Agreement — San Jose City Council, January 13, 2026 (part 2 of 3)

SECTION 18.17. NO PERSONAL LIABILITY¶.

This Design-Build Contract shall not create or be deemed to create or permit any personal liability or obligation on the part of any direct or indirect shareholder, officer, director, employee, agent or representative of the City or the Design -Builder; provided that such person

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Upgrade Project at the San Jose-Santa Clara
Regional Wastewater Facility
Design-Build Contract
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is acting within the scope of his or her employment, membership, directorship or agency, as applicable, and not in a manner that constitutes gross negligence or willful misconduct.

SECTION 18.18. APPLICABLE CITY SPECIAL PROVISIONS¶.

The parties to this Design-Build Contract agree to be bound by the applicable City standard provisions set forth in Appendix 10 (Applicable City Special Provisions). References to the “Contract”, the “Contractor” and the “Work” in Appendix 10 (Applicable City Special Provisions) shall be deemed to mean and refer to this Design-Build Contract, the Design-Builder and the Design-Build Work, respectively.

SECTION 18.19. ELECTRONIC SIGNATURES¶.

Any party may execute this Design-Build Contract using an “electronic signature,” as that term is defined in California Civil Code Section 1633.2, or a “digital signature,” as defined by California Government Code Section 16.5. An electronic or digital si gnature will have the same force and effect as original ink signatures.
[SIGNATURE PAGE FOLLOWS]

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IN WITNESS WHEREOF, the parties have caused this Design -Build Contract to be executed by their duly authorized representatives as of the day and year first above written.

THE CITY OF SAN JOSE,
a municipal corporation

JACOBS PROJECT MANAGEMENT CO.

By: By:

Printed Name: _________________________
Title: _________________________
Date: _________________________
“Contract Date”

Printed Name: _________________________
Title: _________________________
Date: _________________________

APPROVED AS TO FORM:

By: D__________dddd_____________________________________

Printed Name: Kevin Fisher
Title: Assistant City Attorney

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TRANSACTION FORMS

TO THE

DESIGN-BUILD CONTRACT

FOR THE

ADDITIONAL DIGESTER FACILITY UPGRADE PROJECT
(ESD 10199)
AT THE
SAN JOSE – SANTA CLARA

REGIONAL WASTEWATER FACILITY

between

THE CITY OF SAN JOSE,
as administering agency of
The Regional Wastewater Facility

and

JACOBS PROJECT MANAGEMENT CO.

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TRANSACTION FORM A

FORM OF GUARANTY AGREEMENT

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GUARANTY AGREEMENT

from

JACOBS ENGINEERING GROUP INC.

THE CITY OF SAN JOSE, CALIFORNIA

Dated as of

______________, 2025

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TABLE OF CONTENTS
Page
ARTICLE 1

DEFINITIONS AND INTERPRETATION
SECTION 1.1. DEFINITIONS ................................ ................................ .......................... A-2 SECTION 1.2. INTERPRETATION ................................ ................................ ................... A-2 ARTICLE 2

REPRESENTATIONS AND WARRANTIES OF THE GUARANTOR
SECTION 2.1. REPRESENTATIONS AND WARRANTIES OF THE GUARANTOR ............... A-4 ARTICLE 3

GUARANTY COVENANTS
SECTION 3.1. GUARANTY TO THE CITY ................................ ................................ ........ A-6 SECTION 3.2. RIGHT OF CITY TO PROCEED AGAINST GUARANTOR ............................ A-6 SECTION 3.3. GUARANTY ABSOLUTE AND UNCONDITIONAL ................................ ....... A-6 SECTION 3.4. DEFENSES, SET-OFFS AND COUNTERCLAIMS ................................ ...... A-8 SECTION 3.5. WAIVERS BY THE GUARANTOR ................................ .............................. A-8 SECTION 3.6. PAYMENT OF COSTS AND EXPENSES ................................ .................... A-9 SECTION 3.7. SUBORDINATION OF RIGHTS ................................ ................................ . A-9 SECTION 3.8. SEPARATE OBLIGATIONS; REINSTATEMENT ................................ .......... A-9 SECTION 3.9. TERM ................................ ................................ ................................ ... A-10

ARTICLE 4

GENERAL COVENANTS
SECTION 4.1. MAINTENANCE OF CORPORATE EXISTENCE ................................ ....... A-11 SECTION 4.2. ASSIGNMENT ................................ ................................ ....................... A-11 SECTION 4.3. QUALIFICATION IN CALIFORNIA ................................ ........................... A-11 SECTION 4.4. CONSENT TO JURISDICTION ................................ ................................ A-11 SECTION 4.5. BINDING EFFECT ................................ ................................ ................. A-11 SECTION 4.6. AMENDMENTS, CHANGES AND MODIFICATIONS ................................ . A-12 SECTION 4.7. LIABILITY ................................ ................................ ............................. A-12 SECTION 4.8. NOTICES ................................ ................................ .............................. A-12 SECTION 4.9. ELECTRONIC SIGNATURES ................................ ................................ .. A-13

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GUARANTY AGREEMENT
THIS GUARANTY AGREEMENT is made and dated as of [____________ __], 2025, between Jacobs Engineering Group Inc., a corporation organized and existing under the laws of the State of Delaware (together with any permitted successors and assigns hereunder, the “Guarantor”), and the City of San Jose, California (the “City”).

RECITALS
The City and Jacobs Project Management Co. , a corporation organized and existing under the laws of the State of Delaware (the “Design -Builder”), have entered into a Design-Build Contract for the Additional Digester Facility Upgrade Project at the San Jose – Santa Clara Regional Wastewater Facility, dated as of [____________ __], 2025, as amended from time to time (the “Design-Build Contract”), whereby the Design-Builder has agreed to obtain governmental approvals for, design, construct, commission, and acce ptance test, certain upgrades and improvements to the City’s San Jose – Santa Clara Regional Wastewater Facility in San Jose, California, all as more particularly described therein.

The Design-Builder is an indirect subsidiary of the Guarantor.

Performance by the City and the Design -Builder of their obligations under the Design-Build Contract will result in a direct and substantial benefit to the Guarantor.

The City will enter into the Design-Build Contract only if, concurrently with its execution and delivery by the Design-Builder, the Guarantor guarantees the performance by the Design-Builder of all of the Design-Builder’s Obligations under the Design-Build Contract as set forth in this Guaranty Agreement.

In order to induce the execution and delivery of the Design-Build Contract by the City and in consideration thereof, the Guarantor agrees as follows:

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ARTICLE 1

DEFINITIONS AND INTERPRETATION
SECTION 1.1. DEFINITIONS.

For the purposes of this Guaranty, the following words and terms shall have the respective meanings set forth as follows. Any other capitalized word or term used but not defined herein is used as defined in the Design-Build Contract. “Obligations” means the amounts payable by, and the covenants and agreements of, the Design-Builder pursuant to the terms of the Design-Build Contract. “Transaction Agreement” means any agreement entered into by the Design - Builder or the City in connection with the transactions contemplated by the Design-Build Contract, including the Design-Build Contract, and any supplements thereto.

SECTION 1.2. INTERPRETATION.

In this Guaranty, unless the context otherwise requires:
(1) References Hereto . The terms “hereby”, “hereof”, “herein”, “hereunder” and any similar terms refer to this Guaranty, and the term “hereafter” means after, and the term “heretofore” means before, the date of execution and delivery of this Guaranty. (2) Plurality. Words importing the singular number mean and include the plural number and vice versa.
(3) Persons. Words importing persons include firms, companies, associations, general partnerships, limited partnerships, trusts, business trusts, corporations and other legal entities, including public bodies, as well as individuals. (4) Headings. The table of contents and any headings preceding the text of the Articles, Sections and subsections of this Guaranty shall be solely for convenience of reference and shall not constitute a part of this Guaranty, nor shall they affect its meaning, construction or effect.
(5) Entire Agreement . This Guaranty constitutes the entire agreement between the parties hereto with respect to the transactions contemplated by this Guaranty. Nothing in this Guaranty is intended to confer on any person other than the Guarantor, the City and their permitted successors and assigns hereunder any rights or remedies under or by reason of this Guaranty.
(6) Counterparts. This Guaranty may be executed in any number of original counterparts. All such counterparts shall constitute but one and the same Guaranty. (7) Applicable Law . This Guaranty shall be governed by and construed in accordance with the applicable laws of the State of California. (8) Severability. If any clause, provision, subsection, Section or Article of this Guaranty shall be ruled invalid by any court of competent jurisdiction, the invalidity of any such clause, provision, subsection, Section or Article shall not affect any of the remaining provisions hereof, and this Guaranty shall be construed and enforced as if such invalid portion did not exist provided that such construction and enforcement shall not increase the Guarantor’s liability beyond that expressly set forth herein.

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City of San Jose Additional Digester Facility
Upgrade Project at the San Jose-Santa Clara
Regional Wastewater Facility
Guaranty Agreement
Article 1 - Definitions and Interpretation

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(9) Approvals. All approvals, consents and acceptances required to be given or made by any party hereto shall be at the discretion of the party whose approval, consent or acceptance is required.
(10) Payments. All payments required to be made by the Guarantor hereunder shall be made in lawful money of the United States of America.

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ARTICLE 2

REPRESENTATIONS AND WARRANTIES OF THE GUARANTOR
SECTION 2.1. REPRESENTATIONS AND WARRANTIES OF THE GUARANTOR.

The Guarantor hereby represents and warrants that:
(1) Existence and Powers . The Guarantor is a corporation duly organized, validly existing and in good standing under the laws of the State of Delaware , with the full legal right, power and authority to enter into and perform its obligations under this Guaranty.
(2) Due Authorization and Binding Obligation. This Guaranty has been duly authorized, executed and delivered by all necessary corporate action of the Guarantor and constitutes the legal, valid and binding obligation of the Guarantor, enforceable against the Guarantor in accordance with its terms, e xcept to the extent that its enforceability may be limited by bankruptcy, insolvency or other similar laws affecting creditors’ rights from time to time in effect and equitable principles of general application. (3) No Conflict. To the best of its knowledge, neither the execution nor delivery by the Guarantor of this Guaranty nor the performance by the Guarantor of its obligations in connection with the transaction contemplated hereby or the fulfillment by the Guarantor of the terms and conditions hereof: (a) conflicts with, violates or results in a breach of any law or governmental regulation applicable to the Guarantor; (b) conflicts with, violates or results in a breach of any term or condition of the Guarantor’s corporate charter or by -laws or any order, judgment or decree, or any contract, agreement or instrument to which the Guarantor is a party or by which the Guarantor or any of its properties or assets are bound, or constitutes a default under any of the fore going; or (c) will result in the creation or imposition of any material encumbrance of any nature whatsoever upon any of the properties or assets of the Guarantor except as permitted hereby.
(4) No Approvals Required . No approval, authorization, order or consent of, or declaration, registration or filing with, any Governmental Body is required for the valid execution and delivery of this Guaranty by the Guarantor or the performance of its payment or other obligations hereunder, except as such shall have been duly obtained or made.
(5) No Litigation. Except as disclosed in writing to the City, there is no Legal Proceeding, at law or in equity, before or by any Governmental Body pending or, to the best of the Guarantor’s knowledge, overtly threatened or publicly announced against the Guarantor, in wh ich an unfavorable decision, ruling or finding could reasonably be expected to have a material and adverse effect on the validity, legality or enforceability of this Guaranty against the Guarantor, or on the ability of the Guarantor to perform its obligations hereunder.
(6) No Legal Prohibition. The Guarantor has no knowledge of any Applicable Law in effect on the date as of which this representation is being made which would prohibit the performance by the Guarantor of this Guaranty and the transactions contemplated by this Guaranty.
(7) Consent to Agreements. The Guarantor is fully aware of and consents to the terms and conditions of the Design-Build Contract.

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City of San Jose Additional Digester Facility
Upgrade Project at the San Jose – Santa Clara
Regional Wastewater Facility
Guaranty Agreement
Article 2 – Representations and Warranties of the
Guarantor

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(8) Consideration. This Guaranty is made in furtherance of the purposes for which the Guarantor has been organized, and the assumption by the Guarantor of its obligations hereunder will result in a material benefit to the Guarantor. (9) Applicable Law Compliance. Except as disclosed in writing to the City, the Guarantor does not have knowledge of any material violation of any law, order, rule or regulation with respect to any facilities designed or constructed by the Guarantor, Design-Builder or any of their Affiliates.

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ARTICLE 3

GUARANTY COVENANTS
SECTION 3.1. GUARANTY TO THE CITY.

The Guarantor hereby absolutely, presently, irrevocably and unconditionally guarantees to the City for the benefit of the City (1) the full and prompt payment when due of each and all of the payments required to be credited or made by the Design-Builder under the Design- Build Contract (including all amendments and supplements thereto) to, or for the account of, the City, when the same shall become due and payable pursuant to this Guaranty, and (2) the full and prompt performance and observance of each and all of the Obligations. Notwithstanding the unconditional nature of the Guarantor’s obligations as set forth herein, the Guarantor shall have the right to assert the defenses provided in Section 3.4 hereof against claims made under this Guaranty and, for clarification, the limitations on liability set forth in Section 13.3 of the Design- Build Contract and the exceptions to such limitations set forth in Section 13.4 of the Design-Build Contract are applicable to the Guarantor.

SECTION 3.2. RIGHT OF CITY TO PROCEED AGAINST GUARANTOR.

This Guaranty shall constitute a guaranty of payment and of performance and not of collection, and the Guarantor specifically agrees that in the event of a failure by the Design - Builder to pay or perform any Obligation guaranteed hereunder, the City shall have the right to proceed first and directly against the Guarantor under this Guaranty and without proceeding against the Design-Builder or exhausting any other remedies against the Design-Builder which the City may have. Without limiting the foregoing, the Guarantor agrees that it shall not be necessary, and that the Guarantor shall not be entitled to require, as a condition of enforcing the liability of the Guarantor hereunder, that the City: (1) file suit or proceed to obtain a personal judgment against the Design-Builder or any other person that may be liable for the Obligations or any part of the Obligations; (2) make any other effort to obtain payment or performance of the Obligations from the Design-Builder other than providing the Design-Builder with any notice of such payment or performance as may be required by the terms of the Design-Build Contract or required to be given to the Design-Builder under Applicable Law; (3) foreclose against or seek to realize upon any security for the Obligations; or (4) exercise any other right or remedy to which the City is or may be entitled in connection with the Obligations or any security therefor or any other guarantee thereof, except to the extent that any such exercise of such other right or remedy may be a condition to the Obligations of the Design -Builder or to the enforcement of remedies under the Design-Build Contract. Upon any unexcused failure by the Design -Builder in the payment or performance of any Obligation and the giving of such notice or demand, if any, to the Design - Builder and the Guarantor as may be required in connection with such Obligation and this Guaranty, the liability of the Guarantor shall be effective and shall immediately be paid or performed. Notwithstanding the City’s right to proceed directly against the Guarantor, the City (or any successor) shall not be entitled to more than a single full performance of the Obligations in regard to any breach or non-performance thereof.

SECTION 3.3. GUARANTY ABSOLUTE AND UNCONDITIONAL.

The obligations of the Guarantor hereunder are absolute, present, irrevocable and unconditional and shall remain in full force and effect until the Design -Builder shall have fully discharged the Obligations in accordance with their respective terms and conditions, and, except as provided in Section 3.4, shall not be subject to any counterclaim, set-off, deduction or defense (other than full and strict compliance with, or release, discharge or satisfaction of, such Obligations) based on any claim that the Guarantor may have against the Design-Builder, the City or any other person. Without limiting the foregoing, the obligations of the Guarantor hereunder

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City of San Jose Additional Digester Facility
Upgrade Project at the San Jose-Santa Clara
Regional Wastewater Facility
Guaranty Agreement
Article 3 – Guaranty Covenants

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shall not be released, discharged or in any way modified by reason of any of the following (whether with or without notice to, knowledge by, or further consent, of the Guarantor):
(1) the extension or renewal of this Guaranty or the Design-Build Contract up to the specified Terms of each agreement;
(2) any exercise or failure, omission or delay by the City in the exercise of any right, power or remedy conferred on the City with respect to this Guaranty or the Design- Build Contract except to the extent such failure, omission or delay gives rise to an applicable statute of limitations defense with respect to a specific claim; (3) any permitted transfer or assignment of rights or obligations under the Design-Build Contract or under any other Transaction Agreement by any party thereto, or any permitted assignment, conveyance or other transfer of any of their respective interests in the Project Improvements or in, to or under any of the Transaction Agreements;
(4) any permitted assignment for the purpose of creating a security interest or mortgage of all or any part of the respective interests of the City or any other person in any Transaction Agreement or in the Project Improvements; (5) any renewal, amendment, change or modification in respect of any of the Obligations or terms or conditions of any Transaction Agreement; (6) any failure of title with respect to all or any part of the respective interests of any person in the Project Site or the Project Improvements; (7) the voluntary or involuntary liquidation, dissolution, sale or other disposition of all or substantially all the assets, marshalling of assets and liabilities, receivership, insolvency, bankruptcy, assignment for the benefit of creditors, reorganization, moratorium, arrangement, composition with creditors or readjustment of, or other similar proceedings against the Design -Builder or the Guarantor, or any of the property of either of them, or any allegation or contest of the validity of this Guaranty or any other Transaction Agreement in any such proceeding (it is specifically understood, consented and agreed to that, to the extent permitted by law, this Guaranty shall remain and continue in full force and effect and shall be enforceable against the Guarantor to the same extent and with the same force and effect as if any such proceeding had not been instituted and as if no rejection, stay, termination, assumption or modification has occurred as a result thereof, it being the intent and purpose of this Guarant y that the Guarantor shall and does hereby waive all rights and benefits which might accrue to it by reason of any such proceeding);
(8) except as permitted by Section 4.1 or 4.2 hereof, any sale or other transfer by the Guarantor or any Affiliate of any of the capital stock or other interest of the Guarantor or any Affiliate in the Design -Builder now or hereafter owned, directly or indirectly, by the Guarantor or any Affiliate, or any change in composition of the interests in the Design-Builder;
(9) any failure on the part of the Design -Builder for any reason to perform or comply with any agreement with the Guarantor;
(10) the failure on the part of the City to provide any notice to the Guarantor which is not required to be given to the Guarantor pursuant to this Guaranty and to the

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

City of San Jose Additional Digester Facility
Upgrade Project at the San Jose-Santa Clara
Regional Wastewater Facility
Guaranty Agreement
Article 3 – Guaranty Covenants

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Design-Builder as a condition to the enforcement of Obligations pursuant to the Design- Build Contract;
(11) any failure of any party to the Transaction Agreements to mitigate damages resulting from any default by the Design-Builder or the Guarantor under any Transaction Agreement;
(12) the merger or consolidation of any party to the Transaction Agreements into or with any other person, or any sale, lease, transfer, abandonment or other disposition of any or all of the property of any of the foregoing to any person; (13) any legal disability or incapacity of any party to the Transaction Agreements; or
(14) the fact that entering into any Transaction Agreement by the Design - Builder or the Guarantor was invalid or in excess of the powers of such party.

Should any money due or owing under this Guaranty not be recoverable from the Guarantor due to any of the matters specified in subparagraphs (1) through (14) above, then, in any such case, such money, together with all additional sums due hereunder, shall nevertheless be recoverable from the Guarantor as though the Guarantor were principal obligor in place of the Design-Builder pursuant to the terms of the Design-Build Contract and not merely a guarantor and shall be paid by the Guarantor forthwith subject to the terms of this Guaranty. Notwithstanding anything to the contrary expressed in this Guaranty, nothing in this Guaranty shall be deemed to amend, modify, clarify, expand or reduce the Design -Builder’s rights, benefits, duties or obligations under the Design-Build Contract . To the extent that any of the matters specified in subparagraphs (1) through (6) and (8) through (14) would provide a defense to, release, discharge or otherwise affect the Design -Builder’s Obligations, the Guarantor’s obligations under this Guaranty shall be treated the same.

SECTION 3.4. DEFENSES, SET-OFFS AND COUNTERCLAIMS.

Notwithstanding any provision contained herein to the contrary, the Guarantor shall be entitled to exercise or assert any and all legal or equitable rights or defenses which the Design-Builder may have under the Design-Build Contract or under Applicable Law (other than bankruptcy or insolvency of the Design -Builder and other than any defense which the Design - Builder has expressly waived in the Design-Build Contract or the Guarantor has expressly waived in Section 3.5 hereof or elsewhere hereunder), and the obligations of the Guarantor hereunder are subject to such counterclaims, set -offs or deductions which the Design -Builder is permitted to assert pursuant to the Design-Build Contract, if any.

SECTION 3.5. WAIVERS BY THE GUARANTOR.

The Guarantor hereby unconditionally and irrevocably waives:
(1) notice from the City of its acceptance of this Guaranty; (2) notice of any of the events referred to in Section 3.3 hereof, except to the extent that notice is required to be given as a condition to the enforcement of the Obligations;
(3) to the fullest extent lawfully possible, all notices which may be required by statute, rule of law or otherwise to preserve intact any rights against the Guarantor,

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

City of San Jose Additional Digester Facility
Upgrade Project at the San Jose-Santa Clara
Regional Wastewater Facility
Guaranty Agreement
Article 3 – Guaranty Covenants

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except any notice to the Design-Builder required pursuant to the Design-Build Contract or Applicable Law as a condition to the performance of any Obligation; (4) to the fullest extent lawfully possible, any statute of limitations defense based on a statute of limitations period which may be applicable to guarantors (or parties in similar relationships) which would be shorter than the applicable statute of limitations period for the underlying claim;
(5) any right to require a proceeding first against the Design-Builder; (6) any right to require a proceeding first against any person or the security provided by or under any Transaction Agreement except to the extent such Transaction Agreement specifically requires a proceeding first against any person (except the Design- Builder) or security;
(7) any requirement that the Design -Builder be joined as a party to any proceeding for the enforcement of any term of any Transaction Agreement; (8) the requirement of, or the notice of, the filing of claims by the City in the event of the receivership or bankruptcy of the Design-Builder; and (9) all demands upon the Design -Builder or any other person and all other formalities the omission of any of which, or delay in performance of which, might, but for the provisions of this Section 3.5, by rule of law or otherwise, constitute grounds for relieving or discharging the Guarantor in whole or in part from its absolute, present, irrevocable, unconditional and continuing obligations hereunder.

SECTION 3.6. PAYMENT OF COSTS AND EXPENSES.

The Guarantor agrees to pay the City on demand all Fees and Costs incurred by or on behalf of the City to enforce observance of the covenants, agreements and obligations contained in this Guaranty against the Guarantor, other than the Fees and Costs that the City incurs in performing any of its obligations under the Design-Build Contract, or other applicable Transaction Agreement where such obligations are a condition to performance by the Design -Builder of its Obligations.

SECTION 3.7. SUBORDINATION OF RIGHTS.

The Guarantor agrees that any right of subrogation or contribution which it may have against the Design-Builder as a result of any payment or performance hereunder is hereby fully subordinated to the rights of the City hereunder and under the Transaction Agreements and that the Guarantor shall not recover or seek to recover any payment made by it hereunder from the Design-Builder until the Design-Builder and the Guarantor shall have fully and satisfactorily paid or performed and discharged the Obligations giving rise to a claim under this Guaranty.

SECTION 3.8. SEPARATE OBLIGATIONS; REINSTATEMENT.

The obligations of the Guarantor to make any payment or to perform and discharge any other duties, agreements, covenants, undertakings or obligations hereunder shall: (1) to the extent permitted by applicable law, constitute separate and independent oblig ations of the Guarantor from its other obligations under this Guaranty; (2) give rise to separate and independent causes of action against the Guarantor; and (3) apply irrespective of any indulgence granted from time to time by the City. The Guarantor agrees that this Guaranty shall be automatically reinstated if and to the extent that for any reason any payment or performance by or on behalf of the Design-

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

City of San Jose Additional Digester Facility
Upgrade Project at the San Jose-Santa Clara
Regional Wastewater Facility
Guaranty Agreement
Article 3 – Guaranty Covenants

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Builder is rescinded or must be otherwise restored by the City, whether as a result of any proceedings in bankruptcy, reorganization or similar proceeding, unless such rescission or restoration is pursuant to the terms of the Design-Build Contract, or any applicable Transaction Agreement or the Design-Builder’s enforcement of such terms under Applicable Law.

SECTION 3.9. TERM.

This Guaranty shall remain in full force and effect from the date of execution and delivery hereof until all of the Obligations of the Design-Builder have been fully paid and performed.

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ARTICLE 4

GENERAL COVENANTS
SECTION 4.1. MAINTENANCE OF CORPORATE EXISTENCE.
(A) Consolidation, Merger, Sale or Transfer . The Guarantor covenants that during the term of this Guaranty it will maintain its corporate existence, will not dissolve or otherwise dispose of all or substantially all of its assets and will not consolidate with or merge into another entity or permit one or more other entities to consolidate with or merge into it unless the successor is the Guarantor; provided, however, that the Guarantor may consolidate with or merge into another entity, or permit one or more other entities to consolidate with or merge into it, or sell or otherwise transfer to another entity all or substantially all of its assets as an entirety and thereafter dissolve if the successor entity (if other than the Guarantor) (a) assumes in writing all the obligations of the Guarantor hereund er and, if required by law, is duly qualified to do business in the State of California, (b) delivers to the City an opinion of counsel to the effect that its obligations under this Guaranty are legal, valid, binding and enforceable subject to applicable bankruptcy and similar insolvency or moratorium laws ; and (c) has a net worth at the time of any such transaction at least equal to the net worth of the Guarantor immediately prior to such time.
(B) Continuance of Obligations . If a consolidation, merger or sale or other transfer is made as permitted by this Section, the provisions of this Section shall continue in full force and effect and no further consolidation, merger or sale or other transfer shall be made except in compliance with the provisions of this Section. No such consolidation, merger or sale or other transfer shall have the effect of releasing the initial Guarantor from its liability hereunder unless a successor entity has assumed respo nsibility for this Guaranty as provided in this Section.

SECTION 4.2. ASSIGNMENT.

Except as provided in Section 4.1, this Guaranty may not be assigned by the Guarantor without the prior written consent of the City.

SECTION 4.3. QUALIFICATION IN CALIFORNIA.

The Guarantor agrees that, so long as this Guaranty is in effect, if required by law, the Guarantor will be duly qualified to do business in the State of California.

SECTION 4.4. CONSENT TO JURISDICTION.

The Guarantor irrevocably: (1) agrees that any Legal Proceeding related to this Guaranty or to any rights or relationship between the parties arising therefrom shall be solely and exclusively initiated and maintained in State courts located in Santa Clara County, California or in federal courts located in the Northern District of California , having appropriate jurisdiction therefor; (2) consents to the jurisdiction of such courts in any such Legal Proceeding; and (3) waives any objection which it may have to the laying of the jurisdiction of any such Legal Proceeding in any such court.

SECTION 4.5. BINDING EFFECT.

This Guaranty shall inure to the benefit of the City and its permitted successors and assigns and shall be binding upon the Guarantor and its successors and assigns.

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

City of San Jose Additional Digester Facility
Upgrade Project at the San Jose-Santa Clara
Regional Wastewater Facility
Guaranty Agreement
Article 4 – General Covenants

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SECTION 4.6. AMENDMENTS, CHANGES AND MODIFICATIONS.

This Guaranty may not be amended, changed or modified or terminated and none of its provisions may be waived, except with the prior written consent of the City and the Guarantor.

SECTION 4.7. LIABILITY.

It is understood and agreed to by the City that nothing contained herein shall create any obligation of, or right to look, to any director, officer, employee or stockholder of the Guarantor (or any Affiliate of the Guarantor) for the satisfaction of any obligations hereunder, and no judgment, order or execution with respect to or in connection with this Guaranty shall be taken against any such director, officer, employee or stockholder.

SECTION 4.8. NOTICES.

Procedure. All notices, demands or written communications given pursuant to the terms of this Guaranty shall be: (1) in writing and delivered in person; (2) transmitted by certified mail, return, receipt requested, postage prepaid or by overnight courier utilizin g the services of a nationally - recognized overnight courier service with signed verification of delivery; or (3) given by email transmission, if a signed original of the emailed letter or other communication is deposited in the United States mail within two days after transmission. Notices shall be deemed given only when actually received at the address first given below with respect to each party. Either party may, by like notice, designate further or different addresses to which subsequent noti ces shall be sent.

(1) City Notice Address . Notices required to be given to the City shall be addressed as follows:

City of San Jose
200 East Santa Clara Street
San Jose, CA 95113
Attn: Mariana Chavez-Vazquez, General Manager
Telephone No.: 408-635-4008
Email: [email protected]

with a copy to:

City of San Jose
200 East Santa Clara Street, 16th Floor Tower
San Jose, CA 95113
Attn: Kevin Fisher, Assistant City Attorney
Telephone No.: 408-535-1900
Facsimile No.: 408-998-3131
Email: Kevin.Fisher@ SanJoseCA.gov
(2) Guarantor Notice Address. Notices required to be given to the Guarantor shall be addressed as follows:

Jacobs Engineering Group Inc.
1999 Bryan Street
Dallas, TX 75201
Attn: Venk Nathamuni
Email: [email protected]

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

City of San Jose Additional Digester Facility
Upgrade Project at the San Jose-Santa Clara
Regional Wastewater Facility
Guaranty Agreement
Article 4 – General Covenants

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SECTION 4.9. ELECTRONIC SIGNATURES.

Any party may execute this Guaranty using an “electronic signature,” as that term is defined in California Civil Code Section 1633.2, or a “digital signature,” as defined by California Government Code Section 16.5. An electronic or digital signature will have the same force and effect as original ink signatures.
[SIGNATURE PAGE FOLLOWS]

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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IN WITNESS WHEREOF, the Guarantor has caused this Guaranty to be executed in its name and on its behalf by its duly authorized officer as of the date first above written.

JACOBS ENGINEERING GROUP INC. , as
Guarantor

By:

Name:

Title:

ACCEPTED AND AGREED TO BY:

THE CITY OF SAN JOSE

By: ______________________________________

Name: ___________________________
Title: ___________________________

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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TRANSACTION FORM B

FORM OF PERFORMANCE BOND

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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FORM OF PERFORMANCE BOND
KNOW ALL PERSONS BY THESE PRESENTS:

That we, ______________________, hereinafter referred to as “Design -Builder”, as principal, and ___________________________________ as surety, are held and firmly bound unto the City of San Jose, California (the “ Owner”), in the sum of _____________________________ dollars ($______________) lawful money of the United States of America, for the payment of which sum, well and truly to be made, we bind ourselves, heirs, executors, administrators, successors, and assigns jointly and severally, firmly by these presents.

Any alterations in the work to be done or the material to be furnished, which may be made pursuant to the terms of the Design-Build Contract, shall not in any way release either the Design-Builder or the surety, nor shall any extensions of time granted under the provisions of the Design-Build Contract release either the Design -Builder or the surety, and notice of such alterations or extensions of the Design-Build Contract is hereby waived by the surety.

The surety hereby waives the provisions of California Civil Code Sections 2819 (regarding exoneration of sureties in certain circumstances), 2845 (regarding certain limitations on remedies against sureties) and 2849 (regarding a surety’s rights as to other security held by the creditor).

In the event suit is brought upon this bond by the Owner and judgment is recovered, the surety shall pay all costs incurred by the Owner in such suit, including, but not limited to, reasonable attorneys’ fees and administrative and consultant costs to be fixed by the court. Any proceeding, legal or equitable, under this bond shall be instituted in State courts located in Santa Clara County, California or in federal courts located in the Northern District of California.

The address or addresses at which the principal and surety may be served with notices, papers and other documents under the California Bond and Undertaking Law (California Code of Civil Procedure Section 995.010 et seq.) is the following: __________________________________.

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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WITNESS our hands this ________ day of _______________________, 20__. (Seal)

Design-Builder

By_____________________________

_____________________________
Title
(Surety’s Corporate Seal) Surety
By______________________________

_____________________________
Title

_____________________________
Address of Surety

_____________________________
_____________________________

Notice: No substitution or revision to this bond form will be accepted.

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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ACKNOWLEDGMENT BY NOTARY PUBLIC
[Cal. Civ. Code, § 1189]

State of California )
County of )

On _________________ before me, ____________________________________, a notary public, personally appeared _________________________________________________, who proved to me on the basis of satisfactory evidence to be the person(s) whose name(s) is/are subscribed to the within instrument and acknowledged to me that he/she/they executed the same in his/her/their authorized capacity(ies), and that by his/her/their signature(s) on the instrument the person(s), or the entity upon behalf of which the person(s) acted, executed the instrument.

I certify under PENALTY OF PERJURY under the laws of the State of California that the foregoing paragraph is true and correct.

WITNESS my hand and official seal.

Signature _______________________________ (Seal)

[Any acknowledgement taken in another state shall be sufficient if it is taken in accordance with the laws of the state where the acknowledgement is made.]

(Attach proof of authority of attorney in fact of surety.)

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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TRANSACTION FORM C

FORM OF PAYMENT BOND

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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FORM OF PAYMENT BOND FOR MATERIALS AND LABOR
KNOW ALL PERSONS BY THESE PRESENTS:

That we, Jacobs Project Management Co., hereinafter referred to as “Design-Builder”, as principal, and _______________________________________ as surety, are held and firmly bound unto the City of San Jose, California (the “Owner”), in the sum of ____________________ dollars ($_____________) lawful money of United States of America, for the payment of which sum, well and truly to be made, we bind ourselves, heirs, executors, administrators, successors, and assigns jointly and severally, firmly by these presents.

The condition of the foregoing obligation is such that, WHEREAS, the Design-Builder has been awarded and entered into the annexed Design - Build Contract with the Owner for the Additional Digester Facility Upgrade Project at the San Jose – Santa Clara Regional Wastewater Facility, dated as of _____________, 2025, as amended from time to time (the “Design-Build Contract”), whereby the Design-Builder has agreed to obtain governmental approvals for, design, construct, commission, and acceptance test additional digester facility upgrades in San Jose, California, all as more particularly described therein, and is required by the Owner to give this bond on the Definitive Contract Amendment Date (as defined in the Design-Build Contract) pursuant to said Design-Build Contract; NOW, THEREF ORE, if Design -Builder, or its S ubcontractors, fails to pay any of the persons referred to in Section 9100 of the Civil Code of the State of California for any materials, provisions, provender, equipment, or other supplies, used in, upon, for or about the performance of the work contracted to be done, or for any work or labor thereon of any kind, or for amount s due under the Unemployment Insurance Code or for any amounts required to be deducted, withheld and paid over to the Employment Developmen t Department from the wages of employees of the Design -Builder and its S ubcontractors pursuant to Section 13020 of the Unemployment Insurance Code with respect to such work and labor, the surety will pay for the same, in an amount not exceeding the sum specified above, and also, in case suit is brought upon this bond, reasonable attorneys’ fees, to be fixed by the court. This bond shall inure to the benefit of any and all persons entitled to file claims under Section 9100 of the Civil Code of the State of California so as to give a right of action to them or their assigns in any suit brought upon this bond.

Any alterations in the work to be done, or the materials to be furnished, which may be made pursuant to the terms of the Design-Build Contract, shall not in any way release either the Design-Builder or the surety, nor shall any extensions of time granted under the provisions of the Design -Build Contract release either Design -Builder or the surety, and notice of such alterations or extensions of the Design-Build Contract is hereby waived by the surety.

The address or addresses at which the Design -Builder and surety may be served with notices, papers and other documents under the California Bond and Undertaking Law (California Code of Civil Procedure Section 995.010 et seq .) is the following:
__________________________________.

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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WITNESS our hands this ________ day of _______________________, 20__. (Seal)

Design-Builder

By_____________________________

_____________________________
Title
(Surety’s Corporate Seal) Surety
By______________________________

_____________________________
Title

_____________________________
Address of Surety

_____________________________
_____________________________

Notice: No substitution or revision to this bond form will be accepted.

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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ACKNOWLEDGMENT BY NOTARY PUBLIC
[Cal. Civ. Code, § 1189]

State of California )
County of )

On _________________ before me, ____________________________________, a notary public, personally appeared _________________________________________________, who proved to me on the basis of satisfactory evidence to be the person(s) whose name(s) is/are subsc ribed to the within instrument and acknowledged to me that he/she/they executed the same in his/her/their authorized capacity(ies), and that by his/her/their signature(s) on the instrument the person(s), or the entity upon behalf of which the person(s) acted, executed the instrument.

I certify under PENALTY OF PERJURY under the laws of the State of California that the foregoing paragraph is true and correct.

WITNESS my hand and official seal.

Signature _______________________________ (Seal)

[Any acknowledgement taken in another state shall be sufficient if it is taken in accordance with the laws of the state where the acknowledgement is made.]

(Attach proof of authority of attorney in fact of surety.)

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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REFERENCE DOCUMENTS

TO THE

DESIGN-BUILD CONTRACT

FOR THE ADDITIONAL DIGESTER FACILITY UPGRADE PROJECT
(ESD 10199)
AT THE
SAN JOSE – SANTA CLARA

REGIONAL WASTEWATER FACILITY

between

THE CITY OF SAN JOSE,
as administering agency of
The Regional Wastewater Facility

and

JACOBS PROJECT MANAGEMENT CO.

Dated as of

______________, 2025

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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REFERENCE DOCUMENT 1

PROJECT DEFINITION REPORT

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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REFERENCE DOCUMENT 2

TECHNICAL MEMORANDUM NO. 1

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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REFERENCE DOCUMENT 3

TECHNICAL MEMORANDUM NO. 2

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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REFERENCE DOCUMENT 4

TECHNICAL MEMORANDUM NO. 3

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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REFERENCE DOCUMENT 5

TECHNICAL MEMORANDUM NO. 4

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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REFERENCE DOCUMENT 6

TECHNICAL MEMORANDUM NO. 5

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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REFERENCE DOCUMENT 7

TECHNICAL MEMORANDUM NO. 6

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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REFERENCE DOCUMENT 8

San José-Santa Clara Water Pollution Control Plant Master Plan Project EIR

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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REFERENCE DOCUMENT 9

San José-Santa Clara Regional Wastewater Facility CIP Alternatives Analysis Memo Template

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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REFERENCE DOCUMENT 10

Scope Document from Switchgear S2/S2A Replacement Project to Additional Digester Facility Upgrade (ADFU) Project Memorandum

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

Execution Copy

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APPENDICES
to the

DESIGN-BUILD CONTRACT

FOR THE

ADDITIONAL DIGESTER FACILITY UPGRADE PROJECT
(ESD 10199)
AT THE
SAN JOSE – SANTA CLARA

REGIONAL WASTEWATER FACILITY
between

THE CITY OF SAN JOSE, CALIFORNIA,
as administering agency of
The Regional Wastewater Facility
and
JACOBS PROJECT MANAGEMENT CO.

Dated
______________, 2025

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

TABLE OF CONTENTS
Page
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APPENDIX 1 ADDITIONAL DIGESTER FACILITY UPGRADES, ADFU SITE AND RELATED PROJECTS DESCRIPTION ......................................................... 1-2

1.1 PURPOSE .................................................................................................. 1-2

1.2 BACKGROUND .......................................................................................... 1-2

1.3 ADDITIONAL DIGESTER FACILITY UPGRADES SITE .................................. 1-4

1.3.1 Construction Enabling Site .......................................................... 1-4

1.3.2 Environmental Constraints .......................................................... 1-4

1.3.3 Hazardous Waste Areas ............................................................... 1-4

1.4 PROPOSED ADDITIONAL DIGESTER FACILITY UPGRADES ....................... 1-7

1.4.1 Indicative Design. ........................................................................ 1-8

1.5 RELATED PROJECTS AND BACKGROUND STUDIES AND
INFORMATION......................................................................................... 1-18

1.5.1 Related Projects. ........................................................................ 1-18

1.5.2 Background Studies and Information. ........................................ 1-18

1.6 RWF AND ADFU SITE ACCESS AND SECURITY ....................................... 1-20 APPENDIX 2 PRELIMINARY SERVICES ............................................................................... 2-1

2.1 PRELIMINARY SERVICES TASK #1 – PROJECT MANAGEMENT .................. 2-1

2.1.1 General Project Management. ....................................................... 2-1

2.1.2 Weekly Project Management Meetings and Technical
Workshops and Meetings. ............................................................ 2-2

2.1.3 Risk Management Requirements. ................................................. 2-4

2.1.4 Change Management Requirements. ............................................ 2-5

2.1.5 Project Execution Plan. ................................................................ 2-5

2.1.6 Communication Plan. .................................................................. 2-8

2.1.7 Permits and Approvals Plan. ........................................................ 2-9

2.1.8 Preliminary Services Schedule and Design-Build Period Work Schedule. .................................................................................... 2-9

2.1.9 Document Submittal Procedures. ............................................... 2-11

2.1.10 Monthly Preliminary Services Report Requirements .................... 2-11

2.1.11 Records Management System. .................................................... 2-11

2.1.12 Computerized Maintenance Management System. ...................... 2-12

2.1.13 Kickoff Meeting & Partnering. ..................................................... 2-13

2.1.14 Constructability Reviews. ........................................................... 2-14

2.1.15 Value Engineering. ..................................................................... 2-15

2.1.16 Cost Model ................................................................................ 2-15

2.1.17 Equipment and Subcontractor Procurement ............................... 2-16

2.2 PRELIMINARY SERVICES TASK #2 – PRELIMINARY INVESTIGATIONS ..... 2-17

2.2.1 Information Review and Verification. .......................................... 2-17

2.2.2 Review of Reference Documents ................................................. 2-17

2.2.3 Alternatives Analysis .................................................................. 2-18

2.2.4 Site Analysis .............................................................................. 2-19

2.2.5 Existing Facilities Condition Assessments .................................. 2-19

2.2.6 Subsurface Utilities investigation ............................................... 2-20

2.2.7 Geotechnical Investigations. ....................................................... 2-21

2.2.8 Regulated Site Conditions – Hazardous Materials (Asbestos, Lead and PCBs) ......................................................................... 2-25

2.2.9 Regulated Site Conditions – Soils Testing ................................... 2-27

2.2.10 Odor Modeling ........................................................................... 2-29

2.3 PRELIMINARY SERVICES TASK #3 – BASIS OF DESIGN REPORT ............ 2-30

2.3.1 Basis of Design Development ..................................................... 2-30

2.3.2 Draft Basis of Design Report (BDR). ........................................... 2-31 DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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2.3.3 Basis of Design Review Workshop. ............................................. 2-34

2.3.4 Final Basis of Design Report. ..................................................... 2-34

2.4 PRELIMINARY SERVICES TASK #4 – 30 PERCENT DESIGN
COMPLETION DOCUMENTS (DCD) .......................................................... 2-35

2.4.1 Period of Performance. ............................................................... 2-35

2.4.2 Minimum Requirements. ............................................................ 2-35

2.4.3 Criteria. ..................................................................................... 2-35

2.4.4 30 Percent Design ...................................................................... 2-36

2.4.5 Corrosion Engineering. .............................................................. 2-37

2.4.6 30 Percent Design Workshop. ..................................................... 2-38

2.4.7 Updated Estimated Design-Build Price. ...................................... 2-39

2.4.8 Updated Initial Design-Build Period Work Schedule. ................... 2-39

2.4.9 City Review. ............................................................................... 2-39

2.5 PRELIMINARY SERVICES TASK #5 – 60 PERCENT DESIGN
COMPLETION DOCUMENTS (DCD) .......................................................... 2-39

2.5.1 Inclusion of the Technical Specifications. ................................... 2-39

2.5.2 60% DCD Deliverables. .............................................................. 2-39

2.5.3 Minimum Requirements. ............................................................ 2-40

2.5.4 Criteria. ..................................................................................... 2-42

2.5.5 Updated Design-Build Price Model. ............................................ 2-42

2.5.6 Updated Design-Build Period Work Schedule. ............................. 2-43

2.5.7 Required Permits and Approvals. ................................................ 2-43

2.5.8 Acceptance Standards. ............................................................... 2-43

2.5.9 Training Plan Requirements. ...................................................... 2-44

2.5.10 Draft Maintenance of Operations During Construction Plan. ....... 2-44

2.5.11 City Review. ............................................................................... 2-45

2.5.12 60 Percent Design Workshop. ..................................................... 2-45

2.6 PRELIMINARY SERVICES TASK #6 – DEFINITIVE PROJECT
SUBMITTAL AND SUPPORTING COST ESTIMATES .................................. 2-45

2.6.1 Definitive Project Submittal. ....................................................... 2-45

2.6.2 Basis of the Proposed Base Guaranteed Maximum Price. ............ 2-45

2.6.3 Preparation of the Definitive Project Submittal. ........................... 2-48

2.6.4 Definitive Project Submittal Workshop. ...................................... 2-48

2.7 PRELIMINARY SERVICES TASK #7 – POTENTIAL ADDITIONAL PRELIMINARY SERVICES ........................................................................ 2-49

2.8 PRELIMINARY SERVICES FEE ................................................................. 2-49

2.8.1 Compensation for Base Preliminary Services. ............................. 2-49

2.8.2 Payment Requests ..................................................................... 2-50

2.8.3 Compensation for Additional Preliminary Services. ..................... 2-50 APPENDIX 3 GOVERNMENTAL APPROVALS ....................................................................... 3-1

3.1 PURPOSE .................................................................................................. 3-1

3.2 GOVERNMENTAL APPROVALS .................................................................. 3-1 APPENDIX 4 TECHNICAL SPECIFICATIONS ........................................................................ 4-1

4.1 PURPOSE .................................................................................................. 4-1

4.2 DESIGN GUIDANCE DOCUMENTS AND STANDARD SPECIFICATIONS ...... 4-1

4.3 CODES AND REGULATIONS ...................................................................... 4-3

4.4 MAJOR PROJECT ELEMENTS ................................................................... 4-3

4.5 MINIMUM TECHNICAL REQUIREMENTS ................................................... 4-3

4.5.1 Operating Strategy ....................................................................... 4-4

4.5.2 Sludge and FOG Flows, Loads, and Design Years ......................... 4-4

4.5.3 Phased Design and Construction .................................................. 4-4

4.5.4 Redundancy Requirements .......................................................... 4-5

4.5.5 Allowable Alternatives .................................................................. 4-5

4.5.6 City Specifications and Standards ................................................ 4-6 DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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4.5.7 Environmental Mitigation Measures ............................................. 4-6

4.5.8 Other Minimum Technical Requirements ...................................... 4-6 APPENDIX 5 GENERAL DESIGN-BUILD WORK REQUIREMENTS ........................................ 5-1

5.1 PURPOSE .................................................................................................. 5-1

5.1.1 General Purpose. ......................................................................... 5-1

5.1.2 City Standard Specifications. ....................................................... 5-1

5.2 MANAGEMENT AND COORDINATION ........................................................ 5-3

5.2.1 Coordination. ............................................................................... 5-3

5.2.2 Partnering Sessions. .................................................................... 5-3

5.3 DESIGN-BUILD PERIOD WORK SCHEDULE .............................................. 5-4

5.3.1 Design-Build Period Work Schedule (Baseline Schedule). .............. 5-4

5.3.2 Design-Build Period Work Schedule Updates (Progress Schedules). .................................................................................. 5-5

5.3.3 City Review. ................................................................................. 5-6

5.3.4 Events Affecting the Design-Build Period Work Schedule. ............. 5-6

5.3.5 Revisions to Baseline Schedule. ................................................... 5-6

5.4 CONSTRUCTION MEETINGS AND REPORTS .............................................. 5-7

5.4.1 Preconstruction Conference. ........................................................ 5-7

5.4.2 Construction Progress Meetings - Scheduling and Attendance. ..... 5-8

5.4.3 Construction Progress Meetings - Agenda. .................................... 5-9

5.4.4 Monthly Design-Build Period Work Reports. ............................... 5-10

5.4.5 Project Records. ......................................................................... 5-12

5.5 CONSTRUCTION WORK GENERALLY....................................................... 5-14

5.5.1 Deliverable Material. .................................................................. 5-14

5.5.2 Signs. ........................................................................................ 5-14

5.5.3 Laydown Areas and City Construction Office Space. ................... 5-15

5.5.4 Maintenance of the Additional Digester Facility Upgrades Site..... 5-16

5.5.5 Temporary Utilities. ................................................................... 5-16

5.5.6 Relocation of Existing Utilities. ................................................... 5-16

5.5.7 Noise Control. ............................................................................ 5-17

5.5.8 Notice of Default, Breach or Non-Compliance. ............................ 5-17

5.5.9 Survey and Survey Controls. ...................................................... 5-17

5.5.10 In-Use Off-Road Diesel-Fueled Vehicles Requirements. ............... 5-17

5.6 COORDINATION OF CONSTRUCTION WORK AND OPERATIONS .............. 5-17

5.6.1 Regional Wastewater Facility Shutdowns during Construction. ... 5-17

5.6.2 Maintenance of Regional Wastewater Facility Operations during Construction. ................................................................. 5-18

5.6.3 Operations and Maintenance Records ........................................ 5-18

5.7 CONSTRUCTION SAFETY AND SECURITY. .............................................. 5-18

5.7.1 Safety and Security. ................................................................... 5-18

5.7.2 Perimeter Security ..................................................................... 5-20

5.8 OPERATIONS AND MAINTENANCE MANUAL............................................ 5-20

5.8.1 Development by the Design-Builder ............................................ 5-20

5.8.2 Content of the Operations and Maintenance Manual .................. 5-20

5.9 SERVICE MANUALS ................................................................................ 5-22

5.9.2 DCS System Information and Electronic Requirements ............... 5-24

5.10 ENVIRONMENTAL REVIEW AND PROTECTION. ....................................... 5-24

5.10.1 Existing Regulated Substances .................................................. 5-24

5.10.2 Wildlife and Protected Species Protection. ................................... 5-25

5.10.3 Design-Builder Construction Environmental Monitor. ................. 5-25

5.10.4 Regulated Substances Management Program. ............................. 5-26

5.10.5 Design-Builder Regulated Substances. ....................................... 5-27

5.10.6 Emergency/Spill Response Plan. ................................................ 5-27

5.10.7 Dust Control. ............................................................................. 5-27 DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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5.10.8 Traffic and Transportation Mitigation ......................................... 5-28

5.10.9 Cultural and Historic Resources ................................................. 5-28

5.11 CLOSEOUT.............................................................................................. 5-28 APPENDIX 6 DESIGN-BUILD QUALITY ASSURANCE AND QUALITY CONTROL REQUIREMENTS ....................................................................................... 6-1

