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

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

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SUMMARY OF OCIP COVERAGES
A. Workers’ Compensation/E mployer’s Liability Insurance Worker’s Compensation Statutory Limit
Employer’s Liability
Bodily Injury By Accident, each accident $1,000,000
Bodily Injury By Disease, each employee $1,000,000
Bodily Injury By Disease, policy limit $1,000,000

B. Commercial General Liability Insurance
Form Equivalent to Most Current ISO Occurrence Form
Each Occurrence Limit $2,000,000
Personal/Advertising Injury Limit (Each Occurrence) $2,000,000 General Aggregate Limit for all Enrolled Parties
(Other Than Products/Completed Operations)
$4,000,000
Products and Completed Operations Aggregate
(for all Enrolled Parties)
$4,000,000
Ten (10) Years Products & Completed Operations Extension

C. Excess Liability Insurance (over Commercial General Liability) Combined Single Limit Not less than $75,000,000
General Annual Aggregate for all Enrolled Parties Not less than $75,000,000 Products & Completed Operations Aggregate
(for all Enrolled Parties)
Not less than $75,000,000
Ten (10) Years Products & Completed Operations Extension

SUMMARY OF OTHER COVERAGES PROVIDED BY THE CITY
The following additional coverages are provided for the participants in the Project by the City outside of the OCIP (the “Other Coverages Provided by the City”):

A. Contractor’s Pollution Liability Insurance
Per Occurrence Not less than $5,000,000
Aggregate Not less than $5,000,000
Ten (10) Years Products & Completed Operations Extension

B. Builders Risk
The City shall obtain and maintain in force during the Term of this Design-Build Contract a Builders’ Risk Insurance policy or policies separate from the OCIP, which shall insure against all risks of physical loss and/or damage includin g flood and excluding earthquake, subject to normal policy exclusions, to all buildings, structures, materials, and real property on site, which are intended to be, or have already been incorp orated into and forming part of the Project, whether or not such buildings, structures, materials, or real property will have been supplied or made available to Contractors 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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The Builders’ Risk policy shall be endorsed to add Contractors of any tier as additional named insureds’, as their interests may appear and to waive the carrier’s right of recovery under subrogation against the City and all other Contra ctors of any tier whose interests are insured under such policy.

Unless required otherwise by the City, claims under Builders’ Risk insurance provided are subject to a Contractor Claims Obligation of twenty-five thousand dollars ($25,000) per occurrence. If a claim results from any constru ction activity, the responsible Contractor, Subcontractor, or Sub-Subcontractor shall pay the Contractor Claims Obligation up to $25,000.

All Builders’ Risk losses will be adjusted with and payable to the City or the Designee for the benefit of all parties as their interest may appear.

The City shall not be responsible for loss or damage to, or obtaining and/or maintaining in force insurance on temporary structures, construction eq uipment, tool or personal effects, owned or rented to or in the care, custody, and control of a Contractor of any tier.

7. City’s Obligations.

The City shall pay the costs of premiums for the OC IP Coverages. The City will receive or pay, as the case may be, all adjustments to such co sts, whether by way of dividends, retroactive adjustments, return premiums, other moneys due, audits or otherwise. The Design-Builder hereby assigns to the City the right to receive all such adjustments. All Subcontractors shall be required, by written contract to assign to the City the right to receive all such adjustments. The City assumes no obligation to provide insurance ot her than that specified in this Appendix 12 and in the OCIP insurance policies. The City ’s furnishing of OCIP Coverages and Other Coverages Provided by the City shall in no way relieve or limit, or be construed to relieve or limit, any responsibility, liability, or obligation impose d on the Design-Builder or any Subcontractor under this Design-Build Contract, the OCIP insu rance policies, or by law, including, without limitation, any indemnification obligations which such parties have agreed. The City reserves the right at its option, without obligation to do so, to furnish other insurance coverage of various types and limits provided that such coverage is not less than that specified in this Appendix 12.

