or his authorized representative.

5. LEGAL RElATIONS AND RESPONSIBILITIES: Nothing in the provisions of this Agreement is intended to affect the legal liability of either party to the contract by imposing any standard of care respecting the maintenance of State Highways different from the standard of care imposed by law.
-2-
2662
It is understood and agreed that neither the State, the Department, nor any officer or employee thereof is responsible for any damage or liability occurring by reason of anything done or omitted to be done by the City under or in connection with any work, authority.or jurisdiction delegated to the City under this Agreement for Maintenance. It is also understood and agreed that, pursuant to Government Code Section 895.4, City shall fully indemnify and hold State harmless from any damage or liability occurring by reason or anything done or omitted to be done by City under or in connection with any work, authority or jurisdiction delegated to City under this Agreement.

It is understood and agreed that neither City, nor any
officer or employee thereof, is responsible for any damage or liability occurring by reason of anything done or omitted to be done by the Department under or in connection with any work, authority or jurisdiction not delegated to the City under this Agreement for Maintenance. It is also understood and agreed that, pursuant to Government Code Section 895.4, Department sa811 fully indemnify and hold City harmless from any damage or liability occurring by reason of anything done or omitted to be done by Department under or in connection with any work, authority or jurisdiction not delegated to City under this Agreement.

6. MAINTENANCE FUNCTIONS: Certain maintenance functions may be delegated to the City as indicated under Section 9 of this Agreement. The City shall not perform any of these maintenance functions unless specifically delegated under said Section 9.

The various maintenance functions or duties are defined and described by the following programs:
2663 -3-
01 - ROADBED MAINTENANCE PROGRAM
This covers the maintenance required for the restoration and repair of both the surface and base within the roadbed area.

Roadbed means that area of highway extending from curb line to curb line or shoulder line to shoulder line.
03 - ROADSIDE MAINTENANCE PROGRAM
Roadside shall be described as that area between the roadbed and the outer highway right of way boundary line. Maintenance or roadside includes the cleaning of culverts, ditches, natural water channels and gutters, restoring side slopes, removal of drifted material, drift prevention, erosion control work, and maintenance of walls, cribs or bank protection facilities, sidewalks and curbs, and other roadside facilities.
04 - ROADWAY LITTER AND DEBRIS PROGRAM
This program includes all work concerning roadbed and roadside cleanup operations to insure that the highway presents a neat, clean and attractive appearance.

Sweeping and cleaning shall be limited to the removal of dirt or litter normally coming onto the roadbed from the action of traffic or from natural causes. The Department will not undertake nor pay for picking up or disposing of rubbish or debris swept into or otherwise placed on the highway from abutting property. The extent of sweeping and cleaning on the State highways shall not be greater than customarily done on comparable city streets. -4- 2664
The sweeping activities covered in this program pertain to the sweeping of paved medians, curbed city street sections and curbed or rolled gutter types on other highways.
05 - VEGETATION CONTROL PROGRAM
Vegetation control refers to the maintenance treatment of all vegetation material growing native within the non-landscaped highway rights of way. Included is treatment by chemical means and cutting and trimming by hand and mechanical means.

Vegetation shall include brush and trees.

Routine tree maintenance shall be limited to minor trimming as required to improve sight distance or to the occasional removal of dead or low overhanging limbs. Extensive tree reconditioning work, spraying or removal are not routtne maintenance operations and will not be paid for unless such work is specifically authorized by the Department. The above, when delegated to the City, shall not be construed as restricting, prohibiting or otherwise relieving the City of the responsibility for inspection and upkeep of trees in a manner that will insure maximum safety to both vehicular and pedestrian traffic.
06 - PAVEMENT DELINEATION PROGRAM
The pavement delineation program involves all work necessary to maintain distinctive roadway markings on the travelled way.

This includes layout, removal of old stripe, painting of existing stripe, replacement andjor removal of raised pavement markers including cleaning of such markers and the use of thermoplastic, tape or raised bars for pavement markings. -5- 2665
All work and materials shall conform to the Standards established by the Department.

Except for the red "No Parking" zones at the approach to and exit from intersections controlled by traffic signals, the Department will not pay for curb painting or parking lines as may otherwise be required for the regulation of parking.

The cost of maintaining pedestrian crosswalks at intersections shall be shared between the Department and City in the same ratio as the number of intersecting roads or streets under jurisdiction of the respective agencies bears to the total number of intersecting City Streets, State Highways and County Roads within the particular intersection; for example, a 50-50 basis will apply to the regular cross street intersection wherein a County Road is not a factor.
07 - SIGN PROGRAM
The sign program includes all work performed on signs placed or to be placed, on State Highways for the purpose of warning, or regulating traffic. The work consists of replacement of existing signs and the repair, cleaning and painting of signs. · All signs shall conform to the specifications adopted by the Department, or as otherwise specifically authorized by the Department. Positioning of such signs shall conform to
standards adopted by the Department.

Unless specifically authorized, the Department will not maintain or pay for maintenance of Regulatory Signs installed for -6- 2666
the purpose of stopping vehicular traffic at pedestrian or school crossings nor the Regulatory Signa installed for the prohibition or the regulation of parking.
08 - ELECTRICAL PROGRAM
This program includes all maintenance work performed on highway electrical facilities used to control traffic with signal systems, provide safety and sign lighting, generate standby power, operate bridges, pumps and automatic watering systems. In addition, certain navigational lighting installed on bridges and bridge fenders or piling are included in this program.

The Department will not pay for the maintenance, installation, repair, servicing, or power for ordinary street lighting; however, lighting at intersections, when required for the safety of persons using the streets, roadways or highways, will be paid for when approved and specifically authorized by the District Director. Where such lighting has been specifically authorized at an intersection, the maintenance and operating costs thereof shall be shared between the Department and the City on the basis of the number of intersecting streets to the intersection in the same manner specified for pedestrian crosswalks under the 06 Program above.

The cost of maintaining and operating traffic signals or other electrically operated traffic control devices now in place or those which may hereafter be installed at the intersection of any State Highway route and any City street shall be shared between the Department and the City on the basis of the number 2667 -7-
of intersecting streets in the same manner specified for crosswalks as described above. 09 - TRAFFIC SAFETY DEVICES PROGRAM
Work performed under this program includes replacement of guide posts or markers; and the repair, replacement, cleaning and/or painting of guard rails. Also included are the repair of median barrier cable, chain link fence and portland cement concrete walls; the repair and maintenance of energy dissipators such as water type bumpers, sand traps or other devices installed for the purpose of absorbing vehicle energy.
12 - LANDSCAPE PROGRAM
This program refers to the treatment, maintenance and replacement of all vegetative material planted within the landscaped State Highway right of way. Work includes watering, fertilizing, plant replacement, weed control by hand and mechanical means, tree trimming and/or removal, chipping and miscellaneous work such as pest control and inhibitor spray.

NOTE: There are several activities that are duplicated in the 05 Vegetation Control Program; for this reason, care
should be exercised when reporting, that the proper
program prefix is used. The Department will not pay
for the maintenance of any landscaped areas, ornamental plantings or trees installed by means of Encroachment
Permits.
13 - BRIDGE AND PUMP MAINTENANCE PROGRAM
The Bridge and Pump Maintenance Program includes work performed -8- 2668
on all structures which provide for passage of highway traffic over, through or under obstacles and/or qualify for bridge numbers as assigned by the Bridge Department.

Work under this program consists of structure repair, mainteaance, painting and cleaning, electro-mechanical equipment and sump pump maintenance, repair or cleaning. Storm inspection of sump pumps is also included in this program.

Bridges, as defined above, will be investigated by a representative of the Department•s bridge engineering staff once each year and more often, if considered necessary. In addition to such annual investigation, routine maintenance to be performed under provisions of the Agreement shall include monthly inspection of each bridge by qualified personnel and immediate repair of the minor defects when the cost does not exceed $500. The District Director shall be immediately notified of major defects as are hereinafter defined.

Bridge repair work costing in excess of $500 on a single structure shall be considered as being a major repair project. Except in the case of emergency, such major repair projects shall conform to the methods and procedure to be recommended by the Department.

Major bridge repair is not a routine maintenance operation and will require specific authorization.
15 - PERMITS
Provides for the processing and enforcement of transportation permits, and preliminary engineering and processing of encroachment permits. -9-
2669
ENCROACHMENT PERMITS: When authority to issue Encroachment Permits is delegated to the City, the authority shall pertain to all parts of the highway throughout the particular length of streets indicated under Section 8 of this Agreement. Permits shall be issued on a form provided by the Department and the City will furnish a copy of each permit to the Department. The City agrees to follow such general State policies regarding encroachments as specified by the District Director.

Routine permits shall be handled by the City without approval, but prior approval of the District Director shall be secured before any permit is issued for the original installation of any utility line, including underground utilities, commercial driveway, or other major encroachment within the highway rightof-way. No sign or marquee shall be permitted to be inatalled within or project beyond a line 18 inches back of curb line, and no sign of any kind except warning signs at railroad crossings shall be permitted to be suspended over the roadway. Marquees or signs extending over the sidewalk area shall conform to the City•s Building Code and shall be maintained in a good appearing and structurally safe condition at all times. An existing sign or marquee suspended or projecting over the State Highway that constitutes a hazard shall be immediately repaired or removed.

If the City, by ordinance or other regulation, imposes more restrictive regulations and requirements regarding signa and marquees than above set forth, nothing in these provisions shall be construed to prevent the City from enforcing such -10-
2670
restrictive regulations in the granting or refusing of permits with respect to any State Highway.

The Department will pay for the cost of inspection of such signs, marquees, and other encroachments as a part of maintenance, provided that the City shall comply with its usual policy with respect to collecting costs from permittees in such cases as fees or charges are made by the City for similar work on City Streets. Any amount so collected by the City with respect to any State Highway shall be credited against the charges made by the City for such work.

TRAK3 PORTATION PERMITS: 'l'ransporta tion permits will be required for all vehicles and their loads which exceed the limitations specified under Division 15 of the California Vehicle Code.

Where authority to issue Transportation Permits is delegated to the City, such authority shall pertain only to travel that originates and terminates within the corporate limits and it shall not apply to through haul transportation.

In issuing such permits, the City shall follow the policies and regulations established by the Department for the issuance of 'l'ransporta tion Permits as set forth in the Department •s Maintenance Manual in effect at the time such permits are issued, including, specifically, limitations upon the crossing of bridges and overcrossings detailed thereir;.

7. GENERAL GUIDES: Maintenance of warning and regulatory signs, traffic control devices, and highway lighting facilities as -11-
2671
hereinbefore referred to shall include upkeep and repair of the supports, as well as such other items which are an integral part of the installation.

Maintenance work to be performed within the area designated as roadsides shall include such sidewalk inspection and action towards repair of sidewalks, curbs or other facilities as is necessary to keep them in a reasonably safe condition. The City shall follow the same policy and procedure generally followed by it with respect to City streets in the matter of requiring sidewalk repairs and control of vegetation to be made by or at the expense of abutting owners who are under legal obligation to perform such work.

Those facilities as defined under Programs 06, 07, oB,
and 09 above, which are installed subsequent to the execution of this Agreement, shall become subject to the terms and conditions of this Agreement upon notice to the City from the Department of the completion of any such installation. -12-
2672

8. ?.OU'L'E DESCRIPTION
... -.
--.-:. -_
·,,.;-
ROUTE
NO.
l7(a)
l7(b)
80 .·.
. .
- ··. ' · .. -_. .-. . : ; -_ ..
. -;-
~ .-~.: -~ . -
•• •. ,,
·- __;.
-- , .. . ·. --
lE}IGTH
HITES

5.13 2.66.
:
,''"'- -. .--·- .-: .-.
. -- ·.· .. - .·
... ~. ;._ -. . ' . . ·.·. _._
.. _.- . . . .-. · ...
-_· <".·
-~ . -~· .. ·'
. ·. .-
DESCRIPTIOll OF ROU'i'Il:G
Ql+-CC-Rich::-::~nd
July 15 1973
Hoffman Boulevc.rd from the so"Jth
city limits at the Alameda-Contra
Costa County Line to Cutting
Boulevard, alor~ Cutting Boulevard
.to Standard Avenue, along Standard
Avenue to Castro Street; a length
of 5.13 m.iles.

Richmond-San Rafael Bridge and
approaches from Castro Street to
Marin County Line; a length of
2_.66 miles.

Eastshore Free~:ay from south city
limits at Alameda-Contra Costa . County Line to city limits 480 1 ·south of Potrero Avenue Undercrossing; a length of 1.58 miles; also, from city limits at Cutting
Boulevard Separation to city limits
at HcBryde Avenue Overcrossing; a
length of 1.79 miles; also, from
city limits at El Portal Drive
Undercrossing to north city limits
3,450 feet north of F~lltop Drive
Overcrossing; a length of 1.37 miles;
a total length of 4.74 miles.
- ··.t
.•
. . r ·--
.. ;
-13- ·-
2673
04-CC-Richmond
July 1, 1973

9. DELEGATION OF ~iAlh~z~NCE: The delegation of maintenance set forth herein does not include ar~as and functions of which the control and maintenance rest ;dth the local authority under the terms of Froe\1ay Agreements and/or Freeway Fl.aintell!lnce Agreements :

ITEM
NO.
566
567
568
569
572
573
575
PJ.AINI'ENA f.."'CE
FUNCTION AGENCY '!'0 PEPFOR'1 1.WHK -u ._,, ~- tt-=- =- Route llo. Route No. Route l~o. Route No.I
17(a) 17(b) So
• •
li • •
li ~ ~·
~ ~ £; +> ....,
'" ~ '" ~I 8 .,.;
~ .,.; C) C) C) C)
Roadbed Maintenance X X X
Roadside Maintenance X X X
Rdwy Litter & Debris X ( 1) X (2) X {3) (4
Vegetation Control X X X
Pavement Delineation X X )~
Signa X X X
Electrical X X (5 X X
Traff'ic Sfty Devices X X X
Landscaping X X X
Bridge & Pump Maint. X. X X

ISSUANCE OF PERMITS
Encroachment X X X
Transportation X X X
1 Length of street to be cleaned Curb Miles.
2 " " " " " " --" "
3 " " " " llfl n -~~ II
4 II n II " " II --II "
5 Department will maintain lighting on State signal
circuits. City will maintain other approved safety
lighting.
--Jr ---
2674

10. EXPENDITURE AUTHORIZATION: The Department will reimburse the City for actual cost of all maintenance work performed by City as delegated under Section 9 of this Agreement, but it is agreed that during any fiscal year, the maximum expenditure on any route shall not exceed the amount as shown on Page 16 of this Agreement, unless such expenditure is revised by an amended Agreement or otherwise adjusted or modified as hereinafter provided for.

The expenditure per route for routine maintenance work
as referred to above may be increased or decreased, redistributed between routes, or additional expenditures for specific projects costing $5,000 or less may be made when such specific work or adjustment of expenditures for routine maintenance is authorized in writing by the District Director or his authorized representative. Expenditures for specific projects costing in excess of $5,000 may be made when such specific work is authorized in writing by the Director of the Department of Transportation or his authorized representative. Additional expenditures or adjustment of expenditures thus authorized shall apply during the fiscal year designated therein and shall not be deemed to permanently modify or change the basic maximum expenditure per route as hereinafter specified. An adjustment of the said maximum expenditure, either increase or decrease, shall not affect other terms of the Agreement.
-15-
2675
ROUTE NO. LENGTH l>ULES
17(a) 5.13
lT(b) 2.66
80 4.74
..
~ft.X IMlJI.~
-16-
04-CC-Richmond
J"uly 1, 1973

EXPENDITURE PER ROUTE
$ 500.00

0.00 0.00
2676

11. SUBMISSION OF BILLS: The City shall submit bills monthly, provided, however, that no bill ror less than $100 shall be submitted, except once each quarter. Equip~ent shall be charged at mutually acceptable rental rates and labor and w.aterial at actual cost. The City will be allowed to recover overhead and administrative costs only to the extent that such charges :l.nclude applicable expenses incurred by the City in the execution of the work. Said factora and method shall be subject to approval by the Department. Maintenance services provided by contract or on a unit-rate basis with overhead costs included shall not have these above-mentioned charges added again. An actual handling charge for processing this type of bill will be allowed the City. Bills submitted to the City for work performed by the Department under Programs 06, · 07, 08 and 09 of this Agreement will also include overhead and administrative costs in accordance with the State Administrative l'.anual.

12. TERM OF AGREEME!."'': This Agreement shall become effective July 1, 1973 , and shall remain in full force and effect until amended or terminated.

The Agreement as above may be amended or terminated at
any time upon mutual consent of the parties thereto. This Agreement may also be terminated by either party upon thirty days' notice to the other party.
-17-
2677
IlJ WIT:!>.lESS WHBREOF, the parties herato have set their hands and seals the day and year fix~t above written.

S'l'ATE OF CALIFORNIA
BUSIN'?~S Af4D 1.Yf:U:i1"BPORrrATIOf~ AGEN"Cl
DEPAR.rff-2}::"1: OF Tft.\NSPOR."I' .. J:tTIO!~
-18-

CITY OF RICHNOND
Approved as to Form and
Prc~cedure!
2678
HESOLtJTION NO. 132-73
APPROv""ING AGHEEHENT FOR NHN'l'E?lANCE OJ? STATE HIGl-f\fAYS IN THE CITY Ol? :R.ICHi•lOlfl>
WHEREAS, the State .o:r· Californ:i.a 1 th~ou~;h its BUsiness in the City of Hlchmond effoc
Clty or Ri.chmonO. that sa:t.d
State HiglTVJays in th.o City
o:I"' said C:t ty ..