6.1 PURPOSE .................................................................................................. 6-1

6.2 CITY’S QUALITY OBJECTIVES ................................................................... 6-1

6.3 ROLES AND RESPONSIBILITIES ................................................................ 6-2

6.3.1 Design-Builder's Role and Responsibilities for QA/QC. ................. 6-2

6.3.2 City's Role and Responsibilities for QA/QC. .................................. 6-2

6.4 DESIGN-BUILD PERIOD QUALITY MANAGEMENT PLAN
DEVELOPMENT AND IMPLEMENTATION ................................................... 6-3

6.4.1 General Requirements. ................................................................ 6-3

6.4.2 Design-Build Period Quality Management Plan Requirements. ...... 6-3

6.4.3 Changes to the Design-Build Period Quality Management Plan............................................................................................. 6-4

6.5 DESIGN QUALITY CONTROL AND QUALITY ASSURANCE
REQUIREMENTS ....................................................................................... 6-4

6.5.1 Design QA/QC Program. .............................................................. 6-4

6.5.2 Design Quality Assurance Manager. ............................................. 6-5

6.6 CONSTRUCTION QUALITY CONTROL REQUIREMENTS ............................. 6-5

6.6.1 Construction QA/QC Program. ..................................................... 6-5

6.6.2 Non-Conforming Work. ................................................................ 6-6

6.6.3 Construction Quality Assurance Manager. .................................... 6-7

6.6.4 Materials and Equipment. ............................................................ 6-7

6.6.5 Construction Management and Testing. ....................................... 6-8

6.6.6 Laboratories. ............................................................................... 6-8

6.7 INSPECTION OF DESIGN-BUILD WORK ..................................................... 6-8

6.7.1 Inspection and Correction. ........................................................... 6-8

6.7.2 City Access. ................................................................................. 6-9

6.7.3 Materials Inspection..................................................................... 6-9

6.8 TIME OF INSPECTION AND TESTS ............................................................ 6-9

6.9 MATERIALS SAMPLING AND TESTING ..................................................... 6-10

6.9.1 Materials Testing and Removal. .................................................. 6-10

6.9.2 Materials Rejection. ................................................................... 6-10

6.10 MATERIALS TESTING SERVICES ............................................................. 6-10

6.10.1 Design-Builder’s Laboratories. ................................................... 6-10

6.10.2 Interruptions For Testing and Sampling. .................................... 6-11

6.10.3 Test Reports. ............................................................................. 6-11

6.10.4 City’s Laboratories. .................................................................... 6-11

6.10.5 Materials to be Tested. ............................................................... 6-12

6.11 INSTALLATION ........................................................................................ 6-13

6.11.1 Inspection and Measurement. .................................................... 6-13

6.11.2 Manufacturer’s Instructions. ...................................................... 6-13

6.12 PERSONNEL QUALIFICATIONS ................................................................ 6-13 APPENDIX 7 DESIGN-BUILD WORK REVIEW PROCEDURES .............................................. 7-1

7.1 OVERVIEW ................................................................................................ 7-1

7.1.1 Purpose. ...................................................................................... 7-1

7.1.2 City Standard Specifications ........................................................ 7-1

7.2 DOCUMENTS TO BE SUBMITTED. ............................................................ 7-1

7.2.1 City Web-Based Design and Construction Management System ........................................................................................ 7-1

7.2.2 Documents to be Submitted ......................................................... 7-1

7.2.3 Design-Construction Work Package Information. .......................... 7-3 DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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7.3 CITY REVIEW DURING GOVERNMENTAL APPROVAL PROCESS ................ 7-6

7.4 CITY DOCUMENT REVIEW ........................................................................ 7-6

7.4.1 City Review Responsibilities. ........................................................ 7-6

7.4.2 Changes to Technical Specifications. ............................................ 7-7

7.4.3 Time for City Review. ................................................................... 7-7

7.4.4 Time for Design-Builder Response. ............................................... 7-7

7.4.5 Design-Build Progress Meetings. .................................................. 7-7

7.4.6 Design Submittals During Construction. ...................................... 7-8

7.4.7 Design Change Authority. ............................................................ 7-8

7.5 CITY CONSTRUCTION REVIEWS AND INSPECTION ................................... 7-9

7.5.1 Construction Review Intent. ......................................................... 7-9

7.5.2 Construction Submittal Review. ................................................... 7-9

7.5.3 “Or Equals”. .............................................................................. 7-10

7.5.4 Named Suppliers. ...................................................................... 7-11

7.5.5 Functionally Equal. ................................................................... 7-11

7.5.6 Corrections and Changes. .......................................................... 7-11

7.5.7 Requests for Information. ........................................................... 7-12

7.6 RECORD DRAWINGS AND RECORD SPECIFICATIONS ............................ 7-12 APPENDIX 8 DESIGN-BUILD PRICE .................................................................................... 8-1

8.1 OVERVIEW ................................................................................................ 8-1

8.1.1 Purpose. ...................................................................................... 8-1

8.1.2 Separate Compensation for Each Definitive Contract Amendment. ................................................................................ 8-1

8.2 DESIGN-BUILD PRICE ............................................................................... 8-1

8.2.1 Payment. ..................................................................................... 8-1

8.2.2 Design-Build Price Defined. .......................................................... 8-1

8.2.3 Related Definitions. ...................................................................... 8-2

8.2.4 Certification and Cost Substantiation. .......................................... 8-3

8.2.5 Relation to General Conditions Costs ........................................... 8-4

8.2.6 Discounts, Rebates and Refunds. ................................................. 8-4

8.2.7 Allowance Items and Allowance Values ......................................... 8-4

8.3 DESIGN-BUILD PERIOD COSTS ................................................................ 8-5

8.3.1 Third-Party Professional Services Fees. ......................................... 8-5

8.3.2 Design-Build Period Work Subcontractor Costs. ........................... 8-6

8.3.3 Design-Builder’s Own Labor Costs. .............................................. 8-6

8.3.4 Costs of Materials, Equipment and Supplies. ................................ 8-8

8.3.5 Other Costs. ................................................................................ 8-9

8.3.6 City Travel Policy Cost Limits. .................................................... 8-10

8.3.7 Equipment Rental Costs. ........................................................... 8-10

8.3.8 Compensation for On-Going Design Costs During the Negotiation of the Definitive Contract Amendment. ..................... 8-11

8.4 UNALLOWABLE COSTS ........................................................................... 8-12

8.4.1 No Payment Obligation. .............................................................. 8-12

8.4.2 Unallowable Costs Defined. ........................................................ 8-12

8.5 GENERAL CONDITIONS FEE ................................................................... 8-14

8.6 DESIGN-BUILDER FEE............................................................................ 8-15

8.7 GUARANTEED MAXIMUM PRICE ............................................................. 8-15

8.7.1 Guaranteed Maximum Price Generally. ...................................... 8-15

8.7.2 Base Guaranteed Maximum Price............................................... 8-16

8.7.3 Base Guaranteed Maximum Price Adjustments. ......................... 8-16

8.7.4 Value of Base Guaranteed Maximum Price Adjustments ............. 8-17

8.7.5 Design Services. ......................................................................... 8-17

8.7.6 Construction Subcontractor’s Mark-Up on Subcontracted Construction Work. ................................................................... 8-17 DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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8.8 SHARED SAVINGS AMOUNT .................................................................... 8-18 APPENDIX 9 COMMISSIONING AND ACCEPTANCE TESTING .............................................. 9-1

9.1 INTRODUCTION AND OBJECTIVES ........................................................... 9-1

9.2 COMMISSIONING ...................................................................................... 9-2

9.2.1 Commissioning Plan. ................................................................... 9-2

9.2.2 Schedule Requirements. .............................................................. 9-4

9.2.3 Pre-Operational Testing. .............................................................. 9-4

9.2.4 Functional Testing. ...................................................................... 9-5

9.2.5 Commissioning Report. ................................................................ 9-7

9.3 ACCEPTANCE TESTING ............................................................................. 9-7

9.3.1 Acceptance Test Plan. .................................................................. 9-8

9.3.2 Acceptance Testing Requirements. ............................................. 9-10

9.3.3 Acceptance Standards. ............................................................... 9-11

9.3.4 Duration of Acceptance Test. ...................................................... 9-12

9.3.5 Acceptance Test Report. ............................................................. 9-15 APPENDIX 10 APPLICABLE CITY SPECIAL PROVISIONS ................................................... 10-1 APPENDIX 11 TRANSITION SERVICES .............................................................................. 11-1

11.1 PURPOSE ................................................................................................ 11-1

11.2 CITY OPERATION OF THE ADDITIONAL DIGESTER FACILITY UPGRADES ............................................................................................. 11-1

11.3 DESIGN-BUILDER RESPONSIBILITIES GENERALLY ................................ 11-1

11.3.1 Transition Services Standards .................................................... 11-1

11.3.2 Transition Coordinator ............................................................... 11-1

11.3.3 Additional Transition Services Personnel .................................... 11-2

11.3.4 Access to the Additional Digester Facility Upgrades .................... 11-2

11.3.5 Access to Data and Records ....................................................... 11-2

11.4 TRANSITION SERVICES ........................................................................... 11-2

11.4.1 Nature of the Transition Services ................................................ 11-2

11.4.2 Additional Transition Services .................................................... 11-4

11.5 COST AND PAYMENT RESPONSIBILITIES ................................................ 11-4

11.6 NO LIMITATION ON OTHER POST-SUBSTANTIAL COMPLETION OBLIGATIONS ......................................................................................... 11-4 APPENDIX 12 OWNER CONTROLLED INSURANCE PROGRAM INSURANCE REQUIREMENTS ..................................................................................... 12-1 APPENDIX 13 KEY PERSONNEL AND APPROVED SUBCONTRACTORS ............................. 13-1

13.1 PURPOSE ................................................................................................ 13-1

13.2 KEY PERSONNEL .................................................................................... 13-1

13.3 SUBCONTRACTORS ................................................................................ 13-1

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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APPENDIX 1

ADDITIONAL DIGESTER FACILITY UPGRADES, ADFU SITE AND RELATED PROJECTS

DESCRIPTION
DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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APPENDIX 1

ADDITIONAL DIGESTER FACILITY UPGRADES, ADFU SITE AND RELATED PROJECTS

DESCRIPTION

1.1 PURPOSE
The purpose of this Appendix is to describe th e proposed Additional Digester Facility Upgrades, show the location and boundaries of the ADFU Site, and identify relevant projects, studies, reports and other documents.

1.2 BACKGROUND
The San José–Santa Clara Regional Wastewater Facility (RWF) is an advanced wastewater treatment facility jointly owned by the cities of San José and Santa Clara and operated by the City of San José’s (City) Environmental Services Department (ESD). The RWF serves eight South Bay cities and four special districts includin g: San José, Santa Clara, Milpitas, Cupertino Sanitary District (Cupertino), West Valley San itation District (Campb ell, Los Gatos, Monte Sereno, and Saratoga), County Sanitation Districts 2-3 (unincorporated), and Burbank Sanitary District (unincorporated).

In 2008, the RWF embarked on a master planning process to rehabilitate and upgrade its facilities and explore potential process change s. The San José/Santa Clara Water Pollution Control Plant Master Plan (PMP ) used an extensive community engagement process to develop overarching environmental, economic, social, an d operational goals for the RWF. The PMP was adopted by the San José City Council in Nove mber 2013 and by Santa Clara City Council in December 2013, allowing staff to begin critical infrastructure improvement at the Regional Wastewater Facility.

In response to recommendations from the PMP, the City intends to make improvements to the mesophilic digestion process at the RWF as part of the Additional Digester Facility Upgrades (ADFU) Project (“ADFU Project ” or “Project”). Prior solids projects recommended by the PMP have implemented thickener upgrades and adde d a first phase of thermophilic anaerobic digesters (Digester and Thickener Facilities Upgrade Project (“ DTFU Project ”)) and currently under construction is the addition of liquid digested sludge storage and centrifuge dewatering (Digested Sludge Dewatering Facility Project (“ Dewatering Project ”)). The ADFU Project will rehabilitate or replace the mesophilic digesters and add a Fats, Oil, and Grease (FOG) facility and is expected to be the last major solids design project recommended in the PMP. Figure 1-2 shows the site layout of the existing and abandoned solids handling facilities at the RWF.

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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Figure 1-1 Solids System Site Layout

The major elements of the Project include the following:
x Mesophilic digester rehabilitation or replacement,
x A new FOG facility,
x Struvite mitigation, and
x Other civil, mechanical, and electrical improvements as identified.

The potential major elements of the Project and their intended functions are further described in the Additional Digester Facility Upgrade Project Definition Report, prepared by Carollo Engineers, Inc., dated January 30, 2025 (“ Project Definition Report ”). The Project’s technical specifications shall be more particularly described in Appendix 4 (Technical Specifications) as of the Definitive Contract Amendment Date.

A Conceptual Level of the Opinion of Probable Construction Cost (“OPCC”) for the Project is $165 Million USD (this is the OPCC for the Base Alternative identified in the Project Definition Report).

The City is preparing additional Ca lifornia Environmental Quality Act (“CEQA”) documentation for this Project. The CEQA documentation will consist of a Supplemental Environmental Impact Report (“EIR”) to the PMP EIR, as well as information on additional environmental permitting DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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and mitigation. Development of the Supplementa l EIR is expected to continue through the Preliminary Services phase.

1.3 ADDITIONAL DIGESTER FACILITY UPGRADES SITE
Figure 1-2 is the RWF site plan showing the ADFU Site. Note that there are two potential locations identified for mesophilic digesters and three potential locations identified for the new FOG facility. These sites and all of the sites described below comprise the ADFU Site. [NOTE: The ADFU Site description will be fu rther developed as part of the Preliminary Services and delineated in the Definitive Contract Amendment as part of Appendix 4 (Technical Specifications).]

1.3.1 Construction Enabling Site
The Construction Enabling Site will be determin ed during the Preliminary Services Period and will be described in Appendix 4 (Technical Specifications) as of the Definitive Contract Amendment Date. Additional areas may be desi gnated by the City for construction staging, storage, trailers and laydown for the Additional Digester Facility Upgrades.

1.3.2 Environmental Constraints
Figure 1-3 shows the boundary of an existing San José-Santa Clara Regional Wastewater Facility Streamline Moderne Industrial Historic District that is considered a historical resource, pursuant to CEQA. Therefore, if this area is used, a supplemental EIR is required pursuant to CEQA.

Obtaining a new EIR is the City’s responsibility, and that process is underway. However, the Design-Builder will be responsible for meeting any mitigation requirements identified.

1.3.3 Hazardous Waste Areas
Work in existing facilities may require removal and/or mitigation of hazardous materials. This includes work done in the Digester No. 1 to 4 ar ea, Digester No. 9 to 16 area, and the digested sludge effluent pump station (DSEPS). In part icular, lead paint and sealants containing polychlorinated biphenyls (PCB) may be encountered. Therefore, the City has initiated a hazardous materials investigation in both the Digester No. 1 to 4 area and the Digester No. 9 to 16 area following the CIP Program’s investigation and remediation protocol. This investigation is to be completed by the Owner’s Advisor. It is anticipated that findings from this investigation will be included with the Additional Digester Facility Upgrade Project Definition Report via addendum. The Design-Builder will be required to review the investigation findings and follow DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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the City’s protocol for hazardous materials, included as an appendix to the Additional Digester Facility Upgrade Project Definition Report.
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DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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Figure 1-2 RWF Site Plan – Existing Site and Potential Locations of ADFU Project Elements

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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Figure 1-3 Historic District Boundary

1.4 PROPOSED ADDITIONAL DIGESTER FACILITY UPGRADES
The new Additional Digester Facility Upgrades ar e anticipated to include new or rehabilitated mesophilic digesters and all asso ciated equipment and support services; a new FOG facility to accept, store, and process FOG for transfer to the digestion system; all piping required to transfer sludge to and from the new or rehabilitated mesophilic digesters, transfer FOG to the digestion system, and transfer digester gas to existing dige ster gas end uses; a new digester control and electrical building to house the motor control ce nters (MCCs) and control equipment needed for mesophilic digestion with proper heating, vent ilating, and air conditioning systems; new S2 Switchgear in the DAFT electrical room and new S13 switchgear in the DSEPS; lighting improvements inside the sludge screening/polymer storage area MCC room, on top of Digesters 5 through 8, and inside the digester tunnels; and a struvite mitigation system.

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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The project may also include new dissolved air flotation thickener (DAFT) pressurization pumps, if deemed necessary by the Design-Builder upon evaluation of the existing system hydraulics and existing pump capacities.

The potential major elements of the Project and their intended functions are further described in the Project Definition Report. The Project’s techni cal specifications shall be more particularly described in Appendix 4 (Technical Specifications) as of the Definitive Contract Amendment Date.

1.4.1 Indicative Design.

The Additional Digester Facility Upgrade Project Definition Report includes three indicative designs, and information presented in this sectio n, is excerpted from the complete indicative designs that was provided in the Additional Digester Facility Upgrade Project Definition Report .

The indicative designs outline the baseline concept and scope of the Project developed during the planning stages to assist in obtaining environm ental permits and cost estimates. The indicative designs should be used as guidance, but it is not intended to prescribe to the Design-Builder the final design of the Project. The Basis of Design Report (BDR) and the final design for the Project will be developed by the Design-Builder by advancing or modifying the indicative designs to incorporate the results of the Design-Builder’s preliminary investigations (e.g. condition assessments, geotechnical investigations, etc.) and to address changes made subsequent to the completion of the indicative designs.

Figures 1-4 through 1-9 present the overall site plans for the indicative designs. Figures 1-10 and 1-11 show process flow diagrams for the indicati ve designs. Project flow and load criteria were used to establish preliminary sizes and numbers of facilities and system used in the indicative design drawings. This preliminary sizing will be re-confirmed by the Design-Builder during detailed design advancement.
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DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

City of San Jose Additional Digester Facility Appendix 1 Upgrade Project at the San Jose - Additional Digester Facility Upgrades, ADFU Site Santa Clara Regional Wastewater Facility and Related Projects Description A1-9
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Figure 1-4 Indicative Design 1 – Base Alternative 2045 Layout DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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Figure 1-5 Indicative Design 1 – Base Alternative 2045 3D Layout

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

City of San Jose Additional Digester Facility Appendix 1 Upgrade Project at the San Jose - Additional Digester Facility Upgrades, ADFU Site Santa Clara Regional Wastewater Facility and Related Projects Description A1-11
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Figure 1-6 Indicative Design 2 – Alternative 1 2045 Layout DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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Figure 1-7 Indicative Design 2 – Alternative 1 2045 3D Layout

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

City of San Jose Additional Digester Facility Appendix 1 Upgrade Project at the San Jose - Additional Digester Facility Upgrades, ADFU Site Santa Clara Regional Wastewater Facility and Related Projects Description A1-13
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Figure 1-8 Indicative Design 3 – Alternative 2 2045 Layout DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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Figure 1-9 Indicative Design 3 – Alternative 2 2045 3D Layout

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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Figure 1-10 RWF Process Flow Diagram – Sludge Feed, Recirculation, and Transfer

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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Figure 1-11 RWF Process Flow Diagram – Hot Water Loop

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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Figure 1-12 RWF Process Flow Diagram – Digester Gas
DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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1.5 RELATED PROJECTS AND BACKGROUND STUDIES AND INFORMATION The Additional Digester Facility Upgrades are part of the overall Capital Improvement Project (CIP) established to rebuild and revitalize the RW F. A number of studies, tasks, plans, and projects under the CIP will have bearing on the Project. The following studies, tasks, plans, and projects will interface with the Project. The list is provided for reference and shall not limit or excuse the Design-Builder’s performance of the Contract Services.

1.5.1 Related Projects.

The Design-Builder must coordinate with other ongoing and planned projects at the RWF during the Preliminary Services Period (including any Early Work Packages) and Design-Build Period. [NOTE: Related Projects will be identified during the Preliminary Services Period and set forth in this Appendix via the Definitive Project Submittal / Definitive Contract Amendment process.]

1.5.2 Background Studies and Information.

The following memoranda, studies, plans, specifications and data have been provided separately by the City to the Design-Builder as background information related to the Project.

Additional Digester Facility Upgrade Project Documents
1 Project Definition Report - Additional Digester Facility Upgrade (Carollo) Jan-25 2 Technical Memorandum No. 1– Project Background and Flow and Load Analysis (Carollo)
Jan-25
3 Technical Memorandum No. 2 – Digester and FOG Technology Evaluation (Carollo) Jan-25 4 Technical Memorandum No. 3 – Digestion and FOG Facility Alternatives (Carollo) Jan-25 5 Technical Memorandum No. 4 – Struvite Observations and Technology Evaluation (Carollo)
Jan-25
6 Technical Memorandum No. 5 – Electrical, Instrumentation, and Controls (EI&C) Elements Evaluation (Carollo)
Jan-25
7 Technical Memorandum No. 6 – Site Civil and Utility Requirements and Major Non- Digestion Mechanical Scope Elements (Carollo)
Jan-25
Previous Studies, Information, and Data
1 Aeration Demands and Biosolids Production Assessment (Carollo, San José CIP Study 2)
Jun-15
2 Biosolids Supplementary Information
3 Biosolids Transition Strategy Report (Brown and Caldwell) Dec-14 4 Characterization of San Jose Dewaterability Reports (Matt Higgins) Apr-24 5 CIP Program Automation Guidelines Dec-15
6 City of San José Storm Design Guidelines 1993
7 Construction Traffic Management Plan (Fehr & Peers) Dec-15 DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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8 Cultural Resources Survey Report - RWF Streamline Moderne Industrial Historic District
Dec-16
9 DAFT Supplementary Information
10 Daily Plant Biogas Data 2019 -
2025
11 Daily Plant Digester Data 2019 -
2025
12 Daily Plant Influent Data 2019 -
2025
13 Daily Plant Polymer Data 2019 -
2025
14 Daily Plant Solids Data 2019 -
2025
15 Dewatering Centrifuge Confirmation Test - Struvite Formation Potential (Black & Veatch, Walsh)
Aug-24
16 Dewatering Lab Analysis Apr-24
17 Digested Sludge Dewatering Facility - Basis of Design Report (Black & Veatch, Walsh) Jan-21 18 Digested Sludge Dewatering Facility Drawing Set
19 Digested Sludge Dewatering Facility Project - Centrifuge Confirmation Testing Plan (Black & Veatch, Walsh)
Jan-24
20 Digested Sludge Dewatering Facility Project Definition Report (Brown and Caldwell) Oct-18 21 Digested Sludge Dewatering Facility Specifications
22 Digested Sludge Dewatering Facility Supplementary Information 23 Digested Sludge Dewatering Project - Alternatives Analysis (Black & Veatch, Walsh) Jun-20 24 Digester 11 Hazardous Material Report Apr-21
25 Digester and Thickener Facilities Upgrade Project - Digester DCU Information 26 Digester and Thickener Facilities Upgrade Project - PCB Documentation and Test Results

27 Digester and Thickener Facilities Upgrade Project - Preliminary Design Report (Black & Veatch, Brown and Caldwell)
Apr-15
28 Digester and Thickener Facilities Upgrade Project Drawing Set 29 Digester and Thickener Facilities Upgrade Project Specifications 30 Digester, Sludge Control Building, and Old Digester Control Building Photos 31 Draft EIR Cultural Resources Section Jan-13
32 Energy Management Strategic Plan Update (Black & Veatch) May-22 33 Environmental Services Department Organizational Chart 34 Flow Management Study (Stantec, San José CIP Study 14) Jul-17 35 Flows and Loads Summary (Black & Veatch, Walsh) Jan-20 36 FOG Program Evaluation and Enhancement Study (City of San José ESD) Oct-10 37 FOG Supplementary Information
38 Headworks Drawing Sets
39 NPDES Permit No. CA0037842 2020
40 NPDES Permit No. CA0038849 2022
41 NPDES Permit No. CA0038873 2024
42 NPDES Permit Test Results May-24
43 Odor and Corrosion Control Study (CH2M Hill, San José CIP Study 3) Aug-15 DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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44 Plant Drainage Information
45 Plant Utility Maps
46 Pond A18 Odor Sampling and Characterization (CH2M Hill) Nov-15 47 Project Memorandum No. 1 - Description of Existing Facilities (Carollo) Feb-09 48 Pump Testing and Data
49 RWF BAAQMD Authority to Construct Jun-16
50 RWF BAAQMD Permit to Operate Jun-24
51 RWF Plant Drawings and Specifications 1950 - Present 52 Scum Facility Drawing Sets
53 Struvite Supplementary Information
54 Technical Memorandum - Design Criteria (Carollo, San José CIP Study 1.3) Nov-14 55 Technical Memorandum - Flow and Load Projections (Carollo Study 1.1) Nov-14 56 Technical Memorandum - Hydraulic Model (Carollo San José CIP Study 1.2) Nov-14 57 Technical Memorandum - Struvite Mitigation Strategies and Recommendations (Stantec)
Jan-24
58 Technical Memorandum 1 - Facility-wide Heating and Cooling Systems Evaluation (Brown and Caldwell)
Apr-15
59 Technical Memorandum 2 - Strategic Heating and Cooling Plan (Brown and Caldwell) May-15 60 Technical Memorandum No. 1 - 2025 Plant Master Plan Technical Update (Jacobs) Nov-14 61 Technical Memorandum No. 4.6 - Struvite Formation and Control Evaluation (Brown and Caldwell)
Sep-10
62 Triple Bottom Line Calculator
63 Yard Piping Condition Assessment Plan (Black & Veatch) Jun-15

1.6 RWF AND ADFU SITE ACCESS AND SECURITY
Primary access to the RWF and ADFU Site shall be from Zanker Road security gate and via the main gate at 700 Los Esteros Road.
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DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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APPENDIX 2

PRELIMINARY SERVICES
DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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APPENDIX 2

PRELIMINARY SERVICES

GENERAL REQUIREMENTS
Scope of Base Preliminary Services. The Base Preliminary Services shall consist of the following six Preliminary Services Tasks:
x Task #1: Project Management
x Task #2: Preliminary Investigations
x Task #3: Basis of Design Report (BDR)
x Task #4: 30% Design Completion Documents
x Task #5: 60% Design Completion Documents
x Task #6: Definitive Project Submittal and Supporting Cost Estimates

Unless specifically excluded from this Design-B uild Contract, the Design-Builder shall provide to the City all surveying, architectural, en gineering, geotechnical, landscape, Project management, cost estimating and other professi onal services necessary to perform the Base Preliminary Services required by this Design-Build Contract.

Deliverable Material. Required Deliverable Material for each Preliminary Services Task is identified in this Appendix. All Deliverable Material identified in this Appendix shall be reviewed with representatives of the City. The Design-Builder shall promptly correct deficiencies in Deliverable Material and shall promptly make modifications to conform to Project requirements and modifications to achieve acceptability of the Deliverable Material to the City. Draft deliverables shall be provided to the City in .pdf format and in Microsoft® WORD, Microsoft® EXCEL, or native CAD formats, as applicable. Unless specified otherwise, the Design-Builder shall provide electronic copies of all final deliverab les in .pdf format. For draft and final design drawing and specification deliverables the Design-Builder shall provide six (6) hard copies to the City. Drawing hardcopies shall be ½-size printed single sided on 11 x 17 paper and spiral bound.

Standards. The Deliverable Mate rials shall comply with the City’s standard design details and specifications and industry standards, including, without limitation, those design criteria and specifications included in Appendix 4 (Technical Specifications).

2.1 PRELIMINARY SERVICES TASK #1 – PROJECT MANAGEMENT

2.1.1 General Project Management.

The Design-Builder shall provide Project management of the Project team, including management of staffing, budget, schedule, scope and coordination with the City.

This Preliminary Services Task includes mana ging the scope of work, schedule and budget, preparing a draft Design-Build Quality Management Plan that meets the requirements set forth in Appendix 6 (Design-Build Quality Assuranc e and Quality Control Requirements) of this Design-Build Contract, and communication and coordination with the City. The Design-Builder will prepare invoices, progress reports, and design progression and design decision log updates on a monthly basis. Other activities include keeping the City informed and soliciting input from the City when making key decisions, coordination with Subcontractors, scheduling of staff, and coordinating the quality assurance effort.

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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Task 2.1.1 Deliverables:
x Monthly Preliminary Services Reports (including narrative, cash flow curve and summary schedule update)

2.1.2 Weekly Project Management Meetings and Technical Workshops and Meetings.

The Design-Builder shall conduct weekly Project management meetings with the Design-Builder Project managers and City Project managers. An agenda will be distributed by the Design- Builder to the City prior to the meetings, and th e Design-Builder will distribute meeting notes and action items within three days after each meeting. Each meeting agenda shall include:
(a) Ongoing activities
(b) Upcoming activities
(c) Scope, schedule and budget
(d) Project risks
(e) Issues
(f) Decisions and actions
(g) Change management
(h) Health and safety
Technical Workshops shall be incorporated into Base Preliminary Services to address specific subjects and facilitate collaboration and development of ideas and decisions to be carried forward during design development. Each workshop will la st up to four hours in length and will be facilitated by the Design-Builder, the City Project Manager and technical support staff, the Program Manager (Stantec) and Owner’s Adviso r (Carollo). An agenda (including desired outcomes) as well as technical background documents will be distributed to workshop attendees by the Design-Builder prior to the meetings. Th e Design-Builder will document the outcome of each workshop and distribute meeting notes an d action items within three days after each workshop. Technical Workshops may be conducted on the following subjects:
(a) Project Kickoff and Partnering
(b) Preliminary Investigations Planning
(c) Triple Bottom Line Plus (TBL+) Alte rnative Analysis and Recommended Project Concept
(d) Project Scope Definition
(e) Hydraulic and Process Modeling, including updated mass balance modeling (f) Odor Modeling
(g) Primary Project Components and Process Equipment Selection (h) Phasing Plan
DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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(i) Site Planning
(j) Architectural, Structural and Landscape Concepts and Hazardous Area Classifications
(k) Electrical Requirements
(l) Instrumentation & Control Requirements
(m) Building Mechanical (HVAC) Requirements
(n) Process Mechanical Requirements
(o) Site/Civil Requirements
(p) Existing Facilities Connections
(q) Subsurface Utility Investigations Results
(r) Hazardous Materials Investigation Results
(s) Dynamic Cost Model
(t) Schedule and Construction Sequencing
(u) CEQA and Permitting Requirements
(v) Project Interface Requirements
(w) Process Hazard Analysis
(x) Equipment and Subcontractor Procurement
(y) Commissioning, Acceptance Testing an d Transition Services Requirements (z) Other topics as determined by the City and Design-Builder Preliminary details on the issues to be discussed at each workshop, potential grouping of topics, as well as the key outcomes/decisions to be ma de, are summarized in Attachment 2B (List of Preliminary Services Meetings). Additional meet ings may be required to address O&M or other stakeholder concerns and/or to discuss other issu es not identified above. The Design-Builder and the City will work together to identify if additional meetings are required and any such additional meetings, if necessary, shall constitute Additional Preliminary Services, the compensation for which shall be negotiated by the parties as set forth in Section 2.8.3 (Compensation for Additional Preliminary Services) of this Appendix.

Task 2.1.2 Deliverables:
x Meeting Agendas, Materials and Notes
x Technical Workshop Agendas and Notes
DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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2.1.3 Risk Management Requirements.

The Design-Builder shall incorporate risk management into the delivery of the Project in accordance with the Contract Standards as defined in this Design-Build Contract. A risk management workshop shall be conducted with the team within 60 Business Days of the kick- off meeting. The workshop shall be used to identify key Project risks and opportunities for avoiding and minimizing risks. A risk register shall be developed and maintained by the Design- Builder using the risk register format provided by the City. Th e register shall be initially populated with risks identified in the risk management workshop. The risk register shall include the following information:
(a) Risk identification
(b) Activities affected (tied to schedule activities)
(c) Risk description including qualitative categorization of risk (d) Estimated/calculated percent likelihood that risk may occur. (e) Phase of Project that risk could impact
(f) Potential schedule impact should risk occur
(g) Potential cost impact should risk occur
(h) Potential health and safety impacts should risk occur (i) Risk trigger
(j) Risk owner
(k) Risk strategy (transfer, mitigate, accept, exploit) Risks shall be reviewed at the weekly Project management meetings.

Additionally, the following risk management workshops shall be conducted to provide for re- evaluation of overall risks, a deeper level of risk analysis for identified risks, identification of new risks, and review of risk avoidance, and mitigation measures:
(l) During the development of the BDR
(m) Upon submission of the 30% DCD
(n) Upon submission of the 60% DCD
These workshops are in addition to those listed under Task 2.1.2, above. The risk workshops will last up to four hours in length each and w ill be facilitated by the Design-Builder. The City Project Manager and technical support staff, the Program Manager (Stantec) and Owner’s Advisor (Carollo) will attend. An agenda (including desi red outcomes) as well as technical background documents will be distributed to workshop attendees by the Design-Builder prior to the meetings.

The Design-Builder will document the outcomes of the workshops and distribute draft meeting minutes and action items within five days after ea ch workshop. The City will have five days for review and comment and the Design-Builder will distribute final meeting minutes within five days of receiving City comments.

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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Ongoing qualitative risk analysis shall be conduc ted by Design-Builder with review and input from the City. Upon submission of the 60% DCD, the Design-Builder shall conduct quantitative risk analysis to further analyze and understand the possible impacts due to risks. The Design- Builder shall present the findings of such quantitative risk analysis to the City. The Design- Builder shall update the risk register to reflect any such findings.

Task 2.1.3 Deliverables:
x Risk register and updates
x Risk management workshop agendas and workshop notes

2.1.4 Change Management Requirements.

The Design-Builder shall prepare and maintain a change management log for the duration of the Base Preliminary Services. The change management log shall integrate with the Project decision log and be used to document proposed and approved changes to the Project Definition Report requirements, price, schedule, or changes to this Design-Build Contract. At a minimum, the change management log shall include the following information:
(a) Change identification number
(b) Brief description of change
(c) Status of change (pending, approved, rejected)
(d) Dates associated with change includ ing initial proposal date and change acceptance date
(e) Back-up information including cost , schedule, and technical information Change management shall be a standing agenda item at Project management meetings.

Following approval of the BDR, the change mana gement log shall be used to track changes to the approved Project and their associated cost and schedule impacts.

Task 2.1.4 Deliverables:
x Change management log and updates
x Back-up information including cost and schedule updates for proposed changes

2.1.5 Project Execution Plan.

Submission of Project Execution Plan. In accordance with the Preliminary Services Schedule, the Design-Builder shall develop and submit a Project Execution Plan to the City for review and comment. The Project Exec ution Plan shall serve as a Project management tool for the City and Design-Builder (including Subcontractors) and will include guidelines and procedures for execution of the work and issues resolution. The Project Execution Plan will be in compliance with the Contract Standards and include:
(a) a description of Design-Builder’s organization, roles, and responsibilities, including an organization chart that iden tifies all key discipline design leads for the Project and the engineer-of-record for each discipline; DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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(b) a Scope Management Plan that describes how the scope will be defined, developed, monitored, controlled, and verified, including the Records Management System; (c) a Schedule Management Plan that describes the criteria and activities for developing, monitoring, and controlling the Design-Build Period Work Schedule, including:
(1) Design-Build Period Work Schedule model development; (2) scheduling methodology and scheduling tools;
(3) level of accuracy and the acceptable range used in determining realistic activity durations;
(4) units of measure, such as staff ho urs, staff days, or weeks, as well as physical units of measurement;
(5) organizational procedures links with activities tied to the approved Records Management System;
(6) Design-Build Period Work Schedule model maintenance and the process used to update status and record progress of the Project during execution; (7) control thresholds, variance thresholds for monitoring schedule performance and agreed-upon amounts of variation to be allowed; (8) rules of performance management, such as earned value management rules, rules for establishing percen t complete, control accounts, earned value measurement techniques, and schedule performance
measurements;
(9) reporting formats, including the formats and frequency of schedule reports; and
(10) descriptions of each of the schedule management processes; (d) a Budget Management Plan that describes how the Project budget will be planned, structured, and controlled;
(e) a Risk Management Plan that describes how risk management activities will be structured and performed, including:
(1) the methodology, approaches, tools, and data sources that will be used to perform risk management on the Project;
(2) roles and responsibilities, defining the lead and support risk management team members for each type of activity and their responsibilities; (3) budgeting to establish estimates of funds needed based on assigned resources for inclusion in the cost baseline and protocols for application of contingency and management reserves;
(4) timing of risk management processes to be performed through the Project life cycle; and
DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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(5) protocols for application of schedule contingency reserves and risk management activities associated with the Design-Build Period Work Schedule;
(f) a Procurement Management Plan that describes how the Design-Builder will acquire goods or services from outside its organization, including:
(1) management of procurement proces ses from developing procurement documents through contract closure;
(2) guidance for the types of contracts to be used and use of independent estimates and standardized documents;
(3) handling of long lead items, requests to self-perform and linking them into activity resources and schedule; and
(4) handling of proprietary and specializ ed equipment and materials requiring early procurement and design coordination.
(g) a Design-Build Quality Management Plan that meets the requirements set forth in Appendix 6 (Design-Build Qua lity Assurance and Quality Control Requirements);
(h) a Stakeholder Engagement Plan that identifies the management strategies required to effectively engage stakeholders, including:
(1) stakeholder register (identification of key stakeholders) and the desired and current engagement level of key stakeholders;
(2) scope and impact of change to st akeholders, interrelationships and potential overlap between stakeholders;
(3) coordination with the Communications Management Plan; and (4) the method for updating and refining the stakeholder engagement plan; (i) a Change Management/Integration Management Plan that includes:
(1) identification of procedures that will be used to document any changes from the accepted Reports, Drawings and Specifications; (2) identification of procedures that w i l l b e u s e d t o d o c u m e n t t h e communication flow to the appropriate contractor’s construction personnel;
(3) description of the process for reviewing all change requests, approving changes and managing changes to deliverables, organization process assets, Project documents, the Project Execution Plan, and communicating their disposition;
(4) Trend Management Log; and
(5) Project Decision Log;
DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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(j) a Document Control Plan that iden tifies how documents will be managed throughout the Project life cycle, including:
(1) the process of organizing, storing, protecting, and sharing documents; (2) the management of both the hard copy and electronic repositories of documents, historical information, and a consistent approach to the creation, update and format of documents;
(k) a Project Team Structure and Staffing Plan that provides guidance on how the Project will be staffed, managed, and eventually released, including:
(1) roles and responsibilities defining po sitions, skills and competencies that the Project demands;
(2) Project organization charts indicati ng the number of people needed for the Project; and
(3) a staffing management plan delineating the time periods each Project team member will be needed and other in formation important to engage the Project team;
Establishment of and Compliance with Project Execution Plan. The City will review the draft Project Execution Plan and return comments in accordance with the Preliminary Services Schedule. The Project Execution Plan will be accepted by the City only after the Design-Builder has addressed all City comments to the reasonable satisfaction of the Project Manager. The Project Execution Plan shall be updated whenever a material change occurs affecting how the Project will be managed an d executed. Any subsequent amendments or updates to the Project Execution Plan will be submitted to the Project Manager for review and comment in the same manner as the initial Pr oject Execution Plan. The Design-Builder will implement and comply with the accepted Project Execution Plan, and any accepted amendments or updates thereto, in connection with the performance of the Design-Build Work.

Task 2.1.5 Deliverables:
x Draft and Final Project Execution Plan
x Updates to Project Execution Plan

2.1.6 Communication Plan.

The Design-Builder shall submit seven copies of a draft Communication Plan for review and comment by the City no later than 45 days afte r the Contract Date. The Communication Plan shall be prepared in collaborat ion with the City and shall provide contact information for both the Design-Builder and the City (including phone numbers, facsimile numbers, e-mail addresses, and points of contact), communication requir ements for the Design-Builder and the City (including frequency and time frame of communic ations, information to be communicated, and methods or technologies used to convey info rmation), resources allocated for communication activities, the method of updating and refining the plan, flow charts for information flow, and a glossary of common terminology. The Communication Plan shall be organized as a directory available to Design-Builder and City personnel and shall outline points of contact under various circumstances, including emergencies. The Communi cation Plan will describe procedures the Design-Builder will use to present information to the City’s communication team to alert the DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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public about any critical events such as traffic impacts associated with material or equipment deliveries.

The City will review the draft Communication Plan and return comments within 15 days of the initial submittal. Fifteen days following the return of comments on a draft Communication Plan, the Design-Builder shall submit to the City seven copies of a final version of the Communication Plan incorporating the City’s requested changes. The Communication Plan shall be updated and resubmitted semi-annually or sooner if needed to remain current during the Design-Build Period.

Task 2.1.6 Deliverables:
x Draft and Final Communication Plan

2.1.7 Permits and Approvals Plan.

The Design-Builder shall develop a Permits and Approvals Plan that identifies all required Governmental Approvals, tracks the requirements of the Governmental Approvals and the status of the Governmental Approval application, and communicates any changes to Governmental Approval requirements or changes in conditions affecting Governmental Approvals. The Permits and Approvals Plan shall also include a Specific ations and Building Code Report that identifies all applicable City building codes and specific ations requirements, describes how the Design- Builder plans to comply with such requirem ents, and incorporates the CIP Design/Facility Standards and City Standards. The Permits and Approvals Plan shall be updated whenever a material change affecting the plan occurs.

Task 2.1.7 Deliverables:
x Permits and Approvals Plan

2.1.8 Preliminary Services Schedule and Design-Build Period Work Schedule.

Preparation. The Design-Builder sh all prepare the Preliminary Services Schedule and Design-Build Period Work Scheduleusing Primavera P6 scheduling software (latest version), and shall submit the Preliminary Services Schedule and Design-Build Period Work Schedule as electronic files (native and pdf) and hardcopy.

Preliminary Services Schedule. The Preliminary Services Schedule shall be developed using the critical path method, and it shall reflect the schedule, by use of a Gantt or Bar Chart, for all activities comprising the Pr eliminary Services, and shall set forth all tasks and key subtasks in a logical and efficient work sequence that the Design-Builder intends to utilize in taking the Project from execution of this Design-Build Contract to the Definitive Contract Amendment.

The Design-Builder shall submit the Initial Preliminary Services Schedule on the Contract Date.

During the Preliminary Services Period, the Design-Builder shall update the Initial Preliminary Services Schedule on a monthly basis. The In itial Preliminary Services Schedule, as updated pursuant to this subsection, is referred to herein as the Preliminary Services Schedule.

The Design-Builder shall undertake and complete the Preliminary Services in accordance with the Preliminary Services Schedule. Updates on the Design-Builder’s compliance with the Preliminary Services Schedule shall be submitted monthly with the Monthly Project Report required by Section 2.1.7 (Monthly Project Report Requirements) of this Appendix and Section

5.6(B) (Monthly Preliminary Services Reports) of this Design-Build Contract. The Initial Preliminary Services Schedule, prepared in acco rdance with the requirements set forth in this DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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subsection, is included as Attachment 2A (In itial Preliminary Services Schedule) to this Appendix.

Design-Build Period Work Schedule. The Design-Builder shall submit the draft Initial Design-Build Period Work Schedule at the kick-off meeting required by Section

2.1.13 (Kickoff Meeting and Partnering) of this Appendix, and shall update the draft Initial Design-Build Period Work Schedule during the Preliminary Services Period in accordance with this Appendix. The Design-Build Period Work Schedule shall meet the requirements set forth in this Appendix and Appendix 5 (General Design-Build Work Requirements).

During the Design-Build Period, the Design-Builder shall update the Initial Design-Build Period Work Schedule in accordance with the requirements set forth in Section 5.3 (Design-Build Period Work Schedule) of Appendix 5 (General Design-Build Work Requirements).

Minimum Requirements. At a minimum, the Preliminary Services Schedule and the Design-Build Period Work Schedule shall generally include:
(a) Start date for each activity
(b) Finish date for each activity
(c) Major milestones
(d) Meeting and workshop dates
(e) Submittal dates including draft submission dates, City review periods, and final submission dates
(f) Identification of critical path
(g) Float
City Review. The City shall review and comment on the Initial Preliminary Services Schedule and the draft Initial Design-Build Period Work Schedule within 15 days of receipt. Comments on the Initia l Preliminary Services Schedule or draft Initial Design-Build Period Work Schedule shall be discussed at the weekly Project management meeting following receipt of any comments provided by the City. The Design-Builder shall provide a revised Preliminary Services Schedule or revised draft Initial Design-Build Period Work Schedule, as applicable, based on agreed-to changes at the next weekly Project management meeting.

The City shall review and comment on the update to the Preliminary Services Schedule or the draft Initial Design-Build Period Work Schedule. The review process shall include evaluation of missing logic, critical path, leads and lags, and float, percent complete, and changes in schedule logic or activity durations. Comments on the updates to the Preliminary Services Schedule or the draft Initial Design-Build Period Work Schedule shall be discussed at the weekly Project management meeting following receipt of any comments provided by the City. The Design- Builder shall provide an updated Design-Build Period Work Schedule or Preliminary Services Schedule based on agreed-to changes on a monthly basis.

Task 2.1.8 Deliverables:
x Draft and Final Preliminary Services Schedu le and Design-Build Period Work Schedule and monthly updates
DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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2.1.9 Document Submittal Procedures.

Within 10 Business Days following the Contract Date, the Design-Builder shall submit to the City a set of document submittal procedures (“ Document Submittal Procedures ”). The Document Submittal Procedures shall identify the key document submittal packages to be prepared by the Design-Builder and the expect ed submittal dates to the City. Documents submittal packages to be submitted include, but are not limited to, reports, studies, technical memorandums, BOD, 30% DCD, 60% DCD and Final DCD. The Document Submittal Procedures shall also identify the frequency of the Design-Builder’s design progress meetings during various phases of the design. The Document Submittal Procedures shall require the Design-Builder to submit a minimum of one orig inal and six paper copies of each document submittal with electronic and CD copies as requested by the City. The Document Submittal Procedures shall also require the Design-Builder to distribute the document submittals as directed by the City. The Design-Builder may propose to create a project web site, accessible to the City and City-designated representatives and compatible with the City’s PMWeb site, for posting all document submittals and other reference information. Implementation of the project website shall be subject to the City’s approval. The City may reduce the requirements for hard copies and electronic and CD copies of submittals in consideration of acce ss to information on the web site.

Task 2.1.9 Deliverables:
x Document Submittal Procedures

2.1.10 Monthly Preliminary Services Report Requirements The Design-Builder shall submit Monthly Prelim inary Services Reports during the Preliminary Services Period which meet the requirements set forth in Section 5.6(B) (Monthly Preliminary Services Reports) of this Design-Build Contract. The Monthly Preliminary Services Reports will include a summary of activities that occurred over the calendar month and the activities that are anticipated for the upcoming month, updated design decision logs, a summary of the budget indicating total expenditures, percent of budget expended and a summary of progress for the each of the various Preliminary Services Tasks.

Task 2.1.10 Deliverables:
x Monthly Preliminary Services Reports

2.1.11 Records Management System.

The Design-Builder will work within the City’s electronic records management systems (City Web Portal and PMWeb) to facilitate work flow and transmit and store written documents associated with the Project. The system will be utili zed by the City, Design-Builder, and their Subcontractors and vendors to transmit, review and respond, log, and store Project related documents. The records management system will incorporate the following:
(a) Overall Project tracking and monitoring of key performance indicators; (b) Meeting and workshops agendas, presentations, and notes; (c) Action items, issues, decision logs, and tracking;
(d) Budget and schedule tracking;
DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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(e) Risk tracking and mitigation;
(f) Submitting and tracking requ ests for information (RFIs); (g) Document submittals and transmittals including drawings (pdf format); (h) Quality management documentation in cluding comments, responses, and confirmations;
(i) Value engineering submissions;
(j) Invoices and monthly reports;
(k) Templates and tools;
(l) Project related communication; and
(m) Dashboards of Project progress for the City.

Task 2.1.11 Deliverables:
x Records Management System documentation
x Posting of deliverables required by this Appendix
x Entry and updating of on-line logs (action, issue, decision) x Posting of RFIs

2.1.12 Computerized Maintenance Management System.

The Design-Builder shall work within the City’s Computerized Maintenance Management System (“CMMS”) in accordance with the Contract Standards. A plan for integrating with the CMMS will be provided to the City not later than 365 days following the Contract Date.

In preparing the CMMS input, the Design-Builder shall, in consultation with the City, conform to the established standardized equipment hi erarchy, failure codes, and a preventive maintenance program, with detailed job plans. The Design-Builder shall tailor the CMMS preventive maintenance program to the specific re quirements of the Additional Digester Facility Upgrades equipment based on the BDR. The C MMS shall include Additional Digester Facility Upgrades appearance maintenance activities for buildings, structures, and grounds, and will be capable of the following:
(a) tracking and managing preventive, pred ictive, and corrective maintenance tasks, including their frequencies and their costs in time and materials; (b) recording and creating equipment maintenance histories; (c) scheduling and control of preventive, pr edictive and corrective maintenance tasks; (d) issuing notifications and work orders for preventive, predictive, and corrective maintenance tasks;
DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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(e) tracking inventories and locations of eq uipment, materials, component parts and spare parts to include an inventory cont rol system capable of tracking specific equipment, budgets and costs using the following information:
(1) inventory identification and description;
(2) location identification and description;
(3) manufacturer name and manufacturer part number;
(4) quantity on hand;
(5) unit and unit cost;
(6) main supplier and alternative supplier; and
(7) order level and order quantity.
(f) tracking equipment performance, service hi story, repair warrantees, repair costs, installation dates, replacement values, an d all data needed to prepare financial reports in accordance with the Contract Standards;
(g) issuing reports and information, including:
(1) equipment status and repair reports;
(2) lifecycle asset costs;
(3) asset maintenance frequencies and histories;
(4) status reports on predictive, preventive, and corrective maintenance activities;
(5) work order status and inventory control levels of spare parts and availability for optimization; and
(6) job completion reports;
(h) retaining historical data and in formation for a minimum of 10 years.

The required information for adherence to the CMMS program will be memorialized in the Operations and Maintenance Manual which will be developed in coordination with O&M staff.

All maintenance tasks and frequencies will be stored and managed in the CMMS in chronological (date-based) order for the Additional Digester Facility Upgrades. The CMMS input will be fully compatible with the system utilized by the City at the Regional Wastewater Facility.