8. Design-Builder’s Obligations
(a) The Design-Builder shall incorporate by reference the insurance requirements set out in this Appendix 12, into all Subcontracts.
(b) The Design-Builder shall enroll in the OCIP prior to the commencement of construction activities at the Project. The Design-Builder shall direct all DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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Subcontractors who are Eligible Parties to enroll in the OCIP prior to their commencement of construction activities at the Project, and maintain enrollment during the course of the Project.
(c) The Design-Builder shall comply with all of the requirements of the insurance policies of the OCIP Coverages and Other Coverages Provided by the City and the Insurance Manual. The Design-Builder shall provide to each of its Subcontractors of every tier a copy of the Insura nce Manual, and ensure Subcontractor compliance with all provisions of the insurance policies of the OCIP Coverages and Other Coverages Provided by the City and the Insurance Manual. (d) The Design-Builder shall acknowledge, and require all of its Subcontractors of every tier to acknowledge, in writing, that the City and the OCIP Administrator are not agents, partners or guarantors of any OCIP insurer, that neither the City nor the OCIP Administrator are responsible for any claims or disputes between or among the Design-Builder, its Subcontractors of any tier, and any OCIP insurer(s), and that neither the City nor OCIP Administrator guarantees the solvency or the availability of limits of any OCIP insurer(s). (e) The Design-Builder shall provide, within five (5) days of the City’s request, any information related to the Design-Builder ’s insurance costs, including but not limited to payroll records, certified co pies of insurance coverages, declaration pages of coverages, certificates of insurance, underwriting data, prior loss history information, safety records or histor y, OSHA citations, construction cost estimates for this Project, or such other data or information as the City, the OCIP Administrator, or OCIP insurers may requ est in the administration of the OCIP.

The Design-Builder shall require its Subcontractors to provide the same information, upon request.
(f) The Design-Builder shall comply, and re quire all of its Subcontractors to comply, with OCIP Administrator’s instructions for electronically enrolling in the OCIP. (g) Bid Methodology - Net Bid. In connec tion with its (1) Proposal and proposed Preliminary Services Fee and (2) Definitive Project Submittal and proposed Base Guaranteed Maximum Price, the Design-Builder shall submit the proposed insurance pricing ‘net’ of its insuran ce costs for OCIP Coverages and Other Coverages Provided by the City. The Design-Builder shall exclude from its proposed insurance pricing its “Costs of OCIP Coverages ”, which is defined as DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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the amount of Design-Builder’s reduction in insurance costs due to eligibility for OCIP Coverages and Other Coverages Provid ed by the City. The Costs of OCIP Coverages includes reduction in insurance premiums, related taxes and assessments, markup on the insurance premiums and losses retained through the use of the self-funded program, self-insured retention, or deductible program.

The Cost of OCIP Coverages must includ e expected losses within any retained risk. The Design-Builder must exclude from its proposed insurance pricing the Cost of OCIP Coverages for all its Subcontractors in addition to their own Cost of OCIP Coverages. Following final negotiat ion of this Design-Build Contract and the Definitive Contract Amendment, the Design-Builder shall also submit the insurance cost summary form provided in the Insurance Manual, identifying the amount the Design-Builder would have charged to perform the Design-Build Work had the OCIP not been implemented and the Design-Builder provided its own insurance coverages. For the purposes of preparing the insurance cost summary form, the Design-Builder shall assume it is required to provide all of the insurances required of Excluded Parti es, as set out in Section 9 (Additional Insurance Required From Enrolled Parties And Excluded Parties) of this Appendix

12. During the course of the Project, Change Orders must also be priced to exclude the Cost of OCIP Coverages.

9. Additional Insurance Required From Enrolled Parties And Excluded Parties The Design-Builder shall obtain and maintain, and shall require each of its Subcontractors of all tiers to obtain and maintain, the insurance cove rage specified in this Section 9 in a form and from insurance companies reasonably acceptable to the City. The insurance limits may be provided through a combination of primary and excess policies, including the umbrella form of policy. Each policy required herein, except th e Workers’ Compensation policy, shall name the City, its officials, employees, agents, contractors and any additional entities as the City may request as additional insureds. The additional insured endorsement shall state that the coverage provided to the additional insureds is primary and non-contributory with respect to any other insurance available to the additional insureds. The Design-Builder shall provide certificates of insurance evidencing all required coverage prio r to commencement of Design-Build Work. The additional insured endorsement to the general lia bility policy shall be provided by issuance of both ISO Form CG 2010 1001 and ISO Form CG 2037 1001 additional insured endorsements, or such other endorsement as acceptable to the City.