I cort:lf·~y tf'J.,:-~ t tt ... ;e fo:cE~.:-~·
tl"lt:J ccn:t~1c::iJ. of' tbo ty
l:J"l3.'t fol
Noes: None ..

Approved:

B. T. ANDE.li.SON
Approv<:;Q as to form:

JA!·!ES P. 0' DRAIN
hc:ld
1 HAHLI'iN J. EEYDON
( SE..I\. L)
2679
Attachment 2 - Stege Sanitary District Agreement
2680
2681
6298
ORDINANCE NO. 2121-06J9

ORDINANCE ADOPTING SEWER SERVICE CHARGE RATES
FOR FISCAL YEARS 2019-2020,2020-2021, 2021-2022, 2022-2023, 2023-2024

STEGE SANITARY DISTRICT
The Directors of the Stege Sanitary District find and determine as follows:

A. The Stege Sanitary District (the "District") retained Lechowicz & Tseng Municipal Consultants to conduct a Sewer Rate Study ("Rate Study") to examine the District's current and projected costs and the District's existing rate structure, a copy of which is on file with the District.

B. The Rate Study recommends that the District update irs rates and charges to more accurately recover the costs of providing service to the District's customers.

C. The Rate Study has been considered by the Directors of the Stege Sanitary District.

D. A Notice of Public Hearing containing information on the proposed sewer service charge was duly mailed to every property owner receiving sewer service from the District at least 45 days prior to the public hearing on the proposed increase conducted on June 27, 2019. at which time the Directors heard from all who wished to comment on this maUer.

E. All wriuen protests presented by the affected property owners were considered and taBied at the public hearing on June 27, 2019, and the District did not receive protests by a majority of the owners of the identified parcels affected by this change.

F. The amount of the charges imposed does not exceed the proportional cost of the service attributable to the properties receiving service, and revenues from Ihe charges and fees are not being used for any other purpose than that for which they are imposed.
2682
6299
G. This Ordinance was adopted in accordance with the requirements of the law including the provisions of Section 6 of California Constitution Article XIII D.

H. This Ordinance is enacted pursuant to and in implementation of Ordinance No. 1 966-06 LO, "An Ordinance Amending Ordinance No. 1892-0606 Establishing and Providing for the Collection of Sewer Service Charges," which Ordinance was adopted on June 29, 2006. Accordingly, annual sewer service charges and annual sewer service charge rates for Fiscal Years 2019-2020, 2020-2021, 2021-2022, 2022-2023, 2023-2024 and each fiscal year thereafter unless and until amended shall be as provided in this Ordinance and District Ordnance Code Section 7.2.

This Ordinance also reflects the addition of a multi-unit dwelling rate and other revisions to refleclthe basis for the calculalions.

In consideration of the foregoing findings and determinations, IT IS ORDAINED as follows:

1. Residential Sewer Service Charges. Pursuant to Section 5.1 of Ordinance No. 1 966-0610 and District Ordinance Code Section 7.2, the annual sewer service charge payable by each residemial customer shall he as follows:

Single Family Dwellings
a. For Fiscal Year 2019-20, the sum of $271.00.
b. For Fiscal Year 2020-2 l, the sum of $304.00.
c . For Fiscal Year 202 l-22, the sum of $341.00.
d. For Fiscal Year 2022-23, the sum of $383.00.
e. For Fiscal Year 2023-24 and each fiscal year thereafter unless and until amended, the sum of $429.00.

Multi-Unit Dwellings
a. For Fiscal Year 2019-20, the sum of $252.00.
b. For Fiscal Year 2020-2 l, the sum of $263.00.
c. For Fiscal Year 202 1 -22, the sum of $274.00.
d. For Fiscal Year 2022-23, the sum of $285.00.
e. For Fiscal Year 2023-24 and each fiscal year thereafter unless and until amended, the sum of $297.00.
2683
6300
Thus, Section 7 1 of Code is amended to as follows:

7.2.5.1 Residential Customer Sewer Service Charge. Except as provided in Section

7.2.7, each residential customer pay an annual sewer service charge by the District's Board of one (l) residential dwelling unit, as follows:
a.
b.
iv.
v.
until amenclea
> the sum of $304.00.
the sum of $341.00.
the sum of $383.00.
fiscal year thereafter
sum $429.00.
19-20, the sum of $252.00.

II. For I, sum of $263.00.
iii. For Fiscal the sum of $274.00.

IV. For Fiscal Year the sum of $285.00.
v. For and each fiscal year thereafter unless and
until amended, sum of $297.00.

2. Pursuant to Section
Ordinance No.
service charge
foHowing sewer
one
a. For Fiscal
b. For Fiscal
c. For Fiscal Year 2021
d. Fiscal Year
Ordinance Code Section 7.2, the
customer be vQ.\...\.1]'GLC' .....
no case the
per 1000 gallons,
rate $6.30 per 1000 gallons.
the rate .10 per 1000 gallons.
rate of $8.01 per 1000 gallons.
sewer
e. For Fiscal Year thereafter unless and
until amended, 1000 gallons.

Thus, Section 7.2.5.2 ofthe District is amended to read as foHows:
2684
6301

7.2.5.2 Non-Residential Customer Sewer Service Charge. Each non-residential customer shall pay an annual sewer service charge calculated as follows:

7.2.5.2.J The customer's annualized water consumption shall be determined as provided in Section 7.2.6.

7.2.5.2.2 The customer's annual sewer service charge shall be the amount in dollars obtained when the customer's annualized water consumption is multiplied by the applicable annual sewer charge rate established by the District's Board of Directors. except (hat in no case shall the annual charge be Jess than the applicable charge for one residential multi-unit dwelling unit.

7.2.5.2.3 The non-residential annual sewer charge rate shall be equal to the annual sewer service charge established by the District's Board of Directors for one (l) residential dwelling unit divided by the annual residential unit water discharge specified in Section 7.2.6.1 pha<;ed-in over five years. The result shall be expressed in terms of dollars per thousands of gallons. as follows:

For Fiscal Year 2019-20, the rate of $5.59 per tOOO gallons.

For Fiscal Year 2020-21, (he rate of $6.30 per 1000 gallons.

For Fiscal Year 2021-22, the rate of $7.lD per 1000 gallons.

For Fiscal Year 2022-23, the rate of$8.01 per 1000 gallons.

For Fiscal Year 2023-24 and each fiscal year thereafter unless and until amended, the rate of $9.02 per 1000 gallons.

3. Typical Gallons Per Year. Sections 7.2.1.1 and 7.2.6.1 of the District Ordinance Code are amended to read as follows:

7.2.1.1 The average wastewater flow discharged from a typical residential dwelling in the District's territory is 47,574 gallons per year. This is based on the annualized. metered water consumption during the winter period of December, January and February for the average single family residential dwelling unit.

7.2.6.1 The discharge from each residential dwelling unit is presumed to be 47,574 gallons per year and shall not be based upon measured water consumption or other conditions of occupancy of the dwelling unit. The District may periodicalJy review water consumption figures and update this discharge factor. l .
2685
The increases in sewer
and sewer rates for
shaH occur automalicaHy on July 1 SI of each respective year or other actions by the District's of
2023, and
without further
Notwithstanding
scheduled
automatic nature of those increases, the Board may review the scheduled
year shaH not
this
at the beginning of each fiscal year and may, in its
rates for thaI fiscal year. Any such reduction
and rales for subsequent fiscal years as _"' .... v.,' .. ' independently acts to reduce charges for that
by
fiscal
reduce
increase
long as the
with this Section. Furthermore, any action by
to this Section 3 shall not affect the
excess of the charges and rates specified in
with aU notice, hearing and other requirements
to
ability to
.... ," .... .,,.,'" so

5. Ordinance is effective upon the expiration one
from the date of publication a summary of the Ordinance, as prescribed by Health

6. Adoption of this Ordinance is exempt from the
the California Environmental Quality Act.

7. ST ATE OF CALIFORNIA)

COUNTY OF CONTRA

I HEREBY
regularly by
thereof, held on the 27th
AYES:

NOES: BOARD
Section 7.2 of the current District
t 8, shall be revised in accordance with this
************
2121-0619 was duly and
Sanitary District, at a regular meeting
19, by a vote as follows:
: Christian-Smith, Merrill, Miller, O'Keefe,
Gilbert-Snyder
: None
2686
ABSENT:

ABSTAIN:

ATTEST:

BOARD MEMBERS: None
BOARD MEMBERS; None
Stege Sanitary District
6303
PAUL GILBERT-SNYDER, President
Stege Sanitary District
Contra Costa County. California
, ,
2687
Attachment 3 - West County JPA
2688
2689
2690
2691
2692
2693
2694
2695
2696
2697
2698
2699
2700
2701
2702
2703
2704
2705
2706
2707
2708
2709
2710
2711
2712
2713
2714
2715
2716
2717
2718
2719
2720
2721
2722
2723
2724
2725
2726
2727
2728
2729
2730
2731
2732
2733
2734
2735
2736
2737
2738
2739
2740
2741
2742
2743
2744
2745
2746
2747
2748
2749
West County Agency
FY 2025 Proposed Budget
FY 2023
Actual
FY 2024
Adopted
FY 2024
Projected
FY 2025
Proposed
% Increase/
Decrease from
FY 2024 Adopted
Revenue
West County Wastewater
Operating (50% Share) 394,386 385,124 564,199 323,250 -19% SBS Project (35% Share) - 376,593 184,448 - 0%
Pipe Repair (32% Share) - 123,627 - - 0%
Cathodic Protection (77.3% Share) 231,294 - 53,513 0%
Deposit - 300,000 - 300,000 0%
Subtotal West County Wastewater 625,680 1,185,344 802,160 623,250 -90% City of Richmond
Operating (50% Share) 394,386 385,124 475,357 323,250 -19% SBS Project (65% Share) - 4,464,012 342,547 - 0%
Pipe Repair (68% Share) - 262,708 - - 0%
Cathodic Protection (22.7% Share) 115,479 91,055 - - 0% Deposit - 300,000 - 300,000 0%
Subtotal City of Richmond 509,865 5,502,898 817,904 623,250 -783% Misc. Revenue - - 21 - 0%
Total Revenue 1,135,545 6,688,242 1,620,085 1,246,500 -437% Expenditures
Personnel
Salaries & Wages 4,246 4,300 1,600 4,300 0%
Benefits- Social security 363 1,200 600 1,200 0%
Subtotal Personnel 4,609 5,500 2,200 5,500 0%
Non-Personnel
Legal Expenses 92,921 75,000 75,000 50,000 -50%
Banking & Financial Services - 5,500 5,500 5,000 -10%
Professional & Technical Services 175,148 21,100 290,408 20,000 -6% Other Purchased Services 54,702 68,883 68,883 75,000 8% Utilities 305 1,225 1,225 1,000 -23%
Property Services 215,871 28,000 28,000 250,000 89%
Permits 244,933 240,040 240,040 240,000 0%
Subtotal Non Personnel 783,880 439,748 709,056 641,000 31% Total Operating 788,488 445,248 711,256 646,500 31%
Subtotal Capital 345,325 6,763,173 14,354 - 0%
Total Expenditures 1,133,813 7,208,421 725,610 646,500 -1015% Net Surplus/(Deficit) 1,732 (520,179) 894,475 600,000
Net Position 351,988
Cash Balance in Bank Account [1] 2,261,063
[1] WCW paid the WCA its estimated share of the SBS construction costs in FY 2023. 2750
REMIT TO:

West County Agency
2910 Hilltop Drive
Richmond, CA 94806
2910 Hilltop Drive
Richmond, CA 94806
Phone: 510-222-6700
Fax: 510-222-3277

INVOICE
Billed To:

City of Richmond
Finance Dept/Acct Payables
P. O. Box 4046
Richmond, CA 94804-0046
DATE: 5/7/2024
INVOICE #: INV04444
DUE DATE: 5/7/2024
TOTAL DUE: 90,233.00
CUSTOMER ACCOUNT # : 0301

ITEM DESCRIPTION UNITS PRICE AMOUNT
#0301 City of Richmond Share of Consulting
for Biosolids/Leachate Treatment Costs of
Service

1.00 90,233.00 90,233.00
TOTAL THIS INVOICE 90,233.00
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -

PLEASE DETACH THIS PORTION AND RETURN WITH YOUR PAYMENT Customer Name: City of Richmond
Customer Account#: 0301
Invoice #: INV04444
Total Due: 90,233.00
2751

July 2, 2024
Public Works
DATE: July 2, 2024
TO: Mayor Martinez and Members of the City Council
FROM: Daniel Chavarria, PE, Director of Public Works
Tawfic Halaby, PE, Deputy Director of Public Works
Subject: Contract with Pavement Coatings Co. for the 2024 Slurry Seal Project
FINANCIAL IMPACT: Funds are available in the FY24-25 Budget in the Senate Bill 1 Road Maintenance and Rehabilitation Act Fund
(1019) for $2,516,001. Additional funds are being sought to be appropriated to cover the shortfall in the bid and contingencies in the amount of $885,431.83. (Account
String: 11931031-400645-23056). There is no impact on
the General Fund.

PREVIOUS COUNCIL
ACTION:

N/A

STATEMENT OF THE
ISSUE:

Staff is seeking approval for a contract with Pavement
Coatings Co. for the 2024 Slurry Seal Project and
appropriate additional funds in the Senate Bill 1 Road
Maintenance and Rehabilitation Act Fund 1019.

RECOMMENDED ACTION: ADOPT a resolution to AWARD a construction contract to Pavement Coatings Co., the lowest responsive and
responsible bidder, for implementation of the 2024 Slurry Seal Project, in the amount of $2,957,767,68; and
AUTHORIZE the Director of Public Works to approve
change orders, if necessary, for up to a fifteen-percent contract contingency amount of $443,665.15, for a total not-to-exceed contract amount of $3,401,432.83; and
APPROPRIATE funds in the amount of $885,431.83 in
the Senate Bill 1 Road Maintenance and Rehabilitation
Act Fund 1019 – Public Works Department (Daniel
Chavarria 510-620-5478/Tawfic Halaby 510-620-5482).

AGENDA
REPORT
2752

July 2, 2024
DISCUSSION:

The 2024 Slurry Seal Project is part of an ongoing effort to maintain and rehabilitate the City’s street pavement network. The work consists of performing preventive maintenance treatments on residential streets throughout the City, including crack sealing, slurry sealing, and placement of traffic striping and pavement markings.

On May 30, 2024, the City advertised the construction contract through the City’s BidsOnline procurement portal.

On June 13, 2024, the City received two bids. Following is the final canvass of bids, in order of increasing bid amount:

Contractor Bid Amount

1. Pavement Coatings Co. (Sacramento) $2,957,767.68

2. Graham Contractors, Inc. (San José) $3,387,507.40
The Engineer’s Estimate of probable cost was $1,759,000.

Per the City’s Richmond Business Opportunity Ordinance (Ordinance 16-12 N.S.), neither company received incentive points for bid comparison purposes. After applying incentive points, it was determined that Pavement Coatings Co. was the lowest responsive and responsible bidder.

Staff recommends that the City Council adopt the Resolution (Attachment 1) awarding the construction contract to Pavement Coatings Co. Funds are available in the FY 24-25 Budget in the Road Maintenance and Rehabilitation Account (RMRA) Senate Bill 1 (SB1) Fund (1019) in the amount of $2,516,001. An additional $885,431.83 shall be appropriated to cover the full cost of the bid and fifteen percent (15%) contingency.

The proposed Construction Agreement (Attachment 2) is attached.

The Compliance Memo (Attachment 3), Bid Summary (Attachment 4), and Initial Canvass of Bids (Attachment 5) are also attached.

Construction is anticipated to occur in the fall of 2024.

DOCUMENTS ATTACHED:

Attachment 1 – Resolution
Attachment 2 – Proposed Construction Agreement
Attachment 3 – Compliance Memo
Attachment 4 – Bid Summary
Attachment 5 – Initial Canvass of Bids
2753
Reso. No.

RESOLUTION NO. ___________

A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF RICHMOND,

CALIFORNIA, AUTHORIZING THE CITY MANAGER TO AWARD A
CONSTRUCTION CONTRACT TO PAVEMENT COATINGS CO. FOR THE 2024 SLURRY SEAL PROJECT AND APPROPRIATION OF SENATE BILL 1 ROAD

MAINTENANCE AND REHABILITATION ACT FUNDS
WHEREAS, the Circulation Element of the Richmond General Plan 2030 provides goals, policies and actions intended to ensure efficient mobility and access for all City residents, workers and visitors through a safe, interconnected, multimodal transportation system; and WHEREAS, the City continues to experience an annual shortfall in infrastructure maintenance funding resulting in an increasing backlog of deferred maintenance; and WHEREAS, the paving program is an underfunded program and pavement preventive maintenance treatments represent low-cost, effective treatments to prolong the useful life of street pavement surfaces; and
WHEREAS, the City uses the StreetSaver® Pavement Management System to develop prioritized lists of projects that optimize the expenditure of paving funds, yielding the highest bang-for-your-buck results; and
WHEREAS, the StreetSaver® Pavement Management System, and the 2023 California Statewide Local Streets and Roads Needs Assessment, found that the City’s streets and roads are in fair condition, and implementing a preventive maintenance project will help maintain our streets and roads in fair condition with the long-term goal of improving the condition; and WHEREAS, the City advertised the construction contract in conformance with applicable California Public Contracting Code and on June 13, 2024, following the public bid process for construction, Pavement Coatings Co. demonstrated itself to be the lowest responsive, responsible bidder for the Project; and
WHEREAS, staff desires to award a construction contract to Pavement Coatings Co., for the Project in an amount not-to-exceed $3,401,432.83, including construction contingencies and available funds are sufficient to cover the cost of construction; and WHEREAS, by the agenda report (“Agenda Report”) accompanying this resolution the City Council has been provided with additional information upon which the findings and actions set forth in this Resolution are based.