2.1.13 Kickoff Meeting & Partnering.

Within two weeks after the initial Preliminary Services Task Notice to Proceed, key staff members of the City, the Program Manager, the Owner’s Advisor, and Design-Builder will participate in a Project kick-off/partnering workshop (See Sect ion 5.2.2 (Partnering Sessions) of Appendix 5 (General Design-Build Work Requirements) for a discussion of facilita tor selection and other aspects of Project partnering sessions). The goal of the workshops is to deepen working relationships, develop common goals and objecti ves for the Project, and achieve a cooperative DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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partnership environment among Project participants. The workshop attendees, agendas, facilitation, and venue will be coordinated by the City and Design-Builder’s Project managers immediately following the Preliminary Services Task Notice to Proceed. The costs relating to the partnership workshop conducted pursuant to this Section during the Preliminary Services Period are included in the Preliminary Service Fee.

Task 2.1.13 Deliverables:
x Kickoff Agenda and Meeting Notes
x Draft and Final Partnering Charter

2.1.14 Constructability Reviews.

Basis of Design Stage. During preparation of the BDR, the Design-Builder shall develop a general sequencing plan for co nstructing the Additional Digester Facility Upgrades to achieve production milestones. The Design-Builder shall also develop an initial plan for proposed site access, site utilization for storage of equipment and materials, site exit, temporary construction facilities (parking, staging, storage, stormwater controls, and trailers or alternative plans for housing Design-Builder and the City) (the “ Mobilization and Site Access Plan”). The Mobilization and Site Access Plan will indicate proposed locations for the City’s operations staff and delivery vehicles, and Ci ty employee parking for all months during construction. A schematic will be provided showin g areas to be used by the Design-Builder for storage of construction materials and equipment, the location of a temporary construction trailer and for construction of new facilities including required setbacks and traffic flow for the construction vehicles entering and exiting the AD FU Site. The Design-Builder shall conduct two workshops with the City to review considerations and recommendations.

Task 2.1.14.1 Deliverables:
x Workshop(s) agenda, presentations and meeting notes
x Initial Sequencing Plan Technical Memorandum (Draft and Final) x Constructability review report for 30% Design (Draft and Final) x Constructability review report for 60% Design (Draft and Final) 30% and 60% Design Stage. The Design-Builder shall provide for constructability reviews of the design at the 30% and 60% design submittal milestones as follows:
(a) Identify and establish a team of individuals among the Design-Builder team primarily responsible for Construction who will undertake constructability reviews on behalf of the Design-Builder;
(b) Submit 30% or 60% design submittal, as applicable, to Design-Builder’s constructability review team and to the City for constructability review; (c) Schedule and conduct constructabili ty workshop with Design-Builder’s constructability review team and the City;
DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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(d) Discuss recommendations with the City and conduct follow-up evaluations including cost, schedule, and risk impact analysis of any preliminary constructability comments that are tentatively agreed-to; (e) Prepare written constructability review report;
(f) Meet and review constructability review report and results of constructability evaluations with City; and
(g) Proceed with agreed-to changes.

Task 2.1.14.2 Deliverables:
x Written constructability review report
x Workshop agenda

2.1.15 Value Engineering.

Value engineering (VE) shall be conducted at the basis of design, and at the 30%, design milestone by the value engineering team designat ed by the City. The VE firm is contracted and paid for by the City. The Design-Builder is responsible for providing engineering and construction staff to participate in VE. At each design subm ittal milestone, the Design-Builder shall submit a draft of the BDR or 30% design submittal, as applicable, to the value engineering team and participate in a value engineering workshop to be conducted by the value engineering team. The value engineering team shall pr epare a value engineer ing report, and the Design-Builder shall review such report and prepare responses to the value engineering recommendations, including a discussion of cost impacts, Design-Build Pe riod Work Schedule impacts, and operating and maintenance considerations. The Design-Builder will provide its Project Manager, Design Manager, and any additional disci pline engineers necessary for the “First Day” and “Final Day” VE workshops. The Design-Builder shall meet with the City to review responses and submit final recommendations regarding value engineering input to the City for review and approval.

Upon approval by the City, the Design-Builder shall proceed with the agreed-to changes.

Task 2.1.15 Deliverables:
x Drafts of the BDR and 30% design submittals, as applicable to the VE team x Presentation for VE team
x Formal responses to value engineering recommendations

2.1.16 Cost Model
As part of the Preliminary Services, the Design-Builder shall provide updated cost estimates. To provide consistent information, the Design-Bui lder shall utilize a cost model approach, as follows:
(a) Build a cost model framew ork consistent with the requirements of Appendix 8 (Design-Build Price).
(b) Provide the initial cost model within 60 Business Days of the Preliminary Services Notice to Proceed. After providing the in itial cost model, conduct a dynamic cost DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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model workshop to present the cost model framework and demonstrate model functionality with both costs and markups.
(c) Prior to and during the Options Analysis period, described further in Task 2 below, the Design-Builder shall advance the Cost Model for both at least one of the indicative designs and the alternative concept. After the option is selected at the end of the Options Analysis period, the Design-Builder will advance a single Cost Model.
(d) Provide update cost model reports monthly. Review the updated cost model reports, on time per month, at the weekly Project Management meetings. (e) Submit all milestone cost estimate update d, as required within this Appendix, so that all estimates align to the cost model framework.

Task 2.1.16 Deliverables:
x Cost model framework in pdf and MS Excel
x Workshop agenda and meeting notes
x Updated cost model reports in pdf and MS Excel

2.1.17 Equipment and Subcontractor Procurement
As part of the Preliminary Services, the Design-Builder shall provide updated cost estimates. To provide consistent information, the Design-Builder shall utilize an approach as follows:
(a) Prior to engaging the market, conduct an Equipment and Subcontractor Procurement workshop with the City to discuss a procurement plan that identifies outreach approaches, package strategy, timing, and potential level of commitment communicated to the market, both for Subcontractors and equipment Suppliers.

The equipment procurement plan shall include all major equipment, such as centrifuges, conveyors, cake bins, major electrical equipment and sludge storage tanks. The equipment procurement plan shall also include general procedures to be followed for other equipment. The Subcontracting Plan shall include all major Subcontractors, such as electrical, mechanical, etc.
(b) Administer a budgetary proposal proc ess to obtain preliminary pricing. (c) Administer an official procurement proces s, to obtain firm pricing and to select equipment suppliers or subcontractors. Selections of suppliers and subcontractors shall be approved by the City.

Task 2.1.17 Deliverables:
x Package strategy in pdf and MS Excel
x Workshop agenda and meeting notes
x Necessary documentation needed to reco mmend and select equipment supplier or subcontractor
DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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2.2 PRELIMINARY SERVICES TASK #2 – PRELIMINARY INVESTIGATIONS

2.2.1 Information Review and Verification.

As part of the Preliminary Services, the Design -Builder shall complete a comprehensive review of the proposed digester facility site, existing digesters, existing equipment, and other sites identified in the indicative design. Investigations shall be carried out in a way that protects any environmentally sensitive areas. All reviews performed under this Preliminary Services Task shall be performed to the maximum extent reasonably possible in the circumstances and in a manner that provides a reasonable basis for the Design -Builder to undertake the risks assumed under Section 6.3 (Differing Site Conditions) and su bsections 6.5(B) (Design-Builder Governmental Approval Responsibility), and 6.6(B) (Sole Resp onsibility and Liability) of this Design-Build Contract.

This task includes a review of reference documents, site analysis, condition assessment of certain existing facilities, site surveying and mapping, subsurface utility investigations and field locating, geotechnical investigations, hazardous material investigations and the preparation of Technical Memoranda summarizing the results of the invest igations. This task also includes Design- Builder’s evaluation of digester improvement alternatives and a triple bottom line plus (TBL+) analysis that will result in the selection of a preferred alternative.

The Design-Builder shall identify any other in vestigations deemed necessary by the Design- Builder to fully acquaint itself with existing co nditions for purposes of performing the Project.

For purposes of the TBL+ Alternatives Analysis to determine the preferred alternative, the Design- Builder may utilize the existing site investigatio n and documentation provided by the City as Reference Documents.

The Design-Builder shall coordinate all field inve stigations of the ADFU Site(s) with the City.

Upon completion of the TBL+ Alternatives Analys is to determine the preferred alternative, the Design-Builder will provide a comprehensive pl an for the field investigations and condition reviews. The City will provide comments on this plan within 15 calendar days of receiving the plan.

Preliminary Investigations shall include, but not be limited to:
(a) Site surveying and mapping,
(b) Subsurface utility investigations
(c) Field locating existing utilities,
(d) Geotechnical investigations, and
(e) Hazardous material investigation.

2.2.2 Review of Reference Documents
Existing conditions information at the ADFU Site s provided by the City, including all available as-built information, geotechnical reports, engineering studies and reports, environmental studies, data, memos, reports, surveys, and site measurements.

Environmental documents, including the addendum to the EIR, mitigation requirements under the Environmental Mitigation Measures and reporting requirements under the Mitigation Monitoring Reporting Program (MMRP).

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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Identification of data gaps that require addition al investigations. Any additional investigations proposed will be discussed with the City and if determined that they are prudent, such additional investigations, if necessary, shall constitute A dditional Preliminary Services, the compensation for which shall be negotiated by the parties as set forth in Section 2.8.3 (Compensation for Additional Preliminary Services) of this Appendix.

Task 2.2.2 Deliverables:
x Draft Technical Memorandum on Reference Document Review x Final Technical Memorandum on Reference Document Review

2.2.3 Alternatives Analysis
The Design-Builder shall conduct an Alternatives Analysis in order to evaluate the indicative design alternatives identified by the Design-Builder, including the Design-Builder’s proposed design solution described in Part 5 of the Proposal (“Proposed Design Solution”) and up to three (3) other alternatives selected prior to the Alternative Analysis. The objective of this Alternatives Analysis is to select the best project approach prior to engaging in the larger efforts undertaken in the Preliminary Investigations and Basis of Design Report periods. Actions to be carried out by the City and Design-Builder include:
(a) Design-Builder shall conduct additional early workshops. Design-Builder shall prepare agendas, background informat ion, host the workshops, and prepare meeting summaries for the following wo rkshops. Early workshops will be conducted to:
(1) Flows and Loads and Sizing Criteria. The Design-Builder will work with the City to review flows and loads in formation included in the PDR with the objective of determining whether or not any changes to the flow and load information. Considering the accepted or refined flow and load information, the Design-Builder will conduct one workshop with the City to review the sizing and redundancy criteria in the Project Definition Report and to determine if any changes are warranted.
(2) Site and Configuration Selection. The Design-Builder will conduct one workshop to review the Design-Builder’s alternative concept(s), which may be modified based on any revisions to flow and load or sizing criteria, to reach agreement with the City on the concept to carry forward to the Basis of Design phase, and to confirm or select locations for specific project features.
(3) Project Scope Definition. The Design-Builder shall conduct one workshop to discuss the project requirements identified in the RFP/PDR and the associated operational, technical and cost consequences of each major requirement.
(b) The Design-Builder shall perform a Tr iple Bottom Line (TBL+) analysis in coordination with the City to evaluate the alternatives and determine the preferred alternative. The Design Builder will provide a TBL+ evaluation for the comparison of the digester alternatives following the City’s CIP Alternatives Analysis Memo Template, dated June 1, 2018, set fort h as a Reference Document. The TBL+ analysis shall include evaluation criteria categories: (1) social, (2) environmental, (3) economic, and (4) operations, maintena nce, and safety. Evaluation categories DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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and subcategories are further defined in Attachment 2 of the CIP Alternatives Analysis Memo Template.

At the conclusion of the Alternatives Analysis Period, the City shall select the Project concept to carry forward to the Basis of Design phase and shall provide direction on project scope definition prior to advancing to the Preliminary Investigations and Basis of Design phase. The Preliminary Investigations (described below in this Preliminary Services Task #2) and Basis of Design phase (Preliminary Services Task #3) shall be procee ded by a refinement of scope and a Contract Amendment, if necessary, that is dependent on the digester improvements alternative selected [NOTE: The scope of Preliminary Services, as of the Contract Date, reflects the Proposed Design Solution (as defined above) scope which will be modified as appropriate, including an equitable adjustment of the Preliminary Services Fee, in a Contract Amendment (as noted above) if a different alternative is selected by the parties.] Task 2.2.3 Deliverables:
x Workshop agenda, PowerPoint presentations and meeting minutes x Accompanying drawings, cost model estimates, and TBL+ spreadsheets x Evaluation and Results/Recommendation Technical Memorandum (draft and final)

2.2.4 Site Analysis
The Design-Builder shall analyze ADFU Site in gress and egress requirements and restrictions, traffic conditions, time of work restrictions, an d requirements of public and private authorities with jurisdiction over roadways to and from the ADFU Site, parking, traffic between the dewatering site and the rest of the Regional Wastewater Facility (RWF) and any other restrictions or considerations that may affect the Design-Build er’s work. The result of all site analyses will be presented to the City in the form of a Technical Memorandum.

Task 2.2.4 Deliverables:
x Draft Technical Memorandum on Site Analysis
x Final Technical Memorandum on Site Analysis

2.2.5 Existing Facilities Condition Assessments
Most facilities developed as part of the Project will be new. However, the Project requires connections to certain existing facilities potentia lly including: (1) existing digesters, including digested sludge and digester gas systems; (2) existing power supplies; (3) the existing distributed control system and other control networks such as the communications and fire alarm networks; (4) existing utilities such as potable water supplies; and (5) the Emergency Basin Overflow Structure (EBOS) or existing sewer interceptors.

Investigation of condition of existing structur al, mechanical, electrical, and control systems, including identification of code deficiencies that may require performing upgrades as part of the project (e.g. seismic, NFPA 820, handrails).

Investigation of operability and performance of gates, valves, equipment, and support systems to identify deficiencies that may need repair or replacement and that may be required to provide DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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isolation of facilities during construction. Oper ation of existing gates, valves, equipment and support systems will be coordinated with O&M staff, as required.

Investigation of O&M staff concerns with existi ng digester facilities to identify perceived deficiencies that will be modified or replaced as part of the Project. [NOTE: Scope to be further refined depending on the digester improvements alternative selected as noted above.]
Task 2.2.5 Deliverables:
x Work Plan for Existing Conditions Assessments
x Draft Technical Memorandum on Existing Facilities Condition Assessments x Draft Technical Memorandum Review Meeting Agenda, Meeting Materials, and Notes x Final Technical Memorandum on Existing Facilities Condition Assessments

2.2.6 Subsurface Utilities investigation
The Design-Builder shall conduct underground ut ility investigations of the ADFU Site. The purpose of this activity is to compile enough in formation to proceed with design activities. The scope of the underground utility investigation sh all include, but not limited to, the following activities:
(a) Review of existing documentation includin g record drawings, if available, and GIS Maps in consultation with City staff.
(b) Field locate of all locations to be investigated based on the results of the information review as described above.
(c) All underground utility investigation sha ll be performed by a water vacuum truck or other excavation equipm ent, as necessary. This scope of work assumes the completion of thirty-five (35) potholes in different locations and three (3) full-width trenches to a depth of five (5) feet.
(d) Provide traffic control or flagging as necessary to complete the work. (e) Dispose of truck spoils in a contained onsite location provided by the City. (f) Identify and document as a minimum for ev ery located utility the following items:
horizontal coordinates, depth to top and bottom, material, apparent condition, diameter for circular utilities, dimensions for encasements or duct banks or other structures.
(g) Fill all investigation holes with an appr opriate, excavatable material (sand, pea gravel, slurry) as conditions require once information is recorded. Larger excavations shall be backfilled with native material and compacted to 90% relative compaction. Trenches shall be backfilled with compacted aggregate base to the elevation of the existing road surface.
(h) Record “as-built” information re sulting from the investigations.

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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(i) Coordinate with environmental field invest igations and monitoring as required by the Project’s MMRP.

Based on the review of reference documents provided by the City and supplemental subsurface utilities investigations, the Design -Builder will prepare a report describing and identifying the locations of existing subsurface utilities at the ADFU Site and the locations of man-made objects or structures.

For circumstances where existing information is ei ther conflicting or not available, the Design- Builder will be responsible of identifying, de signating, locating, and mapping existing and abandoned utility infrastructure. Identification techniques may include magnetic, sonic, and acoustic technologies, ground penetrating radar (GPR), and radio frequency detection. The utility descriptions will be considered current as of the date of the Subsurface Utilities Investigation Report.

Additional subsurface investigations required to resolve conflicts or to complete work not identified in the scope set forth above in this S ection, if necessary, shall constitute Additional Preliminary Services, the compensation for which shall be negotiated by the parties as set forth in Section 2.8.3 (Compensation for Additional Preliminary Services) of this Appendix. [NOTE: Scope to be further refined depending on the digester improvements alternative selected as noted above.]
Task 2.2.6 Deliverables:
x Work Plan for Subsurface Utilities Investigation, including Health and Safety Plan x Draft Subsurface Utilities Investigation Report
x Draft Report Review Meeting Agenda, Meeting Materials, and Notes x Final Subsurface Utilities Investigation Report

2.2.7 Geotechnical Investigations.

The Design-Builder’s geotechnical engineer sh all conduct geotechnical investigations at the ADFU Sites, including the triangular area south of Digesters 13 and 14, the pipeline routes for digested sludge, centrate, storm water and other buried utilities to be constructed between the triangular area south of Digesters 13 and 14 and the ADFU Site east of Zanker Road, and other locations where Project facilities and systems may be located. The results of the geotechnical investigations will be used to develop allowable bearing pressures and other critical design criteria used by the Design-Builder during preparation of the Basis of Design Report, and to fully characterize expected geotechnical and hydro geological conditions recognizing the City’s objective of reducing the risk of unforeseen subsurface geotechnical or hydrogeological conditions.

Prior to field investigations, the geotechnical engi neer shall review select information available online or as provided by the City , which is pertinent to the site conditions in the vicinity of the project. This information may include prior ge otechnical reports, subsurface information, grading information and previous test data results.

Geotechnical Field Exploration. The geotechnical engineer shall explore subsurface conditions at the ADFU Sites. The investigations shall be adequate to accurately DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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characterize soil and groundwater conditions within all Construction areas, recognizing the City’s objective of reducing the risk of unforeseen subsurface conditions.

The geotechnical engineer’s scope of the investigations shall provide the information required by the Design-Builder’s structural engineer and the Design-Builder’s construction manager as needed to support the design. The geotechnical engineer’s initial scope document shall be submitted to the City for its review and approval prior to the performance of the geotechnical investigation. The Design-Builder shall prov ide an experienced geologist or engineer to continuously observe the borings, log the subs urface conditions, collect representative soil samples, and transport all samples to the Desi gn-Builder’s laboratory for further visual examination and testing.

The following activities are included as part of the currently budgeted scope:
(a) Geotechnical Reconnaissance – The ge otechnical engineer will perform a reconnaissance of the site and the nearby site vicinity to evaluate the potential presence of geologic hazards, including fa ult rupture, slope instability, prior fill, expansive soils, and other features indicative of potential geologic hazards. (b) Health and Safety Plan – The Design-Builder shall prepare project-specific Health and Safety Plans (HSP) for the sites pertaining to the specific geotechnical activities to be completed. The HSP shall provide information including the proper personal safety equipment to be worn on-site, directions to the nearest public emergency room, and information for the key contact personnel involved in the project.
(c) Exploratory Borings – To explore the subsurface conditions, the Design-Builder shall conduct borings as required to support the design and meet the City’s objective of minimizing subsurface risk . The number and type of exploratory borings and the geotechnical field program are based on the following assumptions:
(1) Six (6) one hundred (100) foot borings and associated testing. [NOTE: The number and type of borings will be further refined, as necessary, depending on the digester improvements alternative selected as noted above.]
Upon arrival at the ADFU Sites, the Design-Builder and geotechnical engineer’s crew will be given ready access to work locations by the City and cl ear site access will be provided for equipment at the time of drilling. The geotechnical engineer shall obtain a geologic testing permit and an encroachment permit from the City. Additionally, explorations shall be permitted and backfilled with cement grout in accordance with Santa Clara Valley Water District guidelines. During site exploration, drill spoils generated during drillin g shall be placed in 55-gallon drums, sampled, tested, and disposed of at an off-site location. The drums will be stored on-site at a location designated by the City and shall remain there for approximately 3 to 4 weeks while the laboratory analyzes the soil samples. A City representative w ill be on site to sign the manifest paperwork prior to removal of the drums. The Design-Builder’s scope of services to be provided under this Section shall include sampling, testing, and off-haul and disposal of up to 28 drums of soils to be hauled off site for proper disposal by the De sign-Builder. If analytical testing indicates that the drummed soil is Hazardous Material, the sp ecial handling and disposal of such drummed soil, if necessary, shall constitute Additional Preliminary Services, the compensation for which shall be negotiated by the parties as set forth in Section 2.8.3 (Compensation for Additional Preliminary Services) of this Appendix.

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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The Design-Builder’s scope of services under this Section specifically excludes the assessment of environmental characteristics at the site, part icularly those involving Hazardous Materials. If obviously impacted materials are encountered during the geotechnical exploration, the Design- Builder shall discontinue work and notify the Ci ty of the condition encountered. The Design- Builder shall proceed with the geotechnical scope of work, once mutually agreed upon by the parties. Payment for added costs incurred becaus e of suspected hazardous substances will be negotiated with the City. If suspected Hazar dous Materials are encountered, the resulting additional work required to be performed by the Design-Builder shall constitute Additional Preliminary Services, the compensation for which shall be negotiated by the parties as set forth in Section 2.8.3 (Compensation for Additional Preliminary Services) of this Appendix The geotechnical engineer shall exercise due ca re while working at the ADFU Sites. It is anticipated that some surface disturbances will be unavoidable and that safe and adequate restoration will be provided by the Design-Builder. The site restoration requirements imposed upon the Design-Builder are limited to the prev iously described backfill activities and general clean-up.

Geotechnical Laboratory Testing. The Design-Builder shall have a series of geotechnical laboratory tests completed on soil samples obtained from the geotechnical field explorations to evaluate the engineering and index properties of the ADFU Sites subsurface materials. To evaluate the index and engineering properties of site soils, the following laboratory tests are anticipated:
(a) In-situ Moisture/Density, American Society for Testing and Materials (ASTM) D2216 and D7263 Test Procedures.
(b) Grain Size Distribution, ASTM D1140.
(c) Atterberg Limits, ASTM D4318.
(d) Unconsolidated-Undrained Triaxial Shear, ASTM D2850. (e) One-Dimensional Consolidation (to evalua te the compressibility of the underlying soils for detailed settlement analysis), ASTM D2435.
(f) Resistance (R-value) tests, Caltrans Test Method 301 for pavement design purposes.
(g) Soil Corrosion, (pH, resistiv ity, sulfates, and chlorides).

Soil samples will be stored for 30 days after submittal of Design-Builder’s report and then discarded unless City requests longer-term storage.

Imported Soil Source Identification. The Design-Builder shall identify a source or sources of suitable soil that may be imported to the ADFU Sites as required to raise the site for protection against flooding, if ultimately required, and for any other purposes. The Design-Builder shall be responsible for testing and analyzing the proposed imported soil to verify that it is free of hazardous or other deleterious materials and has suitable engineering properties for the intended purposes. The Design-Builder shall also obtain agreements and any required permits to import soil. Regarding the use of on-s ite soils, to the extent the Design-Builder has tested and characterized on-site soils and found them to be free of hazardous materials and to the extent such soils are suitable for the intend ed purpose, the Design-Builder may reuse soils excavated during construction; however, the Design-Builder may not excavate on-site soils solely for use on site. The scope of work to be performed by the Design-Builder pursuant to this Section DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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will include the evaluation of up to five (5) import sources including two (2) on-site and three (3) potential off-site soil import sources from a geo technical standpoint for use on the project site during construction of the proposed improvements.

Geotechnical Review and Report Preparation. To supplement the field exploration and laboratory testing programs, th e geotechnical engineer shall review various sources of geotechnical inform ation concerning the ADFU Si te. Such sources may include geologic maps, seismologic literature, and other published documents. Any available soil logs and laboratory test results associated with prev ious subsurface explorations performed on or near the ADFU Sites shall also be reviewed. Fiel d exploration data, laboratory testing data, and research findings shall be evaluated to develo p conclusions and recommendations concerning the geotechnical aspects of the ADFU Sites. After analyzing the ADFU Sites conditions, a preliminary geotechnical engineering study will be prepared for the Project.

Engineering Analysis. The engineering analysis phase of work will focus on developing site grading recommendations and geotechnical design parameters for foundations, retaining structures and pavement areas. The data obtained from the field investigation and the laboratory testing program will be utilized in the engineering analysis.

The report will include the following specific items:
(a) Site plan showing exploratory boring and CPT locations on a base map (b) Descriptive logs of exploratory borings and CPTs, including depth to groundwater (if encountered)
(c) Laboratory test results
(d) Subsurface conditions, including expansion potential (e) Conclusions regarding on -site liquefaction potential (f) Preliminary soil corrosion screening
(g) Geologic hazards and seismicity (including liquefaction potential) (h) Site preparation and earthwork recommend ations including raising the existing site elevations
(i) Foundation type and design recommendations including deep foundations, as needed
(j) Recommendations for dewatering
(k) Lateral earth pressures and drainage for retaining wall design (l) Temporary shoring design recommendatio ns (including construction monitoring) (m) Interior and exterior slab-on-grade recommendations (n) Recommendations conc erning trench backfill
(o) Recommendations for jack-and-bore pits and thrust-block design DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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(p) Recommendations concerning temp orary and permanent drainage systems (q) Flexible asphalt and rigid concrete pavement recommendations (r) Recommendations for construction monitoring
(s) Explanation of report limitations
(t) Recommendations for further geotechnical study, if necessary, and identification or principal geotechnical and hydrogeolo gical risks and what can be done to reduce or manage them.

The City retains the right to review the draft report in terms of its adequately characterizing the ADFU Site for the purpose of reducing the risk of encountering unforeseen subsurface condition during construction, and may elect to have the Design-Builder conduct additional field investigations to supplement the report.

Following preparation of the Geot echnical Baseline Report, the De sign-Builder will review its BDR, 30% DCD and 60% DCD (all as defined below) documents to ensure the plans and specifications have incorporated the intent of the geotechnical engineer’s recommendations. The Design-Builder shall submit a draft Geotechnical Baseline Report for review and approval by the City. Any City comments shall be discussed at the next monthly Project management meeting, and the Design-Builder shall prepare a fina l Geotechnical Baseline Report based upon the comments received.
[NOTE: Scope to be further refined depending on the digester improvements alternative selected as noted above.]
Task 2.2.7 Deliverables:
x Work Plan for Geotechnical Investigations
x Draft Geotechnical Baseline Report
x Draft Report Review Meeting Agenda, Meeting Materials, and Notes x Final Geotechnical Baseline Report

2.2.8 Regulated Site Conditions – Hazardo us Materials (Asbestos, Lead and PCBs) Review of Existing Information. Design-Builder and the City acknowledge that all or portions of the Site, including existi ng man-made facilities, structures, and features, may contain contaminated and other materials in cluded in the definition of Regulated Site Conditions. The Design-Builder shall meet with the City to fully understand previous use of these areas and the City’s experiences in encountering contaminated materials and conditions during construction of other previous projects.

Hazardous Materials (Asbestos, Lead and PCBs) Site Conditions Investigation Plan. The scope of the Desig n-Builder’s Hazardous Materials site conditions investigations, shall be developed considering the City’s intent to materially reduce the risk of encountering unforeseen Regulated Site Condit ions during Construction. The Design-Builder will organize and facilitate a one-hour kickoff co nference call with City staff prior to beginning any field work. At the conclusion of the field work , the Design-Builder will facilitate a one-hour DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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progress and results conference call with the City. The Design-Builder’s Regulated Site Conditions Investigation Plan shall identify areas to be surveyed, sampling methods and frequencies, and laboratory testing and analysis methods, and shall be prepared in accordance with all applicable Contract Standards. The scope of the Design-Builder’s investigations include collecting samples to evaluate potential presence of asbestos, lead, and PCBs at the project site.

Materials to be sampled in this survey may include concrete, sealants, and paint.

Site Conditions Field Investigations and Laboratory Analysis. The Design- Builder shall implement the field investigations and laboratory analysis set forth in its Regulated Site Conditions Investigation Plan. The survey for asbestos shall be performed by a California’s Division of Occupational Safety and Health (Cal/OSHA) Certified Asbestos Consultant (CAC) with Hazardous Waste Operations and Emergency Response Standard (HAZWOPER) training, under the direction of a Certified Industrial Hygienist (C IH). The lead survey shall be performed by a California Certified Lead Insp ector/Sampling Technician, and Asbestos Consultant/Site Surveillance Technician, and will meet the requirements of the Bay Area Air Quality Management District (BAAQMD). A Project Manager will provide technical oversight on the scope of work, field work, and laboratory analysis. A ll sample locations will be cl eaned up and repaired after sampling. It is estimated that the survey will be completed in 3 working days.

Samples shall be submitted to an accredited laboratory(s) for analysis. Asbe stos samples will be analyzed by Polarized Light Microscopy (PLM), lead samples by Atomic Absorption Spectrometry (FlameAA), and PCB samples by EPA Method 8082A. All samples shall be submitted for standard (5-7 days) turnaround.

All work product shall be reviewed by the Project Manager or subject matter expert to ensure that all data is correct and the deliverables meet the City’s objectives, prior to submitting documents to the City for review. Submittals lack ing a thorough quality control review will be returned to the Design-Builder without City review, in which case, the submittal will be corrected by the Design-Builder and resubmitted to the City.

All collected data and analysis results shall be included as an appendix to the Regulated Site Conditions and Remediation Report prepared un der Section 2.2.8.4 (Regulated Site Conditions and Remediation Protocols Report) of this Appendix.

Regulated Site Conditions and Remediation Protocols Report. The Design-Builder shall prepare a draft Regulated Site Conditions and Remediation Protocols Report and provide it to the City for review. The report shall summarize all findings of the field investigation and laboratory analyses, and will include a purpose statement and brief project description; a summary of existing background information; a description of methods used for the survey; results of the survey including observ ations, sample locations, laboratory results, and quantity estimate; conclusions and recommendations pertaining to the survey findings. The report will provide general reference of regulati ons pertaining to the removal of the identified Hazardous Materials.

The Design-Builder shall organize and lead a workshop with the City to review the draft report and to develop final recommendations for mitiga tion and remediation activities as well as the responsibilities (i.e., City or Design-Builder) and schedule for conducting those activities. If additional testing/work is requ ired as a result of these recommendations, any such additional testing/work, if necessary, shall constitute A dditional Preliminary Services, the compensation for which shall be negotiated by the parties as set forth in Section 2.8.3 (Compensation for Additional Preliminary Services) of this Appendix.
[NOTE: Scope to be further refined depending on the digester improvements alternative selected as noted above.]
DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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Task 2.2.8 Deliverables:
x Draft and final agenda and draft and final meeting notes for meeting described in Section

2.2.8.1 x Draft and final Regulated Site Conditions Investigations Plan x Draft Regulated Site Conditions Investigations and Remediation Protocols Report x Draft Report Review and Remediations Stra tegies Workshop Agenda, Meeting Materials, and Notes
x Final Regulated Site Conditions Investigations and Remediation Protocols Report

2.2.9 Regulated Site Conditions – Soils Testing
The objective of the specified soils testing is to evaluate the presence of California Administration Manual (CAM) 17 Metals, Volat ile Organic Compounds (VOCs), Total Petroleum Hydrocarbons (TPH), Polychlorinated biphenyls (PCBs), organochlorine pesticides, general minerals, ammonia, total coliform, E. coli (MUG), and asbestos (abov e relevant laboratory re porting limits), in the onsite soils for off-site dis posal in accordance with State and federal regulations under the appropriate manifest.

Soils Investigation Plan. Prior to implementing the field work, the Design- Builder shall prepare a work plan that describe s how the scope of work will be implemented.

The work plan shall include exhibits identifyin g the proposed sampling locations. The total number of samples included in this scope is forty three (43), including four (4) duplicate samples.

The four duplicate samples will be collected for quality control and quality assessment purposes.

Additional samples may be required along the pi peline corridor or the main dewatering site if analytical results are positive. The work plan will include sampling protocols, decontamination procedures, a site-specific Health and Safety Plan, and field documentation procedures and shall be prepared under the supervision of Professional Geologist, licensed to practice in the State of California.

Soil Investigations and Laboratory Analysis. The following items shall be completed by the Design-Builder as part of the soil investigations scope:
(a) Soil borings shall be advanced using hand-auger equipment. Samples will be collected in sleeves to minimize volatilization.
(b) Borings shall be advanced to a depth of approximately five (5) feet below surface grade (bgs) or refusal.
(c) During sampling activities, the soil shall be field screened for total VOCs using a calibrated photoionization detector. Calibration documentation shall be submitted to the City for review.
(d) Non-dedicated sampling equipment shall be cleaned using an Alconox detergent wash and potable water rinse prior to commencement of the sampling activities and between the collection of each sample.
(e) Following completion of sampling activiti es, the borings shall be backfilled with concrete slurry.

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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The following aspects shall be considered for the laboratory analysis:
(f) Soil samples shall be collected per the method specified in the United States Environmental Protection Agency (EPA) Method 5035 in encores. (g) Samples and completed chain-of-custody forms shall be transported to the selected analytical laboratory for seven to ten business day turn-around time for the analysis.
(h) Soil samples shall be analyzed for Metals (CAM-17) by United States Environmental Protection Agency (EPA) Method 6010B, VOCs by EPA Method 8260B, TPH by EPA Method 8015, PCBs with soxhlet extraction by EPA Method 8082, organochlorine pesticides by EPA Method 8081, general chemistry, total coliform, E.Coli, and asbestos.
(i) If analytical results reported are above the established levels, additional soil sampling may be conducted, as directed by the City.

Soils Condition Report. Upon completion of field activities and receipt of laboratory analytical results, a Soils Condition Report shall be prepared by the Design-Builder, which shall include the following:
(a) Documentation of field activities;
(b) A site plan or other exhibits showing pertinent features; (c) Analytical laboratory results;
(d) Data evaluation and presentation of findings; and
(e) Recommendations concerning further actions, if necessary.

The work shall include a QA/QC program, which is adequate to ensure the delivery of accurate and contextually appropriate technical data and solutions. Practices shall be implemented under the guidance of subject and industry sector practice groups consisting of subject matter experts.

Technical oversight, including review of all work products, shall be provided by professionals who have demonstrated proficiency in the pertinent subject matter per the QA/QC program. All work shall be executed under the oversight of a Certified Industrial Hygienist and a Professional Geologist, licensed to practice in the State of Ca lifornia. During the course of the Project, conditions may arise that change the Design-B uilder’s scope of work hereunder. Any such changes in scope of work, if necessary, shall constitute Additional Preliminary Services, the compensation for which shall be negotiated by the parties as set forth in Section 2.8.3 (Compensation for Additional Preliminary Services) of this Appendix. [NOTE: Scope to be further refined depending on the digester improvements alternative selected as noted above.]
Task 2.2.9 Deliverables:
x Meeting/Workshop Facilitation Materials and Documentation x Draft and final Work Plan, prior to starting field work x Draft and final site-specific Health and Safety Plan prior to starting field work DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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x Equipment calibration documentation
x Draft and final Soils Condition Report

2.2.10 Odor Modeling
The Design-Builder will review previous air modeling results (Brown and Caldwell) conducted for the indicative designs and will conduct addition al modeling to confirm that the recommended Project concept does not result in materially mo re adverse odor impacts. The Design-Builder’s model for the Project will be developed using the base model utilized by Brown and Caldwell and will be completed during the development of the 30 percent design documents. The modeling will utilize features of the design developed at the time of the modeling with specific efforts made to include assumptions for the mo deling that can be adjusted with out significant impact to the model results as the design is advanced in subs equent phases. Initial work associated with model development and review of the existing mo del will occur during the Preliminary Services Period in order to expedite activities associated with the air permitting activities. The updated model results will be utilized to finalize the perm it to construct application to be submitted to the BAAQMD as required. Specific work to be performed by the Design-Builder shall include:
(a) Air Dispersion Modeling - Air dispersion modeling shall be performed for a single analysis (single model run), consisting of the recommended design concept and other odor sources encompassed by the Project The model run will include different “source groups” to determine impact from the Additional Digester Facility Upgrades.
(b) Toxic Air Contaminates - Potential air emissions of Toxic Air Contaminants (TACs) shall be calculated using Pooled Emission Estimation Program (PEEP) and Joint Emissions Inventory Program (JEIP) emission factors for the Additional Digester Facility Upgrades sources.
(c) Green House Gasses - Green House Ga s (GHG) emission estimates previously performed by the City shall be reviewed to determine if any changes are required based on the final design of the Addition al Digester Facility Upgrades. The GHG estimates will be updated based on the final design of the Additional Digester Facility Upgrades, with those factors requiring modifications being identified in a technical memorandum. It is assumed that up to 30% of the estimates will require modification.
(d) AERMOD shall be used for the modeling, PEEP shall be used to provide data for input to the model. The odor modeling will be included with the BAAQMD permit to construct application. All modeling shall be completed prior to the 30% design submittal.
[NOTE: Scope to be further refined depending on the digester improvements alternative selected as noted above.]
Task 2.2.10 Deliverables:
x Draft and final Odor Modeling Work Plan
x All electronic modeling files
x Draft and final Technical Memorandum
DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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2.3 PRELIMINARY SERVICES TASK #3 – BASIS OF DESIGN REPORT

2.3.1 Basis of Design Development
Concept Refinement. The Design-Builder shall be responsible for developing, refining or modifying the selected de sign alternative in coordination with the City.

The Design-Builder shall be responsible for identifying ideas to improve operability and maintainability and to reduce overall construct ion costs to bring the Design-Build Price (as defined in Appendix 8 (Design-Build Price)) within the City’s approved budget for the Design- Build Price. The Design-Builder shall be respon sible for developing alternatives and strategies for Design-Build Price reduction. The Design-Bu ilder shall conduct all evaluations, hydraulic and process modeling, calculations, cost estimating, scheduling, workshops, and other services as needed to develop the Basis of Design. Each workshop shall include a weighted decision process to compare alternatives on the basis of established evaluation criteria. A list of anticipated workshops is included in Attachment 2B (List of Preliminary Services Meetings) to this Appendix and it is understood that additional workshops may be required as the design develops. As a minimum, the following topics shall be covered in these workshops:
(a) Hydraulic Modeling
(b) Process Modeling and Mass Balance
(c) Odor emissions modeling
(d) Process Equipment Selection, including, but not limited to, proposed Acceptance Standards
(e) Phasing Plan (Initial Project, Ultimate Project and Intermediate Phasing if recommended)
(f) Site and Facilities Planning and Layout
(g) Site civil engineering design, includ ing paving and grading, storm water management, parking, truck and service access, and piping connections to existing utilities
(h) Landscaping design
(i) Process mechanical design
(j) Electrical supply and distribution design
(k) Instrumentation, controls, and DCS design
(l) Architectural and structural design
(m) HVAC, plumbing, and fire protection design
(n) Corrosion control measures
(o) Hazardous area classifications
(p) Commissioning, Acceptance Test ing, and Transition Services DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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(q) Permitting considerations
(r) Interface with related and nearby projects

2.3.2 Draft Basis of Design Report (BDR).

The Design-Builder shall prepare and submit to the City a draft BDR which will include the Design-Builder’s evaluation findings and spec ific recommended prelim inary design (including preliminary drawings) for the Project. The draft BDR will explain how the proposed preliminary design will meet the City’s budget, performance, operational, and maintenance requirements for the Project and comply with all legal and regula tory requirements. The draft BDR will include information on any alternatives considered and evaluated and information on the rationale or method by which the recommended design wa s selected. Information considered in the evaluation of alternatives and selection of a recommended design shall include but not be limited to: estimated capital, operations and maintena nce costs; reliability, redundancy, robustness, and flexibility of the recommended processes and equipment; ease of City operation and maintenance; capability to expand the faciliti es and systems to process the ultimate projected digested flows and loads; flexibility, compliance with existing and future regulatory requirements; public safety; and compatibility with Californi a Environmental Quality Act (CEQA) and City environmental objectives and requirements. At a minimum, all of the scope elements identified in the PDR shall be evaluated by the Design-Builder. It will include a draft Initial Design-Build Period Work Schedule that is prepared in accordance with Section 5.3 (Design-Build Period Work Schedule) of Appendix 5 (General Design-Build Work Requirements) that shows:
(a) Preparation and completion of 30% DCD
(b) Preparation and completion of 60% DCD
(c) Preparation and submission of proposal to complete design work from 60% to 100% including preparing final plans and specifications (d) Submission of a 60% design-based GMP and Acceptance Standards (e) Final design integrated with co nstruction, testing and startup and commencement of operations
The draft BDR shall be reviewed by the City and the City’s comments shall be addressed by the Design-Builder.

Project Basis and Proposed Acceptance Standards. The final BDR will include information on:
(a) Proposed Acceptance Standards (where num eric values are not established as of the Contract Date in Appendix 9 (Co mmissioning and Acceptance Testing)) and associated Acceptance Standards for the selected design. Design-Builder may propose more stringent values for the Acceptance Standards included in Appendix 9 (Commissioning and Acceptance Testing) as of the Contract Date. If the Design- Builder proposes a less stringent value for either the Acceptance Standard values as of the Contract Date, a detailed rationale and cost-benefit analysis shall be provided to justify the reduced standard.
(b) Additional Digester Facility Upgrades co nstruction conditions, including existing sites conditions; geotechnical conditions; hazardous materials conditions, flexibility for future installation of other facilities.

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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(c) Additional Digester Facility Upgrades vehicular and pedestri an access, parking for the Design-Builder’s workforce and City personnel and egress and materials and equipment staging area locations, size and security.

Proposed Additional Digester Facility Upgrades Design. The Design- Builder will prepare a BDR representing approximately 15 percent completion of the design. The BDR will include a 3D Additional Digester Facility Upgrades mode l (developed using the City’s CAD Standards), and a description and preliminary schematics, drawings, and specifications of the following design elements:
(a) The Additional Digester Facility Upgrad es layouts, site layouts and proposed design criteria – civil, site development, geotechnical, landscaping, structural, architectural, process mechanical, building mechanical, electrical, and instrumentation and control systems
(b) Proposed equipment and facilities to be constructed; alternatives evaluated, and basis for evaluation and recommended system
(c) Preliminary list of major equipment, including types, configurations, power requirements and potential suppliers
(d) Proposed new facilities operations pl an and preliminary control descriptions (e) Proposed preliminary process flow and process and instrumentation diagrams for the Additional Digester Facility Upgrades system
(f) Equipment vendors proposed, evaluated and recommended (g) Recommendations for redundancy and reliability
(h) Sites plan layout and description of new or altered existing facilities (i) Process diagrams that show devices for measurements and recording (j) Additional Digester Facility Upgr ades control system and DCS interface Comparisons on equipment and vendors shall include technical and performance characteristics, reliability, warranties, delivery lead time and operational experience at other facilities. The BDR will include supporting documentation.

Proposed Construction Organization, Work Plan and Schedule. The BDR shall describe:
(a) The Design-Builder’s proposed construction organization, including key construction managers and field superintendents, Subcontractors, and allocation of work among the proposed Subcontractors.
(b) The Design-Builder’s proposed work sequence to install and construct the proposed BDR design from commencement of construction to Substantial Completion to Acceptance Testing to Final Completion of the Project. (c) The Design-Builder’s proposed equipment procurement plan and schedule covering longer lead-time items and any items with proprietary configurations/requirements that may impact the design. The procurement plan DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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shall include any recommendations for early procurement of equipment required to achieve schedule milestones and/or to allow the design to be tailored to the selected equipment.
(d) The Design-Builder’s proposed schedu le for performing its construction work (e) The Design-Builder’s plan for coordinating with the City’s requirements for other ongoing and normal RWF operations, including calendar dates and durations for anticipated process shutdowns during the construction period. (f) An ADFU Site-specific Health and Safety Plan.
(g) The Design-Builder’s proposed pre liminary Commissioning Plan and Acceptance Test Plan, including dates, durations, test criteria, Project requirements for test conditions, personnel to be provided, and requested City support (see Appendix 9 (Commissioning and Acceptance Testing)).
(h) The Design-Builder’s preliminary estima te of cash flow requirements by month from commencement of construction work through Final Completion.

Regulatory Requirements. The BDR shall include a description of regulatory conditions that apply to the proposed design, including but not limited to:
(a) Legal restrictions and requirements
(b) Approvals and limitations or constraints
(c) All required permits and constraints, incl uding, but not limited to, those required to be issued by City of San José building, public works, and fire departments, and the BAAQMD. Include all fees and asse ssments associated with permits and approvals.
(d) The BDR shall include a description of the work to be performed with respect to required permits and approvals and info rmation regarding the Design-Builder’s proposed work activities and implementation and compliance with required CEQA mitigations as set forth in the MMRP, if any.

Anticipated permits required, include but are not limited to those listed in Appendix 3 (Governmental Approvals).

Design-Build Price Estimate Update. The Design-Builder shall include a Design-Build Price estimate update within the BDR. The Design-Build Price estimate shall include:
(a) A Class 3 Opinion of Probable Construct ion Cost (OPCC) (in U.S. dollars) in accordance with standards established by AACEI with supporting materials including assumptions regarding construction conditions, and the bidding climate and bidding/ procurement strategies
(b) Final design costs and other Design-Bu ilder engineering and related costs during construction
(c) Start-up, Commissioning, Acce ptance Testing and other services DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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Projected O&M Costs. The BDR sha ll include a preliminary estimate of the Additional Digester Facility Upgrades op erations and maintenance costs and staffing requirements. The preliminary estimate shall include:
(a) Preliminary costs for operations and ma intenance (including capital maintenance and major repairs and replacements, power, chemicals, and labor) of the proposed completed Project and breakdown of costs, both annually and on a life-cycle basis (b) Estimated O&M staffing requirements
(c) Major assumptions underlying Projected O&M Costs
(d) Major factors that may influence Projected O&M Costs (e) The Design-Builder shall develop and de scribe the conceptual life cycle costs as well as a Design-Build Period Work Schedule.

Task 2.3.2 Deliverables:
x Draft Basis of Design Report (BDR)
x Estimated Design-Build Price with detailed breakdown
x Estimate O&M cost with detailed breakdown

2.3.3 Basis of Design Review Workshop.

The Design-Builder shall meet with the City staff and City consultants (Program Manager and Owner’s Advisor) to present the preliminary design concepts and discuss comments on the draft BDR and obtain City approval on the recommended alternatives prior to proceeding with 30 percent design. The review workshop shall be held during the 20-Business Day City review and comment period on the draft Basis of Design Report. The Design-Builder shall schedule this review workshop on a date approved by the City, near the mid-point of the City review and comment period.

Task 2.3.3 Deliverables:
x Meeting agenda, materials, and notes including an update of the design progression log

2.3.4 Final Basis of Design Report.

The Design-Builder shall prepare a final BDR in corporating City comments on the draft BDR.

The report will include updated TMs, as well as table of contents, executive summary, facilities descriptions, preliminary drawings and render ings, design criteria, a mass balance and recommended Project chapters.

Task 2.3.4 Deliverables:
x Final Basis of Design Report (BDR)
DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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2.4 PRELIMINARY SERVICES TASK #4 – 30 PERCENT DESIGN COMPLETION

DOCUMENTS (DCD)

2.4.1 Period of Performance.

After the Design-Builder receives the City’s written notice that the City’s comments, if any, have been satisfactorily addressed in the final BD R, the Design-Builder shall proceed with the performance of services required to achieve 30% Design Completion. The Design-Builder shall submit the Deliverable Material required by the 30% Design Completion Documents (30% DCD) to the City for review.

2.4.2 Minimum Requirements.

The 30% DCD shall follow the City’s CAD Standards and shall include at least the following (where applicable):
(a) Cover Sheet, Location Map and Vicinity Map;
(b) Index of Drawings, general legend, abbreviations;
(c) Design drawings as specified belo w in Section 2.4.4 (30% Design); (d) 3D renderings of facilities
(e) A Project specifications document including general requirements, site work, materials (concrete, masonry, metals, wood, plastics), thermal and moisture protection, architectural (doors and wi ndows, finishes, interior features), equipment, special construction, mechanical, electrical, and instrumentation and control systems proposed;
(f) Project specific analyses of co des, ordinances and regulations; (g) Preliminary process control narratives
(h) Design criteria and mass balances
(i) Detailed lists of equipment, instruments and valves, including types, configuration, power requirements, redundancy requirements and potential suppliers
(j) Preliminary Project Hazard Analysis
(k) Initial construction sequencing plan
(l) Initial construction phasing recommendations (i.e. identification of any Early Works Packages)

2.4.3 Criteria.

The 30% DCD shall incorporate the BDR and sh all include, in addition to drawings and specifications set forth in this section, such ad ditional information as needed to describe the Project. The 30% DCD shall indicate the basis fo r design choices, including but not limited to initial costs, lifecycle costs, life expectancy, ma intenance considerations, reliability, durability, and applicable requirements of Governmental Bo dies having jurisdiction or private licensing, DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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patent, easements, or other legal restrictions , as well as an explanation of how the design incorporates the City’s BDR objectives. The 30% DCD shall indicate any alternative designs, approaches, technologies, equipment or proces ses that the Design-Builder recommends be considered by the City if not included in the final BDR.

The 30% DCD will take the concepts developed in the BDR and advance them to preliminary engineering drawings and specifications.

2.4.4 30 Percent Design
The 30% DCD will incorporate th e recommended systems and layout identified in the BDR into the 30% drawings and specifications. The 30% dr awing set will generally include drawings, specifications and technical information described below. (a) General Drawings: Cover sheet, abbreviations and symbols, process schematics, key plan, list of drawings, Additional Digester Facility Upgrades key plan, drawing symbology, numbering & tagging conventions, symbols, and abbreviations, hydraulic profiles, design criteria and mass balances (90% complete), process flow diagrams, pipe material schedule, equipment schedule, valve and gate schedules, and boundary survey.
(b) Civil Drawings: ADFU Site preliminary grading and paving plan, and yard piping plans, including site access/egress and perimeter security measures. (c) Architectural Drawings : building code plan, floor plan, exterior elevations.