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

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Early Work Package Amendments:

The Early Work Packages will not be covered by the OCIP. For on-site work that is part of an Early Work Package, the Design-Builder sha ll obtain and maintain, Automobile Liability, Worker’s Compensation, Employer ’s Liability General Liability and Pollution Liability. The insurance limits may be provided through a co mbination of primary and excess policies, including the umbrella form of policy. Each policy required herein, except the Workers’ Compensation policy, shall name the City, its of ficials, employees, agents, contractors and any additional entities as the City may request as additional insureds. (a) Standard Commercial Automobile Liabili ty Insurance covering all owned, non- owned, and hired automobiles, trucks, and trailers with a combined single limit of not less than $1,000,000 for bodily injury, $1,000,000 for property damage, and with a $1,000,000 policy limit.
(b) Statutory Workers’ Compensation Insu rance and Employer’s Liability insurance with statutory limits as required by law, including Maritime coverage, if appropriate, and Employer’s Liability limits of not less than $1,000,000 each accident, $1,000,000 each employee, and with a $1,000,000 policy limit. (c) Commercial General Liability Insurance in a form providing coverage not less than the standard ISO Commercial General Liability insurance policy (“Occurrence Form”), with limits no less than $5,000,000 per occurrence and in the aggregate. (d) Contractor’s Pollution Liability insura nce in the amount of not less than two million dollars ($2,000,000) per claim and two million ($2,000,000) aggregate.

Enrolled Parties:

Enrolled Parties shall provide Wo rker’s Compensation, Employer’s Liability, General Liability, and Excess Liability insurance, as set out below, for off-site activities, and Automobile Liability insurance for all activities, both on-site and off-site.

Excluded Parties:

Excluded Parties must provide all insurance set out below for both on-site and off-site activities. (a) Standard Commercial Automobile Liabili ty Insurance covering all owned, non- owned, and hired automobiles, trucks, and trailers with a combined single limit DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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of not less than $1,000,000 for bodily injury, $1,000,000 for property damage, and with a $1,000,000 policy limit.
(b) Statutory Workers’ Compensation Insu rance and Employer’s Liability insurance with statutory limits as required by law, including Maritime coverage, if appropriate, and Employer’s Liability limits of not less than $1,000,000 each accident, $1,000,000 each employee, and with a $1,000,000 policy limit. (c) Commercial General Liability Insurance in a form providing coverage not less than the standard ISO Commercial General Liability insurance policy (“Occurrence Form”), with limits no less than:

Enrolled Parties/Excluded Parties
Each Occurrence $1,000,000/$2,000,000
General Aggregate $2,000,000/$4,000,000
Products/Completed Operations Aggregate $2,000,000/$4,000,000 Personal/Advertising Injury Aggregate $1,000,000/$2,000,000

(d) Unmanned Aerial System (UAS) / Drone Liability Insurance: If the Design- Builder’s operations under this Design-Build Contract may include the use of any Unmanned Aerial Systems (UAS / Drones), then the Design-Builder shall maintain or shall cause all drone owners or operators to maintain UAS / Drone Liability coverage on an “occurrence” basis for all owned and non-owned drones, and liability coverage for third-party bodily injury, property damage, and personal injury arising out of the ownership, maintenance, or use of drones with limits not less than $2,000,000 per occurrence.

Additional requirements:
a. The Design-Builder’s, drone owner’s, and drone operator’s UAS / Drone Liability insurance or Co mmercial General Liability policies shall provide contractual liability coverage for liabili ty assumed under an insured contract for the ownership, maintenance or use of drones.
b. The Design-Builder shall submit certificates of insurance evidencing required insurance to the City for approval prior to the use of any drones under this Design-Build Contract, thereafter from time to time upon request, and within five (5) business days of renewal, expiration, and/or replacement of required insurance.

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 ensure that all drone pilots obtain and continuously maintain a Remote Pilot Certificate issued by the Federal Aviation Administration (FAA) and abide by all FAA drone rules and regulations. (e) Professional Liability. In the event any co ntract specifications requires the Design- Builder to perform professional services, such as, but not limited to, architectural, engineering, construction management, surveying, or design, the Design-Builder shall maintain a Professional Liability po licy with limits not less than ten million dollars ($10,000,000) per claim and ten million ($10,000,000) aggregate with a minimum of five year’s tail coverage for work performed. Coverage shall be maintained for five years after the Substantial Completion Date. Such policy shall have a retroactive date before the commencement of any design, and shall not include any exclusionary language relating to joint ventures or partnerships or both. The Design-Builder shall require all Subcontractors providing professional services to maintain a professional liab ility insurance policy pursuant to this Section; provided, however, that the Design-Builder may adjust the coverage limits based on the Subcontractor size and scope, as approved by the City, in writing.
(f) Contractor’s Pollution Li ability. The Design-Builder or its Subcontractors, if involved with the removal of asbestos or lead, the removal/replacement of underground tanks, or use of toxic chemicals and substances, shall purchase and thereafter maintain Contract or’s Pollution Liability insurance in the amount of not less than five million dollars ($5,000,000) per claim and five million ($5,000,000) aggregate.
(g) All insurance referred to herein to be carried by the Design-Builder or any Subcontractor shall be maintained by such parties at their sole expense, with insurance carriers qualified to do business in California and having a rating of not less than A-, VII from A.M. Best & Co., unless the City, in writing, in its sole discretion, accepts a lower Best’s rating.
(h) The City reserves the right to require (1 ) higher limits and (2) additional insurance coverages if the City determines in its sole discretion that such higher limits and/or additional coverages are reasonab ly necessary for the protection of the City. Such additional coverages shall be in a form and with 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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additional insured endorsements, and deductibles or self-insured retentions acceptable to the City.
(i) Prior to commencing Design-Build Work for the Project, the Design-Builder shall deliver to the City the endorsements and waivers of subrogation referred to herein, as well as certificates of insurance evid encing the coverages required herein.