NOW, THEREFORE IT IS HEREBY RESOLVED, that the City Council finds the above recitals are true and correct and have served, together with the Agenda Report, as the basis for the findings and actions set forth in this Resolution.

BE IT FURTHER RESOLVED, that the City Council hereby authorizes the award of a construction contract to Pavement Coatings Co. for the 2024 Slurry Seal Project in the amount of $2,957,767,68; and authorizes the Director of Public Works to approve change orders, if necessary, for up to a fifteen-percent (15%) contract contingency amount of $443,665.15 for a potential total contract not to exceed amount of $3,401,432.83.

BE IT FURTHER RESOLVED, that the City Council hereby authorizes the appropriation of funds in the amount of $885,431.83 in the Senate Bill 1 Road Maintenance and Rehabilitation Act Fund 1019.

BE IT FURTHER RESOLVED, that the City Council hereby authorizes the City Manager, or her designee, to execute and make amendments to the construction contract as needed to facilitate the completion of the project.

BE IT FURTHER RESOLVED, that the City Council designates the City Clerk as the custodian of the documents and other materials which constitute the record of proceedings upon 2754
Reso. No.

which the decision herein is based. These documents may be found at the office of the City Clerk at the Richmond City Hall, 450 Civic Center Plaza, Richmond, CA 94804. **************************
I certify that the foregoing resolution was passed and adopted by the Council of the City of Richmond at a regular meeting thereof held on July 2, 2024, by the following vote:

AYES:

NOES:

ABSTENTIONS:

ABSENT:

CLERK OF THE CITY OF RICHMOND
(SEAL)
Approved:

Mayor
Approved as to form:

City Attorney
State of California }
County of Contra Costa : ss.

City of Richmond }
I certify that the foregoing is a true copy of Resolution No. , finally passed and adopted by the City Council of the City of Richmond at a regular meeting held on May 21, 2024.

Pamela Christian, Clerk of the City of Richmond
2755
1 Contract

CONSTRUCTION AGREEMENT
This Construction Agreement (“Agreement”) is made and entered into this _______ day of __________, 2024, by and between the City of Richmond, a municipal corporation and charter city (“City”) and Pavement Coatings Co. (“Contractor”), with reference to the following facts. The parties may be referred to in this Agreement individually as “Party” and collectively as the “Parties.”

RECITALS
A. On May 30, 2024, the City circulated an Invitation for Bids seeking contractors willing to undertake the construction of the 2024 Slurry Seal Project (the “Project”).

B. Contractor submitted the lowest responsive bid and has been determined to be responsible.

C. City now desires to contract with Contractor to furnish construction and related services for the Project.

NOW THEREFORE, in consideration of the promises and agreements hereinafter set forth, and intending to be bound hereby, the Parties agree as follows:

ARTICLE I

CONSTRUCTION OF PROJECT
Section 1.1 Contract Documents.

Project Specifications – including the Notice to Prospective Bidders, Invitation for Bids, Instructions to Bidders, Special Provisions, Description of Work, Construction Details (including all plans and specifications), and Proposal Package, along with any Requests for Information (RFI), responses to RFI, and addenda issued prior to the deadline for submitting bids – Contractor’s Proposal attached as Exhibit A, and this Agreement, constitute the “Contract Documents.”
Section 1.2 Construction.

Contractor shall furnish all labor, materials, methods, processes, implements, tools and machinery, within the time frames set, and do all the things necessary for the proper completion of the work shown and described in Contract Documents.

Section 1.3 Payments.
2756
2 Contract
Contractor agrees to receive and accept the sums set forth in the Bid Schedule attached as part of the Proposal, as full compensation for furnishing all materials and doing all the work contemplated and required by this Agreement, and for all loss or damage arising out of the nature of the undertaking of the construction of the Project, or from the acts of the elements, or from any unforeseen difficulties or obstructions which may arise or be encountered in the prosecution of the construction of the Project until its completion and acceptance by the City, and for all expenses incurred by or in consequence of the suspension or discontinuance of the construction of the Project, and for well and faithfully performing the construction of the Project and the whole thereof, in the manner and according to the Contract Documents.

Section 1.4 Discovery of Hazardous Waste or Unusual Conditions. (a) Promptly and before the following conditions are disturbed, the Contractor shall notify the City in writing of any:
(1) Material that the Contractor believes may be hazardous waste, as defined in Section 25117 of the Health and Safety Code, that is required to be removed to a Class I, Class II, or Class III disposal site in accordance with provisions of existing law.
(2) Subsurface or latent physical conditions at the site differing from those indicated by information about the site made available to bidders prior to the deadline for submitting bids.
(3) Unknown physical conditions at the site of any unusual nature, different materially from those ordinarily encountered and generally recognized as inherent in work of the character provided for in this Agreement. (b) The City shall promptly investigate the conditions, and if it finds that the conditions do materially so differ, or do involve hazardous waste, and cause a decrease or increase in the Contractor’s cost of, or the time required for, performance of any part of the work shall issue a Change Order under the procedures described in this Agreement. (c) In the event that a dispute arises between the City and the Contractor whether the conditions materially differ, or involve hazardous waste, or cause a decrease or increase in the Contractor’s cost of, or time required for, performance of any part of the work, the Contractor shall not be excused from any scheduled completion date provided for by this Agreement, but shall proceed with all work to be performed under this Agreement. The Contractor shall retain any and all rights provided either by contract or by law which pertain to the resolution of disputes and protests between the Parties.

Section 1.5 Laws and Regulations.
(a) The Project work shall proceed only after procurement of each permit, license, or other authorization that may be required by any governmental agency having jurisdiction, and Contractor shall be responsible to the City for the procurement and maintenance thereof. (b) Contractor shall cause all work performed in connection with construction of the Project to be performed in compliance with (i) all applicable laws, ordinances, rules and 2757
3 Contract
regulations now in force or that may be enacted hereafter; (ii) all conditions of Project approval and mitigation measures included in any adopted or certified environmental document prepared for the Project; and (iii) all directions, rules and regulations of any fire marshal, health officer, building inspector, or other officer of every governmental agency now having or hereafter acquiring jurisdiction, provided that such direction given during construction does not conflict with conditions of Project approval or mitigation measures. (c) Contractor shall and shall cause its subcontractors to pay prevailing wages in the construction of the Project as those wages are determined pursuant to Labor Code Sections 1720 et seq., and implementing regulations of the Department of Industrial Relations, and to comply with all other applicable federal, State and local laws, regulations and ordinances pertaining to labor standards insofar as those laws, regulations and ordinances apply to the performance of this Agreement, including any applicable City of Richmond employment requirements, including but not limited to the City’s Living Wage Ordinance (Richmond Municipal Code Chapter 2.60), the City’s Business Opportunity Ordinance (Richmond Municipal Code Chapter 2.50), and the City’s Local Employment Program Ordinance (Richmond Municipal Code Chapter 2.56).

During the construction of the Project, Contractor shall post at the construction site the applicable prevailing rates of per diem wages. Contractor shall indemnify, hold harmless and defend, (with counsel reasonably acceptable to the City) the City against any claims for damages, compensation, fines, penalties or other amounts arising out of failure or alleged failure of any person or entity (including Contractor and its subcontractors) to pay prevailing wages in connection with construction of the Project. This Section 1.5(c) shall survive the termination of this Agreement.
(d) Contractor and all subcontractors shall maintain accurate payroll records showing the name, address, social security number, work classification, straight time and overtime hours worked each day and week, and the actual per diem wages paid to each journeyman, apprentice, worker and others employed on the Project. Each payroll record shall contain or be verified by a written declaration made under penalty of perjury, stating both of the following: (1) the information contained in the payroll record is true and correct, and (2) the employer has complied with the requirements of Labor Code Section 1771 (prevailing wage provisions), Section 1811 (eight-hour day, forty-hour week provisions), and Section 1815 (overtime compensation) for any work performed by his or her employees on the Project. The Contractor shall provide certified payroll records to the City each week, no later than ten (10) days after the end of a weekly pay period. Pay records shall be maintained and made available in accordance with Labor Code Section 1776. In addition, Contractor shall and shall cause its subcontractors promptly to deliver to the City, upon request, documents verifying compliance with the Living Wage Ordinance, which include documents which evidence that each affected employee has been notified regarding the wages required to be paid pursuant to the Living Wage Ordinance.

Such wages shall also be posted at the construction site. This Section 1.5(d) shall survive the termination of this Agreement.

Section 1.6 Inspections.
2758
4 Contract
Contractor shall permit and facilitate, and shall require its subcontractors to permit and facilitate, observation and inspection of the Project by the City and by public authorities at all times for the purposes of determining compliance with this Agreement and permits issued to perform the Project work. In so doing, Contractor shall provide access for testing and inspections. Contractor shall coordinate and schedule all testing and inspections required on the Project with the required advance notice as defined in the Project Specifications.

Section 1.7 Equal Opportunity.
(a) During the construction of the Project there shall be no discrimination on the basis of race, color, creed, religion, age, sex, sexual orientation, marital status, national origin, ancestry, or disability in the hiring, firing, promoting, or demoting of any person engaged in the construction work.
(b) In addition, Contractor agrees to observe the provisions of Section 2.28.030 of the Richmond Municipal Code, obligating Contractor and its subcontractors to refrain from discriminatory employment or subcontracting practices on the basis of race, color, sex, sexual orientation, religion, creed, national origin or ancestry of any employee, any applicant for employment or any potential subcontractor.

Section 1.8 Working Hours.

Eight hours of labor is a legal day’s work. Any worker’s time of service is restricted to eight hours during any calendar day, and 40 hours during a calendar week, unless overtime compensation is paid at not less than one and one-half times the basic rate of pay. The Contractor shall be assessed a penalty of twenty-five dollars ($25) for each day a worker is employed in violation of these requirements.

Section 1.9 Insurance and Bond Requirements.
(a) In accordance with California Labor Code Section 3700, Contractor must secure Workers’ Compensation coverage for its employees. Prior to performing any work, Contractor must execute a certification in the form set out at California Labor Code Section 1861. (b) Contractor shall submit to the City evidence of the insurance and payment and performance bond coverage meeting the requirements set forth in the Project Specifications. Proof of insurance and bonding related to the construction of the Project shall be provided to the City not more than (10) days after award of the contract. The City shall review and approve or disapprove of the evidence of insurance within twenty (20) days after submittal of complete information in the form required by the City. If the City disapproves the evidence of insurance, it shall specify in writing the reasons for such disapproval. Contractor shall resubmit the information required within ten (10) days. The review and submittal periods for resubmittals shall be reduced to a ten (10) day review period for the City and a five (5) day period for resubmittal by Contractor and shall continue to apply until the City approves the evidence of insurance coverage, but in no event shall the submittal and review period continue for more than forty-five (45) days. If, after forty-five (45) days the Contractor has not provided evidence of insurance and bond coverage meeting the 2759
5 Contract
requirements of the City, the City shall terminate the contract and may either award the work to the next lowest responsive responsible bidder or issue a new request for bids. (If the City issues a new request for bids, the Contractor shall be disqualified from re-bidding the work because of the failure to provide timely proof of insurance and/or bond coverage.) No work shall be initiated on the Project prior to Contractor’s receipt of the City’s approval of evidence of insurance coverage related to the construction of the Project.
(c) Contractor shall require and verify that all subcontractors or other parties hired for the Project purchase and maintain coverage for indemnity and insurance at least as broad as specified in the Project Specifications to the extent they apply to the scope of the subcontractor’s work with the same certificate of insurance requirements and naming as additional insureds all parties to this Agreement. Contractor shall include the following language in their agreement with subcontractors: “Subcontractors hired by Contractor agree to be bound to Contractor and City in the same manner and to the same extent as Contractor is bound to City under the Contract Documents and provide a valid certificate of insurance and the required endorsements included in the agreement as proof of compliance prior to commencement of any work and to include this same requirement for any subcontractors they hire for this work. A copy of the insurance and indemnity requirements of the Contract Documents will be furnished to the subcontractor upon request.” Contractor shall have furnished the City with evidence of the insurance coverage meeting the insurance requirements set forth in Project Specifications for each subcontractor prior to initiating any work on the Project, including Builder’s Risk insurance with appropriate coverage for the cost of construction. The periods for submittal, review and approval shall apply as stated in subparagraph (b) above.

(d) The Parties agree that notwithstanding the time requirements set forth in this subsection for submittal and resubmittal to the City by the Contractor of the evidence of insurance and review and approval of the evidence of insurance by the City, Contractor is responsible for ensuring that the evidence of insurance in approvable form is submitted to the City in a timely manner.
(e) Any available insurance proceeds broader than or in excess of the specified minimum insurance coverage requirements and/or limits set forth in the Project Specifications shall be available to the City as an additional insured. Furthermore, the requirements for coverage and limits shall be (1) the minimum coverage and limits specified in the Project Specifications; or (2) the broader coverage and maximum limits of coverage of any insurance policy or proceeds available to the named insured, whichever is greater. No representation is made that the minimum insurance requirements set forth in the Project Specifications are sufficient to cover the obligations of the Contractor under this Agreement. (f) Contractor shall maintain the insurance requirements set forth in the Project Specifications for a minimum of five (5) years following the completion of the Project. In the event Contractor fails to obtain or maintain completed operations coverage as required by the Project Specifications, the City at its sole discretion may purchase the coverage required and the cost for the same shall be paid by Contractor upon demand by the City.

Section 1.10 Security In Lieu of Retention.
2760
6 Contract
(a) The City shall retain five percent (5%) of the sum requested in each progress payment unless the Contractor elects to invoke the procedures set forth at California Public Contract Code 22300 to substitute securities to ensure performance under the contract.

1. At the request and the expense of the Contractor, securities equivalent to the amount withheld shall be deposited with the City, or with a state or federally chartered bank in the state as escrow agent, who shall then pay the retained funds to the Contractor. Upon satisfactory completion of the contract, the securities shall be returned to the Contractor.

2. Alternatively, the Contractor may request and the City shall make payment of retentions 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 and the Contractor shall receive the interest earned on the investments upon the same terms provided for in Public Contract Code 22300 for securities deposited by the Contractor. Upon satisfactory completion of this Agreement, the Contractor shall receive from the escrow agent all securities, interest, and payments received by the escrow agent from the owner, pursuant to the terms of this section.
(b) If the Contractor chooses to place securities in escrow, the escrow agreement to be used shall be substantially similar to the following form:

ESCROW AGREEMENT FOR SECURITY DEPOSITS IN LIEU OF RETENTION This Escrow Agreement is made and entered into by and between _________________________________________________ whose address is ________________________________ hereinafter called "Owner," ___________ whose address is ________________________________ hereinafter called "Contractor" and ___________ whose address is ________________________________ hereinafter called "Escrow Agent."
For the consideration hereinafter set forth, the Owner, Contractor, and Escrow Agent agree as follows:
(1) Pursuant to Section 22300 of the Public Contract Code of the State of California, Contractor has the option to deposit securities with Escrow Agent as a substitute for retention earnings required to be withheld by Owner pursuant to the Construction Contract entered into between the Owner and Contractor for ____ in the amount of ____ dated ____ (hereinafter referred to as the "Contract"). Alternatively, on written request of the Contractor, the Owner shall make payments of the retention earnings directly to the Escrow Agent. When the Contractor deposits the securities as a substitute for Contract earnings, the Escrow Agent shall notify the Owner within 10 days of the deposit. The market value of the securities at the time of the substitution shall be at least equal to the cash amount then required to be withheld as retention under the terms of the Contract between the Owner and Contractor. Securities shall be held in the name of ____, and shall designate the Contractor as the beneficial owner. (2) The Owner shall make progress payments to the Contractor for those funds which otherwise would be withheld from progress payments pursuant to the Contract provisions, provided that the Escrow Agent holds securities in the form and amount specified above. 2761
7 Contract
(3) When the Owner makes payment of retentions earned directly to the Escrow Agent, the Escrow Agent shall hold them for the benefit of the Contractor until the time that the escrow created under this contract is terminated. The Contractor may direct the investment of the payments into securities. All terms and conditions of this agreement and the rights and responsibilities of the parties shall be equally applicable and binding when the Owner pays the Escrow Agent directly.
(4) Contractor shall be responsible for paying all fees for the expenses incurred by Escrow Agent in administering the Escrow Account and all expenses of the Owner. These expenses and payment terms shall be determined by the Owner, Contractor, and Escrow Agent. (5) The interest earned on the securities or the money market accounts held in escrow and all interest earned on that interest shall be for the sole account of Contractor and shall be subject to withdrawal by Contractor at any time and from time to time without notice to the Owner. (6) Contractor shall have the right to withdraw all or any part of the principal in the Escrow Account only by written notice to Escrow Agent accompanied by written authorization from the Owner to the Escrow Agent that Owner consents to the withdrawal of the amount sought to be withdrawn by Contractor.
(7) The Owner shall have a right to draw upon the securities in the event of default by the Contractor. Upon seven days' written notice to the Escrow Agent from the Owner of the default, the Escrow Agent shall immediately convert the securities to cash and shall distribute the cash as instructed by the Owner.
(8) Upon receipt of written notification from the Owner certifying that the Contract is final and complete, and that the Contractor has complied with all requirements and procedures applicable to the Contract, Escrow Agent shall release to Contractor all securities and interest on deposit less escrow fees and charges of the Escrow Account. The escrow shall be closed immediately upon disbursement of all moneys and securities on deposit and payments of fees and charges. (9) Escrow Agent shall rely on the written notifications from the Owner and the Contractor pursuant to Sections (5) to (8), inclusive, of this Agreement and the Owner and Contractor shall hold Escrow Agent harmless from Escrow Agent's release and disbursement of the securities and interest as set forth above.
(10) The names of the persons who are authorized to give written notice or to receive written notice on behalf of the Owner and on behalf of Contractor in connection with the foregoing, and exemplars of their respective signatures are as follows:

On behalf of Owner: On behalf of Contractor:
_______________________ _________________________
Title Title
_______________________ _________________________
Name Name
_____________________ _________________________
Signature Signature
_______________________ _________________________
Address Address
On behalf of Escrow Agent:
_______________________
Title
_______________________
2762
8 Contract
Name
_______________________
Signature
_______________________
Address
At the time the Escrow Account is opened, the Owner and Contractor shall deliver to the Escrow Agent a fully executed counterpart of this Agreement.