Preliminary architectural plans and sections for each new building. 3D renderings of facilities shall also be included.
(d) Structural Drawings : General notes, standard concrete details, standard reinforcing details, stair and guardrail de tails. Preliminary structural plans and sections for each structure.
(e) Mechanical Drawings: Mechanical symbols and legends, and energy compliance forms. Preliminary piping and mechanical plans and sections for each process area and structure. 3D renderings of interior and exterior equipment and systems shall also be included.
(f) Electrical Drawings: Electrical symbols and legends, one-line diagrams, ADFU Site electrical plan, lighting and power plan, and load schedules. (g) P&IDs: Preliminary Process and Instrume ntation Diagrams (P&IDs) for all processes. Process and mechanical elements of the P&IDs shall be 75% complete; control aspects shall be 25% complete.
(h) Instrumentation: Legends and symbols, control system block diagrams/network architecture, and preliminary control descriptions.
(i) Hazardous Area Classification Drawings : A schedule of hazardous are classifications and design requirements and drawings depicting the extents of the hazardous areas.
(j) Specifications: Preliminary specifications shall be prepared by the Design- Builder to include a table of contents listi ng all anticipated specification sections and preliminary specification sections for major equipment items. Major DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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equipment items include items that follow : digesters, digester cover, mixing, heating, digester overflow, screening system, FOG storage tank, pumps, odor control, electrical switchgear, transform ers, motor control centers, DCS system, variable frequency drives, soft-start drives, piping, and valves. (i) Preliminary control narratives
(ii) Preliminary major equipment schedule
(iii) Preliminary major process equipment specifications (iv) Preliminary piping schedule
(v) Preliminary valve schedule
(vi) Preliminary valve specifications
(vii) Preliminary instrument schedule
(viii) Preliminary instrument specifications
(ix) Preliminary power distribution equipment specifications (k) Preliminary Project Process Hazard Analysis
The 30 percent submittal shall include a preliminary Project Process Hazard Analysis (PHA), conducted by a subconsultant specialist, for new processes included in the Project and for any existing processes at the RWF affected by the Project. Preparation of the PHS shall include review of Project documentation, preparation for th e preliminary PHA study, facilitation, and preparation of draft and final preliminary PHA study report. The PHA shall be conducted using the City’s Hazard and Operability (HAZOP) methodology. The Design-Builder shall conduct a HAZOP workshop with plant staff and process desi gners to facilitate inclusion of appropriate findings in the PHA and appropriate mitigations into the Project design and operations practices.

A 30 percent design Technical Memorandum shall be prepared by the Design-Builder that includes design criteria for each process, information from the fire marshal and code reviewers, process calculations, preliminary structural, mechanical and electrical calculations. The Technical Memorandum shall also describe conn ections to the existing Regional Wastewater Facility and public utilities, including power, control and utility connections.

The Design-Builder shall also provide an update of the Class 3 Estimated Design-Build Price at the completion of the 30% Design.

Task 2.4.4 Deliverables:
x Draft and Final 30% DCD (including design dr awings, specifications, preliminary PHA, and Technical Memorandum)

2.4.5 Corrosion Engineering.

The Design-Builder’s corrosion experts shall review the findings of the geotechnical investigation, conduct additional sampling and testing as need ed, and develop details and specifications for corrosion protection systems for the pipelines, equipment, and other items potentially subject to corrosion such as grating and guardrails. This assessment shall include potential corrosivity of DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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soil and groundwater as well as corrosion that may result from corrosive atmospheric conditions or exposure to corrosive fluids. The following it ems are included in this Preliminary Services Task:

ADFU Site Corrosivity Assessment. The Design-Builder’s corrosion engineers shall review the soil sample chemical analysis from the geotechnical consultant. The soil samples shall have been analyzed for pH, chlorides, sulfates, resistivity, and Redox potential.

Additional analysis shall include the following at a minimum:
(a) Conduct in-situ soil resist ivities at selected locations throughout the ADFU Site using the Wenner 4-pin technique. In-situ resistivities will be measured at 2.5-, 5-, 7.5-, 10-, and 15-foot depths using a suitable Resistivity Meter. Barnes layer calculations will be performed to determine the corrosivity of the different soil layers to the proposed pipeline materials.
(b) Review the plans and specifications for th e Project prepared by the Design-Builder for construction details and proposed materials and determine the suitability of the proposed materials based on the collected field and laboratory data and expected atmospheric conditions.
(c) Prepare a TM, that provides a summary of the field data collected along with the chemical analysis of the soil sampl es and an analysis of this data and recommendations for protection of project elements expected to be exposed to corrosive atmospheric conditions and flui ds. The potential for corrosion on the new process pipelines, equipment, structures and other project elements shall be determined based on the analysis and recommendations for the long-term prevention of corrosion. All fieldwork and recommendations shall be in compliance with applicable National Asso ciation of Corrosion Engineers (NACE) and City standards. The TM shall also contain the design criteria for the proposed corrosion prevention systems for other metal systems and other systems and facilities that could incur corrosion.
(d) Prepare drawings and specifications for the recommended corrosion protection systems developed as part of the TM.

Task 2.4.5 Deliverables:
x Draft and final Corrosion Control Technical Memorandum

2.4.6 30 Percent Design Workshop.

A one-day workshop shall be conducted by the Design-Builder after the City reviews the 30% Design Documents. A log of review comments shall be maintained to ensure all design comments are addressed and incorporated into the 60 percent design, as appropriate. The review workshop shall be held during the 20-Business Day City review and comment period on the draft Basis of Design Report. The Design-Builder shall schedule this review workshop on a date approved by the City, near the mid-point of the City review and comment period.

Task 2.4.6 Deliverables:
x Meeting agenda, materials, notes, action items and review comments log DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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2.4.7 Updated Estimated Design-Build Price.

The Design-Builder shall update its preliminary cost model presented in the BDR for the Project.

The updated Project 30% DCD cost model shall be Class 3 in accordance with AACEI standards and shall include estimated costs for all services , equipment and materials and other fees that may be incurred by the Project including ap propriate contingencies due to uncertainties regarding cost estimates, site conditions and other factors. The updated cost model shall be broken down into logical cost categories such as remaining design services, engineering services during construction, start up and testing, construction work, major equipment purchases, major material purchases and other categories with appropriate supporting documentation that will assist the City in its evaluation of the Design-Build Price estimate.

Task 2.4.7 Deliverables:
x Updated Estimated Design-Build Price

2.4.8 Updated Initial Design-Build Period Work Schedule.

The Design-Builder shall update its Initial Design-Build Period Work Schedule for the Design- Build Period Work presented in the BDR. The updated Initial Design-Build Period Work Schedule shall indicate key milestone dates for work completion from the final 30% DCD through start up, testing and Final Completion. The schedule shall provide for adequate periods for City design and Definitive Project Submittal reviews and for the Design-Builder to make revisions and obtain written notice to proceed from the City before proceeding with the next work phase. The updated Initial Design-Build Period Work Schedule sh all be accompanied by a memo or report that explains significant changes from the BDR for key activities and Project milestones.

Task 2.4.8 Deliverables:
x Updated Initial Design-Build Period Work Schedule

2.4.9 City Review.

The City shall review the 30% DCD and provide the Design-Builder with written review comments. The Design-Builder shall make such revisions as required in order to address the City’s comments. The City shall notify the Design-Builder in writing after the City has determined that revisions made by the Design-Builder are acceptable.

2.5 PRELIMINARY SERVICES TASK #5 – 60 PERCENT DESIGN COMPLETION

DOCUMENTS (DCD)

2.5.1 Inclusion of the Technical Specifications.

After acceptance by City of Design-Builder’s 30% Design Completion Documents (DCD), the Design-Builder shall proceed with the performance of the Base Preliminary Services required to achieve 60% Design Completion. Upon the City’s written notification that all the City’s comments, if any, have been satisfactorily addressed by the Design-Builder, the completed 60% DCD shall be included as the Technical Specifications in Appendix 4 (Technical Specifications).

2.5.2 60% DCD Deliverables.

The 60% DCD shall consist of CAD generated drawings, 3D renderings and specifications covering general civil and site work improvements, paving and grading, yard piping and electrical work, landscaping, design criteria and mass balances, and process flow diagrams, process and DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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instrumentation diagrams (P&IDs) and designs of foundations, architecture, structures, process mechanical systems, HVAC, plumbing, electrica l systems, and instrumentation and controls systems. The 60% DCD shall include layouts and schematics drawn to scale, design criteria and notes showing the proposed design of all new and modified existing facilities, in sufficient detail to cover the complete Project. The 60% DCD sh all include all major elements of the Project design proposed for construction which comp lies with the final 30% DCD. The 60% CAD drawings shall follow the City’s CAD Standards.

2.5.3 Minimum Requirements.

The deliverables will be nominally 60% complete at this stage, but certain elements of the design shall be more than 60% complete for the 60% DCD deliverable. The 60% DCD deliverable shall include drawings, renderings, specifications an d other technical information with levels of completeness as follows:
(a) General Drawings:
(i) cover sheet, abbreviations and symbols, process schematics, key plan, list of drawings (90% complete)
(ii) Additional Digester Facility Upgrades key plan (90% complete) (iii) drawing symbology, numbering & ta gging conventions, symbols, and abbreviations (90% complete)
(iv) hydraulic profiles, design criteria and mass balances (100% complete) (v) process flow diagrams, pipe materi al schedule, equipment schedule, valve and gate schedules, and boundary survey (100% complete) (b) Civil Drawings: ADFU Site preliminary grading and paving plan, and yard piping plans, including site access/egress and perimeter security measures. (60% complete)
(c) Architectural Drawings : building code plan, floor plan, exterior elevations.

Preliminary architectural plans and sections for each new building. 3D renderings of facilities shall also be included. (60% complete)
(d) Structural Drawings : General notes, standard concrete details, standard reinforcing details, stair and guardrail de tails. Preliminary structural plans and sections for each structure. (60% complete)
(e) Mechanical Drawings: Mechanical symbols and legends, and energy compliance forms. Preliminary piping and mechanical plans and sections for each process area and structure. 3D renderings of interior and exterior equipment and systems shall also be included. (60% complete)
(f) Electrical Drawings:
(i) Electrical symbols and legends, one-line diagrams (100% complete) (ii) site electrical plan, lighting and po wer plan, and load schedules (40% complete)
DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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(g) P&IDs: Preliminary Process and Instrume ntation Diagrams (P&IDs) for all processes (100% complete)
(h) Instrumentation:
(i) Legends and symbols (100% complete)
(ii) control system block diagrams/network and architecture (100% complete) (iii) locations of input/output panels , controllers, terminals, DCUs, and monitors, (100% complete)
(iv) fiber optic routing & patch panel locations for DCS, CCTV/security, fire alarm, telephones, radio, City internet (number of work stations, nodes and licenses needed) & number of spares for future growth. Fiber optic cable redundancy plan for Zanker Road crossings (100% complete) (i) Hazardous Area Classification Drawings : A schedule of hazardous are classifications and design requirements and drawings depicting the extents of the hazardous areas (60% complete)
(j) Specifications: Specifications shall be in accordance with the most recent edition of the Construction Specification Institute conventions, with Part 2 Products of each section completed, describing the si ze, character and quality of the entire Project in its essentials as to kinds and locations of materials; equipment selections; and types of structural, mechanical and electrical systems.

Specifications shall include:
(i) Control narratives (100% complete)
(ii) Major equipment schedule (100% complete)
(iii) Major process equipment specifications (100% complete) (iv) Piping schedule (90% complete)
(v) Valve schedule (90% complete)
(vi) Valve specifications (100% complete)
(vii) Instrument schedule (100% complete)
(viii) Instrument specifications (100% complete)
(ix) Power distribution equipment specifications (100% complete) (x) Distributed control system equipment and devices (100% complete) (xi) Other specifications, including general requirements, site work, materials (concrete, masonry, metals, wood, plastics), thermal and moisture protection, architectural (doors and wi ndows, finishes, interior features), equipment, special construction, mechanical, electrical, and instrumentation and control systems proposed, the most recent edition of the Construction Specification Institute conventions, with Part 2 Products DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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of each section completed, describing the size, character and quality of the entire Project in its essentials as to kinds and locations of materials; equipment selections; and types of structural, mechanical and electrical systems (50% complete)
The 60% DCD deliverable also shall include the following:
(k) Engineering calculations for certain disciplines, as agreed with City; (l) Project specific analyses of code s, ordinances and regulations; (m) List of Project Interfaces, both re ceiving and providing, and timelines; (n) Two dimensional drawings and three di mensional drawing of major structures, and equipment installations;
(o) List of Process Shutdown Requests and timelines; and (p) Updated construction phasing (i.e. Earl y Works Packages) recommendations.

Task 2.4.4 Deliverables:
x Draft and final 60% DCD drawings, renderings and specifications x Calculations and other analyses supporting the 60% DCD

2.5.4 Criteria.

The 60% DCD shall incorporate the final 30% DC D and shall include in addition to drawings and specifications set forth in this section such additional information as needed to describe the Project. The 60% DCD shall indicate the basis for design choices, including but not limited to updated initial costs, lifecycle costs, life expe ctancy, maintenance considerations, reliability, redundancy, durability, and applicable requirements of Governmental Bodies having jurisdiction or private licensing, patent, easements, or other l egal restrictions, as well as an explanation of how the design incorporates the City’s BDR objectives. The 60% DCD shall indicate any new alternative designs, approaches, technologies, equipment or processes that the Design-Builder recommends be considered by the City if not included in the final 30% DCD.

Task 2.5.4 Deliverables:
x Updated design criteria document

2.5.5 Updated Design-Build Price Model.

The Design-Builder shall update its Design-Build Price Model presented in the BDR and updated at the 30% design completion for the Project. The updated Project 60% DCD Design-Build Price Model shall be Class 2 in accordance with AACE I standards and shall include estimated costs for all services, equipment and materials and other fees that may be incurred by the Project including appropriate contingencies due to uncer tainties regarding cost estimates, site conditions and other factors. The updated cost model shall be broken down into logical cost categories such as remaining design services, engineering services during construction, start up and testing, self-performed contractor work, procured Subcontractor work, major equipment purchases (engine generators, piping, etc.), major material purchases and other categories with DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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appropriate supporting documentation that will assi st the City in its evaluation of the Project cost model.

Task 2.5.5 Deliverables:
x Updated Design-Build Price Model

2.5.6 Updated Design-Build Period Work Schedule.

The Design-Builder shall update its Design-Build Period Work Schedule presented in the 30% DCD. The updated Initial Design-Build Period Work Schedule shall indicate key milestone dates for work completion from the final 60% DCD through Commissioning, Acceptance Testing and Final Completion. The updated Initial Design-B uild Period Work Schedule shall provide for adequate periods for City design reviews through 100% completion and for the Design-Builder to make revisions and obtain written notification to proceed from the City before proceeding with the next work phase. The updated Initial Design-Build Period Work Schedule shall be accompanied by a memo or report that explains significant changes from the 30% DCD for key activities and Project milestones. Upon the City’s written approval, the updated Design-Build Period Work Schedule shall be the schedule intended to be included as the “Initial Design-Build Period Work Schedule” to be set forth as Attachment 5B (Initial Design-Build Period Schedule) to Appendix 5 (General Design-Build Work Requ irements) of this Design-Build Contract. In addition, the Scheduled Substantial Completion Date specified in the Design-Build Period Work Schedule shall be the date intended to be includ ed in Section 1.1 (Definitions) of this Design- Build Contract.

Task 2.5.6 Deliverables:
x Updated Design-Build Period Work Schedule

2.5.7 Required Permits and Approvals.

In accordance with Section 2.1.7 (Permits and Approvals Plan) of this Appendix, the Design- Builder shall produce a Permits and Approvals Pl an that identifies all necessary information, applications, permits, documents and forms, as may be required by State, City, County, utilities, private authorities with jurisdiction, and other re gulatory and permitting agencies, required to secure the Governmental Approvals necessary to perform the work shown in the 60% DCD. This Preliminary Services Task shall apply to City, County and State requirements, as well as other federal, State, local, and special City or other regulatory requirements. Upon the City’s written approval, Governmental Approvals identified by the Design-Builder (including Governmental Approval Application Dates and Assumed Approval Issuance Dates) shall be the Governmental Approvals intended to be included in Table 3-1 (Governmental Approvals Responsibility) and Table 3-2 (Governmental Approvals Schedule) of Appendix 3 (Governmental Approvals).

Task 2.5.7 Deliverables:
x Updated Permits and Approvals Plan

2.5.8 Acceptance Standards.

The Design-Builder shall specify the City-app roved quality characteristics to which the Additional Digester Facility Upgrades will operate (the “ Quality Standards”) in comparison to standard industry practice. The Quality Standards shall include, but not be limited to, the Acceptance Standards identified in Appendix 9 (Commissioning and Acceptance Testing). Values for those standards shall be approved by the City. City operation and maintenance requirements DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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shall also be identified by the Design-Builder. Upon the City’s written approval, the Acceptance Standards in Appendix 9 (Commissioning and Acceptance Testing) shall be established, modified, or accepted by the Design-Builder an d the Design-Builder shall prepare a modified Appendix 9 (Commissioning and Acceptance Testin g) for inclusion in the Definitive Contract Amendment.

2.5.9 Training Plan Requirements.

The Design-Builder shall develop a Training Plan in accordance with the Contract Standards.

The City’s approval of the Training Plan shall be a condition precedent to the achievement of Substantial Completion. The Training Plan shall:
(a) include a combination of classroom and field/maintenance shop training; (b) be designed to completely train City st aff to competently operate and maintain the Additional Digester Facility Upgrades with the systems theory, sequence of operations, component and functional descriptions, standard operating procedures, hazard analysis of equipment, safety features, emergency procedures, assembly, disassembly, preventive, corrective and predictive maintenance, internal and external wiring, control loop, schematics and diagrams of all components;
(c) list all equipment and systems in the Additional Digester Facility Upgrades, including the following information for each equipment package or system:
(1) a description of each equipment package or system with reference to technical specifications or drawings if applicable;
(2) identification of target audiences (i.e. operators, mechanical maintenance, electrical maintenance, instrumentation maintenance);
(3) duration of classroom training for each session and each audience; and (4) duration of hands-on training for each session and each audience; (d) include the number, qualifications and certification levels of City staff; and (e) establish the hours of training that will be provided prior to the Acceptance Date and, if necessary, any further training that will be provided during the Transition Period.

The total hours of training to be provided over the course of the Design-Builder’s performance of the Transition Services shall be the following: (list training type; to be negotiated by the City and Design-Builder in cooperation with equipment manufacturers).

Task 2.5.9 Deliverables:
x Draft and final Training Plan

2.5.10 Draft Maintenance of Operations During Construction Plan.

Pursuant to Section 6.11(A) (Maintenance of Op erations During Construction) of this Design- Build Contract, the Design-Builder shall prepar e a draft Maintenance of Operations During DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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Construction Plan which identifies the plan and procedures for coordinating with the City’s requirements for ongoing operations of the Regional Wastewater Facility.

Task 2.5.10 Deliverables:
x Draft Maintenance of Operations During Construction Plan

2.5.11 City Review.

The City shall review the 60% DCD and provide the Design-Builder with written review comments. The Design-Builder shall make such revisions as required in order to address the City’s comments. The City shall indicate to th e Design-Builder in writing after the City has determined that revisions made by the Design-Builder are acceptable.

2.5.12 60 Percent Design Workshop.

A 60 percent design workshop will be conducted after the City reviews the 60% DCD. This workshop will be used to finalize the design comments. A log of review comments will be maintained to assure all design comments are ad dressed and incorporated, if appropriate. The review workshop shall be held during the 20-Business Day City review and comment period on the draft Basis of Design Report. The Design-Builder shall schedule this review workshop on a date approved by the City, near the mid-point of the City review and comment period.

Task 2.5.12 Deliverables:
x Meeting agenda, materials, notes, action items and review comments log

2.6 PRELIMINARY SERVICES TASK #6 – DEFINITIVE PROJECT SUBMITTAL AND

SUPPORTING COST ESTIMATES

2.6.1 Definitive Project Submittal.

After the Design-Builder has received the City’s written notification that its comments have been satisfactorily addressed in the revised 60% DCD, Design-Builder shall provide the City with a Definitive Project Submittal, which shall be prepared in accordance with the Contract Standards and meet the requirements set forth in Section 5. 9 (Definitive Project Submittal) of this Design- Build Contract.

The Definitive Project Submittal shall incorporate all of the work performed as part of Preliminary Services Task 5, set forth the proposed Base Guaranteed Maximum Price for the Design-Build Period Work (including all services required for construction of the Project through Commissioning, Acceptance Testing and Final Co mpletion), and provide information on all engineering, procurement, materials, construction labor and equipment and other services necessary to perform the Design-Build Period Work as required under this Design-Build Contract. As part of its Definitive Project Submittal, the Design-Builder shall submit a final Subcontracting Plan and a final Design-Build Period Work Schedule that meets the requirements set forth in Section 5.3 (Design-Build Period Wo rk Schedule) of Appendix 5 (General Design- Build Work Requirements).

2.6.2 Basis of the Proposed Base Guaranteed Maximum Price.

The Design-Builder will prepare and include in the Definitive Project Submittal documentation supporting the proposed Base Guaranteed Maximum Price, including Subcontractor and equipment vendor bids and quotations, detailed cost estimating data, allowances (where DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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appropriate), breakdown of General Conditions Costs, and definition of the Design-Builder Contingency included in the Base Guaranteed Maximum Price. Such documentation will include the following information:
(a) Engineering services, including:
(1) Engineering design from 60% to 100% to be based on firm proposal; (2) Engineering design – value engineering services;
(3) Engineering construction support;
(4) Engineering start-up, Commissioni ng and Acceptance Testing of the Additional Digester Facility Upgrades;
(5) Engineering services in support of procurement of major equipment; and (6) Training and documentation.
(b) Construction services and costs for:
(1) Services during engineering design from 60% to 100%; (2) Construction support for value engineering;
(3) General Conditions Costs (see Atta chment 8A (Description of General Conditions Costs) to Appendix 8 (Des ign-Build Price)); for purposes of clarity, the Design-Builder shall provide a breakdown of General Conditions Costs that will serve as a basis for establishing and agreeing upon the General Conditions Fee;
(4) Site work, road improvements and traffic control;
(5) Yard piping and electrical;
(6) Landscaping;
(7) Structural and architectural;
(8) Electrical and instrumentation;
(9) Control system programming;
(10) Piping and mechanical;
(11) Other construction work not listed above;
(12) Waste disposal systems for sanitary wastes and spent chemicals; (13) Commissioning and Acceptance Testing;
(14) Performance and payment bonds; and
DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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(15) Design-Builder Contingency (see A ttachment 8C (Schedule of Values and Design-Builder Contingency) to Appe ndix 8 (Design-Build Price) and Section 5.10(C) (Base Guaranteed Ma ximum Price Negotiating Principles) of this Design-Build Contract); for purposes of clarity, the Design-Builder shall provide a risk register and br eakdown of contingency-related costs that will serve as a basis for establishing and agreeing upon the Design- Builder Contingency.
(c) Labor, expenses, rental, overhead and mark-up costs, including:
(1) Billing rates for all proposed classifications of engineering and construction services labor and related expense rates such as mileage charges, per diem for meals and lodging, office charges and personnel vehicle rentals;
(2) Unburdened rental rates on construction equipment, trailers, storage containers or space and major tools;
(3) Direct overhead on labor (benefits), in direct overhead on labor (general and administration or G&A), and profit rate on fully cost burdened labor rates; (4) Proposed overhead markup rates and profit rates on expenses, materials, equipment rentals, Subcontractors, equipment supplied by vendors and consumables (supplies);
(5) The same cost and pricing informatio n as requested in paragraphs 3 (a), (b) and (c) above for major Subcontractors; and
(6) Demonstrate that there are no significant tiered pricing markups so that major Subcontractors’ overhead and profit markups are not duplicated to similar Design-Builder markups.
(d) Design-Builder shall also provide the following information:
(1) For engineering field services du ring construction, labor costs and expenses for a construction manager or resident engineer for overseeing construction work and related services;
(2) For engineering support during co nstruction for review of construction Requests for Information (“ RFIs”), submittals and proposed design or construction changes and costs, labor costs and expenses; (3) All Base Guaranteed Maximum Price pricing assumptions and clarifications on terms and conditions used;
(4) All self-performed construction services;
(5) A breakdown of the Design-Builder Contingency, how it was determined and expected adequacy to cover costs not able to be determined accurately at the time of preparation of the Definitive Project Submittal; (6) A list of work activities, expenses and fees not included in the GMP which the City may be expected to pay for;
DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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(7) Key assumptions in the 60% DCD Work Schedule upon which the Base Guaranteed Maximum Price is based including dates for Substantial Completion and Final Completion; and
(8) Any other key assumptions or conditions upon which the Base Guaranteed Maximum Price is based not covered in the preceding items in this section.

2.6.3 Preparation of the Definitive Project Submittal.

The Design-Builder shall start the development of the Definitive Project Submittal at the onset of the Project during the kick-off partnering me eting to establish dialogue from early concept development through the 60% design. During the design phase, the Design-Builder will maintain ongoing communication with the City to assess and analyze concept and design changes as they relate to the overall Project cost and schedule.

The Design-Builder shall use an “open book” approach to develop the Definitive Project Submittal, providing the City with full access to all the details and sources of information that make up the final Definitive Project Submittal.

Meetings will be held throughout the design and development of the Definitive Project Submittal with the City to assure the design and preconstruction phase work is completed in a transparent manner.

The Project will not have 100% complete plans and specifications at the time the final Base Guaranteed Maximum Price is agreed upon. Therefore, in order to get a more complete estimate of the scope, the Design-Builder will prepare “design gap analysis narratives” for all work items to provide the Design-Builder’s estimators and the City a clearer picture of what is included in the final Definitive Project Submittal package.

During development of the Definitive Project Submittal, the Design-Builder will perform value analysis and constructability reviews with design and construction team members as the plans are being prepared. The Design-Builder will also conduct “operability reviews” with the plant operations staff, and “bid-ability” reviews with the Design-Builder’s estimators.

All of these efforts are designed to prepare the documents and estimates as accurately as possible and to keep the City fully informed and involv ed with the design and cost throughout the development of the Definitive Project Submittal.

At a minimum, the Definitive Project Submittal shall include all items included in the 60% DCD deliverables.

Task 2.6.3 Deliverables:
x Draft and final Definitive Project Submittal
x Meeting agendas and notes

2.6.4 Definitive Project Submittal Workshop.

After delivery of the draft Definitive Project Submittal, the Design-Builder shall meet with the City and its consultants during a 4-hour workshop to present, review, and answer questions about the content of the Definitive Project Submittal. The Design-Builder shall finalize the DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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Definitive Project Submittal after the workshop and re-submit it to the City for final review and approval.

Task 2.6.4 Deliverables:
x Definitive Project Submittal Workshop Agenda, materials, meeting notes and action items

2.7 PRELIMINARY SERVICES TASK #7 – POTENTIAL ADDITIONAL PRELIMINARY

SERVICES
As provided in Section 5.2(B) (Additional Preliminary Services) of this Design-Build Contract, the City may request that the Design-Builder perform Additional Preliminary Services. The Design- Builder shall not be entitled to payment for Additional Preliminary Servicers prior to the completion of negotiations of the compensation for any Addition al Preliminary Services by the parties as set forth in Section 2.8.3 (Compensatio n for Additional Preliminary Services) of this Appendix.

Additional Preliminary Services may include, but shall not be limited to, the following:
(a) Utility relocations;
(b) Remediation of identified Regulated Site Conditions; (c) PG&E coordination; and
(d) AT&T coordination

2.8 PRELIMINARY SERVICES FEE

2.8.1 Compensation for Base Preliminary Services.

The City shall pay the Design-Builder a Prelimin ary Services Fee in the amount of $9,542,366.

The Preliminary Services Fee shall serve as the Design-Builder’s entire compensation for all Base Preliminary Services performed as required under this Design-Build Contract, and shall include costs for any and all out-of-pocket disburseme nts for travel, lodging and other expenses incidental to the performance of the Base Preliminary Services and any payments to third parties such as Subcontractors.

The Design-Builder shall earn its Preliminary Services Fee progressively based upon the Design- Builder’s percentage completion of the Base Preliminary Services as reasonably determined by the City, based on the following values:

Preliminary Services Task Value
Task #1: Project Management $1,054,798
Task #2: Preliminary Investigations $2,054,336
Task #3: Basis of Design Report (BDR) $350,352
Task #4: 30% Design Completion Documents $2,140,275
Task #5: 60% Design Completion Documents $3,361,539
DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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Task #6: Definitive Project Submittal and Supporting Cost Estimates
$581,066
Total Preliminary Services Fee $9,542,366

2.8.2 Payment Requests
The Design-Builder shall request monthly progress payments of the portion of the Preliminary Services Fee payable with respect to each Prelim inary Services Task. All billings and requests for progress payments shall require a written invoice from the Design-Builder in a form acceptable to the City. The Design-Builder shall submit all billings with any necessary invoices, time records, Preliminary Services Deliverable Material, and other appropriate evidence of performance, after which the City shall make payment at the earliest practicable time, but not later than 30 days following receipt of a proper payment request.

If requested by the City to facilitate the payment process and track progress of the Preliminary Services Tasks, the Design-Builder shall provide the City with an itemization of its compensation according to a Work Breakdown Structure (“ WBS”) in a form the City supplies or approves (at the City’s option), that defines all Prelim inary Services Tasks (Design-Builder’s and Subcontractors’), along with a Preliminary Serv ices Schedule providing the timeline for each Preliminary Services Task, a Project budget defi ning the planned man-hours and costs for each Preliminary Services Task, and a schedule of deliverables providin g the timeline for all Preliminary Services Deliverable Material to be provided to the City. The WBS shall further define which tasks are to be performed by Subcontract ors. The WBS shall not relieve the Design- Builder of its performance, schedule or other obligations under this Design-Build Contract.

2.8.3 Compensation for Additional Preliminary Services.

In the event the City elects to request any Additional Preliminary Services, compensation for the Additional Preliminary Services shall be negoti ated by the City and the Design-Builder in accordance with Section 5.3(B) (Compensation fo r Additional Preliminary Services) of this Design-Build Contract. The negotiation of lump sum pricing or not-to-exceed pricing for any Additional Preliminary Services shall be based on those rates set forth in Attachment 8B (Design- Builder's Personnel Cost Schedule) to Appendix 8 (Design-Build Price). [REMAINDER OF PAGE INTENTIONALLY LEFT BLANK]

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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ATTACHMENT 2A

INITIAL PRELIMINARY SERVICES SCHEDULE
DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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ATTACHMENT 2A

INITIAL PRELIMINARY SERVICES SCHEDULE
All activities of the Preliminary Services shall be scheduled and monitored by use of a Gantt or Bar Chart which presents all tasks and key subtas ks in a logical and efficient work sequence that the Design-Builder intends to use in advancing the Project to the 60% Design stage. The initial Preliminary Services Schedule is to be approved by the City prior to execution of the Design-Build Contract.

[ATTACHED]

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

City of San Jose Additional Digester Facility Appendix 2 Upgrade Project at the San Jose - Attachment 2A
Santa Clara Regional Wastewater Facility Initial Preliminary Services Schedule

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DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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Santa Clara Regional Wastewater Facility Initial Preliminary Services Schedule

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DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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Santa Clara Regional Wastewater Facility Initial Preliminary Services Schedule

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DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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Santa Clara Regional Wastewater Facility Initial Preliminary Services Schedule

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DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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ATTACHMENT 2B

LIST OF PRELIMINARY SERVICES MEETINGS
DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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Santa Clara Regional Wastewater Facility List of Preliminary Services Meetings

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ATTACHMENT 2B

LIST OF PRELIMINARY SERVICES MEETINGS

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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APPENDIX 3

GOVERNMENTAL APPROVALS
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APPENDIX 3

GOVERNMENTAL APPROVALS

3.1 PURPOSE
[NOTE: This Appendix and related tables wi ll be revised as more is known about which permit(s) are necessary for the Project via the Definitive Project Submittal / Definitive Contract Amendment process.]
The purpose of this Appendix is to provide a list of the Governmental Approvals that are expected to be required with respect to the Contract Services. Table 3-1 (Governmental Approvals Responsibility) identifies permits and approvals that are the City’s responsibility as the “Application Manager” and for fee payment. The Design-Builder will be responsible for obtaining all permits and approvals not expressly identified as a City responsibility as defined in Table 3- 1 (Governmental Approvals Responsibility), as well as all other Governmental Approvals required with respect to the Contract Services irrespective of whether any such Governmental Approval is identified in this Appendix.

The Design-Builder shall meet all environmental and permit mitigation requirements set forth in this Design-Build Contract, including those set forth in the Technical Requirements.

3.2 GOVERNMENTAL APPROVALS
The purpose of Table 3-1 (Governmental Approvals Responsibility) is to indicate the responsibility of the Design-Builder and the City with respect to Governmental Approval application management and fee payment. The purpose of Table 3-2 ( Governmental Approvals Schedule) is to
indicate assumed approval and issuance dates of the Governmental Approvals in order to determine schedule relief under subsections 6.5(E) (Adjustment to Scheduled Substantial Completion Date Based on Delays Affecting Desi gn-Builder Managed Governmental Approvals) and 6.5(G) (Adjustment to Scheduled Substantial Completion Date Based on Delays Affecting City Managed Governmental Approvals) of this Design-Build Contract. [NOTE: The tables will be finalized based on the Definitive Project Submittal.] [REMAINDER OF PAGE INTENTIONALLY LEFT BLANK]

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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Table 3-1
Governmental Approvals Responsibility
Ite
m
No.

Name of
Governmental
Approval
Issuing
Agency
Permittee/
Approval
Holder
Applicatio
n Manager
Information Supply
Responsibility
Fee Payment
Responsibility
Status

1. Construction
Safety Permits
Cal/OSHA Design-
Builder
Design-
Builder
Design-Builder: The Design-Builder
is also responsible for permits
related to trench safety and
underground safety, whether or not
the permits are identified in this
table.

Design-Builder [ To be updated
on Definitive
Contract
Amendment
Date]

2. Fire
Department
Permits and
Inspections
City of San
José - Fire
Departments
City Design-
Builder
Design-Builder: The Design-Builder
will be responsible for plan check
review (including City Fire Marshal
Review). Fire Marshal Review
includes Hazmat, Fire Suppression,
Architectural, Fire Alarm and
Underground.

Design-
Builder information supply
responsibilities also extend to
information required for:
- Approval of fire access,
- Approval of fire water system
design,
- Approval of fire alarm and
suppression system design,
- Variance for clean agent,
(waterless) fire suppression,
and
- Hazardous Materials
construction permit.

Design-Builder [ To be updated
on Definitive
Contract
Amendment
Date]
DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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Table 3-1
Governmental Approvals Responsibility
Ite
m
No.

Name of
Governmental
Approval
Issuing
Agency
Permittee/
Approval
Holder
Applicatio
n Manager
Information Supply
Responsibility
Fee Payment
Responsibility
Status

3. Building
Permits
City of San
Jose, City
Council/Plann
ing Building
and Code
Enforcement
Department
City Design-
Builder

Design-Builder: The Design-Builder
will be responsible for plan check
review.

Design-Builder information supply
responsibilities also extend to
information required for:
- Building permit,
- Approval of any return
pipeline connections to RWF
influent interceptors
upstream of headworks,
- Approval of any site layout
modifications, and
- Approval of subsequent
CEQA documentation.

Design-Builder [ To be updated
on Definitive
Contract
Amendment
Date]

4. CEQA City Council/
Planning,
Building, and
Code
Enforcement
Department
City City
City: The City is responsible for
completing the supplemental EIR
process for the Project.

Design-Builder: Reasonably
requested information associated
with CEQA compliance in
accordance with Section 4.3
(Environmental Review) of this
Design-Build Contract
and Section

5.10 (Environmental Review and
Protection) of Appendix 5 (General
Design-Build Work Requirements).

City [ To be updated
on Definitive
Contract
Amendment
Date]
DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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Table 3-1
Governmental Approvals Responsibility
Ite
m
No.

Name of
Governmental
Approval
Issuing
Agency
Permittee/
Approval
Holder
Applicatio
n Manager
Information Supply
Responsibility
Fee Payment
Responsibility
Status

5. Authority to
Construct
BAAQMD City City City: The City will provide the
Design-Builder with information
relating to current Title V permitted
facility equipment and air permit
requirements, including monitoring,
recordkeeping and reporting. The
City is also responsible for any Title
V Permit modifications.

Design-Builder: The Design-Builder
will be responsible for providing
data and information required for
the permits related to on-site air
monitoring and Digester and FOG
Facility odor-scrubbing equipment.

City [ To be updated
on Definitive
Contract
Amendment
Date]

6. Air Quality
Permit to
Operate
BAAQMD City City City: The City will provide BAAQMD
with information relating to source
test results of any newly installed
process equipment to obtain Permit
to Operate.

Design-Builder: The Design-Builder
will be responsible for providing
data and information required for
the permits related to on-site air
monitoring and
Additional Digester
Facility Upgrades odor-scrubbing
equipment, if scrubbing eq
uipment
is required by BAAQMD. The
Design-Builder will also be
responsible for early coordination to
understand emissions requirements
and limitations on design.

City [ To be updated
on Definitive
Contract
Amendment
Date]
DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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Table 3-1
Governmental Approvals Responsibility
Ite
m
No.

Name of
Governmental
Approval
Issuing
Agency
Permittee/
Approval
Holder
Applicatio
n Manager
Information Supply
Responsibility
Fee Payment
Responsibility
Status

7. Air Quality -
Off-Road
Construction
Equipment
Certification
BAAQMD Design-
Builder
Design-
Builder
Design-Builder Design-Builder [ To be updated
on Definitive
Contract
Amendment
Date]

8. Oversize/
Overweight
Truck Permit
California
Department of
Transportation
(Caltrans)
Design-
Builder
Design-
Builder
Design-Builder Design-Builder [ To be updated
on Definitive
Contract
Amendment
Date]

9. Variance from
Building Code
California
Energy
Commission
City Design-
Builder
Design-Builder: The Design-
Builder will be responsible for plan
check review and providing data
and information required to obtain
variances from Building Code, if
needed.

Design-Builder [ To be updated
on Definitive
Contract
Amendment
Date]

10. Environmental
Clearance for
Preliminary
Site
Investigation
Activities
City of San
Jose, CIP
Environmental
Team
City City Design-Builder: The Design-Builder
will be responsible for providing
data and information required to
obtain environmental clearances.

Design-Builder [ To be updated
on Definitive
Contract
Amendment
Date]

11. Spill
Prevention,
Control, and
Countermeasu
re Plan
California
Environmental
Protection
Agency
City Design-
Builder
Design-Builder Design-Builder [ To be updated
on Definitive
Contract
Amendment
Date]
DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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Table 3-1
Governmental Approvals Responsibility
Ite
m
No.

Name of
Governmental
Approval
Issuing
Agency
Permittee/
Approval
Holder
Applicatio
n Manager
Information Supply
Responsibility
Fee Payment
Responsibility
Status

12. Permit for
Portable
Equipment
used during
Construction
with Diesel
Engines >50
hp
California Air
Resources
Board:

Portable
Equipment
Registration
Program

Design-
Builder

Design-Builder

[To be updated
on Definitive
Contract
Amendment
Date]
Notes:

1. Subject to the terms and conditions of this Design-Build Co ntract, the Application Manager is responsible for obtaining the applicable permit on or before the agreed-upon date in the De sign-Build Period Work Schedule attached to the Definitive Contract Amendment (which dates will be the basis fo r the Assumed Approval Issuance Dates in Table 3-2 ( Governmental Approvals Schedule)).

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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Table 3-2
Governmental Approvals Schedule
Name of Governmental
Approval Issuing Agency
Governmental Approval Application
Date (Number of days from Design-
Build Period Work Notice-to-Proceed)
Assumed Approval Issuance Date
(Number of days from Governmental
Approval Application Date)
Construction Safety
Permits
Cal/OSHA 30 30
Fire Department Permits
and Inspections
City of San José -
Fire Departments

Building Permits City of San Jose,
City
Council/Planning
Building and Code
Enforcement
Department
To be submitted prior to Design-Build
Period Work Notice-to-Proceed
30 CEQA City Council/
Planning, Building,
and Code
Enforcement
Department

Authority to Construct BAAQMD Contract Date + 250 calendar days Contract Date + 450 calendar days Air Quality Permit to
Operate
BAAQMD Contract Date + 1,200 calendar days Contract Date + 1,300 calendar days Air Quality - Off-Road
Construction Equipment
Certification
BAAQMD
Oversize/ Overweight
Truck Permit
California
Department of
Transportation
(Caltrans)

Variance from Building
Code
California Energy
Commission

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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Table 3-2
Governmental Approvals Schedule
Environmental Clearance
for Preliminary Site
Investigation Activities
City of San Jose,
CIP Environmental
Team

Spill Prevention, Control,
and Countermeasure Plan
California
Environmental
Protection Agency

30 60
Permit for Portable
Equipment used during
Construction with Diesel
Engines >50 hp
California Air
Resources Board:

Portable
Equipment
Registration
Program

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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APPENDIX 4

TECHNICAL SPECIFICATIONS
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APPENDIX 4

TECHNICAL SPECIFICATIONS
[NOTE: This Appendix will contain the Technical Specifications for the Project as developed to the 60% level, and will be amended and completed based on the Preliminary Services performed by the Design-Builder and incorporated on the Definitive Contract Amendment Date. Requirements currently listed in this Appendix 4 set forth the City’s minimum technical requirements for the Proj ect. Project Technical Specifications developed by the Design-Builder and incorporat ed into this Appendix via the Definitive Project Submittal / Definitive Contract Amendment process shall conform to these minimum technical requirements unless a change is made or approved by the City, which the City may elect to do at its sole discretion.]

4.1 PURPOSE
These Technical Specifications set forth the technical requirements for the Project. Nothing in these Technical Specifications shall relieve the Design-Builder of its obligation to meet the Acceptance Standards set forth in Appendix 9 (Commissioning and Acceptance Testing). The Design-Builder may request that the City waive certain non-conformities. Such requests shall be in writing and describe the non-conformity with specificity. The City may elect to grant such request(s) at its sole discretion.

4.2 DESIGN GUIDANCE DOCUMENTS AND STANDARD SPECIFICATIONS All Construction and Deliverable Material, incl uding the Final Design Documents, shall be prepared in accordance with the followi ng design guidance documents and standard specifications, except where variances have been agreed to by the City. Dates of current versions are listed below, but the version in effect during Definitive Project Submittal negotiations will be incorporated into the Definitive Contract Amendment and shall govern.

1. Architectural Design Guidelines, San José- Santa Clara Regional Wastewater Facility, October 20, 2015.

2. Architectural Program Guidelines, San José-S anta Clara Regional Wastewater Facility, IBI Group, October 20, 2015.

3. Automation Master Plan, AG-RWF, San José-S anta Clara Regional Wastewater Facility, May 6, 2022.

4. Automation Guidelines: Governance of Automation Guidelines, AG-RWF-001, San José Santa Clara Regional Wastewater Facility, October 18, 2019.

5. Automation Guidelines: Control System Hierarchy, AG-RWF-002, San José-Santa Clara Regional Wastewater Facility, May 12, 2021.

6. Automation Guidelines: Network and Communications, AG-RWF-003, San José-Santa Clara Regional Wastewater Facility, May 12, 2021.

7. Automation Guidelines: Distributed Control System, AG-RWF-004, San José-Santa Clara Regional Wastewater Facility, May 12, 2021.

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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8. Automation Guidelines: Equipment and Instrumentation, AG-RWF-005, San José-Santa Clara Regional Wastewater Facility, May 6, 2022.

9. Automation Guidelines: Cyber Security, AG-RWF-006, San José-Santa Clara Regional Wastewater Facility, May 12, 2021.

10. Automation Guidelines: CIP Project Execution, AG-RWF-007, San José-Santa Clara Regional Wastewater Facility, May 6, 2022.

11. Automation Guidelines: PLC based Control System Requirements, AG-RWF-008, San José-Santa Clara Regional Wastewater Facility, May 6, 2022.

12. Building Information Modeling (BIM) Guide line and BIM Execution Plan Template, San José-Santa Clara Regional Wastewater Facility, September 2019.

13. CAD Standard, San José-Santa Clara Region al Wastewater Facility, November 2015.

14. CIP Design Guidelines and standards adopted by the City.

15. CIP Tree Removal Guidelines, San José-San ta Clara Regional Wastewater Facility, September 23, 2016.

16. Cost Estimating Manual, San José-Santa Cl ara Regional Wastewater Facility, July 7, 2022.

17. Design Flood Elevation Guidance Update, City of San José, Department of Public Works, December 18, 2017.

18. Design Guideline - Engineering Seals, San José-Santa Clara Regional Wastewater Facility, March 28, 2016.

19. Electrical Design Guidelines, San José-San ta Clara Regional Wastewater Facility, February 5, 2016.

20. Hazardous Materials Investigation and Re mediation Protocol, San José-Santa Clara Regional Wastewater Facility, March 9, 2019.

21. Piping Systems Design Guidelines, San José -Santa Clara Regional Wastewater Facility, February 5, 2016.

22. Recommendation for Adoption Vertical Datum for all CIP Projects, San José-Santa Clara Regional Wastewater Facility, August 28, 2014.

23. Structural Design Guidelines - SECI R evisions, San José-Santa Clara Regional Wastewater Facility, December 21, 2022.

24. Summary of Flow and Load Projections 2023, San José-Santa Clara Regional Wastewater Facility, August 2, 2023.

25. Valve Position Indicators, San José-Santa Clara Regional Wastewater Facility, October 6, 2023.

26. Welding Guidelines, San José-Santa Clara Regional Wastewater Facility, January 3, 2019.

27. City Standard Division 01 Specifications.
[NOTE: Design-Builder and City to expand and update above list as applicable during Definitive Project Submittal / Definitive Contract Amendment process.] DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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4.3 CODES AND REGULATIONS
All Deliverable Material, including the Final Desi gn Documents, shall conf orm to all applicable codes and regulations, including but not limited to the following:
x National Fire Protection Association (NFPA) 820: Standard for Fire Protection in Wastewater Treatment and Collection Facilities, 2024 or latest edition x San José Municipal Code, Chapter 17.12 – City of San José Fire Code x San José Municipal Code, Chapter 17.68 – Hazardous Materials Storage Permit x San José Municipal Code, Chapter 17.12 – Toxic Gas Ordinance x San José Municipal Code, Chapter 17.12 – Fire Safety During Construction x 2022 California Building Code – CCR Title 24 Part 2
x 2022 California Electrical Code – CCR Title 24 Part 3 x 2022 California Mechanical Code – CCR Title 24 Part 4 x 2022 California Plumbing Code – CCR Title 24 Part 5
x 2022 California Green Building Standards Code
x 2022 California Fire Code (CFC)
x 2022 California Division of Occupational Safety and Health – (CAL/OSHA) x San Jose Municipal Code – Amendments to the Title 24 Technical Codes and Other Applicable Ordinances
x San Jose Reach Code
x San Jose Municipal Code, Chapter 27.18, Environmental Mitigation Monitoring and Reporting
[NOTE: Design-Builder and City to expand and update above list as applicable during Definitive Project Submittal / Definitive Contract Amendment process.]

4.4 MAJOR PROJECT ELEMENTS
The Project shall include but is not limited to the following major elements:
x Mesophilic digester rehabilitation or replacement
x A new fats, oils and grease (FOG) facility
x Struvite mitigation
x Other civil, mechanical and electrical improvements
Further descriptions of these facilities, includin g assumptions and criteria used to date can be found in the Additional Digester Facility Upgrade Project Definition Report , prepared by Carollo Engineers, Inc., dated January 30, 2025. [NOTE: The preceding reference to the PDR will be replaced with a reference to Attachment 4A (DPS Design Documents) on the Definitive Contract Amendment Date.]

4.5 MINIMUM TECHNICAL REQUIREMENTS
This Section describes minimum technical requirements for the Project. The Design-Builder shall complete the design and perform the Construction work in conformance with the minimum technical requirements contained herein.

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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[NOTE: The Design-Builder and City will work together to develop the minimum technical requirements during the Preliminary Services. Final minimum technical requirements will be incorporated via the Definitive Project Submittal / Definitive Contract Amendment process.]

4.5.1 Operating Strategy
The Project as currently conceived has been assumed to operate continuously (i.e., 24 hours per day, 7 days per week, and 365 days per year). The City intends to staff the facility with operators at all times. Maintenance and management staff are expected work day shifts only.

However, the FOG facility will only accept FOG deliveries 5 days a week, 8 hours per day. Heating and pumping of FOG to the digesters should oc cur continuously on the days FOG is delivered such that each FOG tank is empty within 24 hours of receiving FOG.

4.5.2 Sludge and FOG Flows, Loads, and Design Years
The Additional Digester Facility Upgrade Project Definition Report sets forth sludge and FOG flow and loading values for sizing the Project. The listed values are projections for sludge and FOG entering the thermophilic digesters and thermo philically digested material entering the mesophilic digesters. The listed values also include expected digester gas flows.

In addition, the listed values include both low and high projections for 2025, 2045, and 2077.

The Project shall be designed to convey and proc ess the full range of FOG and sludge flows and loading rates for both 2025 and 2045 (i.e., whichever results in the most stringent design condition).

The Additional Digester Facility Upgrade Project Definition Report sets forth preliminary capacity and redundancy requirements for the Project. The Design-Builder shall work with the City to determine if revisions to these preliminary requ irements are advisable, considering the City’s budget constraints.
[NOTE: Final requirements will be incorpor ated via the Definitive Project Submittal / Definitive Contract Amendment process.]

4.5.3 Phased Design and Construction
The Additional Digester Facility Upgrade Project Definition Report describes preliminary phasing concepts for the Project, including a future phase to provide sufficient capacity and redundancy for continuous operation under ultimate flow and load conditions (2077). In addition, the Additional Digester Facility Upgrade Project Definition Report identifies an intermediate phase (2045) to allow for the installation of additional equipment as needed to meet capacity and DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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redundancy requirements within budget constraints for the initial construction. The Design- Builder shall work with the City to revise and optimize preliminary plans for Project phasing to meet Project budget constraints.

In addition, design drawings shall show space and interface points for future facilities and systems, including but not limited to:
x Space for future mesophilic and thermophilic digestion capacity : Space shall be provided for future addition of digestion capacity needed to meet 2077 flows and loads.

Space reserved shall include space needed no t only for digestion tanks but also for all required ancillary equipment, piping, power, and controls. x Space for future FOG facility capacity : Space shall be provided for future addition of FOG facility capacity needed to meet 2077 flows and loads. Space reserved shall include space needed not only for storage tanks but also for all required ancillary equipment, piping, power, and controls.
x Future connection points : Provide features that allow for easy interconnection and expansion of new mechanical equipment, process trains, and piping. x Electrical and control spares and spaces: Providing electrical panels and conduits with spares and spaces to accommo date future expansion and provide space for addition of new panels and equipment. Provide control systems with sufficient spare capacity and conduits and space for future control panels.