Promptly upon the City’s request, the Design-Builder shall deliver to the City a copy of any and all of the insurance policies and other insurance documents required hereunder. In the case of polic ies expiring while work is in progress, a renewal certificate with all applicable endorsements must be delivered to the City prior to the expiration of the existing policy or policies. Permitting the Design- Builder or any Subcontractor to start work, or continue work, prior to compliance with these requirements shall not constitute a waiver of any of the requirements set forth herein. All certificates of insurance must provide the City with thirty (30) days advance written notice of cancellation, intent to non-renew, or adverse material change in or reduction of coverage.

10. Representations and Warranties
The Design-Builder represents and warrants to the City, and shall use its best efforts to ensure that each of its Subcontractors of every tier represent and warrant to the City that:
(a) All information they submit to the City, or to the OCIP Administrator, shall be accurate and complete.
(b) They have had the opportunity to read and analyze copies of the insurance policies of the OCIP Coverages and Other Coverages Provided by the City that are available on request, and that they understand the OCIP Coverages and Other Coverages Provided by the City. Any reference or summary in this Appendix 12, to the amount, nature, type or extent of OCIP Coverages, Other Coverages Provided by the City and/or potential applicability to any potential claim or loss is for reference only. The Design-Builder and its Subcontractors of all tiers have not relied upon said reference, but solely upon their own independent review and analysis of the OCIP Coverages and Other Coverages Prov ided by the City in formulating any understanding and/or belief as to amount, nature, type or extent of any OCIP Coverages, Other Coverages Provided by the City and/or their potential applicability to any potential claim or loss.

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

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(c) The Design-Builder shall not include in any request for payment any sums to provide or obtain insurance that is be ing maintained under the OCIP Coverages and Other Coverages Provided by the City.

11. Audits
The Design-Builder and all Subcontractors agree th at the City, the OCIP Administrator, and/or any OCIP insurer may audit their payroll record s, books and records, insurance coverages, insurance cost information, and project cost records to confirm their accuracy, and to ensure that the City has not been billed for any cost of insurance that is being provided under the OCIP Coverages and Other Coverages Prov ided by the City. In the event any audit reveals that the City has been billed by the Design-Builder or any of its Subcontractors for any cost of insurance that is being provided by the City under the OCIP Coverages and Other Coverages Provided by the City, the City shall have the right to deduct from any amounts payable to the Design-Builder or any Subcontractor such cost, including all expenses and fees of audit.

12. Modification or Discontinuance of the OCIP
The City may, for any reason, modify the OCIP Coverages and Other Coverages Provided by the City, discontinue the OCIP or Other Coverages Provided by the City, or request that the Design- Builder or any of its Subcontractors of any tier withdraw from the OCIP upon thirty (30) days written notice. Upon such notice, the Design-Builder and/or one or more of its Subcontractors, as specified by the City in such notice, shal l obtain and thereafter maintain during the performance of the Design-Build Work for the Proj ect, such insurance as specified by the City.

The form, content, limits of liability, cost, and the insurer issuing such replacement insurance shall be subject to the City’s approval. The cost of the replacement coverage(s) shall be at the City’s expense, but only to the extent of the Costs of OCIP Coverages for such replaced OCIP Coverages or Other Coverages Provided by the City, as applicable.

13. Waiver of Subrogation
Where permitted by law, the Design-Builder hereby waives all rights of recovery by subrogation because of deductible clauses, inadequacy of limits of any insurance policy, limitations or exclusions of coverage, or any other reason against the City, the OCIP Administrator, its or their officers, agents, or employees, and any other Sub contractor performing Design-Build Work or rendering services on behalf of the City in connection with the planning, development and construction of the Project. The Design-Builder also agrees that all additional insurance maintained by the Design-Builder or any Subc ontractor under this Appendix 12 shall include clauses providing that each insurer shall waive all of its rights of recovery by subrogation against 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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the City, the Design-Builder, or any Subcontractor. A waiver of subrogation shall be effective as to any individual or entity even if such individual or entity (a) would otherwise have a duty of indemnification, contractual or otherwise, (b) did not pay the insurance premium directly or indirectly, and (c) whether or not such individual or entity has an insurable interest in the property damaged.