IN WITNESS WHEREOF, the parties have executed this Agreement by their proper officers on the date first set forth above.

Owner Contractor
________________________ _________________________
Title Title
________________________ _________________________
Name Name
________________________ _________________________
Signature Signature
Section 1.11 Senate Bill 854 Notice Requirements.

As provided in SB 854 (Stats. 2014, ch. 28): (a) no contractor or subcontractor may be qualified to bid on, be listed in a bid proposal, subject to the requirements of Section 4104 of the California Public Contracts Code, or engage in the performance of any contract for public work, unless currently registered with DIR and qualified to perform public work pursuant to California Labor Code Section 1725.5 (Lab. Code §1771.1(a)); (b) no contractor or subcontractor may be awarded a public works contract unless registered with the DIR to perform public work pursuant to Labor Code Section 1725.5 (Lab. Code §1771.1(b)); and (c) work performed on the project is subject to compliance monitoring and enforcement by DIR (Lab. Code §1771.4).

Section 1.12 Job Site Notices.

Contractor shall post at the job site notices in compliance with Title I California Code of Regulations Section 16451.

Section 1.13 Municipal Code Chapter 2.65 Requirements.

Contractor shall comply with Chapter 2.65 of the Richmond Municipal Code banning the requirement to provide information of prior criminal convictions on employment applications. 2763
9 Contract

ARTICLE II

DEFAULT AND REMEDIES
Section 2.1 Events of Default.

In addition the remedies set forth in Section 2.2, below, in the event of default the Department Head reserves the right to stop work immediately if any action or inaction by the Contractor or any subcontractor creates a risk of imminent harm to the public or property.

Each of the following shall constitute a “Default” by Contractor under this Agreement:
(a) Breach of Covenants. Failure by Contractor or any subcontractor to duly perform, comply with, or observe any of the conditions, terms, or covenants of any of the Contract Documents. The City shall give Contractor written notice of the breach and specify a time in which to cure the breach. If the Contractor cures the breach within the time specified in the notice or, if the breach cannot be cured in the time specified but the Contractor has diligently pursued measures to cure the breach and to keep the City informed of its progress, then the breach shall not constitute a default provided that the breach is cured within thirty (30) days from the date of the City’s last notice and demand to cure.
(b) Disregard of Laws. Disregard of laws, rules, regulations, directions or instructions of City by Contractor or any subcontractor with respect to the performance of work. (c) Insolvency. A court having jurisdiction shall have made or entered any decree or order (i) adjudging Contractor to be bankrupt or insolvent, (ii) approving as properly filed a petition seeking reorganization of Contractor or seeking any arrangement for Contractor under the bankruptcy law or any other applicable debtor’s relief law or statute of the United States or any state or other jurisdiction, (iii) appointing a receiver, trustee, liquidator, or assignee of Contractor in bankruptcy or insolvency or for any of their properties, (iv) directing the winding up or liquidation of Contractor if any such decree or order described in clauses (i) to (iv), inclusive, shall have continued unstayed or undischarged for a period of ninety (90) days; or (v) Contractor shall have admitted in writing its inability to pay its debts as they fall due or shall have voluntarily submitted to or filed a petition seeking any decree or order of the nature described in clauses (i) to (iv), inclusive.
(d) Suspension; Termination. Contractor shall have voluntarily suspended its business, or shall have voluntarily or involuntarily lost or terminated one or more of the licenses required to perform the work.
(e) Liens on Property and the Development. There shall be filed any claim of lien (other than liens approved in writing by the City) against the Project or the construction site or any part thereof, or any interest or right made appurtenant thereto and the continued maintenance of said claim of lien for a period of twenty (20) days without discharge or satisfaction thereof or provision therefore (including, without limitation, the posting of bonds) satisfactory to the City. 2764
10 Contract
Section 2.2 Remedies.

The occurrence of any Default hereunder following the expiration of all applicable notice and cure periods will, either at the option of the City or automatically where so specified, relieve the City of any obligation to make or continue payments and shall give the City the right to proceed with any and all remedies set forth in the Contract Documents, including but not limited to the following:
(a) Specific Performance. The City shall have the right to mandamus or other suit, action or proceeding at law or in equity to require Contractor to perform its obligations and covenants under this Agreement or to enjoin acts on things which may be unlawful or in violation of the provisions of this Agreement.
(b) Right of Contest. Contractor shall have the right to contest in good faith any claim, demand, levy, or assessment the assertion of which would constitute a Default hereunder.

Any such contest shall be prosecuted diligently and in a manner unprejudicial to the City or the rights of the City hereunder.
(c) Remedies Cumulative. No right, power, or remedy given to the City by the terms of the Contract Documents is intended to be exclusive of any other right, power, or remedy; and each and every such right, power, or remedy shall be cumulative and in addition to every other right, power, or remedy given to the City by the terms of any such instrument, or by any statute or otherwise against Contractor and any other person. Neither the failure nor any delay on the part of the City to exercise any such rights and remedies shall operate as a waiver thereof, nor shall any single or partial exercise by the City of any such right or remedy preclude any other or further exercise of such right or remedy, or any other right or remedy.

Section 2.3 Waiver of Damages.

Contractor, in having tendered the Proposal, shall be deemed to have waived any and all claims for damages because of termination of this Agreement for any reason. Contractor shall not be entitled to any lost profit in the event of termination.

ARTICLE III

GENERAL PROVISIONS
Section 3.1 Relationship of Parties.

Nothing contained in this Agreement shall be interpreted or understood by any of the Parties, or by any third persons, as creating the relationship of employer and employee, principal and agent, limited or general partnership, or joint venture between the City and Contractor or its agents, employees or subcontractors, and Contractor shall at all times be deemed an independent contractor and shall be wholly responsible for the manner in which it or its agents, or both, perform the services required of it by the terms of this Agreement. Contractor has and retains the right to exercise full control of employment, direction, compensation, and discharge of all persons assisting in the performance of services under the Agreement. In regards to the 2765
11 Contract
construction of the Project, Contractor shall be solely responsible for all matters relating to payment of its employees, including compliance with Social Security, withholding, and all other laws and regulations governing such matters, and shall include requirements in each contract that subcontractors shall be solely responsible for similar matters relating to their employees.

Contractor shall be solely responsible for its own acts and those of its agents and employees.

Section 3.2 Change Orders.
(a) Changes affecting the time of performance, unit pricing, or total contract price shall be set forth in a written Change Order that shall specify:

1. The work performed in connection with the change to be made;

2. The amount of the adjustment to the Payment Limit, if any, and the basis for compensation for the work ordered; which adjustment may be a negotiated lump sum amount, agreed unit price, or paid under Section 9-1.04 “Force Account” of the 2015 State of California Department of Transportation Standard Specifications; and

3. The amount of time to be adjusted in the schedule for performance, if any. (b) A Change Order will become effective when signed by the Department Head, or his or her representative, notwithstanding that Contractor has not signed it. A Change Order will become effective without Contractor’s signature, provided the Department Head or his or her representative so indicates by noting thereon “unilateral change order.” (c) All changes in any plans and specification approved by any authority with jurisdiction over the Project may also require addenda or change orders approved by that authority.
(d) Where the City requests, a performance bond rider covering the changed work must be executed and delivered to the City before proceeding with the changed work, or shortly in time thereafter.
(e) The Department Head or his or her representative has the authority to approve Change Orders with a cumulative dollar value of up to ten percent (10%) of the contract price.

Section 3.3 Claims By Contractor.
(a) No Third-Party Claims. Nothing contained in this Agreement shall create or justify any claim against the City by any person that Contractor may have employed or with whom Contractor may have contracted relative to the purchase of materials, supplies or equipment, or the furnishing or the performance of any work or services with respect to the construction of the Project, and Contractor shall include similar requirements in any contracts entered into for the construction of the Project. Pursuant to Section 9204 (d)(5) of the Public Contract Code, however, Contractor may present a claim on behalf of a subcontractor for work which was performed by that subcontractor or lower tier subcontractor. Such claim shall have been reviewed and evaluated by Contractor prior to submission to the City. 2766
12 Contract
(b) Obligation to File Claims for Disputed Work. Should it appear to the Contractor that the work to be performed or any of the matters relative to the Contract Documents are not satisfactorily detailed or explained therein, or should any questions arise as to the meaning or intent of the Contract Documents, or should Contractor have a claim against the City, as the term “claim” is defined in Section 9204 of the Public Contract Code, or should any dispute arise regarding the true value of any work performed, work omitted, extra work that the Contractor may be required to perform, time extensions, payment to the Contractor during performance of the work, construction of the Project, and/or compliance with procedures or standards set forth in the Contract Documents, or should Contractor otherwise seek extra time or compensation FOR ANY REASON WHATSOEVER (each, a “Claim”), then Contractor shall first follow the procedures set forth in this Agreement, including but not limited to Section 3.2, “Change Orders.” If a dispute remains, then Contractor shall give written notice by registered or certified mail with return receipt requested, and such Claim shall be resolved as set forth below. (c) Form and Contents of Claim. The Claim shall be submitted to the City within thirty (30) days of receiving the City’s written decision regarding the dispute, or the date the Contractor contends such decision was due, and in no event later than the date of final payment.

Contractor’s written claim must identify itself as a “Claim” under this Section 3.3 and must include the following: (1) a narrative of pertinent events; (2) citation to contract provisions; (3) theory of entitlement; (4) complete pricing of all cost impacts; (5) a time impact analysis of all time delays that shows actual time impact on the critical path; (6) documentation supporting items 1 – 5; and (7) verification under penalty of perjury of the claim’s accuracy. The Claim shall be priced like a Change Order, and must be updated every thirty (30) days as to cost and entitlement if it remains a continuing Claim. Routine contract materials, for example, correspondence, RFI, Change Order requests, or payment requests shall not constitute a Claim.

Contractor shall bear all costs incurred in preparation, submittal, and administration of a Claim. (d) Administration After Claim Submittal.

1. City may render a final decision based solely on the materials submitted in support of the Claim or may in its sole discretion conduct an administrative hearing on the Claim, in which case Contractor shall appear, participate, answer inquiries, and present any further evidence or analysis requested by City. Should City take no action on the Claim within forty-five (45) days (or any extension thereof mutually agreed upon by City and Contractor, or any such greater time to respond afforded City under Section 9204(d)(1)(C) of the Public Contract Code) of submittal, it shall be deemed denied.

2. If Contractor disputes City’s written response, or if City fails to respond to a Claim within the time prescribed, Contractor may demand in writing an informal conference to meet and confer for settlement of the issues in dispute. Upon receipt of a demand in writing sent by registered mail or certified mail, return receipt requested, City will schedule a meet and confer conference within thirty (30) days for settlement of the dispute.

3. Within ten (10) business days following the conclusion of the meet and confer conference, if the Claim or any portion of the Claim remains in dispute, City will 2767
13 Contract
provide Contractor a written statement identifying the portion of the Claim that remains in dispute and the portion that is undisputed. Any payment due on an undisputed portion of the Claim will be processed and made within sixty (60) days after City issues its written statement. Any disputed portion of the Claim, as identified by Contractor in writing, shall be submitted to nonbinding mediation, with City and Contractor sharing the associated costs equally. City and Contractor shall mutually agree to a mediator within ten (10) business days after the disputed portion of the Claim has been identified in writing. If City and Contractor cannot agree upon a mediator, each party shall select a mediator and those mediators shall select a qualified neutral third party to mediate with regard to the disputed portion of the Claim. Each party shall bear the fees and costs charged by its respective mediator in connection with the selection of the neutral mediator. If mediation is unsuccessful, the parts of the Claim remaining in dispute shall be subject to Section 3.3(f) of this Agreement.

4. Failure by City to respond to a Claim within the time periods described in Section 9204 of the Public Contract Code or to otherwise comply with the time requirements of that section shall result in the Claim being deemed rejected in its entirety. A Claim that is denied by reason of City’s failure to have responded to a claim, or its failure to otherwise comply with the time requirements of Section 9204 of the Public Contract Code, shall not constitute an adverse finding with regard to the merits of the Claim or the responsibility or qualifications of the claimant filing the Claim.

5. Notwithstanding and pending the resolution of any Claim or dispute, Contractor shall diligently perform the disputed work to final completion in accordance with the City’s direction.
(f) Compliance

1. The provisions of this Section 3.3 constitute a non-judicial claim settlement procedure that, pursuant to California Government Code Section 930.2, shall constitute a condition precedent to the submittal of a valid claim under the California Government Code. Any Government Code claims alleging disputed work must affirmatively indicate prior compliance with this Section 3.3. In accordance with Richmond Municipal Code Section 1.10.010(b), all Government Code claims must be presented no later than the 100th day after the earlier of (i) the date the City actively or passively denied the Claim, or (ii) substantial completion or termination of the contract.

2. Failure to submit and administer Claims as required in Section 3.3 shall waive Contractor’s right to compensation for any disputed work not included in a timely Claim. Disputes not raised in a timely protest and timely Claim submitted under this Section 3.3 may not be asserted in any subsequent Government Code claim, administrative hearing, or civil action. 2768
14 Contract

3. City shall not be deemed to waive any provision under this Section 3.3 if, at City’s sole discretion, a Claim is administered in a manner not in accord with this Section 3.3. Waivers or modifications of this Section 3.3 may only be made by signed Change Order approved as to form by legal counsel for both City and Contractor. Oral or implied modifications shall be of no force or effect.

Section 3.4 Indemnification.
(a) To the fullest extent permissible by law, Contractor shall indemnify, defend, and hold harmless, and require its subcontractors to defend, indemnify and hold harmless, the City, its elected and appointed officials, and all of its employees, volunteers and agents (the “Indemnified Parties”), from all liability, penalties, costs, losses, damages, expenses, causes of action, claims or judgments, including attorney’s fees and other defense costs (collectively, “Actions”), resulting from injury to or death sustained by any person (including Contractor’s or any subcontractors’ employees), or damage to property of any kind, or any other injury or damage whatsoever, which Actions arise out of or are in any way connected with the construction of the Project, regardless of Contractor’s fault or negligence; provided, however, that Contractor’s, and Contractor’s subcontractors’ indemnity obligations hereunder shall not apply to the extent any Actions are caused by the active negligence or willful act or omission of an Indemnified Party. The indemnification obligations of Contractor and its subcontractors shall extend to Actions asserted after termination of this Agreement for whatever reason for the full period of time allowed by law.
(b) In Actions against any person or entity indemnified under Section 3.4(a) above by an employee of Contractor or its subcontractors, anyone directly or indirectly employed by any one of them or anyone for whose acts one of them may be liable, the indemnification obligation under Section 3.4(a) above shall not be limited by a limitation on amount or type of damages, compensation of benefits payable under workers’ compensation acts, disability benefit acts or other employee benefit acts.
(c) The defense and indemnification obligations set forth in Section 3.4(a) above are undertaken in addition to, and shall not in any way be limited by, the insurance obligations set forth in the Project Specifications.

Section 3.5 Non-Liability of City Officials, Employees and Agents.

No member, official, employee or agent of the City shall be personally liable to Contractor in the event of any default or breach by the City or for any amount which may become due to Contractor or its successor or on any obligation under the terms of this Agreement.

Section 3.6 No Third Party Beneficiaries.

There shall be no third party beneficiaries to this Agreement. 2769
15 Contract
Section 3.7 Conflict of Interest.
(a) Except for approved eligible administrative or personnel costs, no person described in Section 3.7(b) below who exercises or has exercised any functions or responsibilities with respect to the activities funded pursuant to this Agreement or who is in a position to participate in a decision-making process or gain inside information with regard to such activities, may obtain a personal or financial interest or benefit from the activity, or have an interest in any contract, subcontract or agreement with respect thereto, or the proceeds thereunder, either for themselves or those with whom they have family or business ties, during, or at any time after, such person’s tenure. Contractor shall exercise due diligence to ensure that the prohibition in this Section 3.7(a) is followed.
(b) The conflict of interest provisions of Section 3.7(a) above apply to any person who is an employee, agent, consultant, officer, or elected or appointed official of the City of Richmond, and any immediate family member or dependent of such person.

Section 3.8 Notices, Demands and Communications.

If at any time after the execution of this Agreement it shall become necessary or convenient for one of the Parties hereto to serve any notice, demand or communication upon the other Party, such notice, demand or communication shall be in writing and shall be served personally or by depositing the same in the registered United States mail, return receipt requested, postage prepaid or delivered by express delivery service, return receipt requested and (1) if intended for the City shall be addressed to:

City of Richmond
#6 – 13th Street
Richmond, California 94801
Attention: Tawfic Halaby
With copy to:

City of Richmond
450 Civic Center Plaza
Richmond, CA 94804
Attention: City Attorney

(2) if intended for Contractor shall be addressed to:

Pavement Coatings Co.
2150 Bell Ave., Suite 125
Sacramento, CA 95838
Attn: Tim Schmid
2770
16 Contract
Any notice, demand or communication shall be deemed given, received, made or communicated on the date personal delivery is affected or, if mailed in the manner herein specified, on the delivery date or date delivery is refused by the addressee, as shown on the return receipt. Any Party may change its address at any time by giving written notice of such change at least ten (10) days prior to the date such change is desired to be effective.