4.5.4 Redundancy Requirements
The Additional Digester Facility Upgrade Project Definition Report sets forth redundancy requirements for both mesophilic and thermophilic digesters as well as major equipment items.

The Project shall design for one standby meso philic digester under maximum month flow and load conditions in 2045. Furthermore, the Project shall provide space for any future thermophilic and mesophilic digesters needed to maintain one standby thermophilic digester and one standby mesophilic digester under maximum month flow and load conditions in 2077.

4.5.5 Allowable Alternatives
The City previously conducted alternatives eval uations for a number of alternatives for major components of the Project (See Additional Digester Facility Upgrade Project Definition Report), and has classified alternatives as either “required”, “acceptable”, “not preferred”, or “disallowed.” Unless otherwise approved by the City, the De sign-Builder’s design shall incorporate all DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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“required” alternatives and shall avoid incorporating alternatives categorized as “disallowed.” To the maximum extent practicable, the design shall attempt to incorporate alternatives classified as “acceptable” and to avoid alternatives classified as “not preferred.” The above requirements are not intended to limit alternatives to those previously studied by the City.

4.5.6 City Specifications and Standards
The Design-Builder shall incorporate the latest version of City technical specifications and standards into its design and construction specifications unless other dates are noted in Section

4.2 (Design Guidance Documents and Standard Sp ecifications) of this Appendix. If there are questions as to the applicability of a particular City specification or standard to the Project or the delivery method, the Design-Builder shall consult with the City on how such specification or standard will be included in accordance with subsection 1.2(W) (Applicability, Stringency and Consistency of Contract Standards) of this Design-Build Contract.

4.5.7 Environmental Mitigation Measures
The Environmental Mitigation Measures constitute part of the Technical Specifications, with which the Design-Builder is obligated to comp ly hereunder in accordance with Section 4.3 (Environmental Review) of this Design-Build Co ntract and Section 5.10 (Environmental Review and Protection) of Appendix 5 (General Design-Build Work Requirements).

4.5.8 Other Minimum Technical Requirements
Other City minimum technical requirements are generally reflected in the 60% Design Documents (set forth in Attachment 4A (DPS Design Documents) to this Appendix). The following requirements are included for clarification:
x Biosolids produced shall meet Class B requirements both now and in 2045. x The minimum mesophilic digester volume shall be 14.4 MG. x The digesters shall be designed to maintain a minimum 17-day SRT for the overall thermophilic + mesophilic dige stion process (10-day SRT for the mesophilic digesters in this process) and a maximum 0.16 pounds VS per cfd VSLR with the largest unit out of service during maximum month conditions given both current and 2045 design flows and loads.
x The FOG Facility shall be designed to process the projected annual FOG volumes over five of every seven days. Recei ving shall occur over 8 hours each of the 5 days and pumping to digestion shall occur over 24 hours.

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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x The existing digester tunnels shall be maintained with this Project. [NOTE: The Additional Digester Facility Upgrade Project Definition Report includes a number of additional recommendations, st ated requirements and assumptions for the Project. The Design-Builder shall review these recommendations, stated requirements, and assumptions, and, based on its design concept and in consideration of the City’s budget objectives, shall modify them as ap propriate for incorporation into its minimum technical requirements. Where Design-Builder wishes to materially change a stated requirement in the Project Definition Report, it shall inform the City. Other minimum technical requirements may be added during Definitive Project Submittal / Definitive Contract Amendment process.]
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ATTACHMENT 4A

DPS DESIGN DOCUMENTS
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ATTACHMENT 4A

DPS DESIGN DOCUMENTS
[NOTE: This Attachment 4A will be modified, as appropriate, prior to execution of the Definitive Contract Amendment, based on the proposed 60% Design Documents in the City-accepted Definitive Project Submittal.]

The following Definitive Project Submittal (DPS) drawings and specifications are incorporated by reference into this Design-Build Contract and are on-file in a separate volume with the City:

1. Attachment 4A-1: [Additi onal Digester Facility Upgrades Project (ESD 10199)] Drawings prepared by [_____________], dated [____________]; and

2. Attachment 4A-2: Specifications for Sa n Jose-Santa Clara Regional Wastewater Facility, [ESD 10199] – [Additional Digester Facility Upgrades Project].

The Division 01 specifications used in the atta ched DPS specifications (Attachment 4A-2) were preliminary. The Division 01 specifications incl uded in Attachment 5A to Appendix 5 (General Design-Build Work Requirements) shall govern.

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APPENDIX 5

GENERAL DESIGN-BUILD WORK REQUIREMENTS
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APPENDIX 5

GENERAL DESIGN-BUILD WORK REQUIREMENTS

5.1 PURPOSE

5.1.1 General Purpose.

The purpose of this Appendix is to set forth certain requirements for the performance of the Design-Build Work. The Design-Builder shall perform the Design-Build Work in accordance with the Contract Standards, including the requirements set forth in this Appendix.

5.1.2 City Standard Specifications.

This Appendix references a number of City Stand ard Division 01 Specifications, as set forth in Attachment 5A (Applicable City Standard Division 01 Specifications) to this Appendix, that shall be applicable to the performance of the Design-Build Work. These specification sections include:
x 01 11 00 Summary of Work
x 01 14 00 Work Sequence and Restrictions
x 01 29 00 Payment Procedure
x 01 31 19 Project Meetings
x 01 32 16 Progress Schedules and Reports
x 01 32 33 Photographs
x 01 33 00 Submittal Procedures
x 01 33 23 Record Drawings
x 01 35 15 Alteration Project Procedures
x 01 35 23 Plant Safety Requirements
x 01 35 25 Web Based Design and Construction Management System x 01 35 43.01 Air Quality and Greenhouse Gas Emissions Measures x 01 35 43.02 Traffic and Transportation Mitigation
x 01 35 43.03 Cultural and Historic Resources Mitigation x 01 35 43.04 Biological Resources Mitigation
x 01 35 43.05 Hazards and Haza rdous Materials Mitigation x 01 35 43.14 Asbestos Containing Materials Management
DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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x 01 35 43.15 Lead Containing Materials Management
x 01 35 43.16 Polychlorinated Biphenyls Management
x 01 35 43.17 Other Hazardous Materials Management
x 01 35 53 Site Security Requirements
x 01 35 53.01 Contractor ID Badge Vehicle Hang Tag Form x 01 35 53.02 RWF Security Review Form
x 01 45 00 Quality Control
x 01 50 00 Temporary Fa cilities and Controls
x 01 57 23 Temporary Stormwater Pollution Control
x 01 60 00 Product Requirements
x 01 60 00.01 Product Requirements Substitution Request Form x 01 71 23 Field Engineering
x 01 73 23 Bracing and Anchoring
x 01 73 29 Cutting and Patching
x 01 77 00 Closeout Procedures
x 01 78 23 Service Manuals
x 01 78 23.01 CMMS Submittals
x 01 78 36.01 Equipment Warranty Summary
x 01 78 43 Spare Parts
x 01 88 14 Seismic Design Criteria
x 01 88 15 Wind Design Criteria
x 01 91 14 Testing, Training, and Facility Start-Up
x 01 99 90 Reference Forms
[NOTE: Relevant Applicable City Standard Di vision 01 Specifications for the Project will be identified above and inserted in Attachment 5A (Applicable City Standard Division 01 Specifications) prior to execution of the Definitive Contract Amendment.] DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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5.2 MANAGEMENT AND COORDINATION

5.2.1 Coordination.

The Design-Builder shall hold meetings that are separate from and in addition to construction progress meetings described in Section 5.4.2 (Construction Progress Meetings - Scheduling and Attendance) of this Appendix, and shall prepare correspondence and make any other arrangements as necessary to coordinate the Design-Build Work. The Design-Builder shall coordinate its activities with Separate Contractors performing work at or near the ADFU Site in accordance with Section 6.11 (Interface and Coordi nation) of this Design-Build Contract. The City shall identify other Separate Contractors that may be in progress in close proximity to or bordering on the Project (see Appendix 1 (Additional Digester Facility Upgrades, ADFU Site and Related Projects Description)). The Design-Builder will coordinate with those identified as Separate Contractors in accordance with Sectio n 6.11 (Interface and Coordination) of this Design-Build Contract. The Design-Builder shall coordinate all construction activities that could impact existing utility services and installati ons (e.g., conduits, pipelines, transmission mains and other Utility equipment and appurtenances) wi th the utilities. Coordination meetings may include review of the Design-Build Period Work Schedule and installation procedures of other contractors to identify potential conflicts, allocation of space on the ADFU Site, drawing/design interchange among contractors, establishment an d modification of schedules and sequences of construction operations, and planning of future meetings.

5.2.2 Partnering Sessions.

The City and the Design-Builder shall use good faith efforts to promote the formation of a successful formal partnering relationship in order to effectively perform this Design-Build Contract to the benefit of both parties. The purpose of this relationship is to establish and maintain cooperative communication and to mutually resolve conflicts at the lowest responsible management level. The establishment of a formal partnering relationship will not change or modify the terms and conditions of this Design-B uild Contract and will not relieve any party of the legal requirements of this Design-Build Contract.

The City and the Design-Builder shall implement the partnering relationship through at least one partnering workshop during the Preliminary Services and one pre-construction partnering workshop (“Partnering Sessions”). The purpose of the Partnering Sessions is to deepen working relationships, develop common goals and object ives for the Project, achieve a cooperative partnership environment among Project participants, and mutually develop a strategy for forming a successful partnering relationship. The City and the Design-Builder may participate DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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in additional facilitated workshops during the Term as they mutually agree is necessary and appropriate.

The scheduling of a Partnering Session, selection of the facilitator and workshop site, and other administrative details will be coordinated by the City and the Design-Builder’s project managers.

The parties shall use good faith efforts to sche dule the initial, pre-construction Partnering Session and to select the facilitator for the work shop as soon as reasonably possible following the Contract Date.

The Design-Builder shall bear the costs of fo rmal partnering (including costs involved in providing the pre-construction Partnering Session, any subsequent, additional Partnering Sessions, and the facilitator for the Partnering Sessions), and such costs relating to the Partnering Sessions during: (1) the Preliminary Services Period shall be compensated as part of the Preliminary Services Fee; and (2) the Design-Build Period shall be deemed to constitute Design-Build Period Costs, except to the extent such costs are Unallowable Costs.

5.3 DESIGN-BUILD PERIOD WORK SCHEDULE

5.3.1 Design-Build Period Work Schedule (Baseline Schedule).

All activities comprising the Design-Build Period Work shall be scheduled and monitored by use of a Gantt or Bar Chart which sets forth all tasks and key subtasks in a logical and efficient work sequence that the Design-Builder intends to utilize in taking the Project from the Technical Specifications to Final Completion and City op eration. The preliminary Design-Build Period Work Schedule, prepared in accordance with thes e requirements and included as part of the Design-Builder’s Definitive Project Submittal, is set forth as Attachment 5B (Initial Design-Build Period Work Schedule) to this Appendix. The Design-Builder shall undertake and complete the Design-Build Period Work in accordance with the preliminary Design-Build Period Work Schedule, as updated in accordance with this Section 5.3.

As part of the conditions to the City issuing a Construction Notice-to-Proceed, the Design-Builder shall update the preliminary Design-Build Period Work Schedule (Attachment 5B (Initial Design- Build Period Work Schedule)) to comply with the requirements for a Baseline Schedule in City Standard Specification 01 32 16, Progress Schedules and Reports, as modified for the ADFU Project ( see Attachment 5A (Applicable City Standa rd Division 01 Specifications) to this Appendix) (such update being the “Baseline Schedule”).

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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5.3.2 Design-Build Period Work Schedule Updates (Progress Schedules).

The Design-Builder shall, as required from time to time during the Design-Build Period, but no less than once per calendar month, in consultation with the City develop and update the Design- Build Period Work Schedule (such updates being the “ Progress Schedules”) so that it is at all times an accurate, reasonable and realistic representation of the Design-Builder’s progress towards meeting the Baseline Schedule and an accurate representation of Design-Builder’s plans for the completion of the Design-Build Period Wo rk in accordance with the requirements of this Design-Build Contract. The updates in the Progress Schedules shall include:
(a) adjustments resulting from Uncontrollable Circumstances and Technical Specifications Changes, if any, as permitted by this Design-Build Contract and as provided in Section 5.3.4 (Events A ffecting the Design-Build Period Work Schedule) of this Appendix;
(b) as the design progresses, proposed changes in the:
(i) start and completion dates for design work described in this Appendix; and
(ii) commencement of construction;
(c) start and completion dates of the major activities of construction; and (d) the date on which the Substantial Co mpletion Date is expected to occur.

All updates to the Design-Build Period Work Sche dule shall comply with the requirements for Progress Schedules in the City Standard Specification 01 32 16, Progress Schedules and Reports, as modified for the ADFU Project ( see Attachment 5A (Applicable City Standard Division 01 Specifications) to this Appendix).

The Design-Builder shall deliver to the City and the Owner’s Advisor on a monthly basis the updated Progress Schedule. The monthly updated Progress Schedule shall be accompanied by a report that (1) shows current work progress and the status of work completed for each task and subtask included in the Baseline Schedule; (2) contains information on work to be completed in the upcoming month, including a list of antici pated schedule issues and coordination issues with the City expected to occur in the next 60-days that reflects all agreements made by the parties as to Design-Build Period Work Schedule revisions in sufficient detail for the City to be able to verify agreed-upon work schedule and milestone date changes; and (3) describes DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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conditions that have affected or may accelerate or decelerate the Design-Build Period Work Schedule then in effect, together with proposed Design-Build Period Work Schedule adjustments and mitigation measures.

5.3.3 City Review.

The City shall review the Baseline Schedule and Progress Schedules and advise the Design- Builder as to any of its concerns, along with proposed changes. The City shall have 10 Business Days for each schedule submittal for review. Every three months, or more frequently if requested by the City, in addition to the weekly construct ion progress meetings, the Design-Builder shall meet with the City to discuss Project progress and the updated Design-Build Period Work Schedule. The Design-Builder shall respond to City concerns and indicate how the proposed changes or revisions thereto can be made to sa tisfactorily address City concerns. Upon City approval, the changes shall be incorporated in the updated Design-Build Period Work Schedule and replace any previously issued Design-Build Period Work Schedule. Design-Build Period Work Schedule updates are for the purpose of providing the Design-Builder with flexibility in its work activity durations and sequences, but in no event shall such updates result in a change in the Scheduled Substantial Completion Date. The Scheduled Substantial Completion Date shall be adjusted solely as provided in Section 8.5 (Effect of Unexcused Delay; Extension Period) of this Design-Build Contract.

5.3.4 Events Affecting the Design-Build Period Work Schedule.

No later than 15 days following the occurrence of an Uncontrollable Circumstance or a City- directed Change Order, the Design-Builder shal l submit a report containing an analysis of the effects of such events on the Design-Build Pe riod Work Schedule, including any new dates for work tasks and major subtasks, milestones, Substantial Completion and the Scheduled Substantial Completion Date. The Design-Builder shall present mitigation measures that were considered to offset potential work delays; those proposed for City review and acceptance; and a revised Baseline Schedule incorporating the Design-Builder’s proposed changes.

5.3.5 Revisions to Baseline Schedule.

The Design-Builder shall submit to the City for its review and approval any proposed changes to its Baseline Schedule in accordance with the app licable requirements for Revisions to Project Schedules included in City Standard Specific ation 01 32 16, Progress Schedules and Reports, as modified for the ADFU Project ( see Attachment 5A (Applicable City Standard Division 01 Specifications) to this Appendix).

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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5.4 CONSTRUCTION MEETINGS AND REPORTS

5.4.1 Preconstruction Conference.

The Design-Builder shall hold a preconstruction conference after the Design-Build Work Notice- to-Proceed and before any physical Construction work at the ADFU Site is started. The Design- Builder shall prepare an agenda which shall be re viewed with the City prior to the conference, and shall preside at the conference, contribute appropriate items for discussion, provide any data requested, record minutes to summarize significant proceedings and decisions, and distribute the minutes to all parties in attendance. The agenda shall include, but shall not necessarily be limited to, the status of the following items:
(a) Distribution of construction documents.
(b) Designation of responsible personnel during the Design-Build Period. (c) Subcontractors, and their roles on the Design-Build Period Work. (d) Baseline Schedule and Progress Schedules, as applicable, including any critical work sequencing and major equipment deliveries.
(e) Coordination with other contractors and projects.
(f) Procedures and processing of:
(1) Submittals and City review, including anticipated schedule of submittals, (2) Requests for information and clarification,
(3) Field decisions,
(4) Change Orders,
(5) Payment Requests, and
(6) Record documents.
(g) Required Insurance.
(h) Use of premises (i.e., trailers, st orage areas, staging areas, etc.).

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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(i) Design-Builder’s site-specific Health and Safety Plan, including safety measures and first aid.
(j) Security.
(k) Housekeeping.
(l) Proposed Construction Commencement Date.
(m) Governmental Approvals.
(n) Emergency telephone numbers.
(o) Temporary Utilities/Utilities coordination.
(p) Process shutdown requirements and procedures.
(q) Warranties or warranty issues.
(r) Any other Design-Build Period Work-related items.

The preconstruction conference shall be scheduled by the Design-Builder at a time reasonably acceptable to the City and shall be attended by the Design-Build Manager, the Design-Builder’s Construction Manager, the Design-Builder’s Construction Superintendent, representative of the Design-Builder’s Engineer, and the Design-Builder’s principal Subcontractors’ project managers or superintendents and representatives of ma jor suppliers as the Design-Builder deems appropriate. Other attendees may include a repr esentative from the Design-Builder’s executive team, the QA/QC Manager, the Design-Builder’s Safety Manager, the Design Manager, and other Governmental Bodies with jurisdiction over the Design-Build Period Work, any other contractors whose work affects or is affect ed by construction of the Additi onal Digester Facility Upgrades, and others as deemed appropriate by these parties. The Design-Builder shall conduct the conference at the ADFU Site or other location directed by the City and make all arrangements for space, facilities and food services and shall notify all participants of the arrangements.

5.4.2 Construction Progress Meetings - Scheduling and Attendance.

The Design-Builder shall schedule, hold, and fa cilitate regular weekly construction progress meetings from the time mobilization for construction commences through Final Completion, and at other times if requested by the City or as the Design-Builder deems necessary. The construction progress meetings shall be attended by the Design-Builder Construction Manager, DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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the Design-Builder Superintendent, representati ve of the Design-Builder’s Engineer, and the Design-Builder’s principal Subcontractors’ project managers or superintendents and representatives of major suppliers, as the Desi gn-Builder deems appropriate. The Design- Builder, Design-Build Manager and representatives from the Design-Builder’s executive team shall attend construction progress meetings periodically as requested by the City. Other attendees may include the QA/QC Manager, any other contractors whose work affects or is affected by construction of the Additional Di gester Facility Upgrades, and others deemed appropriate by these parties. The City shall atte nd the weekly construction progress meetings.

Construction progress meetings shall be held at the ADFU Site or other location directed by the City.

5.4.3 Construction Progress Meetings - Agenda.

At such meetings, discussions shall be held con cerning all aspects of the Design-Build Period Work including, but not limited to, the Design-Build Period Work Schedule, coordination of work with others, Technical Specifications Changes, Governmental Approvals and Design-Build Period Work submittals, and any test results. The De sign-Builder shall prepare an agenda, preside at meetings, record minutes to include significant proceedings and decisions, and distribute the minutes to all parties in attendance within 10 Business Days of the meeting. The agenda shall include, but shall not necessarily be limited to, the status of the following matters:
(a) Summary of previous meeting issu es, action items and assignments. (b) Progress since last meeting (Design-Builder and Subcontractors). (c) Schedules, including three-week look ah ead schedule (to be provided in advance of meeting); updates on planned progress, off-site fabrication and delivery schedules; delays to critical path if any; and corrective action measures, if required and when to be implemented.
(d) Problems, issues and considerations.
(e) Contract-related notifications from Design-Builder, Change Orders, Contract Administration Memoranda and Contract Amendments.
(f) Status of submittals, including to be submitted, submitted, responses requiring corrective actions and resubmittal and approved.

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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(g) Requests for Information, including thos e to be submitted, submitted, responses and whether adequate or more information is required.
(h) Quality standards and control.
(i) QA/QC reviews, findings, issues and actions.
(j) Coordination among parties, including coordination with RWF, Related Projects and public utilities.
(k) Safety program update, concerns, accidents, and injuries, if any. (l) Visits by regulatory agencies.
(m) Public affairs and issues or concerns of nearby residents. (n) ADFU Site visits by City, City’s repres entatives, representatives of Governmental Bodies and Design-Builder’s representatives.
(o) Compliance with CEQA mitigations and any environmental issues. (p) Status of record drawings and specifications.
(q) Other business.
(r) Next meeting date.

5.4.4 Monthly Design-Build Period Work Reports.

Monthly Design-Build Period Work Reports required to be submitted by the Design-Builder shall include:
(a) a summary of Design-Build Period Work activities during the reporting month. (b) a schedule of upcoming Design-Build Period Work activities. (c) a listing of submittals delivered duri ng the reporting month and their status. (d) a listing of submittals scheduled for delivery the following month. (e) the Design-Builder’s verification that the record documents have been updated as appropriate.

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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(f) a summary of activities involved wi th obtaining Governmental Approvals. (g) a listing of any violations of Govern mental Approvals or Applicable Law and actions taken or to be taken to eliminate any subsequent violations. (h) a listing of issues needing resolution.
(i) a listing of all telephone calls receiv ed during the reporting month involving material inquiries or complaints.
(j) Design-Build Period Work Schedule updates.
(k) a summary of the progress of systems in tegration work performed by the Required Subcontractor, including a listing of any i ssues arising in connection with such work that, if not adequately addressed by the Required Subcontractor, may result in delays to the critical path.
(l) the Design-Builder’s plan for accelerating the Design-Build Period Work Schedule to meet the Scheduled Substantial Completion Date should the Design-Builder’s progress-to-date indicate that the Design-Builder’s Design-Build Period Work is behind schedule and at risk of not being completed by the Scheduled Substantial Completion Date (as adjusted for extensions of time permitted under this Design- Build Contract and subsequent approved Change Orders).
(m) Expenditures for the most recently completed month and for the Project to date, and a comparison to the Schedule of Values; explanations for significant deviations from the Schedule of Values for both over-expenditures and under- expenditures; corrective actions proposed by the Design-Builder to bring spending in-line with Schedule of Values or prop osals to City for an adjustment in the Schedule of Values or acceptance of the deviations.
(n) Progress payment requests as describe d in Article 9 (Compensation for Design- Build Period Work) of this Design-Build Contract. The format of the payment request shall be matched with the description of work activities completed for the reporting month so that the City can eas ily relate the breakdown of the payment request to work progress on specific tasks and subtasks based on the Schedule of Values. Supporting documentation shall be provided so that the City can readily determine the basis for the requested payment amounts for Design-Build Period Work performed during the month by task or subtasks in terms of labor hours, DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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construction equipment costs, capital improvements equipment and materials expenditures, specialty Subcontractor s including similar breakdowns for Subcontracts in excess of $500,000 and other Project costs incurred during the month in accordance with the Schedule of Values. Current retainage and total retainage to date shall be included in the monthly report. Payment request information shall include similar inform ation for changes made pursuant to Sections 6.8 (Changes to the Technical Specifications at Design-Builder Request) and 6.9 (Other Changes to the Technical Specifications) of this Design-Build Contract.
(o) Updated as-built drawings. Hard copy set available for review.

The Monthly Design-Build Period Work Report shall also provide a description of (1) any concerns or issues raised by the City or other parties regarding the Design-Build Period Work, and the Design-Builder’s approach to promptly addressing and resolving such concerns or issues, and (2) a section containing health and safety statistics and a description of any accidents or injuries that occurred and the follow up investigations as to cause and subsequent corrective actions to be taken or already implemented by the Design-Builder. The format of the monthly report shall be developed by the Design-Builder and approved by the City prior to the commencement of any construction on the ADFU Site.

5.4.5 Project Records.

The Design-Builder, in connection with the Design-Build Period Work generally, shall maintain and provide the following records:
(a) Record Drawings and Specifications: The Design-Builder shall:
(1) throughout the construction, update the Design Documents (with respect to the drawings, such update shall be in hard copy and “CAD” or other electronic format reasonably acceptable to the City), including approved shop drawings that are available from Subcontractors in CAD format, so as to produce accurate and complete record documents for the Project.

CAD drawings will follow the City’s approved CAD Standards and the City’s Standard Specification 01 33 23, Reco rd Drawings, as modified for the ADFU Project ( see Attachment 5A (Applicable City Standard Division 01 Specifications) to this Appendix).

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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(2) as requested from time to time du ring the construction, make available such record drawings and specifications to the City for review to permit the City to monitor the Design-Builder's compliance with the requirements of this Section.
(3) provide two hard copies and electronica lly in PDF format and CAD file (per City CAD Standards) of the completed record drawings and specifications to the City as a condition to Final Completion. The record drawings shall not be deemed to have satisfied the co ndition to Final Completion unless reviewed and deemed final by the City.
(4) use Bentley MicroStation for CAD wo rk. For Record Drawings, the Design- Builder will convert drawings to meet the City’s Approved CAD Standards. (b) Equipment and Systems Manuals: The Design-Builder shall:
(1) as a condition to Substan tial Completion, and in accordance with Sections

5.8.2 (Content of the Operations and Maintenance Manual) and 5.9 (Service Manuals) of this Appendix, make available all operation and maintenance manuals, specifications, warranties and related information, in both written and electronic form, for all the equipment and systems that have been included in the Design-Build Period Work for review by the City; and
(2) organize and store such information in accordance with subsection 6.6(D) (Documents at the ADFU Site) of this Design-Build Contract; (c) Design Records: The Design-Builder shall retain records of the design development.
(d) Minutes of Meetings: The Design-Bu ilder shall retain minutes of meetings between the City and the Design-Builder relating to the Design-Build Period Work, and shall circulate such minutes to the City and the City Technical Representative for review and comment.
(e) Inspection Reports and Tests Results: The Design-Builder shall retain official reports and certified test records of all inspections and tests which were undertaken as part of the construction.

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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(f) Utility Plans: The Design-Builder shall retain utility plans for the Project. (g) Landscape and Irrigation Plans: The Design-Builder shall retain landscape and irrigation plans for the Project.
(h) Copies of all Governmental Approvals: The Design-Builder shall retain copies of all Governmental Approvals for the construction and occupation of the Project. (i) Signed Design-Build Period Quality Management Plan: The Design-Builder shall retain a signed copy of the Design-Build Period Quality Management Plan for the design and construction and all records of the quality assurance program implemented as required by this Design-Build Contract.
(j) Photographs: The Design-Builder shall take and retain photographs as required by City Standard Specification 01 32 33, Photographs, as modified for the ADFU Project (see Attachment 5A (Applicable City Standard Division 01 Specifications) to this Appendix).

The records referred to in this Section shall be retained for at least five years following the Substantial Completion Date.

5.5 CONSTRUCTION WORK GENERALLY

5.5.1 Deliverable Material.

The Design-Builder shall deliver to the City all Deliverable Material required to be delivered under this Appendix, Appendix 6 (Design-Build Quality Assurance and Quality Control Requirements), Appendix 7 (Design-Build Work Review Procedures) and Appendix 9 (Commissioning and Acceptance Testing).

5.5.2 Signs.

Temporary Signage.

The Design-Builder shall provide and maintain temporary identification and information signs during the Design-Build Period. No signs shall be erected until their appearance, content, and location have been fully reviewed and approved by the City, which approval shall not unreasonably be withheld, conditioned or delaye d. The Design-Builder shall remove temporary signs from the ADFU Site when they are no longer necessary.

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

The Design-Builder shall work with the City to develop signage for the entrance to the ADFU Site (off of Zanker Road) and for signage to help direct the flow of hauler traffic through the main ADFU Site, including the loadout area.

5.5.3 Laydown Areas and City Construction Office Space.

Laydown and staging areas for construction materials shall be located at the Construction Enabling Site, or with the City’s pre-approval, at the ADFU Site or other areas at the Regional Wastewater Facility designated by the City or at other locations arranged and paid for by the Design-Builder. The Design-Builder shall also provide an independent office trailer for the City during the Design-Build Period of approximately 1,440 square feet total (similar in character to that provided for the Design-Builder’s staff), eight telephone lines, and broadband internet connection to support eight users. The Design -Builder shall provide the following minimum required office furniture and items:
(a) Six (6) desks;
(b) Two (2) dozen chairs;
(c) Two (2) cubicles with built-in desks and file cabinets; (d) 10-seat conference table;
(e) Two (2) small tables;
(f) Two (2) large and two (2) small filing cabinets;
(g) One (1) large and one (small) bookcase;
(h) One (1) multi-function print/copy/fax machine;
(i) One (1) small tabletop printer;
(j) One (1) large flat screen monitor for conference room; (k) One (1) refrigerator;
(l) One (1) water cooler;
(m) One (1) microwave;
DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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(n) One (1) coffee maker; and
(o) Others as requested by the City.

The cost of the City’s construction office furniture, fixtures, equipment, supplies, consumables, or telephone/internet service provider fees shall be borne by the Design-Builder and shall be deemed to constitute Design-Build Period Costs.

5.5.4 Maintenance of the Additional Digester Facility Upgrades Site.

During performance of the Design-Build Period Work, the Design-Builder shall be responsible for the overall maintenance of the ADFU Site, including laydown, staging and storage areas, and the areas of the Construction Enabling Site assigned to it and used by the Design-Builder. The Design-Builder shall keep the ADFU Site and the areas of the Constr uction Enabling Site assigned to it and used by the Design-Builder ne at and orderly at all times, and shall clean up and remove (and remediated, if applicable) all spills, rubbish and construction debris from the ADFU Site and the areas of the Construction Enabling Site assigned to it as they accumulate in accordance with the Contract Standards. Ma intenance of the ADFU Site shall meet the requirements that are related to site maintenance and housekeeping of City Standard Specification 01 50 00, Temporary Facilities and Controls, as modified for the ADFU Project (see Attachment 5A (Applicable City Standard Division 01 Specifications) to this Appendix).

5.5.5 Temporary Utilities.

The Design-Builder shall supply all necessary temporary Utilities, including electricity, telecommunications services, potable water (at no unit charge from City), fire protection, lighting, and sanitary facilities, during construction, te sting and start up of th e Additional Digester Facility Upgrades. Prior to the Substantial Completion Date, the Design-Builder shall disconnect and arrange for the disconnection and removal of all temporary Utility connections and services.

The Design-Builder shall coordinate with the City on all temporary Utilities. The Design-Builder shall comply with the provisions of City Stan dard Specification 01 50 00, Temporary Facilities and Controls, as modified for the ADFU Project ( see Attachment 5A (Applicable City Standard Division 01 Specifications) to this Appendix). [NOTE: Utilities to be provided by the City for performance of Design-Build Period Work, if any, will be determined at time of the Definitive Contract Amendment.]

5.5.6 Relocation of Existing Utilities.

The Design-Builder shall be responsible for all construction activities required with regard to existing utility services and installations (e.g., conduits, pipelines, transmission mains and other DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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utility equipment and appurtenances), including after City review and approval of any relocation of Utilities.

5.5.7 Noise Control.

The Design-Builder shall comply with all noise regulations required pursuant to Applicable Law.

Construction work will be allowed from 7:00 a.m. to 5:00 p.m., seven days per week, subject to local permit restrictions and Applicable Law. Co nstruction will also be allowed at night and on weekends with notification to and approval by the City, provided that appropriate safety and security measures are employed by the Design-Builder.

5.5.8 Notice of Default, Breach or Non-Compliance.

The Design-Builder shall provide to the City, promptly following the receipt thereof, copies of any notice of default, breach or non-compliance received under or in connection with any Governmental Approval or Subcontract that may have a material and adverse effect on performance by the Design-Builder of its obligations under this Design-Build Contract.

5.5.9 Survey and Survey Controls.

The Design-Builder shall conduct all surveys ne cessary for the work in compliance with City Standard Specification 01 71 23, Field Engin eering, as modified for the ADFU Project ( see Attachment 5A (Applicable City Standard Division 01 Specifications) to this Appendix).

5.5.10 In-Use Off-Road Diesel-Fueled Vehicles Requirements.

This Project is subject to the California Air Resources Board (CARB) In-Use Off-Road Diesel- Fueled Fleets requirements found in California Code of Regulations, Title 13, Div. 3, Ch. 9, Art.

4.8, Sec. 2449 (“ CARB Regulations ”). The Design-Builder shall submit valid Certificate(s) of Reported Compliance for itself and all designated Subcontractors that are using fleet(s) subject to the CARB Regulations in performance of the Design-Build Period Work.

Certificates of Reported Compliance are obtain ed through CARB’s Diesel Off-Road Online Reporting System (DOORS). For technical support, please contact CARB directly at 1-877-593- 6677 or via email at [email protected].

5.6 COORDINATION OF CONSTRUCTION WORK AND OPERATIONS

5.6.1 Regional Wastewater Facility Shutdowns during Construction.

The Design-Builder shall plan and coordinate in advance with the City in order to obtain City approval and schedule its C
onstruction work which requires partial or complete shutdowns of DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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facilities or processes at the Regional Wastewater Facility. The Design-Builder shall make every effort to minimize the number and duration of partial or complete shutdowns.

5.6.2 Maintenance of Regional Wastewater Facility Operations during Construction.

The Design-Builder shall take no unplanned acti ons during Construction that adversely affect performance or operation of the Regional Wastewater Facility. The Design-Builder shall comply with the Maintenance of Operations During Construction Plan, which is included as Attachment 5C (Preliminary Maintenance of Operations During Construction Plan) to this Appendix and shall also comply with the requirements of City Standard Specification 01 14 00, Work Sequence and Restrictions, as modified for the ADFU Project ( see Attachment 5A (Applicable City Standard Division 01 Specifications) to this Appendix).

5.6.3 Operations and Maintenance Records
In accordance with Appendix 11 (Transition Services) the Design-Builder shall develop all report templates for routine compliance and process monitoring as applicable to the tasks authorized by the City. The Design-Builder shall use such templates to report to the City on the operations and maintenance of the Additional Digester Facility Upgrades during the Transition Period, as applicable.

5.7 CONSTRUCTION SAFETY AND SECURITY.

5.7.1 Safety and Security.

The Design-Builder shall maintain safety and secu rity at the ADFU Site at all times at a level consistent with the Contract Standards and in compliance with City Standard Specifications 01 35 23, Plant Safety Requirements, and 01 35 53, Site Security Requirements, as modified for the ADFU Project ( see Attachment 5A (Applicable City Standa rd Division 01 Specifications) to this Appendix). Without limiting the foregoing, the Design-Builder shall:
(a) Take appropriate precautions for the sa fety and security of the Design-Build Period Work and provide appropriate protection to prevent damage, injury or loss related to the performance of the Design-Build Period Work over the Design-Build Period for:
(1) Workers at the ADFU Site and all other persons who may be involved with deliveries or inspections;
(2) Visitors to the ADFU Site;

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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(3) Passersby, neighbors and adjacent properties with respect to the Design- Build Period Work activities;
(4) Materials and equipment under the care, custody or control of the Design- Builder or Subcontractors on the ADFU Site;
(5) Other property constituting part of the premises or the Project under construction; and
(6) City Property;
(b) Establish and enforce appropriate safeguar ds for safety and protection, including posting danger signs and other warnings against hazards; (c) Provide temporary fencing of all open or partially open trenches and excavations, all open or partially completed structures, and all work and storage areas at all times while unattended by workers;
(d) Implement a comprehensive safety prog ram in accordance with Applicable Law; (e) Give all notices and comply with all Applic able Law relating to the safety of persons or property or their protection from damage, injury or loss; (f) Operate and maintain all equipmen t in a manner consistent with the manufacturer’s safety requirements;
(g) Provide for safe and orderly vehicular movements;
(h) Develop and implement a written ADFU Site-specific Health and Safety Plan that includes management commitment, maintaining a safe workplace, employee participation, hazard evaluation and controls, employee training and periodic inspections (“Health and Safety Plan”);
(i) Designate an appropriately certified an d experienced safety professional to develop and sign the ADFU Site-specific Health and Safety Plan, including all safety rules.;
(j) Designate a qualified safety profession al at the ADFU Site during on-site construction activities who shall be responsible for the implementation of safety rules, the prevention of fires and acci dents, monitoring compliance with the DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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Design-Builder’s ADFU Site-specific Health and Safety Plan, and the coordination of such activities as shall be necessary with the City and all Governmental Bodies related to health and safety; and
(k) Require all Subcontractors to work in accordance with and implement the Health and Safety Plan, comply with the Design-Builder’s on-site safety requirements, and designate a qualified safety professional whose duty shall be the implementation of safety rules at the ADFU Site and monitoring compliance of Subcontractor employees with the Subcontractor’s ADFU Site-specific Health and Safety Plan.

5.7.2 Perimeter Security
The Design-Builder shall develop, maintain and comply with an ADFU Site perimeter security plan that is approved by the City and consti tutes part of the Health and Safety Plan. The perimeter security plan shall assure the security of the ADFU Site when perimeter fencing cannot be continuously maintained.

5.8 OPERATIONS AND MAINTENANCE MANUAL

5.8.1 Development by the Design-Builder
The Operations and Maintenance Manual shall be a secured online, electronic manual with hard copy reproduction capability. During the Design-Build Period, the Design-Builder shall develop the Operations and Maintenance Manual in ac cordance with the Contract Standards. The Design-Builder shall provide the City with prelim inary, interim, draft and final versions of the Operations and Maintenance Manual for the City's review, comment and approval.

A draft Operations and Maintenance Manual shall be submitted to and approved by the City as a condition precedent to the achievement of Testing Readiness. A final Operations and Maintenance Manual shall be submitted to and approved by the City as a condition precedent to the achievement of Substantial Completion.

5.8.2 Content of the Operations and Maintenance Manual
The Operations and Maintenance Manual shall (i) include the practices and procedures necessary for Additional Digester Facility Upgrad es operation and control, auxiliary facility equipment and systems, system maintenance, repair and replacement, and grounds and buildings maintenance; and (ii) integrate all equipment and systems manuals, including the Service Manuals and DCS System information described in Section 5.9 (Service Manuals) of this DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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Appendix. The Operations and Maintenance Manu al will be comprehensive, suitable as a resource for training operational staff, and will include the following information:
(a) process design criteria;
(b) Additional Digester Facility Upgrades layout drawings and process flow diagrams; (c) detailed operation and control procedures;
(d) standard operating procedures;
(e) emergency response procedures;
(f) maintenance instructions, including:
(1) information necessary to properly assemble and install the equipment, including alignment, clearances, to lerances and interfacing equipment requirements; the trade and skill level required to install the equipment; any special rigging required to place the equipment; and any special test equipment required to place the equipment in service;
(2) manufacturer’s schedule for routine preventive maintenance, calibration, lubrication, inspections, tests, and adjustments required to ensure proper and economical operation and to minimize corrective maintenance and repair;
(3) manufacturer’s projection of prev entive maintenance labor-hours on a daily, weekly, monthly, and annual ba sis, including required trades and skill levels required for performanc e of maintenance and the total time required to perform the work;
(4) manufacturer’s troubleshooting guide and recommendations on procedures and instructions for correcting problems and making repairs; (5) step-by-step procedures to isolate the cause of typical malfunctions, describing clearly why the checkout is performed and what conditions are to be sought;
(6) a description of maintenance and operating tools, replacement parts and materials, including specified quantity of spare parts; DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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(7) information available from the manu facturers to use in training personnel to maintain the equipment and systems properly;
(8) information on test equipment required to perform specified tests and/or special tools needed for the maintenance and repair of components; (9) instructions related to when equipment is in operation, including lubrication requirements;
(10) all warranty information, in cluding effective warranty dates; (11) Governmental Approvals indicating ap proval of all installations requiring permits; and
(12) the development of asset records and the means to assess equipment condition in coordination with the CMMS;
(g) a long-term schedule of major repair s and replacements, including a long-term budgeting plan to maintain the operabili ty, durability and reliability of the Additional Digester Facility Upgrades through its projected operational life; (h) the practices and procedures necessary to maintain the appearance of the buildings, grounds and landscaping of the Additional Digester Facility Upgrades; and
(i) procurement procedures for all additional tools, equipment, maintenance supplies and component parts necessary for the operations and maintenance of the Additional Digester Facility Upgrades, including specifications and quantity of the items to be procured and procedures for planning and scheduling delivery of such items.

5.9 SERVICE MANUALS
The Service Manuals shall include the practices and procedures necessary for the operation and control, maintenance, and repair and replacement of each equipment system, package, or unit incorporated into the Additional Digester Facility Upgrades. Th e Design-Builder’s development and submittals for Service manuals shall comp ly with the requirements of City Standard Specifications 01 78 23, Service Manuals, and 01 78 23.01 CMMS Submittals, as modified for the ADFU Project ( see Attachment 5A (Applicable City Standard Division 01 Specifications) to this Appendix). The Service Manuals shall be suitable as a resour ce for operating and DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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maintaining the components of the Additional Di gester Facility Upgrades, and shall include the following information:
(a) safety information for each equipment syst em, package or unit incorporated into the Additional Digester Facility Upgrad es, including mechanical and electrical lockout procedures for all Additional Digester Facility Upgrades components; and (b) descriptions of units or systems and component parts, their functions, operating characteristics and limiting conditions, including:
(1) equipment summary, which will include nameplate data, supplier, manufacturer and local representative;
(2) start-up sequences, including inspec tions required before initiation of sequence;
(3) performance monitoring requiremen ts to confirm proper operation and guide component control adjustments;
(4) adjustment of variable functions and settings;
(5) interface among the components and systems of the Additional Digester Facility Upgrades;
(6) troubleshooting guidelines to iden tify non-performing components and identify probable cause;
(7) shut-down sequences and lock-out requirements to safely remove components from service without adverse impact on system performance; (8) preparation to isolate off-line equipment piping, power, and controls for safe execution of maintenance activities; and
(c) description of instrumentation and control system, including alarm summary.

Draft Service Manuals shall be included in th e draft Operations and Maintenance Manual and submitted to and approved by the City as a co ndition precedent to the achievement of Testing Readiness. Final Service Manuals shall be in cluded in the final Operations and Maintenance Manual and submitted to and approved by the City as a condition precedent to the achievement of Substantial Completion.

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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5.9.2 DCS System Information and Electronic Requirements A separate binder will be included in the Operations and Maintenance Manual for the DCS System operations. The binder will include hard and soft copies of all DCS System programs incorporated in the Additional Digester Fa cility Upgrades. The Operations and Maintenance Manual will cover all process, electrical, in strumentation, and control equipment in the Additional Digester Facility Upgrades as secure digital electronic files that are designed for both web-based and local network access with capability to be linked and coordinated with other City systems at the Regional Wastewater Facility, including the Related Projects. The Design-Builder shall:
(a) provide links within the final Operations and Maintenance Manual to digital files of all Final Design Documents, individu al equipment service manuals, and the CMMS data base entries relevant to the equipment and functions described; (b) provide special secure applications and lin ks required to permit access to the final Operations and Maintenance Manual files from hand-held electronic devices and other portable or fixed electronic devices designated by the City; and (c) coordinate digital Operations and Ma intenance Manual development with the City’s information technology group to determine compatibility with currently available hardware and software in the City network.

5.10 ENVIRONMENTAL REVIEW AND PROTECTION.

The Design-Builder shall take all measures identified in the City Standard Specifications mentioned in this Section 5.10 and also comply with the requirements of the City’s to be adopted CEQA mitigation monitoring and reporting program (“ MMRP”) (see Section 4.3 (Environmental Review) of this Design-Build Contract), whichever provides greater protection.

5.10.1 Existing Regulated Substances
The Design-Builder, according to the requirements of Appendix 2 (Preliminary Services), shall survey and document Regulated Substances existing on the ADFU Site as of the survey date that, under good Engineering and Construction Pr actice and Applicable Law, requires removal, remediation, control, or special handling in connection with the Design-Build Period Work. The Design-Builder shall work cooperatively with the City to determine if removal and disposal of any such Regulated Substance or some other method of remediation, control or special handling should be implemented as part of the Design-Build Period Work. The City shall cooperate with the Design-Builder in connection with the su rvey and document preparation. Prior to the DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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Construction Commencement Date, Design-Builder’s surveys and reports related to Regulated Substances on the ADFU Site shall be updated as needed to account for any changed conditions since the Design-Builder conducted the surveys as part of the Preliminary Services. The City, or the Design-Builder, as determined in accordance with the Contract Standards, shall remove and dispose of any such Regulated Substances and mi tigate to regulatory approval as and when required in order to enable the Design-Builder to perform the Design-Build Period Work on the Design-Build Period Work Schedule. [NOTE: This subsection will be updated on the Definitive Contract Amendment Date.]

5.10.2 Wildlife and Protected Species Protection.

In accordance with the Environmental Mitigation Measures, the Design-Builder shall develop and implement a plan that is consistent with required mitigation measures for wildlife and protected species that may be affected by constru ction activities of the Design-Builder. Prior to implementing the plan, the Design-Builder shall obtain City approval.

The Design-Builder shall take all measures identified in City Standard Specification 01 35 43.04, Biological Resources Mitigation, as modified for the ADFU Project (see Attachment 5A (Applicable City Standard Division 01 Specifications) to this Appendix), and shall otherwise comply with the requirements of that specification or with the requirements of the City’s adopted CEQA mitigation monitoring and reporting program (“ MMRP”) (see Section 4.3 (Environmental Review) of this Design-Build Contract), whichever provides greater protection.

5.10.3 Design-Builder Construction Environmental Monitor.

The Design-Builder shall assign a Design-Builder Construction Environmental Monitor (“CEM”) to ensure that its mitigations plan and mitigation measures are properly and fully implemented.

The CEM shall be the single, identified entity or person responsible for, at a minimum, the following duties:
(a) Planning of environmentally compliant construction methods. (b) Oversight of construction activities to determine compliance with mitigation measures.
(c) Ensuring that all training has been conducted, and signage, marking and barriers to protected areas have been installed.
(d) Ensuring compliance with the Stormwater Pollution Prevention Program (SWPPP).

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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(e) Coordination with the City on implem entation of environmental mitigation measures.
(f) Compliance with environmental Governmental Approvals. (g) Meeting or interacting with repres entatives of Governmental Bodies with environmental oversight authority, if required.

All environmental monitoring duties conducted by the CEM shall be recorded in the form of a standard report and photographic log (as required). The photographic log shall be kept in both electronic and hardcopy form. All reports shall be submitted to the City in summary form on a monthly basis or more frequently if required by City. Copies of all daily monitoring records shall be maintained in the City’s PMWeb. The City will have the right to monitor Design-Builder’s compliance with these requirements and with the provisions of the MMRP. Should the City identify issues, it shall report them directly to the CEM.

5.10.4 Regulated Substances Management Program.

The Design-Builder shall develop, maintain and implement a Regulated Substances management plan that includes as a minimum, but is not limited to, the requirements specified in this Section (“Regulated Substances Management Program ”). The Regulated Substances Management Program shall require compliance with the followi ng City Standard Specifications, as modified for the ADFU Project ( see Attachment 5A (Applicable City Standard Division 01 Specifications) to this Appendix), in the event Regulated Substances are encountered at the ADFU Site:
x 01 35 43.05 Hazards and Haza rdous Materials Mitigation x 01 35 43.14 Asbestos Containing Materials Management
x 01 35 43.15 Lead Containing Materials Management
x 01 35 43.16 Polychlorinated Biphenyls Management
x 01 35 43.17 Other Hazardous Materials Management
A copy of the Regulated Substances Management Plan shall be submitted to the City for review and approval. The intent of the plan is to pr event accidental spills, site contamination, and injury or illness of all personnel on the site due to contact or exposure to Regulated Substances.

The City shall notify the Design-Builder of any ob served conditions that may be in violation of the plan. If the Design-Builder fails to address City-reported concerns about observed conditions that may be in violation of the plan in a timely and appropriate manner, the City may notify all appropriate Governmental Bodies, and report the observed conditions to them, and request that DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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they inspect the sites involved that are under the Design-Builder’s control. All documents required by the Regulated Substances Management Plan shall be made available to the City immediately upon request.

5.10.5 Design-Builder Regulated Substances.

Any Regulated Substances generated by the Design-Builder shall be the responsibility of the Design-Builder. The Design-Builder shall obtain an EPA identification number for all Design- Builder Regulated Substances, listing the Design-B uilder’s name and construction site address as the generator of the Design-Builder Regula ted Substances. The Design-Builder shall be responsible for the identification, analysis, profiling, documentation, reporting, transport and disposal of Design-Builder Regulated Substances. Any fines that are levied against the City for violations of Applicable Law as determined by any Governmental Body relating to Design-Builder Regulated Substances shall be reimbursed immediately by the Design-Builder after payment by City.

5.10.6 Emergency/Spill Response Plan.

The Design-Builder shall develop an Emergency/Spill Response Plan (“ Emergency Response Plan”), for each Regulated Substance or class/grou p of Regulated Substances either known to be on the ADFU Site or intended to be brought to the ADFU Site by the Design-Builder. At a minimum, the Response Plan must include the following:
(a) A description of on-site equipment available to contain and respond to an emergency/spill of the Regulated Substance.
(b) Notification procedures, including notifi cation to potentially impacted residents adjacent to the Additional Digester Facility Upgrades.
(c) Response coordination procedures between the Design-Builder and the City. (d) A Regulated Substance Site Map showing the location of stored Regulated Substances and location spill containment/response equipment. (e) A description of the Regulated Subst ances handling and spill response training provided to the Design-Builder’s employees and Subcontractors.

5.10.7 Dust Control.

The Design-Builder shall be responsible for dust control during the performance of the Design- Build Period Work and shall comply with all applicable air pollution control regulations and the DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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Environmental Mitigation Measures including those measures identified in City Standard Specification 01 35 43.01, Air Quality and Green House Gas Emissions Measures, as modified for the ADFU Project ( see Attachment 5A (Applicable City Standard Division 01 Specifications) to this Appendix). The Design-Builder shall furnish all necessary labor, materials and equipment for dust control.