14. Conflicts
In the event of a conflict between the provisions of this Appendix 12, the Insurance Manual, and the provisions of the insurance policies of the OCIP Coverages and Other Coverages Provided by the City, the terms of the insurance policies of the OCIP Coverages and Other Coverages Provided by the City shall govern, then the provisions of this Appendix 12, then the provisions of the Insurance Manual.

15. Safety
The Design-Builder is solely responsible for all construction means, methods, safety, techniques, sequences, and procedures. Each Subcontractor, of any tier, is responsible for all safety precautions and programs in connection with Design-Build Work under this Design-Build Contract.

The requirements of Cal/OSHA, the State, the City, and laws, statutes, regulations, codes, ordinances, and orders of those governing bodies having jurisdiction over the Design-Build Work, including the OCIP specific safety specifications listed below, establish the guidelines for this Project that safety and loss prevention programs must meet or exceed.

In the event of a conflict or inconsistency between safety standards, the most stringent standard will govern.
(a) Project Safety Team Monthly meetings. The Project Safety Team is a safety committee for the Project. The Project s hall have a committee comprised of the Design-Builder, Subcontractor, Project Manager and/or OCIP Safety Representative. On a monthly basis the group shall meet to discuss the Project’s safety program. These meetings may be in corporated into Project coordination meetings.
(b) Drug Free Work Environment. This Project prohibits the use, possession, distribution or sale on its premises or workplace the following substances:
alcoholic beverages, intoxicants, drugs and related drug paraphernalia.

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

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Employees must not report to work while under the influence of any drug or alcoholic beverage. Any substance, including prescription drugs, that impairs mental or motor function must not be used while working at or on this Project. (Because marijuana remains illegal under Federal Law, medical marijuana cards or prescriptions permitting their use will not be allowed by the Design-Builder).

The cost of enforcing this policy shall be the responsibility of each employer of the effected employee.
(c) Safety Representative. The Design-Builder and Subcontractors shall have a designated Safety Representative with no other duties available at the site assigned the responsibilities of managing all aspects of safety related to employees under their direct control.

Subcontractors may have these duties performed by a Field Superintendent or Foreman having the required training, experience and qualifications listed below.

These employees may have duties other than safety provided appropriate adherence to State and local Laws, ordi nances, codes, regulations, and these safety specifications are followed by personal under their direct control.

The Design-Builder/Subcontractor Safety Representative must have the following minimum qualifications:
(i) The CSR/SSR shall have a minimum of 3- 5 years of qualified project safety experience on similar type construction projects.
(ii) Evidence of completing the OSHA 10 or 30 Hour Construction Outreach Training or equivalent with the past 3 years.
(iii) Current First Aid/CPR certification provided by The American National Red Cross or equivalent training.
(iv) Ability to stop work in the event of a workplace hazard, until corrective action has been implemented.
(v) Understanding of Federal and/or State Safety and OCIP Safety Regulations.
(vi) Ability to conduct approp riate incident investigations.

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

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(vii) Ability to communicate with field personal and project staff on relevant health and safety items.
(d) Orientation. One of the requirements of the Design-Builder and all Subcontractors and their safety representative or designees is to ensure that a complete basic safety orientation is conducted for all th eir employees new to the site. A Project Orientation by the Design-Builder is re quired before an employee can receive a Project ID and enter the field. At a minimum, the orientation shall include:
(i) Employee safety requirements and policies.
(ii) Site safety and health rules.
(iii) Permitting procedures, including work permits, excavation, confined space entry, lock-out, etc.
(iv) Hazard communication.
(v) Emergency alarms and evacuation procedures.

All employees will complete and sign a Safety Orientation form supplied by the Design-Builder. Upon successful orientation completion the employee will receive a hard hat sticker with an identification number to be worn on the employee’s hard hat at all times while on the Project.
(e) Fall Protection. 100% Fall Protection shall be implemented by all trades for all fall exposures of six (6) feet or more. (Exception: Work from ladders and work around excavations, within Cal/OSHA specifications)
(f) Excavation. Trenching or excavating activities must be under the supervision of a competent person at all times.
(g) PPE
(i) Employees must at all times wear an ANSI Z89.1 approved hard hat on the jobsite.
(ii) Employers must supply all personal protective equipment.