Section 3.9 Applicable Law.

This Agreement shall be governed by California law. This Agreement is made in Contra Costa County, California, and any action relating to this Agreement shall be instituted and prosecuted in the courts of Contra Costa County, California.

Section 3.10 Parties Bound.

Except as otherwise limited herein, the provisions of this Agreement shall be binding upon and inure to the benefit of the Parties and their heirs, executors, administrators, legal representatives, successors, and assigns. Any reference in this Agreement to a specifically named Party shall be deemed to apply to any successor, heir, administrator, executor, successor, or assign of such Party who has acquired an interest in compliance with the terms of this Agreement or under law. This Agreement shall be binding upon and inure to the benefit of the heirs, administrators, executors, successors in interest, and assigns of each of the Parties.

Section 3.11 Severability.

If any term of this Agreement is held by a court of competent jurisdiction to be invalid, void or unenforceable, the remainder of the provisions shall continue in full force and effect unless the rights and obligations of the Parties have been materially altered or abridged by such invalidation, voiding or unenforceability.

Section 3.12 Force Majeure.

Performance by either Party shall not be deemed to be in default when delays in performance are due to war, insurrection, strikes, lock-outs, riots, floods, earthquakes, fires, quarantine restrictions, freight embargoes, or court order, or any other similar causes (other than lack of funds of Contractor) beyond the control or without the fault of the Party claiming an extension of time to perform (“Force-Majeure Delays”). In no event shall any extension of any period of time be deemed to have occurred unless the Party claiming the Force-Majeure Delay gives written notice to the other Party within ten (10) days following the commencement of any such delay, setting forth the facts giving rise to the Force-Majeure Delay request, the expected duration of the delay, and the steps the Party intends to take to minimize the Delay. During the Force-Majeure Delay, the Party whose performance is delayed shall keep the other Party reasonably informed of the situation and the steps taken by such Party to continue performance and minimize delay. After the Force-Majeure Delay is over, the Parties shall in good faith jointly prepare an accurate written record of the circumstances giving rise to delay, specifying the commencement date and duration of the Force-Majeure Delay and the cause thereof, which record shall be signed by each Party to confirm agreement with respect to its content. In no event shall the City be required to agree to cumulative Force-Majeure Delays in excess of sixty 2771
17 Contract
(60) days unless the City is the cause of such delay. In the event that the parties cannot agree upon a record of the circumstances giving rise to the Force-Majeure Delay, the procedures set forth in Section 3.3 of this Agreement shall apply.

Section 3.13 Waivers.

Any waiver by the City of any obligation or condition in this Agreement must be in writing. No waiver will be implied from any delay or failure by the City to take action on any breach or default of Contractor or to pursue any remedy allowed under this Agreement or applicable law. Any extension of time granted to Contractor to perform any obligation under this Agreement shall not operate as a waiver or release from any of its obligations under this Agreement. Consent by the City to any act or omission by Contractor shall not be construed to be consent to any other or subsequent act or omission or to waive the requirement for the City’s written consent to future waivers.

Section 3.14 Title of Parts and Sections.

Any titles of the sections or subsections of this Agreement are inserted for convenience of reference only and shall be disregarded in interpreting any part of the Agreement’s provisions.

Section 3.15 Entire Understanding of the Parties.

The Contract Documents – along with any written change orders and dispute determinations that may be issued by the City in the course of performance – shall constitute the entire understanding and agreement of the Parties with respect to construction of the Project.

The Contract Documents, written change orders (if any), and dispute determinations (if any) are deemed complementary and should be interpreted together.

Section 3.16 Multiple Originals; Counterpart.

This Agreement may be executed in multiple originals, each of which is deemed to be an original, and may be signed in counterparts. A facsimile or electronic signature to this Agreement shall be as valid as an ink signed original.
[Signatures on following page]
2772
18 Contract
WHEREAS, this Agreement has been entered into by the undersigned as of the date first above written.

Reviewed By:
_______________________
City Attorney
ATTEST:
_______________________________
City Clerk
CITY:

CITY OF RICHMOND, a municipal corporation and
charter city
By: _________________________________
Name: _________________________________
Its: __________________________________
CONTRACTOR:

Pavement Coatings Co.

By: _________________________________
Name: _________________________________
Its: _________________________________
2773
19 Contract
Exhibit A
Proposal
2774
2775
2776
2777
2778
2779
2780
2781
2782
2783
2784
2785
2786
2787
2788
2789
2790
2791
2792
2793
2794
2795
2796
2797
Memo
To: Richmond City Council
From: Tawfic N. Halaby, P.E., Deputy Director of Public Works – Operations & Maintenance CC: Daniel A. Chavarria, P.E., Director of Public Works Date: 6/14/2024
Re: 2024 Slurry Seal Project
In accordance with the Richmond Business Opportunity Ordinance (RMC 2.50) “Good Faith Efforts” are the steps undertaken by a “bidder” to comply with the goals and requirements of the Business Opportunity Ordinance, including subcontracting work out to Richmond Business Enterprises (RBEs).

Below please find a review of the bids received for the abovementioned project:

1. Pavement Coatings Co. – Sacramento, CA - $2,957,767.68 Subcontractors and Material Suppliers:

Chrisp Company (Fremont) – $952,961.05
Geroge Reed, Inc. (Sonora) – $242,761.98
Pacific Northwest Oil (Stockton) – $321,514.68
None of these firms are Richmond Business Enterprises
Total RBE participation: 0.00%
Pavement Coatings Co. is not eligible for a rating incentive under RMC 2.50.070 (a) or (b)

2. Graham Contractors, Inc. – San José, CA - $3,387,507.40 Subcontractors and Material Suppliers:

Chrisp Company (Fremont) – $953,000.00
Geroge Reed, Inc. (Sonora) – $100,000.00
Reed & Graham (San José) – $450,000.00
None of these firms are Richmond Business Enterprises
Total RBE participation: 0.00%
Graham Contractors, Inc., is not eligible for a rating incentive under RMC 2.50.070 (a) or (b) Please contact me if there are any questions or concerns. 2798
City of Richmond -- Public Works Department
2024 Slurry Seal Project
Bid Opening June 13, 2024
Bid Summary
1 Mobilization LS 1 $87,000.00 $87,000.00 $250,000.00 $250,000.00 $50,000.00 $50,000.00 2 Clearing, Grubbing, and Environmental Protection LS 1 $43,000.00 $43,000.00 $40,000.00 $40,000.00 $170,000.00 $170,000.00 3 Traffic Control LS 1 $150,000.00 $150,000.00 $507,000.00 $507,000.00 $350,000.00 $350,000.00 4 Construction Area Signs LS 1 $14,000.00 $14,000.00 $45,000.00 $45,000.00 $20,000.00 $20,000.00 5 Changeable Message Boards EA 4 $4,000.00 $16,000.00 $7,500.00 $30,000.00 $5,000.00 $20,000.00 6 Crak Sealing LS 1 $132,000.00 $132,000.00 $258,000.00 $258,000.00 $600,000.00 $600,000.00 7 Polymer Modified Slurry Seal SY 438789 $2.50 $1,096,972.50 $2.82 $1,237,384.98 $3.60 $1,579,640.40 8 Termoplastic Traffic Striping - Caltrans Detail 6 LF 1995 $1.50 $2,992.50 $3.20 $6,384.00 $3.00 $5,985.00 9 Termoplastic Traffic Striping - Caltrans Detail 21 LF 370 $1.50 $555.00 $6.35 $2,349.50 $6.00 $2,220.00 10 Termoplastic Traffic Striping - Caltrans Detail 22 LF 13036 $2.00 $26,072.00 $6.90 $89,948.40 $7.00 $91,252.00 11 Termoplastic Traffic Striping - Caltrans Detail 28 LF 17 $1.50 $25.50 $13.00 $221.00 $12.00 $204.00 12 Termoplastic Traffic Striping - Caltrans Detail 38A LF 29 $1.50 $43.50 $3.85 $111.65 $4.00 $116.00 13 Termoplastic Traffic Striping - Caltrans Detail 38C LF 113 $1.00 $113.00 $4.25 $480.25 $4.00 $452.00 14 Termoplastic Traffic Striping - Caltrans Detail 39 LF 10532 $1.00 $10,532.00 $2.95 $31,069.40 $3.00 $31,596.00 15 Termoplastic Traffic Striping - Caltrans Detail 39A LF 548 $1.00 $548.00 $2.75 $1,507.00 $3.00 $1,644.00 16 Thermopastic 4" White or Yellow Line LF 2137 $1.00 $2,137.00 $3.45 $7,372.65 $4.00 $8,548.00 17 Thermopastic 6" White or Yellow Line LF 95 $3.00 $285.00 $4.25 $403.75 $4.00 $380.00 18 Thermopastic 2" White or Yellow Line LF 54 $10.00 $540.00 $16.95 $915.30 $20.00 $1,080.00 19 Thermopastic Pavement Markings SF 7386 $5.00 $36,930.00 $10.60 $78,291.60 $10.00 $73,860.00 20 Thermopastic Limit Line (White) LF 2542 $5.00 $12,710.00 $10.60 $26,945.20 $10.00 $25,420.00 21 Thermopastic White Basic Crosswalk LF 829 $5.00 $4,145.00 $21.15 $17,533.35 $20.00 $16,580.00 22 Thermopastic Yellow Basic Crosswalk LF 5873 $5.00 $29,365.00 $21.15 $124,213.95 $20.00 $117,460.00 23 Thermopastic Yellow Ladder Crosswalk LF 514 $15.00 $7,710.00 $47.65 $24,492.10 $50.00 $25,700.00 24 Thermopastic White Continental Crosswalk LF 823 $11.00 $9,053.00 $42.35 $34,854.05 $50.00 $41,150.00 25 Thermopastic Yellow Continental Crosswalk LF 26 $11.00 $286.00 $42.35 $1,101.10 $50.00 $1,300.00 26 Thermopastic Advance Speed Hump Marking LF 5994 $2.00 $11,988.00 $7.40 $44,355.60 $10.00 $59,940.00 27 Thermopastic Chevron Marking EA 27 $100.00 $2,700.00 $190.55 $5,144.85 $200.00 $5,400.00 28 Thermopastic Parking T EA 14 $40.00 $560.00 $52.95 $741.30 $50.00 $700.00 29 Thermopastic Parking Stall Number EA 51 $40.00 $2,040.00 $158.80 $8,098.80 $150.00 $7,650.00 30 Custom Rumble Strips LF 144 $29.00 $4,176.00 $21.15 $3,045.60 $20.00 $2,880.00 31 Blue Fire Hydrant Pavement Markers EA 174 $35.00 $6,090.00 $26.45 $4,602.30 $25.00 $4,350.00 32 Painted Curb (Revocable Bid Item) LF 12000 $4.00 $48,000.00 $6.35 $76,200.00 $6.00 $72,000.00 TOTAL $1,758,569.00 Calculated $2,957,767.68 Calculated $3,387,507.40 Bid Sheet $2,957,767.69 Bid Sheet $3,387,507.40
1st Low 2nd Low
Total Cost
Pavement Coatings Co. Graham Contractors, Inc.

Unit Cost Unit Cost Total Cost
Engineer's Estimate
Total Cost Item
No. Item Description Units Quantity Unit Cost
2799
 










!" #$%!"&
'(
)*

'(


+

,-
.

/(010
234567589++
:;34<8/'=>=>'?('
@,/(?,?=?A=0
BCDEDF!GHICD!IGCJKH!
0=LMNO9PP9
)NQMP,-
.

/('=
23456758R
*S

+
:;34<80>/1>/('=
@1,10?,(?A
T<4U3V WXY<Z[U\]3^45_<`Y34`[a<
bcdecfegdfhfijkjlmnopqrstuonsvwjvwpml
xppythcczonsvwt{ylmnop|rst{}v~cyvwpmlcde€c|vc|v‚sopmrlcddifeƒ dcd 2800

July 2, 2024
DocID #22595v1
Public Works
DATE: July 2, 2024
TO: Mayor Martinez and Members of the City Council
FROM: Daniel Chavarria, PE, Director of Public Works
Robert Armijo, PE, Deputy Public Works Director / City
Engineer
Jeffrey Barich, PE, Senior Civil Engineer
Subject: Sole-Source Contract with Schaaf & Wheeler to finish Ferry Point Pump Station project
FINANCIAL IMPACT: Funding is available in Wastewater Fund (4003) in the amount of $50,000 (40322931-400708-01U10). There is
no impact to General Fund

PREVIOUS COUNCIL
ACTION:

Original contract approved December 2020 (Resolution
131-20), amended in March 2022 (Resolution 89-22).

STATEMENT OF THE
ISSUE:

On December 31, 2023 the contract with Schaaf and
Wheeler expired for the design services for the Ferry
Point Pump Station Project. The City needs new
authorization to enter into a sole-source contract to finish the project.

RECOMMENDED ACTION: APPROVE a sole-source contract with Schaaf & Wheeler for a total not-to-exceed amount of $50,000 for a term
ending on January 1, 2025, to finish the constructionrelated engineering services for the Ferry Point Pump Station Project – Public Works Department (Daniel
Chavarria 510-620-5478/Jeffrey Barich 510-412-2009).

DISCUSSION:

AGENDA
REPORT
2801

July 2, 2024
DocID #22595v1
On January 1, 2021, the City approved a contract with Schaaf & Wheeler to provide engineering design support during construction for the Ferry Point Pump Station Project. This project aims to replace the aging pump station, enhancing sewer collection services with additional features such as odor control. The improvements will ensure long-term reliability and efficiency in our sewer system.

The original contract, authorized by City Council Resolution No. 131-20, was awarded following a competitive Request for Proposals process. Schaaf & Wheeler was selected based on their technical expertise and capability to perform the required work, as determined by a four-person evaluation panel. The contract was effective from January 1, 2021, through March 31, 2022, for an amount not to exceed $375,000.

Due to a larger than expected number of Requests for Information (RFIs) and Design Clarifications from the contractor, as well as the extra work needed to incorporate modifications to the Bay Trail at the intersection of Dornan Drive and Brickyard Cove Road, additional funds are required to complete the project.

The Ferry Point Pump Station Project is substantially complete, but currently still under construction. To bring the project to final completion, additional engineering services are needed. Schaaf & Wheeler’s contract expired during the project. Given that Schaaf & Wheeler is the design engineer of record, they possess the detailed knowledge and expertise necessary to address the remaining RFIs and design clarifications efficiently.

Their familiarity with the project’s specifications, challenges, and nuances positions them as the most suitable firm to provide the required engineering support.

Staff recommends approving a new sole source contract with Schaaf & Wheeler for a not-to-exceed amount of $50,000, effective from January 1, 2024, through January 1, 2025. This funding will cover the necessary construction-related engineering services to finalize the Ferry Point Pump Station Project. Sole sourcing this contract is justified due to Schaaf & Wheeler’s unique position as the original design engineer and their deep understanding of the project requirements, which will ensure continuity and minimize further delays or additional costs.

DOCUMENTS ATTACHED:

Attachment 1 – Proposed Agreement
2802
DocID #22594v1DocID #22594v1
Formatte
RESOLUTION NO. ________

A RESOLUTION OF THE COUNCIL OF THE CITY OF RICHMOND,

CALIFORNIA, AUTHORIZING A NEW CONTRACT WITH SCHAAF AND

WHEELER CONSULTING CIVIL ENGINEERS TO DESIGN FERRY POINT

LIFT PUMP STATION REPLACEMENT FOR AN AMOUNT NOT TO EXCEED $50,000
WHEREAS, on December 1, 2020, the City Council adopted Resolution No. 131-20 authorizing, inter alia, the Public Works Department (the “Department”) to enter into a contract with Schaaf and Wheeler Consulting Civil Engineers (“Schaaf and Wheeler” or the “Vendor”) to design the Ferry Point Lift Pump Station Replacement for an amount not to exceed $375,000; and .

WHEREAS, the backdrop of the City Council’s adoption of Resolution No. 131-20 in 2020 included the following facts:

1.The City of Richmond (the “City”) posted a Request for Proposals for design services to replace the Ferry Point Lift Sewer Pump Station located at the intersection of Brickyard Cove Road and Dornan Road on August 31, 2020; and

2. The City received four (4) design-service proposals on October 23, 2020, which a subsequent, four (4)-person panel (the “Panel”) reviewed and evaluated based on set criteria; and

3. The Panel determined that Schaaf and Wheeler Consulting Civil Engineers (“Schaaf and Wheeler” or the “Vendor”) had the technical expertise to perform the required work and thus recommended that City award the Vendor the contract; and
WHEREAS, following the City Council’s December 1, 2020 adoption of Resolution No. 131-20, which, in part, authorized the Department of Public Works (the “Department”) to contract with Schaaf and Wheeler, the Department entered into a one (1)-year agreement (the “Original Contract”) with the Vendor, effective January 1, 2021 through March 31, 2022, for an amount not to exceed $375,000; and WHEREAS, the Department is satisfied with the technical expertise and workproduct quality that Schaaf and Wheeler demonstrates; still requires the Vendor’s services and wishes to continue its professional relationship with the Vendor; and WHEREAS, the Department intended to amend Schaaf and Wheeler’s Original Contract, as amended for $50,000 and time (until December 31, 2024) before its expiration date of December 31, 2023 but was unable to do so; and WHEREAS, the Department experienced several staffing changes, including the retirement of key personnel, during an exceptionally busy work period in which the December 31, 2023 expiration date of the Original Contract passed without notice; and 2803
DocID #22594v1DocID #22594v1
Formatte
WHEREAS, the Original Contract’s amendment window has now closed, and the Department seeks the Council’s adoption of a Resolution to authorize a new sole-source contract for $50,000 with Schaaf and Wheeler, which shall be effective from January 1, 2024 through January 1, 2025.