5.10.8 Traffic and Transportation Mitigation
The Design-Builder shall comply with City Stan dard Specification 01 35 43.02, Traffic and Transportation Mitigation, as modified for the ADFU Project (see Attachment 5A (Applicable City Standard Division 01 Specifications) to this A ppendix), and with all traffic and transportation related mitigation and management measures identified in the MMRP.

5.10.9 Cultural and Historic Resources
The Design-Builder shall comply with City Stan dard Specification 01 35 43.03, Cultural and Historic Resources Mitigation, as modified for the ADFU Project ( see Attachment 5A (Applicable City Standard Division 01 Specifications) to this Appendix), throughout construction.

5.11 CLOSEOUT
In addition to the requirements of this Design -Build Contract, the Desi gn-Builder shall comply with the provisions of City Standard Specific ation Section 01 77 00, Closeout Procedures, as modified for the ADFU Project ( see Attachment 5A (Applicable City Standard Division 01 Specifications) to this Appendix), throughout construction, and with all cultural and historic resources mitigation and management measures identified in the MMRP. [REMAINDER OF PAGE INTENTIONALLY LEFT BLANK]
DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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ATTACHMENT 5A
APPLICABLE CITY STANDARD DIVISION 01 SPECIFICATIONS
(as modified for the ADFU Project)
DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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Santa Clara Regional Wastewater Facility Applicable City Standard Division 01 Specifications

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ATTACHMENT 5A
APPLICABLE CITY STANDARD DIVISION 01 SPECIFICATIONS
(as modified for the ADFU Project)
The Division 01 specifications included in this attachment were based on the City of San Jose’s Standard Division 01 Specifications dated [_____, 202[_]] and modified for the ADFU Project. Only those Division 01 Specification sections includ ed in this Attachment are incorporated as requirements for the ADFU Project. For clarity, agreed-to modifications are shown in strike and underline.
01 11 00 Summary of Work
01 14 00 Work Sequence and Restrictions
01 29 00 Payment Procedures
01 31 19 Project Meetings
01 32 16 Progress Schedules and Reports
01 32 33 Photographs
01 33 00 Submittal Procedures
01 33 23 Record Drawings
01 35 15 Alteration Project Procedures
01 35 23 Plant Safety Requirements
01 35 25 Web Based Design and Construction Management System 01 35 43.01 Air Quality and Greenhouse Gas Emissions Measures 01 35 43.02 Traffic and Transportation Mitigation
01 35 43.03 Cultural and Historic Resources Mitigation
01 35 43.04 Biological Resources Mitigation
01 35 43.05 Hazards and Haza rdous Materials Mitigation 01 35 43.14 Asbestos Containing Materials Management
01 35 43.15 Lead Containing Materials Management
01 35 43.16 Polychlorinated Biphenyls Management
01 35 43.17 Other Hazardous Materials Management
01 35 53 Site Security Requirements
01 35 53.01 Contractor ID Badge Vehicle Hang Tag Form
01 35 53.02 RWF Security Review Form
01 45 00 Quality Control
01 50 00 Temporary Fa cilities and Controls
01 57 23 Temporary Stormwater Pollution Control
01 60 00 Product Requirements
01 60 00.01 Product Requirements Substitution Request Form 01 71 23 Field Engineering
01 73 23 Bracing and Anchoring
01 73 29 Cutting and Patching
01 77 00 Closeout Procedures
01 78 23 Service Manuals
01 78 23.01 CMMS Submittals
01 78 36.01 Equipment Warranty Summary
01 78 43 Spare Parts
01 88 14 Seismic Design Criteria
01 88 15 Wind Design Criteria
01 91 14 Testing, Training, and Facility Start-Up
01 99 90 Reference Forms
DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

City of San Jose Appendix 5
Dewatering Facility at the San Jose- General Design-Build Work Santa Clara Regional Wastewater Facility Requirements

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[ATTACHED]

[NOTE: Relevant Applicable City Standard Division 01 Specifications for the Project will be inserted here prior to execution of the Definitive Contract Amendment.]

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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ATTACHMENT 5B

INITIAL DESIGN-BUILD PERIOD WORK SCHEDULE
DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

City of San Jose Additional Digester Facility Appendix 5 Upgrade Project at the San Jose - Attachment 5B
Santa Clara Regional Wastewater Facility Initial Design-Build Period Work Schedule

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ATTACHMENT 5B

INITIAL DESIGN-BUILD PERIOD WORK SCHEDULE
The attached initial Design-Build Period Work Schedule was the basis for determining the key milestones for the Project. The City has reviewed the schedule for the purposes of agreement on milestone dates. The Design-Builder shall develop the Baseline Schedule in accordance with the Contract Standards. The Design-Builder shall be responsible for completing all Design-Build Period Work by the Scheduled Substantial Completion Date.

[ATTACHED]

[NOTE: The initial Design-Build Period Work Schedule will be inserted in this Attachment 5B prior to execution of the Definitive Contract Amendment, based on the proposed initial Design-Build Period Work Schedule in the City-accepted Definitive Project Submittal.] DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

City of San Jose Additional Digester Facility Appendix 5 Upgrade Project at the San Jose - Attachment 5B
Santa Clara Regional Wastewater Facility Initial Design-Build Period Work Schedule

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[INITIAL DESIGN-BUILD PERIOD WORK SCHEDULE TO BE INSERTED]

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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ATTACHMENT 5C

PRELIMINARY MAINTENANCE OF OPERATIONS DURING CONSTRUCTION PLAN DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

City of San Jose Additional Digester Facility Appendix 5 Upgrade Project at the San Jose - Attachment 5C
Santa Clara Regional Wastewater Facility Preliminary Maintenance of Operations During Construction Plan

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ATTACHMENT 5C

PRELIMINARY MAINTENANCE OF OPERATIONS DURING CONSTRUCTION PLAN [NOTE: The preliminary Maintenance of Operations During Construction Plan will be inserted into this Attachment 5C prior to execution of the Definitive Contract Amendment, based on the proposed Maintenance of Operations During Construction Plan in the City-accepted Definitive Project Submittal.]

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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APPENDIX 6

DESIGN-BUILD QUALITY ASSURANCE AND QUALITY CONTROL REQUIREMENTS DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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APPENDIX 6

DESIGN-BUILD QUALITY ASSURANCE AND QUALITY CONTROL REQUIREMENTS

6.1 PURPOSE
The purpose of this Appendix is to describe the minimum requirements for the Design-Build Period Quality Management Plan (“QMP”), including quality assurance (“QA”) and quality control (“QC”) procedures that shall be implemented during the Preliminary Services and the Design- Build Period.
(a) Quality assurance refers to the overall effo rts to assuring project quality. Quality assurance shall include the planning and activities necessary to verify that the required QC activities have been satisfactorily conducted and that the quality requirements were met.
(b) Quality control shall include the monito ring, inspection, sampling and testing as applicable, and evaluation of the Design-Build Period Work through the project to verify that quality requirements as spec ified in this Design-Build Contract are met. Quality control also includes the identification of any defective work and documentation of completed corrective measures. For Construction work, the Design-Builder shall comply with the quality control requirements established in City Standard Specification 01 45 00, Qu ality Control, as modified for the ADFU Project (see Attachment 5A (Applicable City Standard Division 01 Specifications) to Appendix 5 (General Design-Build Work Requirements)).

6.2 CITY’S QUALITY OBJECTIVES
The QMP is a critical component of the design and construction of the Project. It partly represents assurance to the City that the Design -Builder is executing the Design-Build Work in accordance with this Design-Build Contract. As a result, the QMP, including quality assurance and quality control (“ QA/QC”), shall be consistent with and support the following quality objectives for the Design-Build Work:
(a) Ensure that permitting, design, construction and testing are consistent with the Contract Standards;
(b) Ensure that Governmental Approval requir ements are effectively incorporated into Design-Build Work;
DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

City of San Jose Additional Digester Facility Appendix 6 Upgrade Project at the San Jose - Design-Build Work Quality Assurance and Santa Clara Regional Wastewater Facility Quality Control Requirements

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(c) Develop and implement procedures to en sure that problems are discovered early, resolved in a timely manner, and do not recur;
(d) Ensure that adequate QA/QC procedur es and resources are provided by the Design-Builder to effectively assess and en sure high quality in all work products and services and compliance with the Acceptance Standards, warranty requirements, safety, security and environmental compliance requirements; (e) Provide timely reporting and documentation of QA/QC inspections, technical reviews, testing, analysis and determinat ions of compliance with the Contract Standards;
(f) Provide follow up inspections, analysis and testing if conditions are found to be non-compliant with the Contract Standards and verify through special reports and direct communications with the City that all corrective actions have been effectively implemented and that the resultant product or service is of acceptable quality.

6.3 ROLES AND RESPONSIBILITIES

6.3.1 Design-Builder's Role and Responsibilities for QA/QC.

The Design-Builder is fully responsible for the design and construction of the Project Core QA/QC functions as defined in this Appendix 6.

6.3.2 City's Role and Responsibilities for QA/QC.

The City ultimately retains its rights with respect to the determining whether Substantial Completion of the Project has been achieved. The City may perform design reviews, witness factory testing of equipment to be installed at the Additional Digester Facility Upgrades (“Factory Acceptance Testing”) and testing of such equipment after installation at the Additional Digester Facility Upgrades, verification sampling and testing, indepe ndent assurance sampling and testing, review of the Design-Builder's cons truction management scheduling, and other actions to verify payment of progress payments under the terms of this Design-Build Contract. However, by doing these actions, the City does not assume responsibility for any design or construction issue except as otherwise indicated in this Design-Build Contract.

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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6.4 DESIGN-BUILD PERIOD QUALITY MANAGEMENT PLAN DEVELOPMENT AND

IMPLEMENTATION

6.4.1 General Requirements.

The development and implementation of the QMP shall be the responsibility of the Design- Builder. The QMP shall integrate the permitting, design, Factory Acceptance Testing, construction, Commissioning and Acceptance Testin g phases of the Additional Digester Facility Upgrades during Preliminary Services and the Design-Build Period and shall include detailed QA and QC programs as attachments. Other QMP requirements are defined in Section 6.5 (Design Quality Control and Qua lity Assurance Requirements) and Section 6.6 (Construction Quality Control Requirements) of this Appendix.

6.4.2 Design-Build Period Quality Management Plan Requirements.

The QMP shall include a description of how the Design-Builder will provide the following:
(a) Adequate resources for effective plan im plementation throughout all phases of Preliminary Services and the Design-Build Work;
(b) Information on QA/QC staff to be assigned to the Project and their qualifications for performing required QA/QC functions;
(c) Programs, procedures, methods, tests, analyses and communications procedures, reports, photographs and comments on drawings and specifications and other documents used by the Design-Builder to assess Preliminary Services and Design- Build Work quality and compliance with the Contract Standards; (d) How the QA/QC program shall function independently of Design-Builder’s production staff and be empowered to enforce plan objectives, define quality requirements, independently verify quality of Preliminary Services and Design- Build Work products and services, identi fy potential causes of unacceptable quality of work and provide safeguards to prevent unacceptable work quality, and require prompt corrective action for identified deficiencies; (e) A communications plan for demonstrating that quality requirements have been established and communicated to all Subcontractors prior to their commencement of providing products or services on the Project. This shall include information on the roles, responsibilities and authorities of identified QA/QC staff; DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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(f) The Design-Builder shall submit its QMP fo r design services to the City for review within 30 days following the Contract Da te. The City will provide comments on the QMP and the Design-Builder shall make required changes; and (g) The Design-Builder shall submit its Design-Build Period Quality Management Plan to the City in draft and form as pa rt of the Project Execution Plan prepared pursuant to Preliminary Services Task #1 (Project Management). The City will provide comments on both the draft and final Design-Build Period Quality Management Plan, and the Design-Builder shall make required changes.

6.4.3 Changes to the Design-Build Period Quality Management Plan.

Revisions and updates to the QMP may be proposed by the Design-Builder as Preliminary Services and as the Design-Build Period Work progress. Changes to the approved QMP require written approval of the City. Proposed revisions or updates shall be provided to the City at least 30 days prior to the start of the Design-Build Work to which the revision applies. The City will review and respond in a timely manner to Design-Build Period Quality Management Plan proposed changes. The Design-Builder shall not initiate any of the Design-Build Work that is impacted by such proposed revision or change until the City has reviewed and accepted the change.

6.5 DESIGN QUALITY CONTROL AND QUALITY ASSURANCE REQUIREMENTS

6.5.1 Design QA/QC Program.

The Design-Builder has primary responsibility for design quality to ensure design documents are professionally reviewed and checked to ensure a quality project. The QMP shall include the details of the Design-Builder’s Design QA/QC Program and include a description of how the Design-Builder will provide the following:
(a) Design management functions and design review processes, which are the responsibility of the Design-Builder, will be described; (b) Typical design QC tasks to be acco mplished by the Design-Builder will be described and may include technical review of design deliverables, checking of calculations, checking of quantities, and the review of specifications; (c) Describe the process to approve and rele ase design packages for construction in alignment with the Design QA/QC Program;
DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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(d) Describe the process for conducting required Factory Acceptance Testing of equipment;
(e) Demonstrate that the City retains oversight in the form of review and verification of the design's ability to meet the stated contract requirements. The City and its designated consultants will participate in the design review process while not relieving the Design-Builder from its oblig ation to comply with this Design-Build Contract; and
(f) Describe the application of the Design QA/QC Program through design review techniques to be used by the Design-Builder, such as over-the shoulder design reviews to supplement formal reviews, formal milestone reviews, and submittal reviews during the Design-Build Period.

6.5.2 Design Quality Assurance Manager.

The Design-Builder shall designate a Design Quality Assurance Manager to determine whether the Technical Specifications and other Contract Standards are being met and that design QA/QC activities are following the approved QMP. The Design Quality Assurance Manager shall compile and maintain documentation of the review.

6.6 CONSTRUCTION QUALITY CONTROL REQUIREMENTS

6.6.1 Construction QA/QC Program.

The QMP shall include the details of the De sign-Builder’s Construction QA/QC Program, including the following:
(a) The Construction QA/QC Program shall require inspection during construction by inspectors who are not responsible, in whole or in part, for the scheduling or construction of the Design-Build Work being inspected.
(b) Instructions for performing inspections must be clearly defined, including the work attributes to be inspected, acceptab ility criteria, frequency of inspections, and the requirements for documenting the inspection results. (c) Inspection records must be kept current, have sufficient detail to enable the Engineer-of-Record to identify inspections which have been performed, and the results of these inspections. Inspections must be made throughout the period of DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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construction, including the initial constru ction, in-process inspections, final inspections, and testing during construction.
(d) Documentation requirements shall in clude contractor production reports, contractor quality control reports, field test reports, testing plan and log, inspection reports, rework items list and quality control meeting minutes. (e) Procedures and controls shall be provid ed to ensure that inspections are being performed using the Final Design Documents and approved shop drawings.

Procedures shall ensure that an adequa te number of inspection personnel are available as needed, and that all inspecto rs are qualified, trained, and proficient in performing inspections for the Design-Build Work to which they are assigned.

The Design-Builder’s Construction QC program shall comply with the provisions of City Standard Specification 01 45 00, Quality Control, as modified for the ADFU Project ( see Attachment 5A (Applicable City Standard Division 01 Specifications) to Appendix 5 (General Design-Build Work Requirements)).

6.6.2 Non-Conforming Work.

The Construction QA/QC Program shall establish and maintain a non-conformance system and procedures for uniform reporting, controlling, and disposition of nonconformance, including the following:
(a) The non-conformance system shall describe methods to be implemented, including a daily non-conformance repo rt (NCR), to identify and track all unsatisfactory, deviating, and nonconforming work until the required repair, rework, or replacement is performed, and the work has been re-inspected and accepted. In addition, the non-conformance system shall detail the methods and measures to be used to develop correct ive action procedures and prevent the recurrence of non-conforming work.
(b) The Construction QA/QC Program shall detail the means and methods for identifying and correcting all construction deficiencies such that construction quality meets the Contract Standards and the Final Design Documents. (c) The Construction Quality Assurance Manager shall be informed of all unsatisfactory conditions within 24 hour s of identification, and a copy of the condition report sent to the design-engineer. The Design-Builder will correct any DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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nonconforming conditions in accordance with Section 6.16 (Correction of Work) of this Design-Build Contract.
(d) The Design-Builder is encouraged to make corrections for non-conforming work as soon as practical rather than waitin g until Substantial Completion. The City may use the NCR as a basis for conducting its own final acceptance activities.

6.6.3 Construction Quality Assurance Manager.

The Design-Builder shall designate a Construct ion Quality Assurance Manager to determine whether the Technical Specifications and other Contract Standards are being met and that Construction QA/QC activities are following the approved QMP.

6.6.4 Materials and Equipment.

The Construction QA/QC Program shall ensure the quality of all material and equipment.

Procedures and controls shall be provided to ensure that inspections are being performed using the Final Design Documents and approved shop drawings. Procedures shall ensure that an adequate number of inspection pe rsonnel are available at all times, and that all inspectors are qualified, trained, and proficient in performing inspections for the Design-Build Work to which they are assigned. Procedures also shall be used to verify that the procurement documents meet all Contract Standards and the Final Design Documents, and shall include the following:
(a) Define how quality will be controlled du ring the manufacture and testing of all equipment which is being fabricated for the Additional Digester Facility Upgrades. (b) Written documentation of inspection of all material and equipment to ensure that it meets all Contract Standards and the Final Design Documents. Documentation such as material test reports, certifications, and equipment tests results must be delivered to the City and City-designated representatives to demonstrate compliance with all Contract Standards and the Final Design Documents. (c) Monitoring procedures to ensure that material and equipment is delivered to the ADFU Site are undamaged, in the proper quantities and in accordance with the specification requirements, and that all materials and equipment are stored and maintained on the ADFU Site according to the Contract Standards, including the requirements of the designer and the manufacturer.

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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6.6.5 Construction Management and Testing.

The Design-Builder shall provide full-time construction management and full and comprehensive construction administration for the Design-Build Work. Construction inspectors, who shall be provided with the Final Design Documents rele ased to construction, shall perform initial verification of procurement and construction activities, so that any conflicts will be identified at an early stage. The Construction QA/QC shall clearly identify the circumstances under which the Design-Builder’s registered soils or geotechnical engineer and the Engineer-of-Record will be involved in construction quality oversight. The Design-Builder shall perform all testing and inspections as required by the Contract St andards, approved Final Design Documents, applicable codes, regulations, and standards (s uch as ACI and ASTM) which may be referenced in Appendix 4 (Technical Specifications). Section 1.2(W) (Applicability, Stringency and Consistency of Contract Standards) of this Desi gn-Build Contract shall govern any conflicts or inconsistency in the stringency of test requirements.

6.6.6 Laboratories.

All construction testing shall be performed by individuals who are qualified and experienced in providing these testing services. Equipment used to perform tests shall be calibrated according to requirements in the testing procedure. The Design-Builder shall hire a certified independent testing laboratory to perform all laboratory testing. The laboratory selected shall be authorized to operate in the State, certified under th e State’s National Environmental Laboratory Accreditation Program, as applicable, and shall be subject to the approval of the City. Design- Builder requests for laboratory approval shall be made by the Design-Builder in a timely manner, in writing, to the City. Laboratory tests shall include the proposed concrete mix design, concrete aggregate tests, strength of concrete field te st cylinders, gradation, and moisture density relationship of soils. The certified testing labor atories must also perform on-site tests that the Design-Builder is not experienced, qualified, or certified to perform or that require independent testing under the Contract Standards. On-site tests shall include tests for: concrete slump, concrete air entrainment, concrete temperature, casting of concrete test cylinder specimens, in- place testing of concrete stre ngth, compaction density testing of soils, coating thickness measurements and structural bolting torque.

6.7 INSPECTION OF DESIGN-BUILD WORK

6.7.1 Inspection and Correction.

All Design-Build Work performed by the Design-Builder or its Subcontractors shall be inspected by the Design-Builder. All nonconforming Design-Build Work and any safety hazards in the DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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work area shall be noted and promptly correcte d. The Design-Builder is responsible for the performance of the Design-Build Work safely and in conformance with Section 5.7 (Construction Safety and Security) of Appendix 5 (General Design-Build Work Requirements).

6.7.2 City Access.

The City, its employees, agents, representatives and contractors shall be permitted access to all parts of the Design-Build Work, including plants where materials or equipment are manufactured or fabricated. The presence of the City, its employees, agents, representatives and contractors shall not relieve the Design-Builder of the responsibility for the proper execution of the Design-Build Work in accordance with all requ irements of this Design-Build Contract. No act or omission on the part of the City, its employees, agents, representative and contractors (other than City Fault) shall be construed as relieving the Design-Builder of this responsibility.

6.7.3 Materials Inspection.

All materials and articles furnished by the Design-Builder shall be subject to documented inspection, by qualified personnel, and no materials or articles shall be used in the Design-Build Work until they have been inspected and accepted by the QA/QC Manager or other designated representative. Any Design-Build Work covered in the absence of inspection shall be subject to uncovering as set forth in Section 6.15 (Con struction Monitoring, Observations, Testing and Uncovering of Work) of this Design-Build Contract.

6.8 TIME OF INSPECTION AND TESTS
Whenever the Design-Builder is ready to backfill , bury, cast in concrete or otherwise cover any Design-Build Work, the City shall be notified before such covering and completion, and the City shall notify the Design-Builder of a requested in spection of any such Design-Build Work as set forth in subsection 6.15(F) (Notice of Covering Design-Build Work) of this Design-Build Contract.

Failure of the Design-Builder to properly notify the City, as required by subsection 6.15(F) (Notice of Covering Design-Build Work) of this Design-B uild Contract, in advance of any such covering or completion shall be reasonable cause for the City to request the Design-Builder take apart or uncover for inspection or testing any previously covered or completed Design-Build Work in accordance with subsection 6.15(F) (Notice of Covering Design-Build Work) of this Design-Build Contract. The costs of any uncovering, taking apart, remedial or corrective work required and all costs of such delays, including the impact on other portions of the Design-Build Work, shall be borne as set forth in 6.15(F ) (Notice of Covering Design-Bu ild Work) of this Design-Build Contract.

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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6.9 MATERIALS SAMPLING AND TESTING

6.9.1 Materials Testing and Removal.

All sampling and testing of materials shall be conducted in accordance with the methods prescribed in the current standards of the AS TM or otherwise required by the Contract Standards, as applicable to the class and nature of the article or materials considered. The City reserves the right to require the Design-Builder to use any generally accepted system of inspection that, in the opinion of the City, will ensure the City that the quality of the materials workmanship is in full accord with this Design-Build Contract. Results of such tests and analyses shall be considered along with the tests or analyses made by the Design-Builder to determine compliance with the applicable specifications for the materials so tested or analyzed.

Wherever any material, as a result of such independent testing or investigation by the City, fails to meet the requirements of this Design-Build Contract, all costs of such independent inspection and investigation and all costs of removal, correction, reconstruction, or repair of any such material shall be borne by the Design-Builder in accordance with subsection 6.15(F) (Notice of Covering Design-Build Work) and Section 6.16 (Correction of Work) of this Design-Build Contract.

6.9.2 Materials Rejection.

The City shall have the right at all times and places to reject any articles or materials to be furnished hereunder which, in any respect, fail to meet the requirements of this Design-Build Contract, regardless of whether the defects in such articles or materials are detected at the point of manufacture or after completion of the Design-Build Work at the ADFU Site. If the City, through an oversight or otherwise, has accepted materials or work which are defective or in any way contrary to this Design-Build Contract, such materials, no matter in what stage or condition of manufacture, delivery, or erection, may be rejected. The Design-Builder, at its cost and expense and without any adjustment to the Sc heduled Substantial Completion Date, shall promptly remove and replace rejected articles or materials from the ADFU Site after notification of rejection.

6.10 MATERIALS TESTING SERVICES

6.10.1 Design-Builder’s Laboratories.

The Design-Builder shall perform all tests requir ing the services of a la boratory, to determine compliance with this Design-Build Contract, using independent commercial materials testing firms acceptable to the City. The materials te sting firm’s laboratory shall be staffed with experienced technicians, properly equipped, and fully qualified to perform the tests in accordance DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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with the specified standards. The Design-Builder shall obtain the City’s acceptance of the testing firm before having testing services performed, and pay all costs for these testing services.

6.10.2 Interruptions For Testing and Sampling.

The Design-Builder shall furnish all sample mate rials and cooperate in the testing activities, including sampling, and shall interrupt the Design-Build Work when necessary to allow testing, including sampling, to be performed. The Design-Builder shall have no claim for an increase in the Guaranteed Maximum Price or extension of the Scheduled Substantial Completion Date due to such interruption. When testing activities, in cluding sampling, are performed in the field by the testing firm’s laboratory personnel, the Design-Builder shall furnish personnel and facilities to assist in the activities.

6.10.3 Test Reports.

Written reports of tests and engineering data regarding materials and equipment proposed to be used in the Design-Build Work shall be submitted by the Design-Builder for the City’s review.

The testing firm’s laboratory shall perform all laboratory tests within a reasonable time, consistent with the specified standards, and shall furnish a written report of each test. The City shall furnish one copy of each field and laboratory QA/QC test conducted by the City to the Design-Builder. The testing firm retained by the Design-Builder for material testing shall furnish a written report for each test. The Design-Bu ilder shall consecutively number each report for each type of test. The written test reports required under this Section 6.10.3 shall each be transmitted in a digital form in compliance with Section 1.2(X) (Delivery of Documents in Digital and Printed Format) of this Design-Build Contract), within three Business Days after each test is completed.

6.10.4 City’s Laboratories.

The City shall have the right to inspect work performed by the City-approved independent testing laboratory utilized by the Design-Builder, both at the ADFU Site and at the laboratory. This may include inspection of the indepe ndent testing laboratory’s internal quality assurance records (quality assurance manual, equipment calibrations, proficiency sample performance, etc.).

Testing services provided by the City, if any, ar e for the sole benefit of the City; however, test results shall be available to the Design-Builder. Testing necessary to satisfy the Design-Builder’s internal QA/QC procedures shall be the sole responsibility of the Design-Builder.

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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6.10.5 Materials to be Tested.

The Design-Builder shall provide all testing servic es in connection with the following materials as required under Good Design-Build Practice, and deliver the test reports for review by the City:
(1) Concrete materials and mix designs.
(2) Masonry units, masonry grout, mort ar materials, and design mixtures. (3) Asphaltic concrete materials and design mixtures.
(4) Embankment, fill, and backfill materials.
(5) QC testing of all precast concrete.
(6) Holiday testing of pipeline coatings.
(7) Air testing of field-welded joints for steel pipe and fabricated specials. (8) Concrete strength tests.
(9) Test of masonry prisms.
(10) Field control test of masonry.
(11) Asphaltic concrete.
(12) Magnetic particle or dye penetrant te sting of field welds for steel pipe and fabricated specials.
(13) Moisture-density and relative-density tests on embankment, fill, and backfill materials.
(14) In-place field density test on embankments, fills, and backfill. (15) Structural steel member connections.
(16) Other materials and equipment as specified herein. (17) All other tests and engineering data required for the City’s review of materials and equipment proposed to be used in the Design-Build Work.

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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6.11 INSTALLATION

6.11.1 Inspection and Measurement.

The Design-Builder shall inspect materials or equipment upon the arrival at the jobsite and immediately prior to installation, and remove damaged and defective items from the jobsite. The City shall be provided the opportunity to ob serve any such Design-Builder inspections in accordance with Section 6.15 (Construction Moni toring, Observations, Testing and Uncovering of Work) of this Design-Build Contract. The Design-Builder shall verify measurements and dimensions of the work as an integral step of starting each installation.

6.11.2 Manufacturer’s Instructions.

Where installations include manufactured prod ucts, the Design-Builder shall comply with manufacturer’s applicable instructions and recommendations for installation, to whatever extent these are more explicit or more stringent than the Contract Standards, so as not to violate manufacturers’ warranty conditions.

6.12 PERSONNEL QUALIFICATIONS
The QMP shall include a QA/QC organization chart with named individuals performing QA/QC including their experience and qualifications. The QMP shall describe staffing levels required for QA/QC and qualifications and experiences re quirements for persons performing QA/QC functions, including the following:
(a) Description of minimum qualifications and experiences that demonstrate quality management personnel have related experience and certifications. Typically, this indicates professional engineers and prof essional certified quality personnel who have a certain level of similar project experience, which may include:
(i) QA/QC Management/Supervisors should possess experience managing professional personnel in similar ci rcumstances or on similar projects; demonstrate excellent communication skills; possess a working knowledge of QA/QC and quality management; possess certification as quality professionals by appropriate certify ing bodies or have completed training courses in the quality discipline.
(ii) The Design Quality Assurance Manager must be a registered professional engineer in the State of California; may work directly for the Design- Builder or may be contracted from an independent firm or organization; DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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must have at least five years experience in projects similar in scale or scope to the Additional Digester Facility Upgrades.
(iii) The Construction Quality Assurance Manager may work directly for the Design-Builder or may be contracted from an independent firm or organization; must have at least five years of recent experience (within the past ten years) overseeing the inspection and materials testing of projects similar in scale or scope to the Additional Digester Facility Upgrades. (iv) QA and QC reviewers, inspectors, and testing technicians for design and construction must be qualified for the duties they must perform; must possess the appropriate education or experience commensurate with the job responsibilities; and must possess the necessary certifications required for assignments.
(b) Persons performing Quality Control and/or Quality Assurance functions shall be at an organizational level that reports directly to upper level management of the Design-Build firm to assure independence from the influences of the Project production staff.
(c) All key personnel performing Quality Co ntrol and/or Quality Assurance functions shall be designated as such and shall not be assigned to perform any conflicting duties.
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APPENDIX 7

DESIGN-BUILD WORK REVIEW PROCEDURES
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APPENDIX 7

DESIGN-BUILD WORK REVIEW PROCEDURES

7.1 OVERVIEW

7.1.1 Purpose.

The purpose of this Appendix is to set forth the procedures for the City’s review of each aspect of the Design-Build Work to verify that the Additional Digester Facility Upgrades has been designed and constructed in accordance with the Technical Specifications and the terms and conditions of this Design-Build Contract.

7.1.2 City Standard Specifications
This Appendix references a number of City Standard Division 01 Specifications that shall be applicable to the performance of the Design-Build Work. These specification sections include:
x 01 33 00 Submittal Procedures
x 01 33 23 Record Drawings
x 01 35 25 Web Based Design and Construction Management System x 01 60 00 Product Requirements
These City Standard Specifications, as modified for the ADFU Project, are included in Attachment 5A (Applicable City Standard Division 01 Specif ications) to Appendix 5 (General Design-Build Work Requirements).

7.2 DOCUMENTS TO BE SUBMITTED.

7.2.1 City Web-Based Design and Construction Management System The Design-Builder shall submit all submittals and resubmittals to the City using the City’s web- based management system as described in City Standard Specification Section 01 35 25, Web- Based Design and Construction Management Syst em, as modified for the ADFU Project ( see Attachment 5A (Applicable City Standard Divisi on 01 Specifications) to Appendix 5 (General Design-Build Work Requirements)).

7.2.2 Documents to be Submitted
At a minimum, the documents to be submitted during the Design-Build Period shall include the following:
(a) Baseline Schedule and any revisions to the Baseline Schedule.

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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(b) Monthly Progress Schedule updates.
(c) Short-term look ahead schedules.
(d) Intermediate design submittals for re view sessions and workshops on various materials, facilities, systems, equipment, and disciplines. (e) Final Design Documents (issued for construction).
(f) Construction submittals, includin g temporary facilities submittals ( see Section

7.5.2 (Construction Submittal Review) of this Appendix). (g) Design-Build Period Quality Management Plan.
(h) Preconstruction and post-construction photos and videos. (i) Health and Safety Plan and updates, if any.
(j) Transportation and site access analysis.
(k) Contaminated materials health and safety plan.
(l) Contaminated soil management plan.
(m) Lead abatement work plan.
(n) Water pollution control plan.
(o) Project shutdown requests (PSRs).
(p) Maintenance of Operations Duri ng Construction Plan and updates. (q) Commissioning Plan.
(r) Acceptance Test Plan.
(s) Training Plan.
(t) Acceptance Test report.
(u) Operations and Maintenance Manual.
(v) CMMS Plan.

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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(w) Standard Operating Procedures (SOPs).
(x) Applications and supporting documents required for Governmental Approvals. (y) Record drawings and record specificat ions and other closeout documents. (z) Other submittals listed in Specificatio n Section 01 33 00, Submittal Procedures, as modified for the ADFU Project ( see Attachment 5A (Applicable City Standard Division 01 Specifications) to Appendix 5 (General Design-Build Work Requirements)).

In addition, other submittals may be required by individual Appendices and other Applicable City Standard Division 01 Specifications. All documents shall be submitted in accordance with the Document Submittal Procedures (prepared pursuant to Preliminary Services Task #1 (Project Management), as described in Appendix 2 (Preliminary Services), and updated as provided in Section 7.5.2 (Construction Submittal Review) of this Appendix) and City Standard Specification 01 33 00, Submittal Procedures, as modified for the ADFU Project (see Attachment 5A (Applicable City Standard Division 01 Specifications) to Appendix 5 (General Design-Build Work Requirements)).

7.2.3 Design-Construction Work Package Information.

The Design-Builder shall have flexibility with how it organizes and performs design-construction work packages so that it can proceed with ordering any necessary equipment or commence with any necessary construction activities such as civil-site work prior to the 100% design; provided, however, such construction or ordering of equipment prior to the 100% design shall not negatively affect the remaining Design-Build Work, the Design-Build Price or the Design-Build Period Work Schedule. The Design-Builder sh all provide the following information in the appropriate design-construction work package in accordance with the Document Submittal Procedures:
(a) Specifications, Design Narratives and Lists:
(1) Project design criteria,
(2) Specifications list,
(3) Process systems piping line list,
(4) Process system valve list,
DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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(5) Electrical loads list,
(6) Major equipment list (process, mechan ical, electrical, instrumentation and control, support systems, other),
(7) Proprietary technology/equipment list,
(8) Specifications for major equipment,
(9) Narrative description of the following systems: controls, remote monitoring and operating capability, voice and data communications and security, and
(10) Specifications (general requirements, civil, structural, architectural, equipment, specialties, mechanical , and electrical and instrumentation and controls sections).
(b) Drawings, in both three-dimensional el ectronic and standard design formats:
(1) Cover sheet,
(2) Drawing index,
(3) Process flow diagram for all primary and secondary processes, (4) Layout of the ADFU Site,
(5) Major outside piping layout,
(6) Layout of operations building,
(7) ADFU Site master planning layouts,
(8) Landscape inventory plan,
(9) Landscape and irrigation plans,
(10) ADFU Site grading and utility pl ans, with sections as needed for construction clarity or dimensioning,
(11) Surface drainage system and features plans and details, DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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(12) Fire protection and security system plans,
(13) ADFU Site sections and details,
(14) Process and support facilities general arrangement plans, with sections as needed for construction clarity or dimensioning,
(15) Transfer pumping and export pump ing system plans, sections and details, (16) DS Storage Tanks; polymer storage, blending and dosing equipment; centrifuge system; dewatered cake storage, conveyance and loadout system,
(17) Piping system plans, sections and details,
(18) Major building structure foundation plans and sections, (19) Major building and structure floor plans,
(20) Major building and structure ex terior elevations and sections, (21) Typical sections through all major wa ll, roof and floor sections of major buildings and structures,
(22) Architectural door, window, finish and hardware schedules and details, (23) Architectural renderings,
(24) Non-process mechanical systems plans, details and schedules, (25) Electrical site plan & building electrical system plan, (26) Electrical one line drawing,
(27) Process and Instrumentation diag rams for all primary and secondary processes,
(28) DCS System network drawings, and
(29) Instrumentation and control system drawings, including loop drawings illustrating the functional elements in the path of the sensor to each control system input/output (ISA S5.4).

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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7.3 CITY REVIEW DURING GOVERNMENTAL APPROVAL PROCESS
The Design-Builder’s responsibilities for obtaining and maintaining the Governmental Approvals required for construction of the Additional Dige ster Facility Upgrades are described in Section

6.5 (Permitting Responsibilities and Schedule) of this Design-Build Contract and Appendix 3 (Governmental Approvals). The City shall have the right to review and comment on Design- Builder submittals as provided by Section 6.5 (P ermitting Responsibilities and Schedule) of this Design-Build Contract and this Appendix. Unless otherwise approved by the City in writing, Governmental Approval applications shall not include design specifications or drawings that the City has not previously reviewed. For all Governmental Approval applications, the Design-Builder shall provide draft copies of the applications and supporting documents for City review and comment. The City’s review will not diminish th e Design-Builder’s responsibility for timely submittals of complete applications for Governme ntal Approvals. The City may attend Design- Builder meetings with permitting agencies and help arrange for agency reviews and meetings.

7.4 CITY DOCUMENT REVIEW

7.4.1 City Review Responsibilities.

On or before the Construction Commencement Date, the Design-Builder shall submit updated Document Submittal Procedures that address the submittal of the Final Design Documents (the “Final Design Submittal Protocol ”). In accordance with the Final Design Submittal Protocol, the City shall review the Design-Builder’s Final Design Documents for compliance and consistency with the final 60% Design, design-construction work package documents for compliance and consistency with the Final Desi gn Documents and both for overall compliance with the requirements of this Design-Build Contra ct. The City’s input during finalization of the design documents and preparation and finalizatio n of design-construction work packages shall be solicited by the Design-Builder on a timely basis so as to provide adequate periods for review by the City, revisions by the Design-Builder and final review by the City without negatively impacting the Design-Build Period Work Schedule. The City shall make reasonable efforts to bring staff or representatives with review and decision-making authority to the work sessions as requested and scheduled by the Design-Builder. The Design-Builder shall provide the City with advance notice of the work sessions and agenda to pics to facilitate the City’s scheduling of the appropriate participants for the work sessions. The Design-Builder shall provide the City with Final Design Documents before commencing any co nstruction activity, except as provided in Section 7.2.3 (Design-Construction Work Package Information) of this Appendix. Construction activities shall not vary from the Final Design Documents submitted to the City except where such variations are allowed, subject to the City’s and applicable Governmental Body’s review and DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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approval. Adherence to the Final Design Docume nts as well as to the Technical Specifications during work completion shall be a factor used by the City in its review and approval of the Design- Builder’s Payment Requests during construction.

7.4.2 Changes to Technical Specifications.

Any change requested by the Design-Builder to th e Technical Specifications (regardless of prior oral discussion) must be clearly identified by the Design-Builder in its cover letter that transmits the submittal and must be fully documented with compelling justification of the Design-Builder’s request for a change to the Technical Specifications and the benefits to the City for consenting to such a change. Any such change shall comply with the requirements set forth in Article 6 (Design-Build Period Work) of this Design-Build Contract, as applicable. No change to the Technical Specifications shall be made except wi th the City’s approval pursuant to Section 6.7 (Changes to the Technical Specifications at De sign-Builder Request) of this Design-Build Contract. The Design-Builder shall assume all ri sks associated with obtaining City approval of any change to the Technical Specifications.

The Design-Builder and the City shall periodically review the Document Submittal Procedures, which define key submittals and the target submittal dates, and develop a submittal review schedule for each submittal based on the content and criticality of each submittal. The City shall complete its review of each submittal in a timely manner based on such target submittal dates in order to determine that the Design-Build Work conforms to the Technical Specifications and other Contract Standards.

7.4.4 Time for Design-Builder Response.

For each submittal, the City shall provide written comments in a tabular summation describing any concerns, problems, or assertions of no n-compliance with the applicable Contract Standards. The tabular summation shall be on a form created mutually by the Design-Builder and the City, with provisions on the form for the Design-Builder’s responses. The Design-Builder shall provide a written response to the City’s comments within 15 Business Days of receipt of the City’s comments, primarily through us e of the tabular summary form, including documentation of responses and agreed-upon action items.

7.4.5 Design-Build Progress Meetings.

For the purpose of facilitating a timely review process, the Design-Builder shall schedule design- build progress meetings with the City on a routine basis and at least monthly (unless both parties DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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agree that more frequent meetings are required) throughout the design finalization and design- construction work package development peri od. Any outstanding review comments not satisfactorily resolved shall be transferred to an issues tracking form by the Design-Builder for subsequent follow-up. The primary purpose of these meetings shall be to discuss overall Design- Builder work progress, the conformance of the design and design-construction work packages to the Technical Specifications, and to address ou tstanding issues arising from the review and response process. The status and issues of rela ted permitting and early construction activities may also be included as agenda items for each design-build progress meeting. These meetings shall be held in the City’s offices, or another location agreed to by the City. Design-Builder representatives with responsibility for design an d construction shall participate in the meeting.

Similarly, the City shall be appropriately re presented by individuals with knowledge and authority for decision making at the meeting.

7.4.6 Design Submittals During Construction.

It is anticipated that there could be some rede sign or design clarifications needed during construction. Additional design work by the Design-Builder shall be subject to the City’s review for compliance and consistency with applicable Te chnical Specifications. Design changes to a particular Final Design Document performed following the issuance of the Final Design Document for construction shall be issued under a Design Chan ge Notice (DCN) process that accurately tracks and documents changes to the design. No later than 30 days prior to initiation of construction, the Design-Builder shall submit to the City any DCNs issued up to that date.

The City shall be provided with copies of all DCNs in a timely manner to allow review, comment, and, where appropriate, approval in the same m anner as set forth with respect to the initial design. Design clarifications shall be issued in a timely manner using a similar procedure. If a DCN requires a material change from what was reflected in the applications for Governmental Approvals, the DCN must be approved by the ap propriate Governmental Body if required by Applicable Law.

7.4.7 Design Change Authority.

The Design-Builder shall be responsible for pr oviding design changes to the Final Design Documents necessary to complete the Project in accordance with this Design-Build Contract. All such changes shall be implemented in accordance with the DCN process described above, and in accordance with this Appendix. No DCN shall operate to change the Technical Specifications unless approved by the City in writing. Any DCN which requests a change to the Technical Specifications shall be subject to the City’s rights under subsection 7.4.2 (Changes to Technical Specifications) of this Appendix.

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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7.5 CITY CONSTRUCTION REVIEWS AND INSPECTION

7.5.1 Construction Review Intent.

The City and its designated representatives, including the Owner’s Advisor, shall have the right, as provided in this Appendix, to periodically to review and inspect construction activities and participate in construction progress meetings as needed to verify compliance with the Contract Standards. In addition, the City shall have the right to monitor the progress of construction work and verify all applications for payment covering all construction work performed during the preceding calendar month in accordance with the procedures set forth in Article 9 (Compensation for Design-Build Period Work) and Appendix 8 (Des ign-Build Price). Notwithstanding the City’s review of construction activities, the Design-Builder shall be fully responsible for means, methods, techniques, sequences, and procedures of construction, as well as safety precautions and programs in the performance of the Design-Build Period Work. The City’s review and involvement in construction activities is intended for the informational purposes of the City and to monitor compliance with this Design-Build Contract. Such activities shall also be a part of the City’s independent quality assurance process and shall not be viewed as an additional layer or integral part of the Design-Build Period Quality Management Plan.

7.5.2 Construction Submittal Review.

The Design-Builder shall submit an updated Do cument Submittal Procedures that addresses the submittal of construction submittals (the “ Construction Submittal Protocol ”) to the City.

The Construction Submittal Protocol shall provide for concurrent City and Engineer-of-Record review, and shall be prepared in consultation with the City, and specifically identify any construction submittals that the City deems as being “semi-critical” and “critical” submittals and, therefore, subject to the applicable restrict ions set forth in this Section. Attachment 7A (Semi-Critical and Critical Constru ction Submittals) to this Append ix will include a list of the City’s semi-critical and critical submittals as of the Definitive Contract Amendment Date. During the performance of Construction, the Design-Builder shall submit construction submittals to the City in accordance with the Co nstruction Submittal Protocol and identify whether any such submittal is a semi-critical or critical submitta l under the Construction Submittal Protocol. In accordance with the Construction Submittal Protocol, the City shall review the Design-Builder’s construction submittals for comp liance and consistency with the Final Design Documents and for overall compliance with the Contract Standards.

The Design-Builder and the City shall periodically review the Construction Submittal Protocol, which defines key construction submittals and the target submittal dates, and develop a submittal review schedule for each construction submittal based on the content and criticality DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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of each submittal. The City shall complete its review of each construction submittal in a timely manner based on such target submittal date s, not to exceed 7 Business Days for any construction submittal deemed to be semi-critica l and 10 Business Days for any construction submittal deemed to be critical under the Construction Submittal Protocol and Attachment 7A (Semi-Critical and Critical Construction Submittals) to this Appendix, in order to determine that the Design-Build Period Work is consistent wi th the Final Design Documents and for overall compliance with the Contract Standards. The Design-Builder shall not proceed with the performance of additional Design-Build Period Work that is the subject of any construction submittal deemed to be semi-critical under the Construction Submittal Protocol and Attachment 7A (Semi-Critical and Critical Construction Submittals) to this Appendix prior to the expiration of the City’s review period; provided that the Design-Builder may proceed with such Design-Build Period Work prior to resolution of any City comments to semi-critical construction submittals in the event the City’s comments do not relate to compliance with the Fina l Design Documents or Contract Standards. Notwithstanding any City review period set forth in the Construction Submittal Protocol and the maximum 10 Business Day City review period specified in this Section, the Design-Builder shall not proceed with the performance of additional Design-Build Period Work that is the subject of any construction submittal deemed to be critical under the Construction Submittal Protocol and Attachment 7A (Semi-Critical and Critical Construction Submittals) to this Appendix prior to receipt of approval to perform such Design-Build Period Work from the City. In the event the critical construction submittal demonstrates that the Design-Build Period Work is consistent with the Final Design Documents and the Contract Standards, any delay caused by the City’s review and approval beyond the maximum 10 Business Day review period for the City specified in this Section shall be treated as having been caused by an Uncontrollable Circumstance and the Design-Builder may be entitled to a delay in the Scheduled Substantial Completion Date and any costs incurred with respect to such delay shall be costs for the account of the City in accordance with Article 15 (Uncontrollable Circumstances) of this Design-Build Contract.

7.5.3 “Or Equals”.

Whenever an item of material or equipment is specified in the Technical Specifications by using the name of a proprietary item or the name of a particular supplier, and is followed by the words “or equal”, material or equipment of other suppliers may be considered in accordance with the “or equal” provisions of City Standard Specification 01 60 00, Product Requirements, as modified for the ADFU Project ( see Attachment 5A (Applicable City Standard Division 01 Specifications) to Appendix 5 (General Design-Build Work Requirements)). The City shall determine, acting reasonably, the acceptability of proposed “or eq ual” items associated with the Design-Build DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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Period Work. The Design-Builder shall allocate adequate time in the Document Submittal Procedures for the City to review and approve all “or equal” items for the Design-Build Period Work. Any delays resulting from submittal of “o r equal” items later than as set forth in the Document Submittal Procedures shall be the resp onsibility of the Design-Builder. The Design- Builder’s design personnel shall be permitted to review proposed “or equal” suppliers for the balance of the Design-Build Period Work.

7.5.4 Named Suppliers.

Whenever an item of material or equipment is specified in the Technical Specifications by using the name of a proprietary item or the name of a particular supplier, and is not followed by the words “or equal”, the Design-Builder shall provide the named material or equipment.

7.5.5 Functionally Equal.

If, in the City’s reasonable discretion, an item of material or equipment proposed by the Design- Builder for the Design-Build Period Work is functionally equal to that named, it may be considered by the City as an “or equal” item. A proposed item of material or equipment shall be considered functionally equal to an item so named if:
(a) the City determines that:
(1) it is at least equal in quality, dura bility, appearance, strength, and design characteristics; and
(2) it shall reliably perform at least eq ually well the function imposed by the design concept of the completed Additi onal Digester Facility Upgrades as a functioning whole; and
(b) the Design-Builder certifies that it shall conform substantially, even with deviations, to the detailed requirements of the item named in this Design-Build Contract.

7.5.6 Corrections and Changes.

The procedures to be followed for correction of non-conforming Design-Build Period Work and for instituting changes and additions to such work are set forth in Article 6 (Design-Build Period Work) of this Design-Build Contract.

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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7.5.7 Requests for Information.

The Design-Builder shall periodically request th e City to review and answer a request for information (RFI). The City shall complete its review of each RFI in a timely manner, not to exceed 5 Business Days. RFIs shall follow a similar crit ical and semi-critical approach consistent with construction submittals. When an RFI is transmitted to the City, the Design-Builder shall indicate if the RFI is non-critical, semi-critical, or critical, as it relates to the same specification sections identified in the Construction Submittal Protocol. The Design-Builder shall not proceed with the performance of additional Design-Build Work that is the subject of any RFI deemed to be semi-critical prior to the expiration of the Ci ty’s review period. The Design-Builder shall not proceed with the performance of additional Design-Build Period Work that is the subject of any RFI deemed to be critical prior to receipt of an answered RFI to perform such Design-Build Period Work from the City. In the event the critical RFI demonstrates that the Design-Build Period Work is consistent with the Final Design Documents and the Contract Standards, any delay caused by the City’s review and approval beyond the 5 Business Day City review period specified in this Section shall be treated as having been caused by an Uncontrollable Circumstance and any costs incurred with respect to such delay shall be costs for the account of the City in accordance with Article 15 (Uncontrollable Circumstances).

7.6 RECORD DRAWINGS AND RECORD SPECIFICATIONS
At the completion of construction, the Design-Bu ilder shall prepare and submit to the City two complete sets of record drawings and record specifications for the Additional Digester Facility Upgrades as built. The record drawings and re cord specifications shall be submitted in accordance with the Document Submittal Proc edures. The record drawings and record specifications shall be prepared in accordan ce with the Contract Standards, including the requirements of City Standard Specification 01 33 23, Record Drawings, as modified for the ADFU Project ( see Attachment 5A (Applicable City Standard Division 01 Specifications) to Appendix 5 (General Design-Build Work Requirements)), and shall include all electrical and control wiring schematics/diagrams. The Design-Builder shall obtain the City’s approval of the record drawings and record specifications as a condition of Final Completion. The City’s approval of the record drawings and record specifications shall not be unreasonably withheld. [REMAINDER OF PAGE INTENTIONALLY LEFT BLANK]

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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ATTACHMENT 7A

SEMI-CRITICAL AND CRITICAL CONSTRUCTION SUBMITTALS
DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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ATTACHMENT 7A

SEMI-CRITICAL AND CRITICAL CONSTRUCTION SUBMITTALS

[ATTACHED]

[NOTE: The list of Semi-Critical and Critical Construction Submittals will be inserted into this Attachment 7A prior to execution of the Definitive Contract Amendment, based on the proposed list of submittals in the City-accepted Definitive Project Submittal.] DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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[LIST OF SEMI-CRITICAL AND CRITICAL CONSTRUCTION SUBMITTALS TO BE INSERTED] DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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APPENDIX 8

DESIGN-BUILD PRICE
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APPENDIX 8

DESIGN-BUILD PRICE

8.1 OVERVIEW

8.1.1 Purpose.

The purpose of this Appendix is to set forth the procedures and requirements for determining (1) the Design-Build Price, and (2) the Guaranteed Maximum Price.