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

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(iii) Safety glasses with permanently affi xed side shields are required at all times. All safety glasses, goggles, and face shields must have the ANSI-Z87 approval.
(iv) Sturdy work boots are required at all times on the jobsite. Employees on the jobsite shall not wear tennis shoes, running shoes, casual street shoes, sandals or shoes made of other thin material.
(iv) At minimum a Class II High Visibility reflective vest or equivalent shall be worn at all times while on-site.
(h) Hazard Communication. The Design-Builder shall maintain a copy of all Material Safety Data Sheets, and a chemical inve ntory list, for all hazardous substances used at the jobsite by their firm, as well as for all hazardous substances used at the jobsite by all Subcontractors regardless of tier.
(i) Return to Work Program. The Design-Builder and each Subcontractor should have a written Early Return to Work Program that should be implemented on this Project.
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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 12A

OWNER CONTROLLED INSURANCE PROGRAM
CONTRACTORS’ INSURANCE PROCEDURES MANUAL
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 Owner Controlled Insurance Program Contractors’ Insurance Procedures Manual

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San Jose – Santa Clara Regional Wastewater Facility
Capital Improvement Program

Owner Controlled Insurance Program
Contractors’ Insurance Procedures Manual
August 5, 2021

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

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Table of Contents

1.0 INTRODUCTION ..................................................................................................... 1

1.1 Overview ............................................................................................................ 1

1.2 About this Manual .............................................................................................. 2

1.3 Responsibilities Concerning Loss Control & Claim Reporting ............................... 2

2.0 PROJECT DIRECTORY .......................................................................................... 4

3.0 PROJECT DEFINITIONS ........................................................................................ 5

4.0 CONTRACTOR RESPONSIBILITIES ........................................................................ 7

4.1 Alliant WrapX ..................................................................................................... 7

4.2 Contractor Bids .................................................................................................. 8

4.3 Enrollment ......................................................................................................... 9

4.4 Assignment of Return Premiums ......................................................................... 9

4.5 Payroll Reports ................................................................................................... 9

4.6 Insurance Company Payroll Audit ..................................................................... 10

4.7 Completion of Work .......................................................................................... 10

4.8 Approved Off-Site Locations .............................................................................. 10

4.9 Safety ............................................................................................................... 11

4.10 Claims Reporting .............................................................................................. 11

4.11 Change Order Procedures ................................................................................. 11

5.0 INSURANCE COVERAGE ...................................................................................... 12

5.1 Covered Parties ................................................................................................ 12

5.2 Parties Not Covered .......................................................................................... 12

5.3 Exclusion of Contractors from the OCIP ............................................................ 12

5.4 Evidence of OCIP Coverage ............................................................................... 12

5.5 Description of Insurance Coverages .................................................................. 13

5.5.1 Workers’ Compensation and Employer’s Liability Insurance .............................. 13

5.5.2 Commercial General Liability Insurance ............................................................ 14

5.5.3 Excess Liability Insurance ................................................................................ 14

5.5.4 Builders’ Risk Insurance ................................................................................... 14

5.5.5 Pollution Liability Insurance ............................................................................. 15

5.6 OCIP Termination or Modification ..................................................................... 15

6.0 CONTRACTOR REQUIR ED COVERAGE ................................................................ 16

6.1 Workers’ Compensation .................................................................................... 16

6.2 General Liability ............................................................................................... 17

6.3 Business Auto Liability ..................................................................................... 17

6.4 Construction Equipment Insurance .................................................................. 17

6.5 Professional Liability Insurance (Errors & Omissions) ........................................ 18

6.6 Aviation Insurance ........................................................................................... 18

6.7 Pollution Liability ............................................................................................. 18

6.8 Conditions of Understanding ............................................................................ 19

6.9 Other Insurance Required of All Contractors ..................................................... 19

7.0 CLAIM PROCEDURES .......................................................................................... 20

7.1 Workers’ Compensation Claims ........................................................................ 20

7.2 General Liability Claims .................................................................................... 20

7.3 Property Claims ................................................................................................ 21

7.4 Automobile Claims ........................................................................................... 21

8.0 APPENDIX ........................................................................................................... 22

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

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1.0 INTRODUCTION

1.1 Overview
The City of San Jose (Sponsor) has elected to use an Owner Controlled Insurance Program (OCIP) for the Regional Wastewater Facility Capital Improvement Program (Project). Under such a program, the Sponsor purchases certain insurance policies for protection of some (but not all) of the insurable risks that exist on a construction project. The insurance purchased by the Sponsor will be endorsed to extend coverage of the policy to any enrolled Contractors, Subcontractors, or Sub-Subcontractors. Contractors of every tier on the Project should carefully consider the OCIP and its implications to their company before executing a contract requiring their participation in the OCIP.