NOW, THEREFORE, BE IT RESOLVED, by the City Council of the City of Richmond as follows:

Section 1. The foregoing recitals are true and correct, and this City Council hereby so finds and determines.

Section 2. The City Council of the City of Richmond hereby authorizes the Public Works Department to enter into a new Contract with Schaaf and Wheeler Consulting Civil Engineers for design services to replace the Ferry Point Lift Pump Station located at the intersection of Brickyard Cove Road and Doman Road.

Section 3. This Resolution shall take effect immediately upon its passage. *****************************
I certify that the foregoing resolution was passed and adopted by the City Council of the City of Richmond at a _________ meeting held on ____________by the following vote:

AYES:

NOES:

ABSTENTIONS:

ABSENT:
________________________________________
Clerk of the City of Richmond
(SEAL)
Approved:
_______________________________
Mayor
Approved as to form:
____________________________
City Attorney
2804

CITY OF RICHMOND

STANDARD CONTRACT
Department: Project Manager:

Project Manager E-mail: Project Manager Phone No:

PR No: Vendor No: P.O./Contract No:

Description of Services:

The parties to this STANDARD CONTRACT do mutually agree and promise as follows:

1. Parties. The parties to this Contract are the City of Richmond (herein referred to as the “City”) and the following named Contractor:

Company Name:

Street Address:

City, State, Zip Code:

Contact Person:

Telephone: Email:

Business License No: / Expiration Date:

A California [ ] corporation, [ ] limited liability corporation [ ] general partnership, [ ] limited partnership, [ ] individual, [ ] non-profit corporation, [ ] individual dba as [specify:] ,
[ ] other [specify:]

2. Term. The effective date of this Contract is and it
terminates unless terminated as provided herein.

3. Payment Limit. City’s total payments to Contractor under this Contract shall not exceed $ . City shall not pay for services that exceed
the Contract Payment Limit unless a contract amendment has been approved by the City Council or City Manager.

4. Contractor’s Obligations. Contractor shall provide those services and carry out that work described in the Service Plan (Exhibit A) which is attached hereto and is incorporated herein by reference, subject to all the terms and conditions contained or incorporated herein.

5. City's Obligations. City shall make to the Contractor those payments described in the Payment Provisions (Exhibit B) which are attached hereto and are incorporated herein by reference, subject to all the terms and conditions contained or incorporated herein.
2805

6. Authorized Representatives and Notices. This Contract is subject to the Authorized Representatives and Notices Provisions (Exhibit C) which are attached hereto and are incorporated herein by reference.

7. General Conditions. This Contract is subject to the General Conditions (Exhibit D) which are attached hereto and are incorporated herein by reference, subject to all the terms and conditions contained or incorporated herein.

8. Special Conditions. This Contract is subject to the Special Conditions (Exhibit E) (if any) which are attached hereto and are incorporated herein by reference, subject to all the terms and conditions contained or incorporated herein. (Note:
other than Public Works contracts, the City will agree to Special Conditions only in unusual circumstances.)

9. Insurance Provisions. This Contract is subject to the Insurance Provisions (Exhibit F) which are attached hereto and are incorporated herein by reference.

10. Signatures. These signatures attest the parties' Contract hereto:

CITY OF RICHMOND CONTRACTOR:
a municipal corporation

By:
(* The Corporation Chairperson of the Board,
President or Vice President should sign below)

Title: By:

I hereby certify that this Contract Title:
has been approved by City Council.

Date Signed:

By:

City Clerk
(* The Corporation Chief Financial Officer,
Secretary or Assistant Secretary should sign below)
Approved as to form:

By:

By: Title:

City Attorney
Date Signed:

(NOTE: Pursuant to California Corporations
Code Section 313, if Contractor is a corporation
or nonprofit organization, this Contract (1) must
be signed by (a) the Chairperson of the Board,
President or Vice-President and (b) the
Secretary any Assistant Secretary, the Chief
Financial Officer or any Assistant Treasurer.

LIST OF ATTACHMENTS:

Service Plan Exhibit A
Payment Provisions Exhibit B
Authorized Representatives and Notices Exhibit C
General Conditions Exhibit D
Special Conditions Exhibit E
Insurance Provisions Exhibit F
Standard Contract/EJ/TE 9-26-07
2806
For the Contract between the City of
Richmond and

EXHIBIT A

SERVICE PLAN
Contractor shall, to the satisfaction of the , perform the following services and be compensated as outlined below:
2807
March 26, 2024
Jeffrey Barich, PE
City of Richmond
450 Civic Center Plaza
Richmond, CA 94804
Subject: Ferry Point Lift Station Additional Services
Dear Mr. Barich,
The purpose of this letter is to provide a scope for engineering services as requested by the City of Richmond for the continued construction support services along with additional engineering services for the Ferry Point Sewer Lift Station project. Schaaf & Wheeler’s prior contract with the City recently expired on 12/31/2023. In order to continue providing construction support services for the Ferry Point Lift Station Project, Schaaf & Wheeler provides the following scope which aims to provide the remaining services from the expired contract along with additional scope and fee for the following two requested services:

1. Realigning Brickyard Cove Road adjacent to the Ferry Point Lift Station.

2. Structural engineering services pertaining to raising of the split-faced CMU wall.

More specifically, Schaaf & Wheeler’s scope will include:

Task 1: Project Closeout
At the culmination of Schaaf & Wheeler’s contract on 12/31/23, remaining scope items included project closeout which encompasses record drawing preparation, start-up and testing attendance and punch list walkthrough of the station upon substantial completion. Schaaf & Wheeler have provided the same level of effort hours for this task as under the previous contract.

Task 2: Realigning Brickyard Cove Road
Realigning Brickyard Cove Road adjacent to the Ferry Point Lift Station Brickyard Cove Road was previously realigned as part of the Ferry Point Lift Station Improvements Project, however the alignment has recently been requested to shift approximately 3 feet further north in order to provide additional clearance from the Bay Trail.

Schaaf & Wheeler and its subconsultant Hexagon Transportation Consultants will update the site plan alignment, grading, striping and signage and will provide the updated design documents for coordination with Thompson Builders to construct. More specifically, this scope of services shall provide the following:

1. S&W to provide revised site plans (sheets C-1 and C-2) showing the requested alignment. Revised site plans shall include revised grading contours and quantity takeoffs for new improvements, rev clouded for clarity. Revisions shall include, shifted Brickyard Cove Road alignment, new Bay Trail sign, re-paving of the bay trail per Bay Trail standards, incorporation of a wooden fence matching that of the east bay regional parks fence in the adjacent parking lot, flexible delineators, bollards, modified curb and striping and signage. Deliverable shall be provided to the project team in PDF format.

Schaaf & Wheeler

CONSULTING CIVIL ENGINEERS
4699 Old Ironsides Dr., Ste. 350
Santa Clara, CA 95054-1860
408-246-4848
2808
Schaaf & Wheeler Page 2

2. S&W’s subconsultant Hexagon Transportation Consultants to provide a revised striping and signage plan sheet including adjustments to the roadway geometry, striping, and signage. Deliverable shall be provided to the project team in PDF format.

Task 3: Structural Engineering to raise the Split-Faced CMU Screen Wall Structural engineering for to determine additional reinforcement required to extend the splitfaced CMU screening wall to a 10-foot maximum height. S&W to provide direction on reinforcement sizing and spacing requirements, along with epoxy and grout specifications.

Information will be provide to the project team in email format.

Task 4: Additional Services as Required
Task 4 includes approximately 20% reserve budget for additional services as required by the project with discretionary approval required by the City before utilization.

Assumptions
The scope of work detailed above is based on our current understanding of the project:
- This deliverable includes one round of road alignment revisions. Additional modifications to the road alignment, striping or signage can be provided for an additional fee. - S&W assume that the final road alignment, grading, striping and signage will be confirmed via contractor red-line as-builts for incorporation onto the record drawings if changes are made in the field during construction.
- S&W assume that coordination with the Association of Bay Governments and the contractor will be performed by others.
- All items not specifically identified in this scope of services are excluded.

Consultant’s Compensation
Based on the above understanding, scope, and assumptions, we propose to provide engineering services for Tasks 1-3 based on a not-to-exceed fee amount of $35,477.00. Schaaf & Wheeler’s 2024 charge rates are attached for reference. Principal Project Manager Senior Project Manager Assistant Engineer Hourly Rate $275 $250 $200
TASK 1 PROJECT CLOSEOUT 0 16 40 $ 12,000 $ - $ 13,677 $ 25,677 A Project Closeout 0 16 40 $ 12,000.00 $ 13,677 $ 25,677.00 TASK 2 ROAD REALIGNMENT 0 4 10 $ 3,000.00 $ 3,000.00 $ - $ 6,000.00 A Road Realignment 0 4 10 $ 3,000.00 $ 3,000.00 $ 6,000.00 TASK 3 CMU SCREEN WALL EXTENSION 0 4 4 $ 1,800.00 $ - $ 2,000.00 $ 3,800.00 A Structural Design 0 4 4 $ 1,800.00 $ 2,000.00 $ 3,800.00 TASK 4 ADDITIONAL SERVICES AS REQUIRED 0 0 0 $ 7,000.00 $ - $ - $ 7,000.00 A Additional Services as Required $ 7,000.00 $ 7,000.00 TOTAL 0 16 40 $ 16,800.00 $ 3,000.00 $ 15,677.00 $ 35,477.00 Ferry Point Lift Station Add Services
Schaaf & Wheeler (03/26/2024)
Schedule of Hours and Rates by Task
FINAL Schaaf & Wheeler Subtotal
Cost
Schaaf & Wheeler
Task Hexagon TJCAA
Subconsultants
2809
Hourly Charge Rate Schedule
Personnel Charges
Charges for personnel engaged in professional and/or technical work are based on the actual hours directly chargeable to the project.

Current rates by classification are listed below:

Classification Rate/Hr
Principal Project Manager $295
Senior Project Manager $270
Senior Engineer $250
Associate Engineer $220
Assistant Engineer $200
Junior Engineer $185
Designer $175
GIS Analyst $175
Technician $160
Engineering Trainee $135
Litigation Charges
Court or deposition time as an expert witness is charged at $500 per hour.

Materials and Services
Subcontractors, special equipment, outside reproduction, data processing, computer services, etc., will be charged at 1.10 times cost.

Effective 1/1/24
Schaaf & Wheeler

CONSULTING CIVIL ENGINEERS
4699 Old Ironsides Dr., Suite 350
Santa Clara, CA 95054-1860
408-246-4848
2810
For the Contract between the City of
Richmond and

EXHIBIT B

PAYMENT PROVISIONS
{PLEASE NOTE THAT THE CITY OF RICHMOND SHALL NOT PAY FOR SERVICES

THAT EXCEED THE CONTRACT PAYMENT LIMIT UNLESS A CONTRACT

AMENDMENT HAS BEEN APPROVED BY THE CITY COUNCIL OR THE CITY MANAGER}

1. Provided Contractor is not in default under this Contract, Contractor shall be compensated as provided below.

2. Any and all payments made pursuant to this Contract shall be subject to the Contract Payment Limit. The Payment Limit includes expenses (phones, photo copying, meals and travel etc). Invoices, shall be adequately detailed, based on accurate records, and be in a form reasonably satisfactory to the City. Contractor may be required to provide back-up material upon request.

3. Contractor shall submit timely invoices to the following address:

Attention: City of Richmond, Finance Department - Accounts Payable Project Manager: Department:

PO Box 4046
Richmond, CA 94804-0046

4. All invoices that are submitted by Contractor shall be subject to the approval of the City’s Project Manager, before payments shall be authorized.

5. The City will pay invoice(s) within 45 days after completion of services to the City’s satisfaction. The City shall not pay late fees or interest.

6. A Richmond business license shall be obtained before any payment under this Contract shall be authorized and the business license must be kept current during the term of this Contract for payments to continue to be authorized.

7. All insurance coverage required by this Contract shall be provided by the Contractor before this Contract shall be executed by the City. The insurance coverage must be kept current during the term of this Contract for payments to continue to be authorized. 2811
For the Contract between the City of
Richmond and

EXHIBIT C

AUTHORIZED REPRESENTATIVES AND NOTICES

1. Notices. All notices, demands, statements, or communications provided for by this Contract shall be in writing and may be delivered by deposit in the United States mail, postage prepaid. Notices to the City shall be addressed to the Department Head and (as delineated below in section 1.1) to the project manager responsible for the administration of or the supervision of the scope of work under this Contract. Notices to the Contractor shall be addressed to the party designated by Contractor (as delineated below in section 1.2). Notice shall be deemed delivered (a) upon personal delivery; (b) as of the fifth business day after mailing by United States certified mail, postage prepaid, addressed to the proper party; or (c) as of 12:00 p.m. on the second business day immediately after the day it is deposited with and accepted by Federal Express, or a similar overnight courier service, addressed to the proper party and marked for next business day morning delivery. For the purposes of this Contract, a "business day" means any day Monday through Friday that is not a holiday recognized by the federal government or the State of California.

1. 1 CITY hereby designates as its Authorized Representative the Project Manager whose name and address are as follows:

City of Richmond
Richmond, CA 94804-0046

1. 2 CONTRACTOR hereby designates as its Authorized Representative the Project Manager whose name and address are as follows:

2812
General Conditions/EJ/TE 01-19-11 1 of 13

EXHIBIT D

GENERAL CONDITIONS

1. Independent Contractor. Contractor acknowledges, represents and warrants that Contractor is not a regular or temporary employee, joint venturer or partner of the City, but rather an independent Contractor. This Contract shall not be construed to create an agency, servant, employee, partnership, or joint venture relationship. As an independent Contractor, Contractor shall have no authority to bind City to any obligation or to act as City's agent except as expressly provided herein. Due to the independent Contractor relationship created by this Contract, City shall not withhold state or federal income taxes, the reporting of which shall be Contractor's sole responsibility.

2. Brokers. Contractor acknowledges, represents and warrants that Contractor has not hired, retained or agreed to pay any entity or person any fee, commission, percentage, gift, or any other consideration, contingent upon or resulting from the award or making of this Contract.

3. City Property. The rights to applicable plans, drawings, reports, calculations, data, specifications, videos, graphics or other materials prepared for or obtained pursuant to this Contract, which, upon request, are to be delivered to City within a reasonable time, shall be deemed assigned to City. If applicable, Contractor shall prepare check prints upon request. Notwithstanding the foregoing, Contractor shall not be obligated to provide to City proprietary software or data which Contractor has developed or had developed for Contractor's own use; provided, however, that Contractor shall, pursuant to Section 15 below, indemnify, defend and hold harmless City from and against any discovery or Public Records Act request seeking the disclosure of such proprietary software or data.

4. Patents, Trademarks, Copyrights and Rights in Data. Contractor shall not publish or transfer any materials, discoveries, developments, concepts, designs, ideas, know how, improvements, inventions and/or original works of authorship resulting from activities supported by this Contract without the express prior written consent of the City Manager. If anything resulting from activities supported by this Contract is patentable, trademarkable, copyrightable or otherwise legally protectable, City reserves the exclusive right to seek such intellectual property rights. Notwithstanding the foregoing, Contractor may, after receiving City's prior written consent, seek patent, trademark, copyright or other intellectual property rights on anything resulting from activities supported by this Contract. However, City reserves, and Contractor irrevocably grants, a nonexclusive, fully paid-up, royalty-free, assumable, perpetual, worldwide license, with the right to transfer, sublicense, practice and exploit said license and the right to make, have made, copy, modify, make derivative works of, use, sell, 2813
General Conditions/EJ/TE 01-19-11 2 of 13
import, and otherwise distribute under all applicable intellectual properties without restriction of any kind said license.

Contractor further agrees to assist City, at City's expense, in every proper way to secure the City’s rights in any patents, trademarks, copyrights or other intellectual property rights relating thereto, including the disclosure to City of all pertinent information and data with respect thereto. Contractor shall also assist City in the execution of all applications, specifications, oaths, assignments, recordations, and all other instruments which City shall deem necessary in order to apply for, obtain, maintain and transfer such rights, or if not transferable, to waive such rights. Contractor shall further assist City in the execution of all applications, specifications, oaths, assignments, recordations and all other instruments which City shall deem necessary in order to assign and convey to City, and any assigns and nominees the sole and exclusive right, title and interest in and to any patents, trademarks, copyrights or other intellectual property rights relating thereto. Contractor further agrees that its obligation to execute or cause to be executed, when it is in Contractor's power to do so, any such instruments or papers shall continue during and at all times after the end of Contractor's services and until the expiration of the last such intellectual property right. Contractor hereby irrevocably designates and appoints City, and its duly authorized officers, agents and servants, as its agent and attorney-in-fact, to act for and in its behalf and stead to execute and file any such applications and to do all other lawfully permitted acts to further the application for, prosecution, issuance, maintenance or transfer of letters of patents, copyright and other registrations. This power of attorney is coupled with an interest and shall not be affected by Contractor's subsequent incapacity.

5. Inspection. Contractor's performance, place of business and records pertaining to this Contract are subject to monitoring, inspection, review and audit by authorized representatives of the CITY, the State of California, and the United States Government.