8.1.2 Separate Compensation for Each Definitive Contract Amendment.

Unless otherwise agreed to by the City, in writing, in the event multiple Definitive Contract Amendments to implement different portions of the Project are executed (see subsection 5.9(E) (Potential for Multiple Definitive Project Submittals and Definitive Contract Amendments) of this Design-Build Contract), the Design-Builder shall be compensated for Design-Build Period Work performed with respect to each Definitive Contract Amendment separately from Design-Build Period Work performed pursuant to another Definitive Contract Amendment. Accordingly, the Design-Builder shall keep separate books, reco rds, and accounts for each Definitive Contract Amendment, treating each Definitive Contract Amendment as if it were a separate and independent project for compensation and accounting purposes. All costs of Design-Build Period Work that are incurred by the Design-Builder with respect to the Project as a whole, rather than with respect to a particular Definitive Contract Amendment, shall be allocated among the Definitive Contract Amendments in the manner specifically provided for in the Definitive Contract Amendments, or as otherwise determined by the City, acting reasonably.

8.2 DESIGN-BUILD PRICE

8.2.1 Payment.

The City shall pay the Design-Builder the Design -Build Price for its performance of the Design- Build Period Work, subject to the Guaranteed Maximum Price established in accordance with Section 8.7 (Guaranteed Maximum Price) of this Appendix.

8.2.2 Design-Build Price Defined.

The “Design-Build Price” shall be an amount equal to the sum of:
(a) The Design-Build Period Costs;
(b) The General Conditions Fee; and
(c) The Design-Builder Fee,
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all subject to the following:
(d) The Design-Build Price shall not include Unallowable Costs, all of which shall be borne by the Design-Builder without payment or reimbursement by the City; (e) The only compensation payable for General Conditions Costs is the General Conditions Fee; and
(f) The Design-Build Price shall not exceed the Guaranteed Maximum Price.

8.2.3 Related Definitions.

As used in this Design-Build Contract, the fo llowing terms shall have the meanings set forth below:
(a) “ Allowance Items ” means services, scop es, materials, or equipment that the parties have identified as being compensable through an allowance pursuant to the Definitive Contract Amendment or an Early Work Package Amendment. (b) “ Allowance Values” means the reasonable estimates for the Allowance Items that includes the costs set forth in the Definitive Contract Amendment or an Early Work Package Amendment, as applicable.
(c) “ Caltrans” means the California State Department of Transportation. (d) “ Design-Builder Contingency ” has the meaning specified in Attachment 8C (Schedule of Values and Design-Builder Contingency) of this Appendix, as approved by the City pursuant to the Definitive Contract Amendment, which amount may be utilized as set forth in Attachment 8C (Schedule of Values and Design-Builder Contingency) of this Appe ndix. The Design-Builder Contingency specified in the Definitive Contract Am endment is a subcomponent of the Base Guaranteed Maximum Price
(e) “ Design-Builder Fee” has the meaning specified in Section 8.6 (Design-Builder Fee) of this Appendix.
(f) “ Design-Build Period Costs ” has the meaning specified in Section 8.3 (Design- Build Period Costs) of this Appendix.

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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(g) “ Design-Build Price ” has the meaning specified in Section 8.2.2 (Design-Build Price Defined) of this Appendix.
(h) “ General Conditions Costs ” has the meaning specified in Attachment 8A (Description of General Conditions Costs) hereto.
(i) “ General Conditions Fee ” has the meaning specified in Section 8.5 (General Conditions Fee) of this Appendix.
(j) “ Guaranteed Maximum Price ” has the meaning specified in Section 8.7 (Guaranteed Maximum Price) of this Appendix.
(k) “ Unallowable Costs” has the meaning specified in Section 8.4 (Unallowable Costs) of this Appendix.
(l) “ Uncontrollable Circumstance Costs ” means, subject to Article 15 (Uncontrollable Circumstances), Section 18.7 (General Duty to Mitigate), and the other terms and conditions of this Design-Build Contract, any Design-Build Period Costs paid by the Design-Builder to the extent that such Design-Build Period Cost has been paid due to the occurrence of an Uncontrollable Circumstance.

8.2.4 Certification and Cost Substantiation.

Each Payment Request shall:
(a) Comply with and be submitted in accordance with the procedures and requirements of Article 9 (Compensation for Design-Build Period Work) of this Design-Build Contract.
(b) Be presented by element of the Design-Build Price, reflecting the Schedule of Values, line item and Design-Builder Contingency requirements of this Appendix; (c) If Uncontrollable Circumstance Cost s are being invoiced, present such Uncontrollable Circumstance Costs separately from other Design-Build Period Costs.
(d) If costs resulting from Subcontractor or Supplier delay or non-performance are being invoiced against the Design-Builder Contingency, present such costs separately from other Design-Build Peri od Costs for purposes of reimbursement DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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from potential recoveries by the Design-Builder as provided in Attachment 8C (Schedule of Values and Design-Builder Contingency) of this Appendix. (e) For Design-Build Period Costs payable on a reimbursable basis, provide Cost Substantiation for the Design-Build Period Cost for which reimbursement is sought, including copies of all docu mentation reasonably necessary to demonstrate that the reimbursable Design-Build Period Cost has been paid or incurred.
(f) For Design-Build Period Costs payable on a lump sum basis, provide copies of all documentation reasonably necessary to demonstrate the value of the Design- Build Period Work in place.

All such documentation shall be in a format and a level of detail reasonably acceptable to the City. The Schedule of Values sh all set forth those items that will be payable on a reimbursable basis (item (d) above) and on a lump sum basis (item (f) above).

8.2.5 Relation to General Conditions Costs
Section 8.5 (General Conditions Fee) of this Ap pendix obligates the City to pay a fixed General Conditions Fee to the Design-Builder. The Gene ral Conditions Fee is intended to compensate the Design-Builder for General Conditions Cost s, and is payable whether the actual General Conditions Costs are hi gher or lower than the amount of the General Conditions Fee.

Accordingly, Design-Build Period Costs sha ll not include any costs constituting General Conditions Costs.

8.2.6 Discounts, Rebates and Refunds.

All cash discounts, trade discounts, rebates, re funds and returns from the sale of surplus materials and equipment shall be reported and accrue to the benefit of the City and serve to offset the Design-Build Period Costs.

8.2.7 Allowance Items and Allowance Values
If applicable and requested by the City, all Allowance Items and corresponding Allowance Values will be set forth in the Definitive Contract Am endment or Early Work Package Amendment, as applicable, and will be included within the Base Guaranteed Maximum Price or Early Work Package Price, as applicable, set forth therein. The terms and conditions governing the use of all Allowance Values for Allowance Items shall be as set forth in the respective Definitive Contract Amendment or Early Work Package Amendment.

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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8.3 DESIGN-BUILD PERIOD COSTS
“Design-Build Period Costs” means the reasonable and necessary costs paid or incurred by the Design-Builder in the proper performance of the Design-Build Period Work (including costs resulting from the occurrence of the risks assumed by the Design-Builder under this Design- Build Contract) that (1) are described in and me et the requirements of this Section 8.3, and (2) are not Unallowable Costs.

As used in this Section, “reasonable and necessary costs paid or incurred by the Design-Builder in the proper performance of the Design-Build Period Work” includes (1) costs of Design-Build Period Work necessitated by ordinary mistakes or inadvertence; (2) costs incurred in repairing or correcting defective, damaged or non-conforming Design-Build Period Work (including any warranty or corrective Design-Build Period Wo rk performed after Substantial Completion; (3) additional costs incurred due to Subcontractor delay or non-performance; (4) costs incurred in performing corrective action needed to address a failure of the Acceptance Test to demonstrate compliance with the Acceptance Standards; and (5 ) Uncontrollable Circumstances Costs, in all cases except to the extent any such costs cons titute Unallowable Costs. The Design-Builder Contingency may be used to pay such costs with respect to items (1) through (4) as provided in Attachment 8C (Schedule of Values and Design-Builder Contingency) of this Appendix.

8.3.1 Third-Party Professional Services Fees.

Except to the extent that any of the following costs are supervisory and administrative personnel costs, and, as such, constitute General Cond itions Costs payable as part of the General Conditions Fee, the third-party professional serv ices costs that constitute Design-Build Period Costs consist of fees and expenses payable by the Design-Builder for professional services under third-party professional services Subcontra cts for licensed professional engineering, architectural and land surveying firms, as well as other professional services, to the extent necessarily and directly incurred in connection with the Design-Build Period Work and excluding Unallowable Costs. The rates for all technical and other professionals performing services under third-party professional services Subcontracts sha ll be calculated on the basis of the rates set forth in Attachment 8B (Design- Builder's Personnel Cost Schedule) to this Appendix or, if an applicable rate is not set forth therein, on the basis of prevailin g market rates for professionals performing similar services on projects of similar size and scope to the Design-Build Period Work (subject, on each occasion, to the initial and cont inuing approval of the City in advance of the performance of the relevant Design-Build Period Work).

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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8.3.2 Design-Build Period Work Subcontractor Costs.

Design-Build Period Costs include construction, major equipment and other non-professional Subcontractor costs not to exceed an amount equal to the amounts properly payable by the Design-Builder to such Subcontractors for Design-Build Period Work performed under Subcontracts entered into in accordance with th e procedures and requirements set forth in Section 7.4 (Self-Performance and Subcontractor Se lection) of this Design-Build Contract. No Subcontract shall provide for payment of Unallowable Costs.

The price payable to all Subcontractors for wo rk performed under Construction Subcontracts (including Construction Subcontractor overhead and mark-ups for risk and profit in respect of labor, materials, equipment and supplies) shall be commercially reasonable. For any Design- Build Period Work that is not competitively proc ured on a fixed price basis in accordance with subsection 7.4(F) (Competitive Procedures for Construction Work) of this Design-Build Contract, mark-up for any higher tier Construction Subcontractor with respect to work performed by its direct lower-tier Construction Subcontractors sha ll not exceed 5% of the amount paid to such direct lower-tier Construction Subcontractor unless expressly agreed to by the City in writing.

The costs of labor for all non-professional emplo yees of Subcontractors shall be consistent with item (a) of Section 8.3.3 (Design-Builder’s Own Labor Costs) of this Appendix unless otherwise approved in writing by the City.

8.3.3 Design-Builder’s Own Labor Costs.

Inclusion of costs associated with professional employees and Key Personnel as part of General Conditions Costs that are payable through the lump sum General Conditions Fee will be considered and discussed during the negotiations of the Definitive Contract Amendment.] The costs for such personnel of the Design-Builder who perform technical and other professional services shall be calculated on the basis of the rates set forth in Attachment 8B DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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(Design-Builder’s Personnel Cost Schedule) to this Appendix or, if an applicable rate is not set forth therein, on th e basis of prevailing market rates for professionals performing similar services on projects of similar size and scope to the Design-Build Period Work (subject, on each occasion, to the initial and continuing approval of the City in adva nce of the performance of the relevant Design-Build Period Work). The rates set forth in Attachment 8B (Design- Builder's Personnel Cost Schedule) to this Appendix will be escalated as and to the extent provided in Attachment 8B (Design-Builder's Personnel Cost Schedule) to this Appendix. The costs of labor for non-professional personnel of the Design- Builder who perform Design-Build Period Work shall be calculated on the basis of prevailing wage rates reasonably paid or incurred by the Design-Builder in accordance with subsection 7.2(D) (Prevailing Wage Rate) of this Design-Build Contract. All wages actually paid that are in excess of the prevailing wages in the performance of Design-Build Period Work shall be subject, on each occasion, to the initial and continuing approval of th e City in advance of the performance of the relevant Design-Build Period Work (including City prior approval of and payment of the overtime prevailing wage rate). The adjustments for wages and salaries of non-professional employees, to account for inflation, will be reflected in the applicable prevailing wage rate schedules established by the State. (b) Wages or salaries of off-site direct em ployees of the Design-Builder stationed at the Design-Builder’s principal or branch offices and performing Design-Build Period Work, but only to the extent such personnel are identified in Attachment 8B (Design-Builder’s Personnel Cost Schedule) to this Appendix and are performing the function set forth therein. The costs for such personnel shall be calculated on the basis of the rates set forth in Attachment 8B (Design-Builder’s Personnel Cost Schedule) to this Appendix.
(c) With the prior written consent of the City, wages or salaries of other off-site direct employees of the Design-Builder performing Design-Build Period Work. The cost for such personnel who perform technical and other professional services shall be calculated on the basis of those rates set forth in Attachment 8B (Design-Builder's Personnel Cost Schedule) to this Appendix or, if an applicable rate is not set forth therein, on the basis of prevailing mark et rates for professionals performing similar services on projects of similar size and scope to the Design-Build Period Work (subject, on each occasion, to the initial and continuing approval of the City in advance of the performance of the relevant Design-Build Period Work). The DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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costs of labor for all non-professional em ployees of the Design-Builder shall be consistent with item (a) of this Section 8.3.3.
(d) Subject to Section 8.3.6 (City Travel Policy Cost Limits) of this Appendix, the reasonable cost of travel, accommodations and meals for the Design-Builder’s and primary design Subcontractor’s pers onnel incurred outside of the City metropolitan area, necessarily and dire ctly incurred in connection with the performance of the Design-Build Period Work (e.g., attendance at factory testing), as approved by the City and consistent with the City’s policies for payment of such costs.

8.3.4 Costs of Materials, Equipment and Supplies.

Except to the extent any of the following consti tute General Conditions Costs or costs paid or incurred under Subcontracts described in Section 8.3.2 (Design-Build Period Work Subcontractor Costs) of this Appendix, the follo wing shall constitute Design-Build Period Costs (subject to Section 8.3.7 (Equipment Rental Cost s) of this Appendix with respect to equipment rental costs):
(a) Costs, including transportation, inspection, testing, storage and handling, of materials, equipment, systems and supplies incorporated, to be incorporated or reasonably used in completing the Design-Build Period Work; provided, however, that if the Design-Builder is the manufacturer or producer of materials, the reasonable cost to the Design-Builder of their manufacture and production shall be subject to prior written approval of the City as a pre-condition to reimbursement.
(b) Costs of materials, equipment and supplies, described in item (a) of this Section

8.3.4, in excess of those actually inst alled to allow for reasonable waste and spoilage. Unused excess materials, equipment and supplies, if any, shall become the City’s property at the completion of the Design-Build Period Work or, at the City’s option, shall be sold by the Design-Builder. Any amounts realized from such sales shall be credited to the City as a deduction from the Design-Build Price. (c) Costs, including transportation and storage, installation, maintenance, dismantling and removal of materials, su pplies, temporary facilities, machinery, equipment and hand tools not customarily owned by the construction workers, that are provided by the Design-Builder at the ADFU Site and fully consumed in DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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the performance of the Design-Build Period Work; and costs (less salvage value) of such items if not fully consumed, whether sold to others or retained by the Design-Builder. The basis for the cost of items previously used by the Design- Builder shall be fair market value.
(d) Rental charges and the costs of transpo rtation, installation, minor repairs and replacements, dismantling and removal of temporary facilities, machinery, equipment and hand tools not customarily owned by the construction workers, which are provided by the Design-Builder at the ADFU Site, whether rented from the Design-Builder or others, and incurred in the performance of the Design-Build Period Work.
(e) Costs of materials and equipment suitably stored off the ADFU Site at a mutually acceptable location, if approved in advance in writing by the City. (f) Any sales commissions related to the foregoing.

8.3.5 Other Costs.

Except to the extent any of the following constitute General Conditions Costs, the following shall constitute Design-Build Period Costs:
(a) Costs of conducting Commissioning and the Acceptance Test. (b) Premiums for Project-specific Required Insurance that the Design-Builder is obligated to obtain and maintain in ac cordance with Article 14 (Insurance) and Appendix 12 (Insurance Requirements) of this Design-Build Contract. (c) Premiums for Project-specific insurance which the Design-Builder requests and the City approves, such approval not to be unreasonably withheld. (d) Premiums for the Performance Bond and the Payment Bond. (e) Costs of handing, removal and disposal of Regulated Substances and remediating Regulated Site Conditions (except as pr ovided in subsection 6.4(E) (Design- Builder Responsibilities) of this Design-Build Contract). (f) Fuel and utility costs paid or incurred in the performance of the Design-Build Period Work.

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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(g) Sales, use or similar taxes, tariffs or duties imposed by a Governmental Body and incurred by the Design-Builder in the performance of the Design-Build Period Work for which the Design-Builder is not able to obtain an exemption under Applicable Law.
(h) Costs for obtaining and maintaining Design-Builder Managed Governmental Approvals and assisting the City in obtaining and maintaining City Managed Governmental Approvals.
(i) Fees of laboratories for tests required by this Design-Build Contract. (j) Royalties and license fees paid for the use of a particular design, process or product required by this Design-Build Contract.

8.3.6 City Travel Policy Cost Limits.

Posted City travel expense guidelines, as in effe ct from time to time, shall prevail over actual travel expenses incurred by the Design-Builder in any reimbursement of Design-Build Period Costs relating to travel. Such guidelines provide for the reim bursement of mileage and other travel-related expenses to the same extent that the City reimburses its employees pursuant to the Employee Travel Policy (City Policy Manual, Sections 1.8.2 and 1.8.3).

8.3.7 Equipment Rental Costs.

Unless otherwise approved by the City, in writing, with respect to a particular item of equipment, the rental costs for equipment, whether owned by the Design-Builder or Subcontractors or rented from others, payable to the Design-Builder hereunder shall be based on the Design-Builder’s posted fleet rates and not exceed the amount determined based on the following principles:
(a) Rates and quantities of equipment rented shall not exceed those rates set forth in the Caltrans “Labor Surcharge and Equipment Rental Rates” book (available at:
https://dot.ca.gov/programs/construction/equipment-rental-rates-and-labor- surcharge) (the “Caltran’s Rental Rate Book”) in effect for the period of the rental. (b) If no listing of rental rate for the item of equipment is in the Caltran’s Rental Rate Book, the City shall determine the reasonable maximum rate of rental cost of the particular item of equipment by other means as the City, acting reasonably, determines appropriate. If the Caltran’s Rental Rate Book is no longer in publication, the City shall have the right to establish another viable source.

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(c) If the City determines that the nature or size of the equipment used by the Design- Builder in connection with the Design-B uild Period Work is larger or more elaborate (as applicable) than the size or nature of the minimum equipment determined by the City, acting reasonably, to be suitable for the relevant Design- Build Period Work, the reasonable rental shall not be based on the equipment used by the Design-Builder, but shall be based on the minimum equipment determined by the City to have been suitable for the performance of such Design- Build Period Work.
(d) The Design-Builder shall submit a request to be compensated based on the actual price of a rental or actual costs associated with an item of equipment that exceeds the applicable rates in the Caltran’s Rent al Rate Book described above prior to incurring such rental costs. The City’s approval of such rental rate for an item of equipment shall be given in its discretion.

8.3.8 Compensation for On-Going Design Costs During the Negotiation of the Definitive Contract Amendment.

Section 5.10(B) (Negotiation and Execution of the Definitive Contract Amendment) of this Design- Build Contract anticipates that, following the Definitive Project Submittal, the parties will negotiate the Definitive Contract Amendment. The Design-Build Period Work Schedule shall anticipate a negotiating period of approximately three months days between submittal of the Definitive Project Submittal and execution of a Definitive Contract Amendment. The Design- Builder may, but is not obligated to, continue th e development of the Project design during the negotiating period in order to preserve the continuity of the design effort by the design engineers.

Any costs and expenses by the Design-Builder during the negotiating period in furtherance of the Project, including the cost and expense of the design team, shall be incurred at the sole risk of the Design-Builder and shall not subject to payment or reimbursement by the City unless the City specifically agrees to the payment of su ch costs and expenses in connection with the negotiation and execution of a Definitive Contra ct Amendment, in which case such costs and expenses shall constitute Design-Build Period Costs hereunder. Any such costs shall be payable in the same manner as Design-Build Period Cost s are payable following the Definitive Contract Amendment Date or in any other manner agreed to by the parties in executing the Definitive Contract Amendment.

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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8.4 UNALLOWABLE COSTS

8.4.1 No Payment Obligation.

Notwithstanding any other provision of this De sign-Build Contract, the City shall have no obligation to pay the Design-Builder any Unallowable Costs.

8.4.2 Unallowable Costs Defined.
“Unallowable Costs” means:
(a) Premiums for insurance, except as provided in Section 8.3.5 (Other Costs) of this Appendix.
(b) In the event of damage to or destruct ion of the Additional Digester Facility Upgrades that is caused by Design-Builder Fault, cost of repair or reconstruction not covered by applicable OCIP policies on account of deductibles or exceedances under the applicable policy’s stated coverage limitations. (c) Costs for wages, salaries an d professional services fees, to the extent they exceed wage and salary rates or fees customarily paid for similar services by comparably qualified workers and professionals in the City, unless otherwise approved by the City in accordance with Section 8.3.3 (Des ign-Builder’s Own Labor Costs) of this Appendix.
(d) Any costs incurred in hand ling disputes or litigation with Subcontractors or any other third party.
(e) Costs incurred in respect of a dispute or negotiation with the City, including costs incurred asserting, pursuing or enforcing a claim or dispute. (f) Salaries and other compensation for the Design-Builder’s personnel stationed at the Design-Builder’s principal office or branch offices, except as provided in items (b) and (c) of Section 8.3.3 (Design-Builder’s Own Labor Costs) of this Appendix. (g) Expenses of the Design-Builder’s principa l office or branch offices other than the ADFU Site, except as provided in S ection 8.3.3 (Design-Builder’s Own Labor Costs) of this Appendix.
(h) Overhead, office and general expenses at any location, except as provided for in Section 8.3.3 (Design-Builder’s Own Labor Costs) of this Appendix.

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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(i) The cost of the capital (including interest on capital) used in the performance of the Design-Build Period Work or otherwise.
(j) Rental costs of machinery and equipment, except as specifically provided in item (d) of Section 8.3.4 (Costs of Materials, Equipment and Supplies) and Section

8.3.7 (Equipment Rental Costs) of this Appendix.
(k) Costs incurred as a result of the neglig ence or willful misconduct of the Design- Builder, any Affiliate, any Subcontractor or any other party performing any aspect of the Design-Build Period Work.
(l) Costs resulting from vandalism to or theft of property at the ADFU Site. (m) Any costs relating to Regulated Substanc es or Regulated Site Conditions for which the Design-Builder is responsible under Section 6.4 (Regulated Site Conditions) of this Design-Build Contract.
(n) Fines, penalties, sanctions or impositions assessed or imposed by any Governmental Body as a result of Design-Builder Fault, including violations of or non-compliance with any Governmental Approval.
(o) Any cost relating to the Design-Builder ’s indemnification obligations hereunder. (p) Travel and subsistence expenses, except as specifically provided in Section 8.3.3 (Design-Builder’s Own Labor Costs) of this Section.
(q) Legal costs incurred for any reason.
(r) The fees of independent experts hired to assist in connection with dispute resolution.
(s) Amounts required to be paid the Design -Builder or any Subcontractor for federal or State income, franchise or other business Taxes (but shall not include sales, use or similar taxes, which are Design-Build Period Costs pursuant to item (g) of Section 8.3.5 (Other Costs) of this Appendix).
(t) Any costs that would cause the Guar anteed Maximum Price (as such price may be adjusted in accordance with the terms of this Design-Build Contract) to be exceeded.

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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(u) Premiums or fees paid to the Guarantor.
(v) Liquidated damages payable from the Design-Builder to the City. (w) All costs associated with establishment of a joint venture (or other legal entity), including registration and accounting costs.
(x) Third party entertainment costs, lobbying and political activity costs, costs of alcoholic beverages, and costs of club memberships.
(y) Amounts paid or to be paid to Affiliates in excess of the pricing the Design-Builder could reasonably obtain in an arm’s length, competitive transaction with an unaffiliated contractor.
(z) Profit, risk and general or indirect overhead of the Design-Builder, except to the extent that such amounts are compensated through the Design-Builder Fee and the General Conditions Fee.
(aa) General Conditions Costs, except to th e extent that such costs are compensated through the General Conditions Fee.
(bb) Any costs for Warranty Work.
(cc) Any costs that would cause the Guar anteed Maximum Price to be exceeded. (dd) Any other costs specifically identified as “Unallowable Costs” in this Design-Build Contract.

8.5 GENERAL CONDITIONS FEE
The “General Conditions Fee ” is an amount equal or [___%] of the Design-Build Period Costs (other than the cost of the Project-specific Re quired Insurance, sales taxes, the Performance Bond and the Payment Bond). [NOTE: To be negotiated based on the Definitive Project Submittal and incorporated in this Section on the Definitive Contract Amendment Date.] The General Conditions Fee is an amount attributable to General Conditions Costs, all of which shall be paid by the Design-Builder without reimbursement hereunder and irrespective of the sufficiency of the General Conditions Fee. The General Conditions Fee includes consideration for all costs and expenses paid or incurred by the Design-Builder, as well as all profit, risk, mark- up and general and indirect overhead, in connec tion with the General Conditions Costs. The DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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General Conditions Fee shall be considered sufficient for compensation of all General Conditions Costs.

In connection with Design-Build Period Costs associated with work performed pursuant to Section 6.16(A) (Correction of No n-Conforming Design-Build Period Work) of this Design-Build Contract, the City may elect, at its sole discretio n, to withhold, and in such case, the Design- Builder shall not be entitled to, the General Cond itions Fee associated with such Design-Build Period Costs.

8.6 DESIGN-BUILDER FEE
The “Design-Builder Fee” is an amount equal to 9% of the Design-Build Period Costs (other than the cost of the Project-specific Required Insura nce, sales taxes, the Performance Bond and the Payment Bond). The Design-Builder Fee is an amount attributable to profit, risk, mark-up and general or indirect overhead with respect to the Design-Build Period Work, and includes an amount attributable to the cost of Additional Insurance Required From Enrolled Parties and Excluded Parties, but shall exclude an amount attributable to the reduction in the Design- Builder’s insurance costs due to eligibility for the OCIP Coverages and Other Coverages Provided by the City, all as set forth and described in Article 14 (Insurance) and Appendix 12 (Insurance Requirements). Accordingly, Design-Build Peri od Costs shall not include amounts attributable to profit, risk, markup and general or indirect overhead with respect to the Design-Build Period Work.

In connection with Design-Build Period Costs associated with work performed pursuant to Section 6.16(A) (Correction of No n-Conforming Design-Build Period Work) of this Design-Build Contract, the City may elect, at its sole discretio n, to withhold, and in such case, the Design- Builder shall not be entitled to, the Design-Builder Fee associated with such Design-Build Period Costs.

8.7 GUARANTEED MAXIMUM PRICE

8.7.1 Guaranteed Maximum Price Generally.

The City shall pay the Design-Builder the Design-Build Price for the Design-Build Period Work, subject to the Guaranteed Maximum Price calcul ated in accordance with this Section. The “Guaranteed Maximum Price ” shall be the sum of (1) the Base Guaranteed Maximum Price, and (2) the Base Guaranteed Maximum Price Ad justments. The Guaranteed Maximum Price represents the absolute limit of the total of all amounts payable to the Design-Builder by the City for the performance of the Design-Build Period Work. In the event additional amounts are DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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required to be expended over and above the Guaranteed Maximum Price to perform the Design- Build Period Work (including achi eving Substantial Completion an d Final Completion), liability for and payment of such additional amounts sha ll be the sole responsibility of the Design- Builder. The City shall not be liable for any such amounts, and the Design-Builder shall not pursue any claim for any such additional am ounts against the City. Notwithstanding any reference in this Design-Build Contract to the terms “mark-up” or “profit”, the Design-Builder acknowledges that (1) the City is not guaranteei ng the Design-Builder any profit, a particular level of profit, or the avoidance of any loss in the overall performance of the Design-Build Period Work, and (2) the obligation of the Design-Builder to complete the Design-Build Period Work may result in a loss or in a mark-up and profit that is less than the mark-up and profit amounts anticipated by the Design-Builder in proposing its Design-Builder Fee, in entering into this Design-Build Contract, in making its Definitive Pr oject Submittal, in entering into this Design- Build Contract and in entering into the Definitive Contract Amendment.

8.7.2 Base Guaranteed Maximum Price.

The “Base Guaranteed Maximum Price ” is [__________]. [NOTE: To be negotiated based on the Definitive Project Submittal and incorporated in this Section on the Definitive Contract Amendment Date.] Except as provided in Section 8.7.3 (Base Guaranteed Maximum Price Adjustments) of this Appendix, the Base Guaranteed Maximum Price shall not be increased for any reason.

8.7.3 Base Guaranteed Maximum Price Adjustments.

The adjustments to the Base Guaranteed Maxi mum Price provided for in this subsection constitute the “Base Guaranteed Maximum Price Adjustments”, and each adjustment shall be reflected in a Change Order or Contract Admini stration Memorandum, as determined by the City. The Base Guaranteed Maximum Price shall be adjusted (increased or decreased) only to reflect adjustments required on account of:
(a) Uncontrollable Circumstances generally, as provided in Section 15.3 (Uncontrollable Circumstances Relief) of this Design-Build Contract); (b) Technical Specifications Changes made under Section 6.8 (Other Changes to the Technical Specifications) of this Design-Build Contract; or (c) Unilateral Change Directives made under Section 6.9 (Unilateral Change Directives) of this Design-Build Contract.

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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8.7.4 Value of Base Guaranteed Maximum Price Adjustments Without limiting any requirement of Article 15 (Uncontrollable Circumstances) of this Design- Build Contract and subject to all limitations set forth in this Section 8.7, any Base Guaranteed Maximum Price Adjustment included in a Change Order or Unilateral Change Directive shall be determined as follows:
(a) Where the Design-Build Period Work involved is covered by unit prices contained in this Design-Build Contract, by application of such unit prices to the quantities of the items involved;
(b) To the extent unit prices are not applic able, by a mutually agreed lump sum; or (c) To the extent unit prices are not applicable and the parties are unable to reach agreement on a lump-sum value, on the basis of the actual cost of performing the associated Design-Build Period Work (subject to Cost Substantiation and excluding any cost attributable to Desi gn-Builder Fault), as determined in accordance with this Appendix, including with respect to payment of Design-Build Period Costs, the General Conditions Fee and the Design-Builder Fee.

A Base Guaranteed Maximum Price Adjustment may provide for markup payable to Subcontractors where Design-Build Period Work is performed through Subcontracts. Any such Subcontractor markup shall comply with the ma rkup requirements of Section 8.3.2 (Design- Build Period Work Subcontractor Costs) of this Appendix.

8.7.5 Design Services.

For purposes of determining the amount payable for Design Services included in any Change Order or Unilateral Change Directive, the rates payable for Design-Builder personnel and personnel of Subcontractors providing technical se rvices shall not exceed the rates set forth in Attachment 8B (Design-Builder's Personnel Cost Sc hedule) to this Appendix or, if an applicable rate is not set forth therein, on the basis of pr evailing market rates for professionals performing similar services on projects of similar size an d scope to the Design-Build Period Work. The Design-Builder shall use commercially reasonab le efforts to use available Design-Builder personnel for additional work hereunder before using Subcontractors.

8.7.6 Construction Subcontractor’s Mark-Up on Subcontracted Construction Work.

The price payable to all Subcontractors for work performed under Constr uction Subcontracts, including Construction Subcontractor overhead and mark-ups for risk and profit, shall be DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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commercially reasonable. A Change Order or Un ilateral Change Directive may provide for a mark-up payable to Construction Subcontractors for Subcontractor risk, profit, administration, and all other overhead where Design-Build Period Work that is the subject of the Change Order or Unilateral Change Directive is performed by direct lower-tier Construction Subcontractors.

Any such Construction Subcontractor mark-up shall be subject to the limitations set forth in Section 8.3.2 (Design-Build Period Work Subcontractor Costs) of this Appendix.

8.8 SHARED SAVINGS AMOUNT
In the event that upon Final Completion the Design-Build Price is less than an amount equal to (1) the Guaranteed Maximum Price, minus (2) all amounts not expended against any Allowance Values, which shall be for the account of the City, minus (3) the used Design-Builder Contingency, as each such amount is finally dete rmined in accordance with this Appendix, the City shall pay the Design-Builder an amount equal to 30% of the difference between the Guaranteed Maximum Price (minus (a) all amounts not expended against the Allowance Values and (b) the used Design-Builder Contingency) and the Design-Build Price (the “Shared Savings Amount”). The Shared Savings Amount shall be paid as part of the final payment to the Design- Builder in accordance with Section 9.4 (Payment Upon Final Completion) of this Design-Build Contract. The City’s determination of the Shar ed Savings Amount shall be final and binding upon the Design-Builder.
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ATTACHMENT 8A

DESCRIPTION OF GENERAL CONDITIONS COSTS
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ATTACHMENT 8A

DESCRIPTION OF GENERAL CONDITIONS COSTS

GENERAL CONDITIONS COSTS
In connection with the Design-Build Period Work, the Design-Builder is responsible for the General Conditions Costs, as well as the performance of the related obligations, identified in this Attachment. The Design-Builder’s compensation for the General Conditions Costs is limited to the General Conditions Fee. Design-Build Period Costs shall not include any General Conditions Costs. General Conditions Costs consist solely and exclusively of costs incurred for the following items with respect to the Design-Build Period Work:
(1) Design-Builder Employee Superviso ry and Administrative Personnel Costs (a) Costs of wages or salaries of the Desi gn-Builder’s supervisory and administrative personnel engaged in the performance of the Design-Build Period Work and who are located at the ADFU Site.
(b) Costs of wages or salaries of the Desi gn-Builder’s supervisory and administrative personnel engaged off of the ADFU Site at factories, workshops or on the road, to assist in the coordination, production or transportation of material or equipment necessary for the Design-Build Period Work, but only for that portion of their time required for the Design-Build Period Work.
(c) Costs of wages or salaries of the Desi gn-Builder’s personnel stationed at the Design-Builder’s principal or branch offices that are not compensable pursuant to items (a), (b) or (c) of Section 8.3.3 (Design-Builder’s Own Labor Costs) of this Appendix, but only for that portion of their time required for the Design-Build Period Work.
(d) Costs reasonably paid or incurred by the Design-Builder for employee benefits, premiums, taxes, insurance, contributions and assessments for supervisory and administrative personnel required by law, collective bargaining agreements and, for supervisory and administrative personnel not covered by such agreements, customary benefits such as sick leave, medical and health benefits, holidays, vacations and pensions paid by the De sign-Builder, excluding bonuses, to the extent such costs are based on wages and salaries paid to supervisory and administrative personnel of the Design-B uilder included in the Design-Build Period Costs under item (1)(a) of this Attachment.

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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(e) Subject to Section 8.3.6 (City Travel Policy Cost Limits) of this Appendix, the reasonable cost of travel, accommodati ons and meals for the Design-Builder’s supervisory and administrative personnel incurred outside of the City metropolitan area, necessarily and dire ctly incurred in connection with the performance of the Design-Build Period Work, as approved by the City and consistent with the City’s policies for payment of such costs. (2) Field Office and Construction Supply Costs for Design-Builder Staff Only x Design-Builder field office mobilization and demobilization x Office trailer rental
x Office furniture and equipment
x Office janitorial
x Document reproduction services (off-site or custom)
x Copy machines, fax machines, printers, scanners and paper shredders x Office computers, software and maintenance.
x Office telephones, and telephone and internet service x Accounting and data processing costs
x Jobsite radios/cellular phones
x Postage, courier, and express delivery
x Scheduling expenses
x Job travel, including fuel and vehicle, in compliance with City policies (including but not limited to Employee Travel, Private Vehicle Mileage Reimbursement, and Use of Personal Vehicles) and US GSA Per Diem Rates for zip code 95134, and IRS Standard Mileage Rates.
x Job meeting expenses
x Temporary parking and laydown areas, not otherwise provided by the City.

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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x Storage facilities, both on and off site, not otherwise provided by the City x Tools and tool shed
x Surveying equipment and supplies
x Office supplies
x Project redline drawings
x Project specific signage
x Reference manuals
x Employee identification system
(3) Temporary Amenities for Design-Builder ADFU Site activities:
x Temporary toilets
x Temporary fire protection
x ADFU Site security
x Traffic control equipment rental
x Fencing, barricades, partitions and protected walkways x Temporary water distribution and meters
x Temporary power generation
x Temporary and emergency lighting
x Site erosion control
x Drinking water
x Temporary construction facilities and services
x Temporary heat and ventilation
DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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(4) Design-Builder Site Cleanup
x Daily site cleanup and dumpsters
x Cleanup at Substantial Completion
x Cleanup at Final Completion
(5) Design-Builder Construction Trade Training Program
(6) Health and Safety Program
(7) Project Information and Documentation
x Project photographs
x Design-Build Period Work videos

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ATTACHMENT 8B

DESIGN-BUILDER'S PERSONNEL COST SCHEDULE
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ATTACHMENT 8B
DESIGN-BUILDER’S PERSONNEL COST SCHEDULE
A schedule of hourly billing rates of Design-B uilder and Subcontractor personnel performing Design-Build Work that have been approved by the City is set forth below. These hourly rates shall be increased 3% annually each January 1 (commencing January 1, 2027) during the Term. [NOTE: The Design-Builder’s personnel cost hourly rate schedule in this Attachment 8B will be updated and finalized prior to execution of the Definitive Contract Amendment, based on the proposed personnel cost hourly rate schedule in the City-accepted Definitive Project Submittal.]

[ATTACHED]

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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ATTACHMENT 8C

SCHEDULE OF VALUES AND DESIGN-BUILDER CONTINGENCY
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ATTACHMENT 8C

SCHEDULE OF VALUES AND DESIGN-BUILDER CONTINGENCY

GENERAL
The purpose of this Attachment is (1) to define the requirements for the Design-Builder’s preparation of a Schedule of Values and the Design-Builder Contingency, and (2) to describe the manner in which payment of the Design-Build Price will be made based on the Schedule of Values and the Design-Builder Contingency.
[NOTE: The Schedule of Values and the Design-Builder Contingency will be negotiated based on the Definitive Project Submittal, and incorporated in this Attachment 8C on the Definitive Contract Amendment Date.]

EARLY WORK PACKAGES
As provided in subsection 5.8(F) (Complete Early Work Package Pricing) of this Design-Build Contract, the parties intend that each Early Work Package Amendment will contain complete pricing for the Design-Build Period Work covered by the Early Work Package, and that a schedule of values and contingency will be established for such Early Work Package separate and apart from the Schedule of Values and Design-Builder Contingency established on the Definitive Contract Amendment Date for the balance of the Design-Build Period Work.

TOTAL SCHEDULE OF VALUES AMOUNT
The sum of all amounts comprising the line items in the initial Schedule of Values shall be equal to the total amount of the reasonably estimate d costs of achieving Final Completion, as such total amount of reasonably estimated costs is negotiated by the parties pursuant to subsection

5.10(C) (Base Guaranteed Maximum Price Negotiating Principles) of this Design-Build Contract.

The total Schedule of Values amount, and the li ne items in the Schedule of Values, shall be adjusted appropriately by agreement of the pa rties to account for Base Guaranteed Maximum Price Adjustments.

DESIGN-BUILDER CONTINGENCY AMOUNT
The Design-Builder Contingency amount shall be a single stated dollar amount equal to the amount negotiated by the parties pursuant to subsection 5.10(C)(2) (Base Guaranteed Maximum Price Negotiating Principles) of this Design-Build Contract.

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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SUM OF THE SCHEDULE OF VALUES AMOUNT AND THE DESIGN-BUILDER

CONTINGENCY AMOUNT
The sum of the total Schedule of Values amou nt and the Design-Builder Contingency amount shall be equal to the Base Guaranteed Maximum Price.

PREPARATION OF THE SCHEDULE OF VALUES
As part of the Definitive Project Submittal, the Design-Builder shall prepare a Schedule of Values identifying, on a line item basi s, costs of major it ems of Design-Build Period Work and other costs in accordance with this Attachment, and which shall include a Design-Builder Contingency separately stated as a block amount.

The Schedule of Values shall be consistent wi th the work scope and cost breakdown structure presented in the Definitive Project Submittal, as negotiated and agreed to by the City. The Schedule of Values shall assign prices to major elements of the Design-Build Period Work based on costs associated with scheduled activities for each such element.

The Schedule of Values shall:
(a) Be broken down by each structure at the ADFU Site and show each specification division within each structure;
(b) Show the division of work betwee n the Design-Builder and each of the Subcontractors;
(c) Include an item for:
(1) The General Conditions Fee;
(2) The Design-Builder Fee;
(3) Commissioning and Acceptance Testing;
(4) The Additional Insurance Required From Enrolled Parties and Excluded Parties, the Performance Bond and the Payment Bond;
(5) Sales, use or similar taxes, tariffs or duties imposed by a Governmental Body for which the Design-Builder is not able to obtain an exemption under Applicable Law
(5) The Design-Builder Contingency.

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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The Design-Builder shall provide supporting data, including certified payrolls, as requested by the City for any Schedule of Values item. The final Schedule of Values must be approved by the City.

USE OF THE DESIGN-BUILDER CONTINGENCY
The Design-Builder shall be compensated by receiving payments of the Design-Build Price based on the Schedule of Values line items. The Design-Builder Contingency shall be used for payment of Design-Build Period Costs only as provided in this Section.

In the event the cost for comp leting Design-Build Period Work described in any particular Schedule of Values line item exceeds the Schedu le of Values dollar amount listed for such line item, the Design-Builder shall have the right to request, and the City shall not unreasonably deny, compensation for such excess amounts from any remaining balance in the Design-Builder Contingency. If and when the Design-Builder Contingency has been fully used in compensating the Design-Builder for such excess amounts, th e Design-Builder shall not be entitled to any compensation for costs of Design-Build Period Work exceeding the Schedule of Values line item relating to such cost (except as provided below in “Use of Line Item Savings”), notwithstanding the fact that the Design-Builder has paid or incurred Design-Build Period Costs in excess of such line item in the Schedule of Values; provided, however, that after the Design-Build Contingency has been exhausted, the Design-Builder shall be entitled to request and to receive compensation for such excess Design-Build Period Costs to th e extent that payment of such costs does not cause the Design-Build Period Costs to exceed the Guaranteed Maximum Price.

The Design-Builder shall keep and provide the City with an ongoing record of the original amount of the Design-Builder Contingency, all uses th ereof under this Appendix, and the remaining balance of the Design-Builder Contingency at an y time. The Design-Builder shall provide the City with notice of all anticipated charges against the Design-Builder Contingency, and shall provide the City as part of the monthly status report all reasonably foreseeable potential uses of the Design-Builder Contingency in the upcoming three month period. Any use of the Design- Builder Contingency must be clearly identified in the associated Payment Request.

USE OF LINE ITEM SAVINGS
In administering payment of the Design-Build Price based on the Schedule of Values line items, the parties acknowledge that the Design-Build Pe riod Costs associated with any particular line item may be less than the dollar amount provided for such line item in the Schedule of Values The Design-Builder may request at any time a de termination by the City that the Design-Build Period Costs associated with a particular Schedu le of Values line item are or are reasonably DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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projected to be less than the dollar amount provided for such line item in the Schedule of Values.

The City shall have the right in its discretion to approve or disapprove any such request. In the event the City approves any such request, the dollar value associated with the line item cost underage shall be available to be requested by and paid to the Design-Builder in the event the Design-Build Period Costs associated with anothe r particular line item exceed the Schedule of Values dollar amount listed for such line item . Such line item savings amounts shall be in addition to any Design-Builder Contingency amounts that may be available to pay such Schedule of Values line item excess costs.

DAMAGE TO THE PROJECT AND INSURANCE RECOVERIES
To the extent the costs of repairing any damage to the Project constitute Design-Build Period Costs in accordance with Section 6.17 (Property Damage) of this Design-Build Contract, such costs shall: (1) be payable to the Design-Builder as part of the Design-Build Period Costs, as provided in Section 8.3 (Design-Build Period Costs) of this Appendix, (2) result in an appropriate revision of the Schedule of Values; and (3) result in a Base Guaranteed Maximum Price Adjustment, as provided in subsection 8.7.3 (Base Guaranteed Maximum Price Adjustments) of this Appendix. All recoveries under policies of Required Insurance on account of any damage to the Project shall be applied to the payment of such repair costs, as provided in, as provided in Section 6.17 (Property Damage), Article 14 (Insurance) and Appendix 12 (Insurance Requirements) of this Design-Build Contract.

SUBCONTRACTOR AND SURETY RECOVERIES
A substantial portion of the Construction of the Additional Digester Facility Upgrades is expected to be performed by Construction Subcontractors. The risks of delay and non-performance by Subcontractors are borne by the Design-Builder, and costs incurred by the Design-Builder that result from the occurrence of such risks consti tute Design-Build Period Costs payable by the City from the Design-Builder Contingency hereunder, subject to the Guaranteed Maximum Price.

All payments from the Design-Builder Contin gency for costs incurred as a result of the occurrence of the risk of Subcontractor delay or non-performance shall be separately identified and recorded. In the event the Design-Builder, in the exercise of its mitigation duties under this Design-Build Contract, receives any judgment or settlement awards or otherwise makes any financial recoveries from Subcontractors or their guarantors or sureties on account of any such delays or non-performance, the amounts so rece ived (net of reasonable enforcement costs), whether before or after Final Completion, shall be paid by the Design-Builder first to City, up to the amount of any Design-Builder Contingency payments made due to the occurrence of such risks. Any remaining amounts then may be retained by the Design-Builder for its own account.

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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The obligation of the Design-Builder to take such mitigation measures and to make such payments to the City shall survive termination of this Design-Build Contract.

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ATTACHMENT 8D

INITIAL MONTHLY CASH FLOW SCHEDULE
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ATTACHMENT 8D

INITIAL MONTHLY CASH FLOW SCHEDULE
[NOTE: The Initial Monthly Cash Flow Schedule will be finalized and inserted into this Attachment 8D prior to execution of the Definitive Contract Amendment, based on the proposed Initial Monthly Cash Flow Schedule in the City-accepted Definitive Project Submittal.]

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APPENDIX 9

COMMISSIONING AND ACCEPTANCE TESTING
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APPENDIX 9

COMMISSIONING AND ACCEPTANCE TESTING
[NOTE: Appendix 9 shall be expanded upon by the City and the Design-Builder upon during the Definitive Project Submittal / Definitive Contract Amendment process. Changes to the values for the listed Acceptance Standa rds require City approval unless otherwise noted. Values for certain currently listed Acceptance Standards shall be cooperatively developed by the City and Design-Builder as described in this Appendix.]

9.1 INTRODUCTION AND OBJECTIVES
This Appendix sets forth minimum requirements for Commissioning and Acceptance Testing of the Project, including minimum requirements for the Design-Builder’s Commissioning Plan and Acceptance Test Plan. The purpose of Commissioning and Acceptance Testing is to demonstrate that the Project complies with the Acceptance Stan dards prior to Substantial Completion. This Appendix sets forth certain supplementary requirements for Commissioning and Acceptance Testing.

In addition, the Design-Builder shall comply with the requirements of City Standard Specification 01 91 14, Testing, Training, and Facility Star t-Up, as modified for the ADFU Project ( see Attachment 5A (Applicable City Standard Divisi on 01 Specifications) to Appendix 5 (General Design-Build Work Requirements)). While th is Appendix focuses on Commissioning and Acceptance Testing, City Standard Specification 01 91 14, Testing, Training, and Facility Start- Up, as modified for the ADFU ( see Attachment 5A (Applicable City Standard Division 01 Specifications) to Appendix 5 (General Design-Build Work Requirements)), generally addresses:
x General requirements, including planning and scheduling x Factory testing
x Pre-operational testing and inspection
x Certificates of Proper Installation
x Functional Testing (Start-up)
x Training
Certain activities described in this Appendix as “pre-Commissioning” or “Commissioning” may overlap with the pre-operational testing and Functional Testing activities defined in City Standard Specification 01 91 14, Testing, Trai ning, and Facility Start-Up, as modified for the ADFU (see Attachment 5A (Applicable City Standard Division 01 Specifications) to Appendix 5 (General Design-Build Work Requirements)).

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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9.2 COMMISSIONING
Commissioning refers to field activities on equipment or systems and Functional Testing, between the time that the equipment (or system) is turned over from the construction team to the Design-Builder’s start-up, tuning and testing team and the time that the Project is ready to accept sludge or FOG. Commissioning also enco mpasses all activities associated with the first- time startup and “fine tuning” of all equipment, instruments, electrical gear, and/or processes and systems, including all checks and tests prior to running equipment and any laboratory tests that may be required to verify proper operation of processes in advance of the Acceptance Test.

The Commissioning period encompasses pre-operat ional testing, as described in Section 9.2.3 (Pre-Operational Testing), and Functional Testin g, as described in Section 9.2.4 (Functional Testing). The Design-Builder shall initiate and complete pre-operational testing and Functional Testing in accordance with this Appendix an d the Commissioning Plan. Site-specific pre- operational testing and Functional Testing of the Project must occur prior to the start of the Acceptance Test, pursuant to the terms and condit ions of Section 6.19 (Testing Readiness) of this Design-Build Contract.

9.2.1 Commissioning Plan.

Prior to testing in the field, the Design-Build er shall develop a Commissioning Plan. The draft Commissioning Plan shall be submitted 180 days prior to the date upon which the Design- Builder plans to begin Commissioning. The Commissioning Plan may be separated into segments as defined by the Design-Builder and approved by the City. The Commissioning Plan shall identify the procedures to be utilized for pre-operational testing and Functional Testing in the field. As part of its Definitive Project Submittal, the Design-Builder shall provide a detailed annotated outline of its proposed Commissioning Plan to be attached in Attachment 9B (Preliminary Outline of Commissioning Plan and Acceptance Test Plan) to this Appendix 9.