The OCIP provides the following insurance for all Contractors, regardless of tier, that are approved for participation in the insurance program:
x Commercial General/ Excess Liability
x Workers’ Compensation
The following additional coverages are provided outside of the OCIP:
x Builders’ Risk
x Pollution Liability Insurance
Certain Contractors are ineligible for this program. These parties are identified in the Definitions, Section 3.0 of this manual.

The Sponsor will pay all insurance premiums fo r the OCIP coverage listed above. You should notify your insurer(s) to delete from your insurance program charges and coverage for the on- site activities of this Project that are covered under the OCIP.

Alliant, the OCIP Program Broker/Administrator, will be administering the program on the behalf of the Sponsor.

Insurance coverage and limits provided under the OC IP are limited in scope and specific to this project only. Your insurance representative shou ld review this information. Any additional coverage you may wish to purchase will be at your own expense and for which costs should be included in your cost proposal at the time of contracting.

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

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The guidelines in this manual are to be used for informational purposes only. Any conflict between this document and any contract or subcontract, the contract or subcontract will govern. Any difference with the actual OCIP policies will control in the event of any inconsistency or misunderstanding.

1.2 About this Manual
This manual is designed to identify, define, and assign responsibilities for the administration of the OCIP. The guidelines in this manual are to be used for informational purposes only.

This Manual:
x Generally describes the OCIP
x Identifies responsibilities of the various parties involved in the project with regards to the OCIP
x Provides a basic description of the OCIP operation
x Describes audit and administration procedures for the OCIP x Provides answers to basic questions about the OCIP
This manual will be updated throughout the course of the project if necessary This Manual does not:
x Provide coverage interpretations
x Provide complete information about coverage
x Provide answers to specific claims questions
Specific questions about the OCIP, its administration, or the coverage provided should be referred to the OCIP Administrator identified in the Proj ect Directory section immediately following this introduction.

1.3 Responsibilities Concerning Loss Control & Claim Reporting It will be the responsibility of all Contractors of any tier to exer cise every reasonable action to prevent work related injuries, property and equi pment damage at the project site, as well as to minimize the exposure of risk to the public and third party property. All Contractors of any tier DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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will conduct loss control prevention practices ac cording to those requirements set by Federal, State and Local Laws, statutes, and specific project procedures developed for this project.

In the event of an accident, it will be the obligat ion of the responsible Contractor of any tier to see that the injured workers or members of th e public are given immediate medical treatment.

Also, the Contractor is responsible to ensure all appropriate medical an d claim forms are filed with the appropriate Authorities, the Primary OCIP Carrier, Site Safety Personnel, and the OCIP Administrator.

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

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2.0 PROJECT DIRECTORY

OCIP ADMINISTRATOR
Alliant Insurance Services
Construction Services Group
701 B St, 6th Floor
San Diego, CA 92101

PROGRAM MANAGER PROGRAM ADMINISTRATOR
Mike Davidson
Office: 619-849-3858
[email protected]
Tamika Owens
Office: 619-849-3997
[email protected]

WORKERS’ COMPENSATION CLAIMS REPORTING
WC DIRECT CLAIM REPORTING TO:

TBD
WC Reporting Claims Kits may be obtained from the General Contractor in the event of a claim

OCIP PORTAL – ALLIANT WRAPX
OCIP Document Submission
Email:[email protected]
Online Enrollment, Payroll Reporting &
Document Management
Website:
http://alliantwrapx.alliantinsurance.com/contractorportal

Contact Project Administrator for User Access

OCIP Coverages

INSURANCE COMPANIES POLICIES
TBD Workers’ Compensation
TBD General Liability
TBD Excess Liability

Additional Coverages

INSURANCE COMPANIES POLICIES
TBD Builders’ Risk
TBD Pollution

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

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3.0 PROJECT DEFINITIONS
The following definitions apply to this project and to the descriptions of the Project Coverage used in this manual:

Approved Off-Site Locations:

Storage yards or staging areas used solely in connection with performing work at the Project Site.

All locations must be approved by the Sponsor and insurer.

Certificate of Insurance:

A Document providing evidence of the existence of coverage for a particular insurance policy or policies.

Contract:

A written agreement between the Sponsor and the Contractor for specific work and also includes an agreement between a Subcontractor and any tier of Subcontractor.

Contractor Claims Obligation:

The amount Contractors of ever y tier are responsible for paying as their contribution for settlement of an insured loss.