If the project or services set forth in Exhibit A shall be performed on City or other public property, City shall have the right to inspect such work without notice. If such project or services shall not be performed on City or other public property, City shall have the right to inspect such work upon reasonable notice.

6. Services. The project or services set forth in Exhibit A shall be performed to the full satisfaction and approval of City. In the event that the project or services set forth in Exhibit A are also itemized by price, City, in its sole discretion, may, upon notice to Contractor, delete certain items or services set forth in Exhibit A, in which case there shall be a corresponding reduction in the amount of compensation paid to Contractor. 2814
General Conditions/EJ/TE 01-19-11 3 of 13
Contractor shall, at its own cost and expense, furnish all facilities and equipment necessary for Contractor to complete the project or perform the services required herein, unless otherwise provided in Exhibit A.

7. Records. Contractor shall keep and make available for inspection and copying by authorized representatives of the City, the State of California, and the United States Government, the Contractor's regular business records and such additional records pertaining to this Contract as may be required by the City.

Contractor shall retain all documents pertaining to this Contract for a period of five (5) years after this Contract's termination (or for any further period that is required by law) and until all Federal or State audits are complete and exceptions resolved for this contract's funding period. Upon request, CONTRACTOR shall make these records available to authorized representatives of the CITY, the State of California, and the United States Government.

Contractor shall keep full and detailed accounts, maintain records, and exercise such controls as may be necessary for proper financial management under this Contract. The Contractor’s accounting and control systems shall be satisfactory to City. Contractor's accounting systems shall conform to generally accepted accounting principles and all records shall provide a breakdown of total costs charged under this Contract, including properly executed payrolls, time records, utility bills, invoices and vouchers. The City shall be afforded prompt access to Contractor's records, books, and Contractor shall preserve such project records for a period of at least five (5 years after the termination of this Contract , or for such longer period as may be required by law.

Contractor shall permit City and its authorized representatives and accountants to inspect, examine and copy Contractor's books, records, accounts, correspondence, instructions, drawings, receipts, subcontracts, purchase orders, vouchers, memoranda and other data relating to the project or services set forth in Exhibit A, and any and all data relevant to this Contract at any reasonable time for the purpose of auditing and verifying statements, invoices, or bills submitted by Contractor pursuant to this Contract and shall provide such assistance as may be reasonably required in the course of such inspection. Contractor shall also allow City access to the record keeping and accounting personnel of Contractor.

City further reserves the right to examine and re-examine said books, records, accounts, and data during the five (5 year period following the termination of this Contract; and Contractor shall in no event dispose of, destroy, alter, or mutilate said books, records, accounts, and data in any manner whatever for five (5 years after the termination of this Contract. 2815
General Conditions/EJ/TE 01-19-11 4 of 13
Pursuant to California Government Code § 10527, the parties to this Contract shall be subject to the examination and audit of representatives of the Auditor General of the State of California for a period of three (3) years after final payment under this Contract. The examination and audit shall be confined to those matters connected with the performance of this Contract including, but not limited to, the cost of administering this Contract.

8. Changes and Extra Work. All changes and/or extra work under this Contract shall be performed and paid for in accordance with the following:

Only the City Council or the City Manager may authorize extra and/or changed work. Contractor expressly recognizes that other City personnel are without authorization to either order extra and/or changed work or waive contract requirements. Failure of Contractor to secure the authorization for such extra and/or changed work shall constitute a waiver of any and all right to adjustment in contract price due to such unauthorized work and Contractor thereafter shall be entitled to no compensation whatsoever for performance of such extra and/or changed work.

If Contractor is of the opinion that any work which Contractor has been directed to perform is beyond the scope of this Contract and constitutes extra work, Contractor shall promptly notify City of the fact. The City shall make a determination as to whether or not such work is, in fact, beyond the scope of this Contract and constitutes extra work. In the event that City determines that such work does constitute extra work, City shall provide extra compensation to Contractor on a fair and equitable basis. A change order or Contract Amendment providing for such compensation for extra work shall be negotiated between City and Contractor and executed by Contractor and the appropriate City official.

In the event City determines that such work does not constitute extra work, Contractor shall not be paid extra compensation above that provided herein and if such determination is made by City staff, said determination may be appealed to the City Council; provided, however, a written appeal must be submitted to the City Manager within five (5) days after the staff's determination is sent to Contractor. Said written appeal shall include a description of each and every ground upon which Contractor challenges the staff's determination.

9. Additional Assistance. If this Contract requires Contractor to prepare plans and specifications, Contractor shall provide assistance as necessary to resolve any questions regarding such plans and specifications that may arise during the period of advertising for bids, and Contractor shall issue 2816
General Conditions/EJ/TE 01-19-11 5 of 13
any necessary addenda to the plans and specifications as requested. In the event Contractor is of the opinion that City's requests for addenda and assistance is outside the scope of normal services, the parties shall proceed in accordance with the changes and extra work provisions of Section 8 of these General Conditions.

10. Professional Ability. Contractor acknowledges, represents and warrants that Contractor and its employees are skilled and able to competently provide the services hereunder, and possess all professional licenses, certifications, and approvals necessary to engage in their occupations.

City has relied upon the professional ability and training of Contractor as a material inducement to enter into this Contract. Contractor shall perform in accordance with generally accepted professional practices and standards of Contractor's profession. In the event that City, in its sole discretion, desires the removal of any person employed or retained by Contractor to perform services hereunder, such person shall be removed immediately upon receiving notice from City.

11. Business License. Contractor shall obtain a Richmond Business License before performing any services required under this Contract. The failure to so obtain such license shall be a material breach of this Contract and grounds for immediate termination by City; provided, however, that City may waive the business license requirement in writing under unusual or extraordinary circumstances without necessitating any modification of this Contract to reflect such waiver.

12. Termination Without Default. Notwithstanding any provision herein to the contrary, City may, in its sole and absolute discretion and without cause, terminate this Contract at any time prior to completion by Contractor of the project or services hereunder, immediately upon written notice to Contractor. Contractor may terminate this Contract at any time in its sole and absolute discretion and without cause upon 30 days' written notice to City. In the event of termination by either party, Contractor shall be compensated for: (1) all authorized work satisfactorily performed prior to the effective date of termination; (2) necessary materials or services of others ordered by Contractor for this Contract, prior to receipt of notice of termination, irrespective of whether such materials or services of others have actually been delivered, provided that Contractor is not able to cancel such orders. Compensation for Contractor in such event shall be determined by City in accordance with the percentage of the project or services completed by Contractor; and all of Contractor's finished or unfinished work product through the time of the City's last payment shall be transferred and assigned to City. Additionally, in the event of such termination, the City may proceed with the work in any reasonable manner it chooses.
2817
General Conditions/EJ/TE 01-19-11 6 of 13

13. Termination in the Event of Default. Should Contractor fail to perform any of its obligations hereunder, within the time and in the manner provided or otherwise violate any of the terms of this Contract, City may immediately terminate this Contract by giving written notice of such termination, stating the reasons for such termination. Contractor shall be compensated as provided in Section 12 of these General Conditions; provided, however, there shall be deducted from such amount the amount of damage, including attorney's fees, expert witness fees and costs, if any, sustained by City by virtue of Contractor's breach of this Contract. Additionally, in the event of such termination, the City may proceed with the work in any reasonable manner it chooses.

14. Conflict of Interest. Contractor acknowledges, represents and warrants that Contractor shall avoid all conflicts of interest (as defined under any federal, state or local statute, rule or regulation, or at common law) with respect to this Contract. Contractor further acknowledges, represents and warrants that no City official or employee has any economic interest, as defined in Title 2, California Code of Regulations §§ 18703.1 through 18703.5, with Contractor that would invalidate this Contract. Contractor acknowledges that in the event that Contractor shall be found by any judicial or administrative body to have any conflict of interest (as defined above) with respect to this Contract, all consideration received under this Contract shall be forfeited and returned to City forthwith. This provision shall survive the termination of this Contract for one (1) year.

15. Indemnification.
(a) If this Contract is a contract for design professional services subject to California Civil Code Section 2782.8(a) and Contractor is a design professional, as defined in California Civil Code Section 2782.8(b)(2), Contractor shall hold harmless, defend and indemnify the City, its officers, agents, employees, and volunteers from and against any and all claims, damages, losses, and expenses including attorneys’ fees arising out of, or pertaining to, or relating to the negligence, recklessness, or willful misconduct of the Contractor, except where caused by the active negligence, sole negligence, or willful misconduct of the City. To the fullest extent permitted by law, Contractor shall immediately defend and indemnify the City and its officers, agents, employees, and volunteers from and against any and all liabilities, regardless of nature or type, that arise out of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the Contractor, or its employees, agents, or subcontractors.

Liabilities subject to the duties to defend and indemnify include, without limitation, any and all claims, losses, damages, penalties, fines, and judgments; associated investigation and administrative expenses; defense costs, including but not limited to reasonable attorneys’ fees; court costs; and costs of alternative dispute resolution. Contractor’s obligation to 2818
General Conditions/EJ/TE 01-19-11 7 of 13
indemnify applies unless it is finally adjudicated that the liability was caused by the sole active negligence or sole willful misconduct of an indemnified party.
(b) If this Contract is not a contract for design professional services subject to California Civil Code Section 2782.8(a) or Contractor is not a design professional as defined in California Civil Code Section 2782.8(b)(2), Contractor shall indemnify, defend, and hold harmless the City, its officers, agents, employees and volunteers from any and all claims, suits, or actions of every name, kind and description, brought forth on account of injuries to or death of any person or damage to property arising from or connected with the willful misconduct, negligent acts, errors or omissions, ultra-hazardous activities, activities giving rise to strict liability, or defects in design by Contractor or any person directly or indirectly employed by, or acting as, the agent for Contractor in the performance of this Contract, including the concurrent or successive passive negligence of the City, its officers, agents, employees or volunteers.
(c) It is understood that the duty of Contractor to indemnify and hold harmless includes the duty to defend as set forth in Section 2778 of the California Civil Code. Contractor shall be obligated to defend, in all legal, equitable, administrative, or special proceedings, with counsel approved by the City, the City and its officers, agents, employees, and volunteers, immediately upon tender to Contractor of the claim in any form or at any stage of an action or proceeding, whether or not liability is established. An allegation or determination that persons other than Contractor are responsible for the claim does not relieve Contractor from its separate and distinct obligation to defend under this Section 15. The obligation to defend extends through final judgment, including exhaustion of any appeals. The defense obligation includes an obligation to provide independent counsel if Contractor asserts that liability is caused in whole, or in part, by the negligence or willful misconduct of an indemnified party. (d) The review, acceptance or approval of the Contractor’s work or work product by any indemnified party shall not affect, relieve or reduce the Contractor’s indemnification or defense obligations. This Section 15 survives completion of the services or the termination of this Contract.

The provisions of this Section 15 are not limited by, and do not affect, the provisions of this Contract relating to insurance.
(e) Acceptance of insurance certificates and endorsements required under this Contract does not relieve Contractor from liability under this Section

15. This Section 15 shall apply whether or not such insurance policies are determined to be applicable to any such damages or claims for damages.

16. Safety. Contractor acknowledges that the City is committed to the highest standards of workplace safety. Contractor shall perform all work hereunder in full compliance with applicable local, state and federal safety requirements including but not limited to Occupational Safety and Health Administration requirements, and shall assume sole and complete 2819
General Conditions/EJ/TE 01-19-11 8 of 13
responsibility for the safety of Contractor's employees and any subContractor's employees. If a death, serious personal injury or substantial property damage occurs in connection with the performance of this Contract, Contractor shall immediately notify the City by telephone.

17. Insurance. Insurance requirements are set forth in Exhibit F to this Contract. Contractor shall abide by the insurance requirements set forth in said Exhibit F.

18. Non-Liability of Officials and Employees of the City. No official or employee of the City shall be personally liable for any default or liability under this Contract.

19. Compliance with Laws. Contractor shall comply with all federal, state and local laws, statutes, ordinances, rules and regulations, and the orders and decrees of any courts or administrative bodies or tribunals, with respect to this Contract, including without limitation environmental laws, employment discrimination laws and prevailing wage laws. Compliance under this provision includes compliance with all provisions of the Richmond Municipal Code ("Municipal Code"), including Chapters 2.50, 2.52, 2.56, and 2.60, if applicable.

Contractor acknowledges that under § 2.60.070 of the Municipal Code ("Living Wage Ordinance"), Contractor shall promptly provide to City documents and information verifying its compliance with the Living Wage Ordinance. Also as prescribed in § 2.60.070, Contractor shall notify each of its affected employees with regards to the wages that are required to be paid pursuant to the Living Wage Ordinance.

Contractor shall comply with § 2.28.030 of the Municipal Code, obligating every Contractor or subcontractor under a contract or subcontract with the City for public work or for goods or for services to refrain from discriminatory employment or subcontracting practices on the basis of race, color, sex, sexual orientation, religious creed, national origin or ancestry of any employee, any applicant for employment or any potential subcontractor.

Contractor acknowledges that the City’s Drug Free Workplace Policy, Violence in the Workplace Policy and the Policy Against Workplace Harassment, are available on the City’s website at
http://www.ci.richmond.ca.us/workplacepolicies . Contractor agrees to abide by the terms and conditions of said policies.

20. Limitations upon Subcontracting and Assignment. This Contract binds the heirs, successors, assigns and representatives of Contractor. The Contractor shall not enter into subcontracts for any work contemplated 2820
General Conditions/EJ/TE 01-19-11 9 of 13
under this Contract and shall not assign this Contract, nor any portion hereof or monies due or to become due, without the prior written consent of the City Council or its designee.

Contractor acknowledges that the services which Contractor shall provide under this Contract are unique, personal services which, except as otherwise provided herein, Contractor shall not assign or sublet to any other party without the prior written approval of City, which approval may be withheld in City's sole and absolute discretion. In the event that City, in writing, approves any assignment or subletting of this Contract or the retention of subcontractors by Contractor, Contractor shall provide to City upon request copies of each and every subcontract contract prior to the execution thereof by Contractor and subcontractor. Any assignment by Contractor of any or all of its rights under this Contract without first obtaining City's prior written consent shall be a default under this Contract.

The sale, assignment, transfer or other disposition of any of the issued and outstanding capital stock of Contractor (if applicable), or of the interest of any general partner or joint venturer or syndicate member if Contractor is a partnership or joint-venture or syndicate, which shall result in a change of control of Contractor, shall be deemed an assignment. For this purpose, control shall mean fifty percent or more of the voting power or twenty-five percent or more of the assets of the corporation, partnership or joint-venture.

21. Integration. This Contract constitutes the entire agreement between the parties concerning the subject matter hereof and supersedes any previous oral or written agreement; provided, however, that correspondence or documents exchanged between Contractor and City may be used to assist in the interpretation of the Exhibits to this Contract.

22. Modifications and Amendments. This Contract may be modified or amended only by a change order or Contract Amendment executed by both parties and approved as to form by the City Attorney.

23. Conflicting Provisions. In the event of a conflict between these General Conditions and those of any Exhibit or attachment hereto, these General Conditions shall prevail; provided, however, that any Special Conditions as set forth in Exhibit E shall prevail over these General Conditions. In the event of a conflict between the terms and conditions of any two or more Exhibits or attachments hereto, those prepared by City shall prevail over those prepared by the Contractor, and the terms and conditions preferred by the City shall prevail over those preferred by the Contractor.

24. Non-exclusivity. Notwithstanding any provision herein to the contrary, the services provided by Contractor hereunder shall be non-exclusive, and 2821
General Conditions/EJ/TE 01-19-11 10 of 13
City reserves the right to employ other Contractors in connection with the project.

25. Exhibits. All Exhibits hereto are made a part hereof and incorporated herein by reference; provided, however, that any language in Exhibit A which does not pertain to the project description, proposal, scope of services, or method of compensation (as applicable) , or any corresponding responsibilities of City, shall be deemed extraneous to, and not a part of, this Contract.

26. Force Majeure. Neither party hereto shall be considered in default in the performance of its obligations hereunder to the extent that the performance of such an obligation is prevented or delayed by reason of acts of God, strikes, boycotts, lock-outs, inability to procure materials not related to the price thereof, failure of power, restrictive governmental laws and regulations enacted after the date of this Contract, riots, civil unrest, acts of terrorism, insurrection, war, declaration of a state or national emergency or other reasons of a like nature not within the reasonable control of such party.

27. Time of the Essence. Time is of the essence of this Contract. Contractor and City agree that any time period set forth in Exhibit A represents their best estimates with respect to completion dates and both Contractor and City acknowledge that departures from the schedule may occur.

Therefore, both Contractor and City will use reasonable efforts to notify one another of changes to the schedule. Contractor shall not be responsible for performance delays caused by others, or delays beyond Contractor's control, and such delays shall extend the times for performance of Contractor's work.

28. Confidentiality. Contractor agrees to comply with, and to require its employees, agents and partners to comply with, all applicable State or Federal statutes or regulations respecting confidentially, including but not limited to, the identity of persons served under this Contract, their records, or services provided them, and assures that:

All applications and records concerning any individual made or kept by Contractor or any public officer or agency in connection with the administration of or relating to services provided under this Contract will be confidential, and will not be open to examination for any purposes not directly connected with the administration of such service.

No person will publish or disclose or permit or cause to be published or disclosed, any list of persons receiving services, except as may be required in the administration of such service.
2822
General Conditions/EJ/TE 01-19-11 11 of 13

29. Third Parties. Nothing herein shall be interpreted as creating any rights or benefits in any third parties. For purposes hereof, transferees or assignees as permitted under this Contract shall not be considered "third parties."

30. Governing Law. This Contract shall be construed in accordance with the law of the State of California without regard to principles of conflicts of law.