At a minimum, the Commissioning Plan shall address the following:
• Roles and responsibilities of the Design -Builder’s proposed Commissioning and Acceptance Testing team;
• City’s roles and responsibilities during Commissioning and Acceptance Testing; • Applicable provisions of the City Standard Specification 01 91 14, Testing, Training, and Facility Start-Up, as modifi ed for the ADFU Project ( see Attachment 5A (Applicable City DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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Standard Division 01 Specifications) to Appendix 5 (General Design-Build Work Requirements));
• Equipment tests demonstrating the basic function and operation of individual Project equipment, subsystems, and infrastructure. Equipment tests shall include dry and clean water testing of tanks, conveyance piping, pumping equipment, and all other process and control equipment. Equipment tests shall verify that each component is installed correctly, functions as intended, and meet s the technical specifications, including verification of set points and proper calibration.
• System tests intended to demonstrate the perf ormance capability of unit process systems to achieve their design operational objectives. System tests should cover the liquid and solids processing and handling systems and support systems to demonstrate: (i) that systems meet the technical specifications, (ii) successful operation of manual and automatic control of the components and syst ems from the Distributed Control System (DCS), (iii) the ability of all motors to respond to speed set point changes generated by the control strategy programming in the DCS, (iv) all alarm functions for components and systems on the DCS, and (v) proper operation of the electrical power supply systems. • Identify standards and design specifications that will need to be met prior to starting the Acceptance Test;
• Identify individual tests comprising the overall Commissioning ( see Table 9-1 (Minimum Testing Requirements for Commissioning));
• Specify any other field-testing requirements noted in the individual equipment Specifications set forth in Appendix 4 (Techn ical Specifications) of this Design-Build Contract;
• Procedures for demonstrating compliance with pre-operational testing criteria; • Procedures for demonstrating compliance with Functional Testing criteria, including data and information collection requirements and calculation and analyses where required; • Logistics plan for ensuring that all required equipment, chemicals, and materials are on- site and available prior to starting and as needed for Commissioning activities; • Procedures for confirming the appropriate Distributed Control System (DCS) and equipment protective device set points have been established and implemented; DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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• Procedures for verifying DCS monitoring and control functions; • Commissioning schedule and protocols, includin g specific phases in the start-up process; • Weekly look-ahead schedule approach;
• Commissioning Issue Log that describes the sp ecific issue, the date of the observation, by whom the issue was observed, the evalua tion and actions taken and by whom, the date the issue was resolved and any comments; and
• Requirements for documentation and reporti ng during Commissioning, including sign- offs and quality control / assurance requirements.

9.2.2 Schedule Requirements.

Facility level activities from the Commissioning Plan shall be incorporated into the Design-Build Period Work Schedule. Detailed activities for equipment and systems including manufacturer’s onsite services, installation certifications, operator training, Commissioning meetings and related notices will be included in the three-week look ahead schedules distributed weekly.

9.2.3 Pre-Operational Testing.

Pre-operational testing are tasks to be completed by the Design-Builder as prerequisites prior to starting systems. The tasks required as part of pre-operational te sting shall be included in the pre-operational checklist that will be set forth in the Commissioning Plan. The pre-operational checklist will be utilized to document pre-operat ional testing has been completed, typically on an area or system basis, and will be submitted as part of the Commissioning report described in Section 9.2.5 (Commissioning Report). Commencemen t of pre-operational te sting will be at the discretion of the Design-Builder. Typically, pre- operational testing activities will not have an impact to the existing RWF operations. In the cases where pre-operational testing activities may impact operations of the existing RWF facilities (e .g., requiring City staff to operate an existing valve or gate), the Design-Builder will provide 5 Business Days’ advance notice to the City of planned pre-operational testing activities to obta in approval for performing the specific pre- operational testing activities that may impact operations. The City will provide a response to the notice within 3 Business Days of receiving the no tice. Major impacts to plant operations (e.g., splicing into existing electrical cables) will undergo the RWF’s Process Shutdown Request (PSR) process.

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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9.2.4 Functional Testing.

Functional Testing are the tests required to demonstrate that the installed equipment or system meets manufacturer’s installation, calibrati on, and adjustment requirements and other requirements as specified, including noise, vi bration, alignment, speed, proper electrical, instrumentation and control, mech anical connections, thrust restraint, proper rotation, initial servicing and instrumentation calibration.

Upon the successful completion of the pre-operational testing requirements, and at the discretion of the Design-Builder, the Design-Builder shall in itiate Functional Testing of the Project or a system or subsystem of the Project. Such Functional Testing shall be conducted by the Design- Builder to the extent necessary to verify that the functional requirements as defined in the Commissioning Plan are met, in cluding proper rotation, alignment, speed, flow, pressure, vibration, sound (noise) level, adjustments, thrust restraint, calibration and proper operation of each instrument loop function including alarms, local and remote controls, instrumentation and other equipment functions.

The Design-Builder shall provide testing that simulates the actual operating conditions as close as possible. To the extent possible, reclaimed water shall be used for the testing of all liquid systems, except gaseous, oil, or chemical systems. Test media for these systems shall either be the intended fluid or a compatible substitute.

Some Functional Test activities may have an impact on the existing RWF operations. In the cases where Functional Testing activities may impact op erations of the existing RWF facilities (e.g., requiring City staff to operate an existing valve or gate, the Design-Builder operating a pumps or valves that may result in a minor flow to existing facilities, etc.), the Design-Builder will provide 5 Business Days’ advance notice to the City of planned Functional Testing activities to obtain approval for performing the specific Functional Testing activities that may impact operations.

The City will provide a response to the notice wi thin 3 Business Days of receiving the notice.

Major impacts to plant operations (e.g., starting biosolids flows to the digesters) will undergo the RWF’s PSR process.

At a minimum, Functional Testing shall include the individual tests identified in Table 9-1 (Minimum Testing Requirements for Commissioning) of this Appe ndix as well as any testing required by permitting agencies. [NOTE: Table 9-1 may be updated on the Definitive Contract Amendment Date as part of the Definitive Project Submittal / Definitive Contract Amendment process.]
DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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Table 9-1
Minimum Testing Requirements for Commissioning
System Required Functional Testing
Piping, conveyance and
associated valves and
appurtenances -- general
• Pressure and leak testing
• Control of hydraulic transients
• Air release, pressure relief, reducing and/or sustaining Thermophilically digested
sludge transfer to
mesophilic digesters
Transfer of sludge from D1– D4 to the new mesophilic digesters using all new digested sludge transfer pumps and pipelines (as applicable) in all available operating configurations across the full range of design flow, level, and head conditions. The system shall be capable of draining the digesters below the entryway as demonstrated via calculation / confirmation of operation on factory certified pump curves or, if the City determines it is practical, by the City actually draining a digester.

Mesophilic digester x Pressure and leak testing
x 7-day clean water testing
Mesophilically digested
sludge transfer to
digested sludge storage
Transfer of sludge from the new mesophilic digesters to digested sludge storage using all new digested sludge transfer pumps and pipelines (as applicable) in all av ailable operating configurations across the full range of design flow, level, and head condi tions.

The system shall be capable of dr aining the digesters below the entryway as demonstrated via calculation / confirmation of operation on factory certified pump curves or, if the City determines it is practical, by the City actually draining a digester.

Digested sludge
recirculation
Operation of the pumping station and pipelines to convey digested sludge through the digested sludge heat exchangers and back into the mesophilic digesters using all pumps and pipelines in all available operating configurations across the full range of des ign flow and head conditions.

Digested sludge mixing Operation of the mesophilic di gester mixing system to meet specifications.

FOG storage Operation of filling/ draining systems, mixing systems, gas handling systems (including operation of pressure relief systems), and overflow systems to meet specifications . Prior to installing pressure relief valves on the tanks, the valves shall be tested with air through a City-approved test procedure.

FOG conveyance to
digestion
Operation of the pumping station and pipelines to convey FOG to the digestion system using all pumps and pipelines in all available operating configurations across the full range of design flow and head conditions.

FOG Facility x 4-day clean water testing
Foul air ventilation x Operation of foul- air containment and conveyance systems (fans and ducts) at design flow and pressure condition
x System balance
DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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Table 9-1
Minimum Testing Requirements for Commissioning
System Required Functional Testing
Instrumentation and
Controls
x Remote and local monitoring and control, data storage and data trending for all required equipment and systems
x Operation of communication an d security systems to meet specifications
x Operation of fire alarm and suppression systems, including any permitting, testing and approvals of fire alarm and dry suppression systems as required by the Fire Department
Ancillary systems Operation of all ancillary systems in all available configurations and operating modes to meet specifications. Balance of all HVAC systems and provision of air balancing report.

9.2.5 Commissioning Report.

A Commissioning report will be pr epared by the Design-Builder and be available for viewing by the City onsite as Commissioning progress es. The Commissioning report shall include Manufacturer’s Certificate of Proper Install for equipment per City Standard Division 01 Specifications Section 01 43 33 when required in the individual specification sections as well as any other documents identified in the Commiss ioning Plan. The Commissioning report may be prepared on a system or subsystem basis. Prio r to Substantial Completion, the Design-Builder shall submit for review and approval to the City a Commissioning report which shall present all data, calculations, and other information obtained in the course of Commissioning or needed to substantiate the conclusions reached by the Design-Builder. The City will provide review and approval of the report within 10 Business Days of receiving the report.

9.3 ACCEPTANCE TESTING
The Design-Builder shall design and construct the Project to operate in the overall manner defined within this Design-Build Contract and to operate effectively and reliably in accordance with the Contract Standards and Article 8 (Testing, Substantial Completion and Final Completion) of this Design-Build Contract. This Appendix defines the Acceptance Standards that the Design-Builder shall achieve. The intent of Acceptance Testing is to demonstrate that the Project can function as intended and operat e effectively throughout the range of flow and load conditions expected for the Project. The Design-Builder in conjunction with the City operations and maintenance (O&M) staff shall in itiate and complete Ac ceptance Testing in accordance with the Contract Standards and the approved Acceptance Test Plan to demonstrate achievement of the Acceptance Standards.

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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City operating staff will be responsible for operations of the Additional Digester Facility Upgrades upon commencement of biosolids flows through the Additional Digester Facility Upgrades, including during Acceptance Testing. The De sign-Builder will perform maintenance for the Additional Digester Facility Upgrades and pr ovide pre-acceptance and/or operations and oversight staff as described in Sections 8.1 (Commissioning) and 8.2 (Acceptance Testing) of this Design-Build Contract for the duration of Acce ptance Test to provide guidance and oversight to City operating staff. Coordination between the Design-Builder and City during Acceptance Testing shall occur in accordance with the Cont ract Standards, including the Acceptance Test Plan. The City shall provide la boratory testing (including BAAQMD source testing), power, fuel and other consumables for the duration of Acceptance Test. No temporary equipment (other than any identified in the Acceptance Test Plan) shall be allowed to operate during Acceptance Testing.

9.3.1 Acceptance Test Plan.

The Design-Builder shall prepare and submit to the City for its review and approval a draft Acceptance Test Plan in accordance with Section 8.2 (Acceptance Testing) of this Design-Build Contract. The draft Acceptance Test Plan shall be submitted 180 days prior to the date upon which the Design-Builder plans to begin the Acceptance Test. The Acceptance Test Plan shall define all systems within the Project requiring Functional Testing to confirm readiness to initiate operation with process fluids, pre-acceptance to establish stable operation and demonstrate qualitative compliance with process objectives , and Acceptance Testing to confirm compliance with the Acceptance Standards. As part of its Definitive Project Submittal, the Design-Builder shall provide a detailed annotated outline of its proposed Acceptance Test Plan to be attached in Attachment 9B (Preliminary Outline of Commissioning Plan and Acceptance Test Plan) to this Appendix 9.

At a minimum, the Acceptance Test Plan shall address the following:
x Organization of the test team, including identification of Design-Builder and City operations staff, qualifications, responsibilities, authority, and decision-making protocols;
x Internal and external communications protocols to be followed by the Design-Builder and the City throughout the Acceptance Test;
x Specify of the contractual preconditions to starting the Acceptance Test; x Procedures for verifying all Acceptance Test Plan prerequisites have been satisfied; x Logistics plan for ensuring that all required equipment, chemicals, and materials are on- site and available prior to starting and as needed for the Acceptance Test; x Specify of the contractual preconditions to starting the Acceptance Test; DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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x Applicable provisions of the City Standard Specification 01 91 14, Testing, Training, and Facility Start-Up, as modifi ed for the ADFU Project ( see Attachment 5A (Applicable City Standard Division 01 Specifications) to Appendix 5 (General Design-Build Work Requirements));
x Identify individual tests comprising the overall Acceptance Test ( see Table 9-2 (Required Component Testing / Confirmations during the Acceptance Tests) of this Appendix); x Identify the planned time of year for Acceptance Testing and anticipated flows and loads (and any methods to be used to simulate peak flows and loads, if applicable); x Specify the Acceptance Standards ( see Table 9-3 (Acceptance Standards) of this Appendix);
x Requirements for sampling, monitoring and laboratory testing during the Acceptance Test, including instrument calibration methods, proposed use of permanent and temporary instrumentation, chain of custody requirements, and independent laboratory analysis. The independent laboratory shall be identified in the Acceptance Test Plan and agreed to by the City;
x Descriptions of specific activities that the Ci ty will need to conduct in order to support the Acceptance Test;
x A list of parameters to be monitored including a schedule of monitoring, describing all data collection and related information and data collection frequencies at which parameters will be monitored on a continuous or other defined basis; x Procedures for demonstrating compliance with all Acceptance Standards, including data and information collection requirements and calculation and analyses; x Procedures for demonstrating compliance wi th any performance or Acceptance Testing requirements of individual equipment sp ecifications of Appendix 4 (Technical Specifications) of this Design-Build Contra ct that were not demonstrated as part of Commissioning;
x Contingency plans for equipment failures, proc ess upsets, unsatisfactory test results, and unanticipated interruptions;
x Provide a complete list, or table, of all co mponents to be tested, complete with their associated ‘pass’/’fail’ criteria when applicable, and a signature block of Design-Builder and City personnel for each test item;
x Develop an operational change log that describes when operational changes are made, by whom and why;
x Acknowledgement of City override authority during Acceptance Test; x Identify conditions that warrant restarting the Acceptance Test; x Approach for addressing unsuccessful test results and issues resolution matrix; and DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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x Requirements for documentation and reporting during the Acceptance Test, including sign-offs and quality control / assurance requirements.

9.3.2 Acceptance Testing Requirements.

The City shall have the right to observe any phase of Acceptance Testing. The Design-Builder and the RWF staff are required to work together and coordinate the Acceptance Test work to the benefit of completing the Acceptance Tests an d the overall success of the Project while not adversely affecting RWF operations. In addition to compliance with the notice requirements set forth in subsection 8.2(B) (Notice of Commencement of the Acceptance Test) of this Design-Build Contract, the Design-Builder shall provide notice to the City a minimum of 5 Business Days prior to the start of Acceptance Testing.

The Acceptance Test shall include the tests identified in Table 9-2 (Required Component Testing / Confirmations during the Acceptance Tests) of this Appendix. Some of these tests may be conducted during Commissioning based on Design-Builder’s Commissioning Plan. [NOTE: Table 9-2 may be updated on the Definitive Contract Amendment Date as part of the Definitive Project Submittal / Definitive Contract Amendment process.] Table 9-2
Required Component Testing / Confirmations during the Acceptance Tests Project System Acceptance Tests Required for:

Piping x Ability to direct flow to duty and standby equipment and to all bypasses included in the design
Pumping x Pump efficiency
x No pump cycling beyond manufacturers' recommendations x Free from cavitation, excessive vi bration, and excessive noise as required by the Acceptance Standards
Electrical and Energy
Management
x Capacity and operation of distribution network in all operating modes
x Simulated power failure from on e substation (M4 or M5) with manual transfer to th e other substation, including operation of UPSs and manual and automated restart of systems according to established control strategies
x Energy management features
x Safety features
Instrumentation and
Controls
x Ability of control system to work in an integrated manner, checking all loops and interlocks
Mesophilic Digester x 7-day continuous test with sludge to test mechanical and controls operations
x Mixing efficiency testing (30-day lithium tracer testing) DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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Table 9-2
Required Component Testing / Confirmations during the Acceptance Tests Project System Acceptance Tests Required for:
x 60-day biological startup test
FOG Facility x 5-day continuous test with FOG

9.3.3 Acceptance Standards.

Table 9-3 (Acceptance Standards) of this Append ix sets forth the Acceptance Standards for the Project. The Acceptance Standards are not subj ect to modification following the Definitive Contract Amendment Date. [NOTE: Table 9-3 may be updated on the Definitive Contract Amendment Date as part of the Definitive Project Submittal / Definitive Contract Amendment process.]
Table 9-3
Acceptance Standards
Parameter Acceptance Standard How Measured / Notes
Biological
startup
testing (Class
B biosolids
designation)
Sludge that meets the more
stringent of:

1. All pathogen and vector
attraction reduction
requirements for Class B
quality biosolids per the
Standards for the Use or
Disposal of Sewage Sludge
(Title 40 of the Code of Federal
Regulations, Part 503), also
known as Part 503.

2. The same pathogen and vector
attraction reduction achieved
by the existing digesters
operating simultaneously with
the new or modified digester.

3. Volatile solids destruction that
meets or exceeds the volatile
solids destruction achieved by
the existing digesters 80% of
the time over the entire
duration of the biological
startup testing.
x Testing for pathogen and vector
attraction reduction shall be
conducted by a certified independent
lab acceptable to both the City and
the Design-Builder.
x The general digester process will also
be monitored and data recorded by
plant personnel on quantitative
parameters including volatile solids
destroyed, gas production, alkalinity,
pH, total and volatile suspended
solids, temperature, and volatile fatty
acids.

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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Table 9-3
Acceptance Standards
Parameter Acceptance Standard How Measured / Notes
Lithium tracer
testing
Mixer shall thoroughly mix tank
contents and prevent
stratification, dead spaces, and
short-circuiting:

1. High mixing efficiency with
active volumes of 90-
percent or greater.

2. Maximum variance in
mean temperature between
maximum and minimum
temperatures measured
through dispersion testing
shall be 1-degree C.

3. Total solids concentration
results shall fall within +/-
10-percent of the mean
value for percent solids
measured through
dispersion testing.
x Lithium chloride shall be added to the
digester in sufficient quantity to
achieve a concentration of at least 2
mg/L as lithium to initiate the tracer
test.
x Mixing time, profiles of tank
temperature, and solids concentration
shall be assessed through samples
taken during the first 8 hours of the
tracer test. Profiles shall indicate
mixing radially and vertically
throughout the digester.
x Lithium washout testing shall
commence following the sampling for
mixing time, profiles of tank
temperature, and solids
concentration.
x Active volume, minimum retention
time, and short- circuiting shall be
assessed through samples taken
throughout the testing period.
x Testing shall be conducted by a
certified independent lab acceptable to
both the City and the Design-Builder.

In addition, the parties acknowledge that the Proj ect must meet all requirements of Applicable Law including all Governmental Approvals in order to achieve Substantial Completion. The parties further acknowledge that the design of the Project reflected in the Technical Specifications is expected to be able to achieve the requirem ents anticipated to be included in the BAAQMD Authority To Construct (“ATC”). Upon receipt of the ATC, the Design-Builder shall discuss with the City whether any changes to the Technical Spec ifications will be necessary to comply with the conditions of the ATC. Any such change sh all be addressed in accordance with Section 6.8 (Other Changes To The Technical Specifications) of this Design-Build Contract and shall provide the Design-Builder price and schedule adjustments, as applicable, in accordance therewith.

9.3.4 Duration of Acceptance Test.

The Acceptance Test shall demonstrate Project compliance with the Acceptance Standards over a minimum of 30 continuous day test period, unless otherwise indicated above in Table 9-2 (Required Component Testing / Confirmations during the Acceptance Tests). However, depending on the design and considering all testing requirements, a longer period than 30 days DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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may be required and will be established as part of the Definitive Project Submittal / Definitive Contract Amendment process. [NOTE: The duration of the Acceptance Test may be updated on the Definitive Contract Amendment Date as part of the Definitive Project Submittal / Definitive Contract Amendment process.]
Definitions.

For purposes of this Section 9.3.4, the following terms shall have the meanings set forth below:
“Critical equipment/infrastructure” means:
• Safety related equipment
• All equipment and infrastructure that allows the processing and hydraulic functions of the Project to operate as intended (“essential process equipment”). o For example, transfer pumps, storage tanks, conveyance pipes, transport pumps, mixings pumps, feed pumps, centrifuges, polymer blenders, polymer mixing pumps, conveyors, cake hoppers, load-out scales, load-out doors, and odor systems.
• All appurtenant elements such as electr ical systems, controls, valves necessary for the processing and hydraulic functions required to support essential process equipment.
• Provided, however that redundant critical equipment shall be subject to the separate requirements set forth below
“Redundant critical equipment ” means redundant equipment as defined by the Technical Specifications (Appendix 4) in requirements such as “n+1” “Non-critical equipment” means:
• HVAC (office and people spaces), lighting, laboratory scales, ovens, hot water heaters,
• Instruments and controls for non-critical equipment
DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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Conditions Requiring Extension of the Acceptance Test.

Table 9-3 (Acceptance Standards) of this Appendix identifies conditions that may result in extension of the Acceptance Test in order to co llect more samples. In addition, the Design- Builder may elect to extend the Acceptance Test at no additional cost to the City to extend the sampling period for collecting performance data in order to demonstrate compliance with the Acceptance Standards.

In addition, the Acceptance Test shall be extended on an hour by hour or a day by day basis, as applicable based upon the period of failure, in the event of the following:
x Failure of critical equipment that: (1) cannot be fixed or replaced within 8 hours; or (2) with respect to safety related equipment, that the Design-Builder does not provide temporary safety equipment or provisions acceptable to the City within 8 hours. x Failure of redundant critical equipment such th at it cannot be fixed or replaced in time to allow for the testing of that equipment required to demonstrate its ability to meet Acceptance Standards.

Conditions Requiring Restart of the Acceptance Test.

The Design-Builder shall restart the Acceptance Test in the event of the following:
x Failure of the Design-Builder to provide and maintain qualified on-site start-up personnel as scheduled.
x Failure of critical equipment necessary to ma intain process continuity that cannot be fixed or replaced within 72 hours as detailed in the Acceptance Test Plan approved by the City in accordance with Section 9.3.1 (Acceptance Test Plan) of this Appendix and Section

8.2 (Acceptance Testing) of this Design-Build Contract.

Additional Requirements related to Critical Equipment and Non- Critical Equipment.

All critical equipment shall be fully operational as a condition to the achievement of Substantial Completion. The Design-Builder may achieve Su bstantial Completion if there has been failures with respect to non-critical equipment so long as such non-critical equipment is either repaired or replaced by the end of the Acceptance Test, or applicable replacement non-critical equipment has been documented to be on order with the manufacturer in the event such non-critical DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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equipment cannot reasonably be replaced by the end of the Acceptance Test. The Design-Builder shall promptly repair or replace any such non- critical equipment following receipt of delivery from the manufacturer.

9.3.5 Acceptance Test Report.

The Design-Builder shall prepare and submit to the City for approval an Acceptance Test report which shall present all data, calculations, and ot her information obtained in the course of the Acceptance Test or needed to substantiate the Design-Builder’s conclusions reached in the Acceptance Test report. At a minimum, the Acceptance Test report shall include:
x A certification stating that testing was co nducted in accordance with the approved Acceptance Test Plan;
x A Certification of the results of each Acceptance Test; x All required data measured and recorded during the Acceptance Test, including all laboratory analyses, chemical consumption, instrument calibrations, pressures, and other measurements;
x Copies of original data sheets, log sheets , calculations, laboratory reports, and test sheets;
x All necessary certifications relating to testing, evaluation, analyses, and performance (including those required pursuant to subsecti on 8.2(F) (Acceptance Test Report) of this Design-Build Contract);
x A record of all equipment failures and repairs and preventive maintenance performed; x A summary of all data and calculations demons trating the ability of the facility to meet the functional requirements and performance standards;
x A summary of test results and conclusive evidence of compliance with all Acceptance Test requirements; and
x Any additional data reasonably requested by the City to be included in the Acceptance Test report.

The Acceptance Test report shall be submitte d in accordance with Section 8.2 (Acceptance Testing) of this Design-Build Contract.
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ATTACHMENT 9A
DESIGN-BUILDER’S TRAINING PLAN
DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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ATTACHMENT 9A
DESIGN-BUILDER’S TRAINING PLAN
The attached preliminary Training Plan was included with the Design-Builder’s Definitive Project Submittal (DPS) and will continue to be expa nded on and revised in accordance with the requirements of this Design-Build Contract.

[ATTACHED]

[NOTE: The Training Plan will be finalized and inserted into this Attachment 9A prior to execution of the Definitive Contract Amendm ent, based on the work performed by the Design-Builder during the Preliminary Services Period and the proposed Training Plan in the City-accepted Definitive Project Submittal.]

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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ATTACHMENT 9B

PRELIMINARY OUTLINE OF COMMISSIONING PLAN

AND ACCEPTANCE TEST PLAN
DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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ATTACHMENT 9B

PRELIMINARY OUTLINE OF COMMISSIONING PLAN

AND ACCEPTANCE TEST PLAN
The attached outline of the Commissioning Plan and the Acceptance Test Plan was included with the Design-Builder’s Definitive Project Submittal (DPS). It will continue to be refined and expanded upon as the Design-Builder develops the Commissioning Plan and the Acceptance Test Plan required by this Design-Build Contract.

[ATTACHED]

[NOTE: The Preliminary Outline of Commissioning Plan and Acceptance Test Plan will be finalized and inserted into this Attachment 9B prior to execution of the Definitive Contract Amendment, based on the work performed by the Design-Builder during the Preliminary Services Period and the proposed Preliminary Outline of Commissioning Plan and Acceptance Test Plan in the City-accepted Definitive Project Submittal.]

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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APPENDIX 10

APPLICABLE CITY SPECIAL PROVISIONS
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APPENDIX 10

APPLICABLE CITY SPECIAL PROVISIONS

[NOTE: Relevant Applicable City Special Provisions for the Project will be inserted in this Appendix 10 prior to execution of the Definitive Contract Amendment.] DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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APPENDIX 11

TRANSITION SERVICES
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APPENDIX 11

TRANSITION SERVICES
[NOTE: If any Transition Services are requested by the City and agreed to by the Design- Builder, the Transition Services provisions in this Appendix 11 (including the Attachments hereto) and in Article 11 of the Design-Build Contract will be further developed with the Definitive Contract Amendment, and finalized and incorporated on the Definitive Contract Amendment Date. In the event it is determined that there will not be any Transition Services, this Appendix 11 (including the Attachments hereto), Article 11 and related Transition Services provisions in the Design-Build Contract will be omitted in the Definitive Contract Amendment.]

11.1 PURPOSE
This Appendix outlines the types of services that may be requested by the City with respect to the Transition Services for the Additional Digester Facility Upgrades. The City has established a Transition Services Not-to-Exceed Amount for the Transition Services, as specified in subsection

11.2(B) (Transition Service Not-to-Exceed Amount) of this Design-Build Contract. Specific scope will be determined and directed by the City th rough the issuance of Transition Services Task Orders in accordance Section 11.1 (Transition Se rvices) of this Design-Build Contract and may include on-call services, periodic services, general support and/or oversight.

11.2 CITY OPERATION OF THE ADDITIONAL DIGESTER FACILITY UPGRADES The City will be fully responsible for operating, maintaining and managing the Additional Digester Facility Upgrades upon achieving Substantial Co mpletion, and shall have authority over all Additional Digester Facility Upgrades operations, maintenance and management decisions during the Transition Period. The City shall coordinate with the Design-Builder’s Transition Coordinator on a continuous basis throughout the Transition Period in connection with the Transition Services.

11.3 DESIGN-BUILDER RESPONSIBILITIES GENERALLY

11.3.1 Transition Services Standards
The Design-Builder shall perform the Transition Services in accordance with all applicable Contract Standards to enable the City to operate, maintain and manage the Additional Digester Facility Upgrades during the Transition Period in accordance with Good Operating Practice.

11.3.2 Transition Coordinator
The Design-Builder shall designate an individual to serve as the Transition Coordinator during the Transition Period. This individual shall be named in Appendix 13 (Key Personnel and DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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Approved Subcontractors). [NOTE: The Transition Coordinator will be identified and included in Appendix 13 on the Definitive Contract Amendment Date, as applicable.]

11.3.3 Additional Transition Services Personnel
If the Design-Builder requires additional Transition Services personnel, including specialists and staff, and such personnel are not listed in Appendix 13 (Key Personnel and Approved Subcontractors) or Attachment 11A (Approved B illing Rates) hereof, the Design-Builder may provide additional Transition Services personnel as needed, subject to the approval of the City and agreement to such personnel’s hourly rates. All Transition Services personnel will be subject to a City security and background check. The Design-Builder shall replace the Transition Services personnel at the reasonable request of the City if the associated background check indicates any security concern.

11.3.4 Access to the Additional Digester Facility Upgrades The Transition Coordinator and all other Transition Services personnel shall have access to the Additional Digester Facility Upgrades during the Transition Period for the purpose of performing the Transition Services. The City shall provide such individuals, as necessary, with keys or passwords, as applicable, for the Additional Digester Facility Upgrades or structures comprising the Additional Digester Facility Upgrades in acco rdance with the City’s physical security plan and key control program. The Design-Builder shall ensure that all Transition Services personnel comply with the City’s operating and safety procedures and rules, and will not interfere with the City’s operations of the Additional Digester Facility Upgrades.

11.3.5 Access to Data and Records
The Transition Coordinator and other designated Transition Services personnel shall have real time, continuous computer access to the records and data maintained pursuant to Section 5.6.3 (Operations and Maintenance Records) of Appendix 5 (General Design-Build Work Requirements), including hard copy reproduction capability.

11.4 TRANSITION SERVICES

11.4.1 Nature of the Transition Services
The Design-Builder, through the Transition Coordinator and other designated Transition Services personnel, shall perform Transition Services only upon the issuance by the City Contract Representative or their designee of a Tr ansition Services Task Order. The scope and price for each Task Order shall be negotiated between the City and the Design-Builder provided that no Task Order may be issued if it results in a price for the Transition Services exceeding the DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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Transition Services Not-to-Exceed Amount. In no event shall the Design-Builder be entitled to compensation for the performance of a specific Transition Services Task prior to the issuance by the City Contract Representative or their designee of a Transition Services Task Order for that Transition Services Task.

Transition Services may include any of the following, subject to the budget limitations stated above:
[NOTE: The potential Transition Services, as agreed upon by the parties, will be identified below on the Definitive Contract Amendment Date.]
(a) Provide updates to the final Operations and Maintenance Manual based on a designated number of months observation and monitoring; (b) Monitor the City’s operation and maintenance (O&M) of the Additional Digester Facility Upgrades and provide advice and co nsultation to the City, as necessary, to optimize system performance;
(c) Support the implementation of the Computerized Management Maintenance System (CMMS) for the Additional Digester Facility Upgrades; (d) Assist and advise the City in implementing the Operations and Maintenance Manual, manufacturer’s standard factory O&M manuals, the CMMS Plan and the Training Plan;
(e) Prepare updates as necessary to manufacturer’s standard factory O&M manuals and training documents;
(f) Assist and advise the City in implementing O&M practices that will support the Additional Digester Facility Upgrades’ continued compliance with permits; (g) Assist and advise the City in the ad ministration of equipment warranties and claims;
(h) Provide troubleshooting and recommendations to the City for the implementation of changes to the operations, maintenance and management practices that are necessary under Good Operating Practice to support ongoing attainment of the Acceptance Standards;
DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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(i) Provide operational support, including factory or vendor technical support to facilitate operation, preventative maintenance, or equipment and training for City staff;
(j) Provide engineering and technical support including factory or vendor technical support to provide post-Substantial Completion “tuning” of Additional Digester Facility Upgrades equipment;
(k) Provide support for reporting and Tran sition Services administrative efforts; (l) Provide updates to the Standard Operating Procedures (SOPs) and Standard Maintenance Procedures (SMPs) based on 6 months observation and monitoring; and
(m) Support Project closeout activities with O&M.

11.4.2 Additional Transition Services
The City and the Design-Builder may agree to additional Transition Services beyond what is set forth in Section 11.4.1 (Nature of the Transition Services) of this Appendix. Any such additions shall be set forth in a Contract Administration Memorandum, Transition Services Task Order, Change Order or Contract Amendment, as applicable, entered into by the parties.

11.5 COST AND PAYMENT RESPONSIBILITIES
The City shall:
(a) Bear the cost and expense of operating, maintaining and managing the Additional Digester Facility Upgrades through the Transition Period, including payment of City staff; and
(b) Pay the Transition Services Fee to the Design-Builder in accordance with this Design-Build Contract.

11.6 NO LIMITATION ON OTHER POST-SUBSTANTIAL COMPLETION OBLIGATIONS The Design-Builder shall perform all work identi fied in this Design-Bui ld Contract, including Appendix 5 (General Design-Build Work Requ irements) and Appendix 9 (Commissioning and Acceptance Testing), as required to be performed by the Design-Builder following the Substantial Completion Date. Nothing set forth in this A ppendix shall act as a limitation on any such obligations of the Design-Builder.

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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ATTACHMENT 11A

APPROVED BILLING RATES
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ATTACHMENT 11A

APPROVED BILLING RATES
[NOTE: The billing rates and related pricing information for Transition Services, as agreed upon by the parties, will either be inserted into this Attachment 11A prior to execution of the Definitive Contract Amendment or later specified in a Contract Administration Memorandum prior to the Substantial Completion Date.]
Schedules of hourly billing rates of Design-Builder and Subcontractor personnel that have been approved by the City for performance of the Transition Services as of the Substantial Completion Date are set forth below.

1. Design-Builder Personnel:

Table 11-1
Design-Builder Personnel
Staff Member: Hourly Rate:
[_____] [__.__] x Raw Labor Rate (Described Below)
[_____] [__.__] x Raw Labor Rate
[_____] [__.__] x Raw Labor Rate
[_____] [__.__] x Raw Labor Rate
[_____] [__.__] x Raw Labor Rate
[_____] [__.__] x Raw Labor Rate
[_____] [__.__] x Raw Labor Rate

[NOTE: The table above will be completed by the parties either prior to: (1) the Definitive Contract Amendment Date and set forth in the Definitive Contract Amendment, or (2) the Substantial Completion Date and reflected in a Contract Administration Memorandum.] The parties acknowledge and agree that all hourly billing rates for all Design-Builder personnel performing Transition Services shall be calculat ed by multiplying the raw labor rate (described below) of each such employee by [__.__]. [NOTE: The multiplier, as agreed upon by the parties, will be inserted into this Attachment 11A pr ior to execution of the Definitive Contract Amendment.] The Design-Builder employees identified above have been approved by the City for performance of Transition Services. Additional Design-Builder personnel performing Transition Services that are not identified above or in Appendix 13 (Key Personnel and Approved Subcontractors) shall be subject to the approval of the City and reflected in a Transition Services Task Order or Contract Administration Memorandum, as applicable.

For purposes of determining hourly billing rates of salaried Design-Builder personnel, the raw labor rate shall be determined by dividing (a ) the individual employee’s annual base salary, without considering any additional forms of comp ensation (e.g., stock, bonuses, etc.), by (b) 2,080 hours per year. At the time of the init ial determination and any subsequent adjustment DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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of hourly billing rates for Design-Builder personnel performing Transition Services, and upon the request of the City, the Design-Builder shall prov ide the information described in clause (a) of this paragraph and support the Design-Builder’s calculation of all applicable hourly billing rates.

For purposes of determining the hourly billing rates payable by the City hereunder, the raw labor rate for any Design-Builder employee performing Transition Services may be increased one time each calendar year to reflect changes in salaries but such increase may not exceed 3% in any annual period unless approved by the City. The parties further acknowledge and agree that there is a maximum hourly rate cap and a minimum hourly rate for Design-Builder personnel performing Transition Services, as set forth in Table 11-2 below.

Table 11-2
Design-Builder Personnel
Minimum and Maximum Hourly Rates
Minimum Hourly Rate: Maximum Hourly Rate:
[_____] [_____]
[Note: The table above will be completed by the parties either prior to: (1) the Definitive Contract Amendment Date and set forth in the Definitive Contract Amendment, or (2) the Substantial Completion Date and reflected in a Contract Administration Memorandum.]

2. Subcontractor Personnel:

Table 11-3
Subcontractor Personnel
Staff Member: Subcontractor: Rate:
[_____] [_____] [_____]

[Note: The table above will be completed by the parties either prior to: (1) the Definitive Contract Amendment Date and set forth in the Definitive Contract Amendment, or (2) the Substantial Completion Date and reflected in a Contract Administration Memorandum.] The parties acknowledge and agree that the Design-Builder shall be entitled to a [___]% mark-up that shall be applied to the cost of all Subcontractor personnel that perform Transition Services based on the hourly billing rates set forth abov e. The [___]% mark-up payable to the Design- Builder is an amount attributable to profit, risk and general and indirect overhead in connection with Subcontractor performance of any Transition Services. [NOTE: The mark-up for Subcontractor-performed Transition Services, as agreed upon by the parties, will be inserted into this Attachment 11A prior to execution of the Definitive Contract Amendment.] The Subcontractor personnel identified above have been approved by the City for performance of Transition Services. Additional Subcontractor personnel performing Transition DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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Services that are not identified above or in Appendix 13 (Key Personnel and Approved Subcontractors) shall be subject to the approval of the City and reflected in a Transition Services Task Order or Contract Administration Memorandum, as applicable.

3. Expenses:

The Design-Builder shall be reimbursed for the reasonable and necessary out‐of‐pocket expenses to the extent such costs are (i) necessarily and reasonably incurred by the Design-Builder in the reasonable opinion of the City Contract Representative, and (ii) actually paid by the Design- Builder in its performance of the Transition Services.

Subject to Section 3.1 (Travel Expenses) below, tr avel-related expenses will be reimbursable in accordance with the CIP Consultant Travel Policy with the written pre-authorization of the City Contract Representative. The Design-Builder acknowledges that it has received a copy of the CIP Consultant Travel Policy and is familiar with its terms.

The following expenses are not reimbursable an d shall not be incorporated into any invoice amounts submitted to the City:
x Alcoholic beverages;
x Meals and incidentals for Design-Builder and Subcontractor personnel staff, except in accordance with Section 3.1 (Travel Expenses) below; and x Entertainment.

3.1 Travel Expenses.

All travel expenses must be consistent with the CIP Consultant Travel Policy. Design-Builder or Subcontractor personnel staff who are required to travel to and from a non-City location for a direct Project-related purpose (“Direct Project-Related Travel ”) (e.g., workshop at third-party consultant office, site tour of another wastewater facility, witness testing of equipment) shall be eligible for reimbursement of travel expenses consistent with the CIP Consultant Travel Policy.

The CIP Consultant Travel Policy does not authorize the City to reimburse the Design-Builder for the costs staff incur to commute to the Additi onal Digester Facility Upgrades. Commuting expenses shall be subject to reimbursement in accordance with the following:
x Allowable Commuting Expenses: For staff whos e home office location is more than 60 miles from the Additional Digester Facility Upgrades, the following shall apply:

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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Airfare: Airfare shall not be reimbursable for staff except for Direct Project-Related Travel.
Transportation: Ground transportation costs shall be subject to reimbursement for travel between an employee’s home office location and the Additional Digester Facility Upgrades. Private vehicle mileag e shall be subject to reimbursement for travel between an employee’s home office location and the Additional Digester Facility Upgrades. No other transportation expenses are eligible for reimbursement, except for Direct Project-Related Travel.
Lodging: Lodging expenses shall be subject to reimbursement up to the GSA rate for the Sunnyvale / Palo Alto / San Jose area (excluding lodging taxes). Meals and incidentals: Meals and incident als shall not be reimbursable for staff except for Direct Project-Related Travel.
Parking: Parking expenses for ground transportation shall be subject to reimbursement for travel between an employee’s home office location and the Additional Digester Facility Upgrades. No other parking expenses are eligible for staff except for Direct Project-Related Travel.
CIP Consultant Travel Policy : Commuting expenses are subject to the limitations and requirements contained in the CIP Consultant Travel Policy, as applicable. x Unallowable Commuting Expenses: For staff wh ose home office location is less than 60 miles from the Additional Digester Facility Upgrades, no travel reimbursement shall be allowed except for Direct Project-Related Travel.

3.2 Allowable Mark-up for Expenses.

The parties acknowledge and agree that, except for travel expenses, the Design-Builder shall be entitled to a [___]% mark-up that shall be appl ied to the reimbursable expenses incurred and paid by the Design-Builder. The [___]% mark-up payable to the Design-Builder is an amount attributable to profit, risk and general and indirect overhead in connection such expenses. The Design-Builder shall not be entitled to any mark-up for any travel expenses. [NOTE: The mark- up for expenses, as agreed upon by the parties, will be inserted into this Attachment 11A prior to execution of the Definitive Contract Amendment.] [REMAINDER OF PAGE INTENTIONALLY LEFT BLANK]
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ATTACHMENT 11B

TRANSITION SERVICES INSURANCE REQUIREMENTS
DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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Santa Clara Regional Wastewater Facility Transition Services Insurance Requirements

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ATTACHMENT 11B

TRANSITION SERVICES INSURANCE REQUIREMENTS
[NOTE: The insurance requirements for Transition Services set forth below may be further developed and updated, as agreed upon by th e parties, in this Attachment 11B prior to execution of the Definitive Contract Amendment.]
The Design-Builder, at the Design-Builder’s sole cost and expense, shall procure and maintain for the duration of the Transition Period insu rance against claims for injuries to persons or damages to property which may arise from, or in connection with, the performance of the Transition Services by the Design-Builder , its agents, represen tatives, employees or Subcontractors.

A. Minimum Scope of Insurance
Coverage shall be at least as broad as:

1. The coverage provided by Insurance Serv ices Office Commercial General Liability coverage (“occurrence”) Form Number CG 0001;

2. The coverage provided by Insurance Servic es Office Form Number CA 0001 covering Automobile Liability. Coverage shall be included for all owned, non-owned and hired automobiles;

3. Workers’ Compensation in surance as required by the California Labor Code and Employers Liability insurance; and

4. Professional Liability Errors and Omission s insurance for all professional services rendered.

There shall be no endorsement reducing the scop e of coverage required above unless approved by the City’s Risk Manager.

B. Minimum Limits of Insurance
The Design-Builder shall maintain limits no less than:

1. Commercial General Liability: $1,000,000 per occurrence and $5,000,000 general aggregate for bodily injury, personal injury and property damage. If Commercial Liability Insurance or other form with a general aggregate limit is used, either the general aggregate limit shall apply separately to this Project/location or the general aggregate limit shall be twice the required occurrence limit; DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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2. Automobile Liability: $1,000,000 combined single limit per accident for bodily injury and property damage;

3. Workers’ Compensation and Employers Liability: Worker s’ Compensation limits as required by the California Labor Code and Employers Liability limits of $1,000,000 per accident; and

4. Professional Liability Errors and Omissions: $2,000,000 per claim and $2,000,000 aggregate, coverage to be maintained following completion of work on the Project for 3 years or, if the policy is canceled, extended reporting period to equal the same.

C. Deductibles and Self-Insured Retentions
Any deductibles or self-insured retentions must be declared to, and approved by, the City’s Risk Manager.

D. Other Insurance Provisions
The policies are to contain, or be endorsed to contain, the following provisions:

1. Commercial General Liability and Automobile Liability Coverages a. The City of San Jose, its officers, em ployees, and agents are to be covered as additional insureds as respects: liabili ty arising out of activities performed by or on behalf of, the Design-Builder; pr oducts and completed operations of the Design-Builder; premises owned, leased or used by the Design-Builder; and automobiles owned, leased, hired or borrowed by the Design-Builder. The coverage shall contain no special limitations on the scope of protection afforded to the City, its officers and employees.
b. The Design-Builder’s insurance coverage shall be primary insurance as respects the City, its officers and employees. Any insurance or self-insurance maintained by the City, its officers, employees, agents or contractors shall be excess of the Design-Builder’s insurance and shall not contribute with it. c. Any failure to comply with reporting provisions of the policies by the Design- Builder shall not affect coverage provid ed the City, its officers, employees, agents, or contractors.
d. Coverage shall state that the Design-Bu ilder’s insurance shall apply separately to each insured against whom claim is made or suit is brought, except with respect to the policy’s limits of liability.

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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e. Coverage shall contain a waiver of subrog ation in favor of the City, its officers, employees, agents and contractors.

2. Workers’ Compensation and Employers’ Liability
Coverage shall contain waiver of subrogatio n in favor of the City, its officers and employees.

3. Claims Made Coverages
If coverage is obtained on a “claims made” policy form, the retroactive date shall precede the date Transition Services were initiated with the City and the coverage shall be maintained for a period of three (3) years after termination of Transition Services under this Design-Build Contract.

4. All Coverages
Each insurance policy required hereunder shall be endorsed to state that coverage shall not be suspended, voided, cancelled, or reduced in limits below those required in Section B (Minimum Limits of Insurance) above except after thirty (30) days’ prior written notice has been given to the City, except that ten (10) days’ prior written notice shall apply in the event of cancellation for nonpayment of premium.

E. Acceptability of Insurers
Insurance is to be placed with insurers meetin g the requirements specified in Section 14.1(F) (Insurance for Transition Services) of the Design-Build Contract and acceptable to the City’s Risk Manager.

F. Verification of Coverage
The Design-Builder shall furnish the City with certificates of insurance and with original endorsements affecting coverage required hereunder. The certificates and endorsements for each insurance policy are to be signed by a person authorized by that insurer to bind coverage on its behalf.

Proof of insurance shall be emailed in pdf format to: [email protected]:

Certificate Holder
City of San Jose—Finance
Risk Management
200 East Santa Clara Street, 14th Floor Tower
San Jose, CA 95113-1905
DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

City of San Jose
Dewatering Facility at the San Jose- Appendix 9
Santa Clara Regional Wastewater Facility Commissioning and Acceptance

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G. Subcontractors
The Design-Builder shall obtain separate certificates and endorsements for each Subcontractor performing Transition Services. Professional Li ability Errors and Omissions insurance will be required by the Design-Builder only and will not be required from Subcontractors. [REMAINDER OF PAGE INTENTIONALLY LEFT BLANK]

DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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APPENDIX 12

INSURANCE REQUIREMENTS
DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

City of San Jose Additional Digester Facility
Upgrade Project at the San Jose - Appendix 12
Santa Clara Regional Wastewater Facility Insurance Requirements

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APPENDIX 12

OWNER CONTROLLED INSURANCE PROGRAM INSURANCE REQUIREMENTS

1. Owner Controlled Insurance Program
The City of San Jose (“City”) shall implement an Owner Controlled Insurance Program (“OCIP”) for the projects identified as capital improvement projects to be performed at the Regional Wastewater Facility and as identified with specificity in the contract documents (“Project”). The OCIP is more fully described in the insurance manual (the “Insurance Manual”) for the Project, which is set forth in Attachment 12A (Owner Controlled Insurance Program Contractors’ Insurance Procedures Manual) to this to this Appendix 12 and incorporated into this Design- Build Contract.

The OCIP will include Workers’ Compensation and Employer’s Liability insurance, Commercial General Liability insurance, and Excess Liability insurance, as summarily described below, in connection with the Project.

The Design-Builder shall include this Attachment in every subcontract issued for the Project and shall not amend, delete, or otherwise modify the terms or condition of this Attachment without having prior, written approval by the City’s de signated representative. The insurance provided under the OCIP shall be referred to herein as “OCIP Coverages.”

2. OCIP Administrator
The City has designated Alliant Insurance Se rvices, Inc. as the OCIP Administrator (“ OCIP Administrator”) for the Project.

3. Premiums, Deductibles, and Proceeds
The City shall pay all premiums associated with the OCIP Coverages and Other Coverages Provided by the City as identified herein includ ing deductibles or self-insured retentions except as provided in Section 8 (Design- Builder’s Obligations) of this Appendix 12 or unless otherwise stated in this Design-Build Contract.

4. Eligible and Enrolled Parties
Parties eligible to enroll in the OCIP are the Design-Builder, and its Subcontractors of every tier performing a portion of the Design-Build Work on the ADFU Site (“ Eligible Parties ”). Upon enrollment, an Eligible Party shall become an “Enrolled Party.” DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

City of San Jose Additional Digester Facility
Upgrade Project at the San Jose - Appendix 12
Santa Clara Regional Wastewater Facility Insurance Requirements

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5. Excluded Parties.

Parties (including all contractors and Subcontractors) that are not eligible to enroll in the OCIP, and who are excluded from the OCIP, are:
(a) Hazardous materials remediation, remo val and/or transport companies and their consultants;
(b) Architects, surveyors, engineers, and soil testing engineers, and their consultants; (c) Vendors, suppliers, fabricators, material dealers, truckers, haulers, drivers, and others who merely transport, pick up, deliver, or carry materials, personnel, parts or equipment, or any other items or persons to or from the ADFU Site; (d) Contractors or Subcontractors performing day-to-day maintenance and operation work for RWF operations.
(e) Any Subcontractor of any tier that does not perform any actual labor on the ADFU Site; and
(e) Any other party or entity not specifically identified herein, that is excluded by the City in its sole discretion, even if such party or entity is otherwise eligible.

6. Summary of OCIP Coverages and Othe r Coverages Provided by the City The OCIP Coverages and Other Coverages Provided by the City shall apply on a primary and non- contributory basis only to those operations of each Enrolled Party eligible for the OCIP performed at the ADFU Site and in connection with required Design-Build Work. OCIP Coverages and Other Coverages Provided by the City shall not apply to ineligible parties, even if they are erroneously enrolled in the OCIP. An Enrolled Party’s operations away from the ADFU Site, including product manufacturing, assembling, or otherwise, shall on ly be covered if such off-site operations are identified and are dedicated solely to the Project. OCIP Coverages and Other Coverages Provided by the City shall not cover off-site operations until the Enrolled Party requesting off-site coverage receives written acknowledgment of such coverage from the OCIP Administrator. A summary of the coverages provided under the OCIP and Othe r Coverages Provided by the City are set out below. The City, the Design-Builder, and all enro lled Subcontractors of every tier shall agree to waive all rights of subrogation against each ot her and all insurance co mpanies providing OCIP Coverages and Other Coverages Provided by the City for onsite work regarding any insured loss covered by the OCIP Coverages or the Other Coverages Provided by the City.

San Jose City CouncilJanuary 13, 2026

San Jose City Council
January 13, 2026