This Contract is made in Contra Costa County, California, and any action relating to this Contract shall be instituted and prosecuted in the courts of Contra Costa County, California.

31. Nonrenewal. Contractor understands and agrees that there is no representation, implication, or understanding that the services provided by Contractor under this Contract will be purchased or renewed by the City under a new contract following expiration or termination of this Contract, and waives all rights or claims to notice or hearing respecting any failure by City to continue the purchase of all or any failure to continue purchase of all or any such services from Contractor.

32. Claims. Any claim by Contractor against City hereunder shall be subject to Government Code §§ 800 et seq. The claims presentation provisions of said Act are hereby modified such that the presentation of all claims hereunder to the City shall be waived if not made within six months after accrual of the cause of action.

33. Interpretation. This Contract shall be interpreted as if drafted by both parties.

34. Warranty. In the event that any product shall be provided to the City as part of this Contract, Contractor warrants as follows: Contractor possesses good title to the product and the right to transfer the product to City; the product shall be delivered to the City free from any security interest or other lien; the product meets any specifications contained herein; the product shall be free from material defects in materials and workmanship under normal use for a period of one (1) year from the date of delivery; and the product shall be fit for its intended purpose(s). Notwithstanding the foregoing, consumable and maintenance items (such as light bulbs and batteries) shall be warranted for a period of one hundred and eighty (180) days from the date of delivery. All repairs during the warranty period shall be promptly performed by Contractor, at Contractor's expense, including shipping.

35. Severability. In the event that any of the provisions or portions or applications thereof of this Contract are held to be unenforceable or invalid by any court of competent jurisdiction, City and Contractor shall negotiate an equitable adjustment in the provisions of the Contract with a view 2823
General Conditions/EJ/TE 01-19-11 12 of 13
toward effecting the purpose of this Contract, and the validity and enforceability of the remaining provisions or portions or applications thereof, shall not be affected thereby.

36. Authority. City warrants and represents that the signatory hereto (the Mayor of the City of Richmond or the City Manager) is duly authorized to enter into and execute this Contract on behalf of City. The party signing on behalf of Contractor warrants and represents that he or she is duly authorized to enter into and execute this Contract on behalf of Contractor, and shall be personally liable to City if he or she is not duly authorized to enter into and execute this Contract on behalf of Contractor.

37. Waiver. The waiver by City of any breach of any term or provision of this Contract shall not be construed as a waiver of any subsequent breach.

Inspections or approvals, or statements by any officer, agent or employee of the City relating to the Contractor’s performance, or payments therefore, or any combination of these acts, shall not relieve the Contractor’s obligation to fulfill this Contract as prescribed; nor shall the City be thereby stopped from bringing any action for damages or enforcement arising from any failure to comply with any of the terms and conditions of this Contract.

38. Possessory Interest. If this Contract results in the Contractor having possession of, claim to or right to the possession of land or improvements, but does not vest ownership of the land or improvements in the same person, or if this Contract results in the placement of taxable improvements on tax exempt land (Revenue and Taxation Code 107), such interest or improvements may represent a possessory interest subject to property tax, and Contractor may be subject to the payment of property taxes levied on such interest.

39. Performance and Final Acceptance.

Contractor represents that it is experienced, qualified, registered, licensed, equipped, organized and financed to perform the services under this Contract.

Contractor shall perform the services under this Contract with that degree of skill and judgment normally exercised by professional firms performing services of a similar nature in the State of California, and shall be responsible for the professional quality, technical accuracy and coordination of the services it performs under this Contract. In addition to the other rights and remedies which City may have, Contractor shall, at its own expense, correct any services which fail to meet the above standard. 2824
General Conditions/EJ/TE 01-19-11 13 of 13
City shall provide Contractor an opportunity to cure errors and omission which may be disclosed during the review of submittals, with no increase in the authorized Contract Payment Limit. Should Contractor fail to make necessary corrections in a timely manner, such corrections shall be made by the City and the cost thereof shall be charged to Contractor.

If warranted, City shall determine, and Contractor may request such determination, that Contractor has satisfactorily completed performance of this Contract. Upon such determination, City shall issue to Contractor a written Notice of Final Acceptance, after which Contractor shall not incur further costs under this Contract. Contractor shall respond to such Notice of Final Acceptance by executing and submitting to City a Release and Certificate of Final Payment.

40. Survival. The rights and obligations of the parties which by their nature survive termination or completion of the services covered by this Contract shall remain in full force and effect after termination or completion. 2825
For the Contract between the City of
Richmond and

EXHIBIT E

SPECIAL CONDITIONS
The General Conditions are hereby amended to include the following modifications and/or provisions (if applicable):
2826
For the Contract between the City of
Richmond and

EXHIBIT F

INSURANCE PROVISIONS
During the entire term of this Contract and any extension or modification thereof, the CONTRACTOR shall keep in effect insurance policies meeting the insurance requirements specified in the insurance provisions which are attached hereto and incorporated herein by this reference.
2827
___ Exhibit F
___ Section 8
City of Richmond - Insurance Requirements – Type 1:

Consultants and Contractors
Type 1 – Page 1 of 4
Revised: September 2011
In all instances where a CONTRACTOR or its representatives will be conducting business and/or providing services, the City requires the following MINIMUM insurance requirements and limits.

CONTRACTOR shall procure and maintain for the duration of the contract, agreement, or other order for work, services or supplies, 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 the CONTRACTOR, its agents, representatives, employees or subcontractors.Maintenance of proper insurance coverage is a material element of the contract. Failure to maintain or renew coverage or to provide evidence of renewal may be treated by the City as a material breach of contract.

CONTRACTOR agrees that in the event of loss due to any of the perils for which it has agreed to provide Commercial General Liability insurance, CONTRACTOR shall look solely to its insurance for recovery. CONTRACTOR hereby grants to CITY, on behalf of any insurer providing Commercial General Liability insurance to either CONTRACTOR or CITY with respect to the services of CONSULTANT herein, a waiver of any right to subrogation which any such insurer of said CONTRACTOR may acquire against the CITY by virtue of the payment of any loss under such insurance.

Original, signed certificates and original, separate policy endorsements, naming the City as an additional insured for general liability, as well as a waiver of subrogation for Workers’ Compensation insurance, shall be received and approved by the City before any work may begin. However, failure to do so shall not operate as a waiver of these insurance requirements.

City reserves the right to modify or require additional coverages for specific risk exposures depending on scope of CONTRACTORS work.

Minimum coverage is detailed below. The policy limits of coverage shall be made available to the full limits of the policy.

The minimum limits stated herein shall not serve to reduce the policy limits of coverage of CONTRACTOR.

Minimum Scope of Insurance – the following forms shall be provided and coverage shall be at least as broad as the following:

1. Insurance Services Office Commercial General Liability coverage (ISO Occurrence Form CG 0001) including coverage for bodily and personal injury, property damage, and products and completed operations.

2. Insurance Services Office Automobile Liability coverage (ISO Form CA 0001, Code 1, Any Auto)

3. Original and Separate Additional Insured Endorsements for General Liability (ISO Form CG 20 10 11/85 or its equivalent) with primary and non-contributory language.

4. Workers’ Compensation Insurance as required by the State of California including Employer’s Liability coverage.

5. Original and Separate Waiver of Subrogation for Workers’ Compensation and Builder’s Risk/ Course of Construction Insurance.

6. Builder’s Risk/Course of Construction insurance covering all risks of loss less policy exclusions when the City of Richmond has a financial interest in the property. – (Only required for Construction Contracts involving property)

7. Contractor’s Pollution Liability (if applicable for Construction Contractors) Required Coverage Minimum Limits
Workers’ Compensation and
Employers’ Liability
Statutory limits as required by the State of California including $1 million Employers’ Liability per accident, per employee for bodily injury or disease.

If CONTRACTOR is self-insured, provide a certificate of Permission to SelfInsure, signed by the California Department of Industrial Relations and SelfInsurance. If contractor is a sole proprietor (has no employees) than contractor must sign “Contractor Release of Liability” found at:
http://www.ci.richmond.ca.us/index.aspx?nid=61.
2828
___ Exhibit F
___ Section 8
City of Richmond - Insurance Requirements – Type 1:

Consultants and Contractors
Type 1 – Page 2 of 4
Revised: September 2011

PROJECT COST REQUIRED LIMIT
$0 - $5 million $2 million p/o
$5 million - $10 million $5 million p/o
Over $10 million $10 million p/o
Fireworks $5 million p/o
General Liability
(primary and excess limits
combined)
Includes coverage for bodily injury, personal injury, property damage and products and completed operations. The policy shall not exclude coverage for XCU perils (explosion, collapse, or damage to underground property).

If the policy includes a general aggregate, either the general aggregate shall apply separately to this project, service or location or the minimum required aggregate limit shall be twice the per occurrence limit ($4 million aggregate limit).

Policy shall be endorsed to name the City of Richmond as an additional insured per the conditions detailed below.

Automobile Liability $1,000,000 per occurrence for bodily injury and property damage.

Builders’ Risk/Course of
Construction – Covers property
under construction, repair or
renovation as well as equipment
and materials to be installed.
(Only required for Construction
Projects involving property and
equipment installation.)
Coverage shall include all risks of direct physical loss, excluding earthquake, for an amount equal to the full completed value of the covered structure or replacement value of alterations or additions, including soft costs and business interruption.

If the project does not involve new or major reconstruction, an Installation Floater may be acceptable. For such projects, a property installation floater shall be obtained that provides for the improvement, remodel, modification, alteration, conversion or adjustment to existing buildings, structures, processes, machinery and equipment. The Property Installation Floater shall provide property damage coverage for any building, structure, machinery or equipment damaged, impaired, broken or destroyed during the performance of the Work, including during transit, installation and testing at the City of Richmond’s site.

The City of Richmond shall be named as loss payee as its interest may appear. The insurer shall waive all rights of subrogation against City.

Contractor’s Pollution Liability (if
applicable)
Protects against:
unexpected/unintended release of
pollution resulting from contractors
covered operations such as:

HVAC, paving, carpentry, pipeline
& tank installation, drillers,
remediation contractors,
maintenance, mechanical,
demolition, excavation, grading,
street/road construction,
residential & commercial builders.

Same limits as General Liability.

Required Policy Conditions
A. M. Best Rating A:VII or Better. If the A.M. Best Rating falls below the required rating, CONTRACTOR must replace coverage immediately and provide notice to City.

Additional Insured Endorsement Applicable to General Liability Coverage.

The City of Richmond, its officers, officials, employees, agents and volunteers are to be named as additional insureds for all liability arising out of the operations by or on behalf of the named insured, including but not limited to bodily injury, deaths and property damage or destruction arising in any respect directly or indirectly in the performance of this contract.

ISO form CG 20 10 (11/85) or its equivalent is required. The endorsement must not exclude products and completed operations coverage. If it does, then CG 20 37 (10/01) is also required. 2829
___ Exhibit F
___ Section 8
City of Richmond - Insurance Requirements – Type 1:

Consultants and Contractors
Type 1 – Page 3 of 4
Revised: September 2011
Additional Insured Endorsement
(continued)
SAMPLE Endorsements can be found at
http://www.ci.richmond.ca.us/index.aspx?nid=61
Primary and Noncontributory The contractor’s insurance coverage must be primary coverage as it pertains to the City, its officers, officials, employees, agents and volunteers. Any insurance or self insurance maintained by the City is wholly separate from the insurance of the contractor and in no way relieves the contractor from its responsibility to provide insurance.

Waiver of Subrogation
Endorsement Form
Contractor’s insurer will provide a Waiver of Subrogation in favor of the City for Workers Compensation and Builder’s Risk/ Course of Construction coverage during the life of this contract.

SAMPLE Endorsements can be found at
http://www.ci.richmond.ca.us/index.aspx?nid=61
Deductibles and Self-Insured
Retentions
Any deductible or self-insured retention must be declared to and approved by the City. At the option of the City either the insurer shall reduce or eliminate such deductibles or self-insured retention as respects the City or the CONTRACTOR shall procure a financial guarantee in an amount equal to the deductible or self-insured retention guaranteeing payment of losses and related investigations, claims administration and defense expenses.

Contractor is responsible for satisfaction of the deductible and/or self-insured retention for each loss.

Loss Payable Endorsement (only
required when Builder’s Risk
and/or Course of Construction
Insurance is required.)
Applicable to Builder’s Risk/Course of Construction naming the City of Richmond as Loss Payee.

SURETY BONDS
(If a Public Works/Engineering
Project)
The Contractor shall provide:

1. A Bid bond

2. A Performance Bond

3. A Payment Bond
Umbrella/Excess Liability Policies
If an Umbrella or Excess Liability Policy is used to meet the liability limits, coverage shall be as broad as specified for underlying coverages and cover those insured in the underlying policies.

Claims-Made Policies
If any insurance policy is written on a claims-made form: 1) the retroactive date must be shown, and must be before the date of the contract or the beginning of contract work. 2) Insurance must be maintained and evidence of insurance must be provided for at least five (5) years after completion of the contract of work. 3) If coverage is canceled or nonrenewed, and not replaced with another claims-made policy form with a retroactive date prior to the contract effective date, the Contractor must purchase an extended period coverage for a minimum of five (5) years after completion of contract work.

Subcontractors
CONTRACTOR shall include all subcontractors as insured under its policies or shall furnish to the City for review and approval, separate certificates and endorsements for each subcontractor. All coverage for subcontractors shall be subject to all of the requirements stated herein.

CONTRACTOR agrees to defend and indemnify the City of Richmond for any damage resulting to it from failure of either CONTRACTOR or any subcontractor to take out or maintain the required insurance policies. The fact that insurance is obtained by CONTRACTOR, and/or CONTRACTOR’s subcontractors, will not be deemed to release or diminish the liability of CONTRACTOR, including, without limitation, liability under the indemnity provisions of this contract. Damages recoverable by CITY from CONTRACTOR or any third party will not be limited by the amount of the required insurance coverage.
2830
___ Exhibit F
___ Section 8
City of Richmond - Insurance Requirements – Type 1:

Consultants and Contractors
Type 1 – Page 4 of 4
Revised: September 2011
Verification of Coverage
All original certificates and endorsements shall be received and approved by the City before work may begin. The City of Richmond reserves the right to require complete, certified copies of all required insurance policies including endorsements affecting the coverage at any time.

Original insurance certificates and required policy endorsements shall be mailed, or delivered to the Designated Project Manager for the City of Richmond.

Insurance certificates and endorsements may be faxed to the Designated Project Manager. However, Contractor must mail the original certificates and endorsements to Designated Project Manager once faxed.

Continuous Coverage
CONTRACTOR shall maintain the required insurance for the life of the contract. Should the CONTRACTOR cease to have insurance as required during this time, all work by the CONTRACTOR pursuant to this agreement shall cease until insurance acceptable to the City is provided. In the event that CONTRACTOR fails to comply with the City’s insurance requirements, the City may take such action as it deems necessary to protect the City’s interests. Such action may include but is not limited to termination of the contract, withholding of payments, or other actions as the City deems appropriate.

If services or the scope of work extend beyond the expiration dates of the required insurance policies initially approved by the City, CONTRACTOR must provide updated certificates and endorsements indicating that the required coverage, terms and conditions are still in place. Renewal certificates and updated endorsements shall be mailed to the Designated Project Manager.

Cancellation
CONTRACTOR shall ensure that coverage shall not be cancelled, reduced or otherwise materially changed except after thirty (30) days’ prior written notice has been given to the City.

Reporting Requirements
Any failure to comply with reporting or other provisions of the policies including breaches of warranties shall not affect coverage provided to the City, its officers, officials, employees or volunteers.

Consistent with Public Policy
The insuring provisions, insofar as they may be judged to be against public policy shall be void and unenforceable only to the minimum extent necessary so that the remaining terms and provisions herein may be consistent with public policy and thus enforceable.
2831

EXHIBIT G

SANCTUARY CITY COMPLIANCE STATEMENT
The undersigned, an authorized agent of (hereafter
"Contractor"), has had an opportunity to review the requirements of City of Richmond Ordinance 12-18 (hereafter "Sanctuary City Contracting Ordinance" or “SCCO”). Contractor understands and agrees that the City may choose with whom it will maintain business relations and may refrain from contracting with any person or entity that provides Data Broker or Extreme Vetting services to the U.S. Immigration and Customs Enforcement Division of the United States Department of Homeland Security (“ICE”). Contractor understands the meaning of the following terms used in the SCCO:
a. "Data Broker” means either of the following:
i. The collection of information, including personal information about consumers, from a wide variety of sources for the purposes of reselling such information to their customers, which include both private-sector business and government agencies; ii. The aggregation of data that was collected for another purpose from that for which it is ultimately used.
b. “Extreme Vetting” means data mining, threat modeling, predictive risk analysis, or other similar services."
Contractor understands that it is not eligible to receive or retain a City contract if at the time the Contract is executed, or at any time during the term of the Contract, it provides Data Broker or Extreme Vetting services to ICE.

Contractor further understands and agrees that Contractor's failure to comply with the SCCO shall constitute a material default of the Contract and the City Manager may terminate the Contract and bar Contractor from bidding on future contracts with the City for five (5) years from the effective date of the contract termination.

By executing this statement, Contractor certifies that it complies with the requirements of the SCCO and that if at any time during the term of the Contract it ceases to comply, Contractor will promptly notify the City Manager in writing. Any person or entity who knowingly or willingly supplies false information in violation of the SCCO shall be guilty of a misdemeanor and subject to a $1,000 fine.

Based on the foregoing, the undersigned declares under penalty of perjury under the laws of the State of California that the foregoing is true and correct. Executed this day of ______ ____ , 20__ , at _______ , California.

Printed Name: Title:

Signed: Date:

Business Entity:
2832