Employer:

Any individual, firm, or corporation that provides direct construction labor for work performed at the Project Site.

Enrolled:

Applies to those eligible Contractors, Subco ntractors, and Sub-Subcontractors that have submitted all necessary enrollment forms and have been accepted into the OCIP as evidenced by a Certificate of Insurance. Also described in this manual as a Participating Contractor.

Ineligible:

Applies to Contractors of any tier excluded fr om participation in the OCIP, including those involved in loading, transporting , and unloading materials, personnel, parts, or equipment, or any other items to, from or within the Site. Also described in this manual as an Excluded Contractor.

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

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Insured:

The Sponsor, Participating Contractors, and any other party so named in the insurance policy.

Insurer:

The insurance company named on a policy or certificate of insurance that provided coverage for the OCIP.

Participating Contractor: See Enrolled
Project Site:

Project Site shall mean those areas designated in writing by Sponsor for performance of the Work and such additional areas as may be designated in writing by Sponsor for Contractors use in performance of the Work. Subject to notification and other requirements for off-site locations, the term Site shall also include (a) field office sites, (b) property used for bonded storage of material for the Project approved by Sponsor, (c ) staging areas dedicated to the Project, and (d) areas where activities incidental to the Project are being performed by Contractors covered by the workers’ compensation policy included in the OCIP, but excluding any permanent locations of Contractors.

Sponsor:

City of San Jose
Work:

Operations as fully described in the Contract, performed at, or emanat ing directly from the Project Site. Also, the entire completed constructi on or the various separately identifiable parts required to be furnished under the Contract documents.

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

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4.0 CONTRACTOR RESPONSIBILITIES
Contractors of any tier are required to co operate fully with the Sponsor and its OCIP Administrator in all aspects of OCIP operation and administration . All Contractors of any tier will be required to provide information necess ary to bind coverage under the OCIP on a “per contract” basis. Responsibilities of the Contractor include:
x Identifying the cost of insurance which is excluded from their bid as appropriate; submits the Contractors Insurance Cost Worksheet (Form B) at the time of OCIP enrollment x Completion of all OCIP enrollment forms
x Include the OCIP provisions in all subcontracts as appropriate x Notifying the OCIP Administrator of all subcontracts awarded and to provide all necessary enrollment forms
x Notifying the OCIP Administrator of all lower tier subcontracts awarded by providing the Notice of Award Form (Form F) and ensuring e ligible lower tier subcontractors enroll in the OCIP
x Maintaining and reporting monthly payroll records
x Cooperating with the OCIP Administrator’s requests for information x Complying with insurance, claim, and safety procedures x Paying Contractor Claims Obligation within 10 business days of notification from Sponsor x Notifying the OCIP Administrator immediatel y of any insurance cancellation or non- renewal (contractor-required insurance)
x Complying with any Return to Work Program requirements

4.1 Alliant WrapX
Alliant WrapX (WrapX) is a proprietary Risk Management Information System (RMIS). All relevant OCIP information will be captured and stored online in a “paperless” format through WrapX. Information to be stored includes aw ard notifications, enrollment information, OCIP payroll, and notice of work completions for all contractors on a per contract basis. Alliant DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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Insurance will provide all OCIP Eligible Co ntractors a project welcome letter detailing instructions for utilizing the WrapX contractor portal upon receipt of a Notice of Award for the awarded contractor.

Submission of all OCIP related documents should be sent by e-mail to:
[email protected]
If you should have any questions or require additional information about this process or other matters related to the OCIP, please contact your OCIP Administrator identified in Section 2:

Project Directory of this Manual.

4.2 Contractor Bids
Each bidder is required to exclude from the bid/contract price its normal cost for the insurance coverages provided by the OCIP. Contractors of any tier shall submit an Insurance Cost Worksheet (see Section 8) to the OCIP Administra tor, which will identify the estimated Cost of OCIP Coverages. Insurance Cost Worksheet will be due during the OCIP enrollment process, following contract award.

The “Cost of OCIP Coverages” is defined as the amount of Contractors’ reduction in insurance costs due to eligibility for OCIP Coverages, as determined by using the Alliant WrapX system which includes the Enrollment Form and the Insurance Cost Worksheet. Instructions for access to Alliant WrapX are located in Section 8 of this Insurance Manual. The Cost of OCIP Coverages includes reduction in insurance premiums, re lated taxes and assessments, markup on the insurance premiums and losses retained throug h the use of the self-funded program, self- insured retention, or deductible program. The Cost of OCIP Coverages must include expected losses within any retained risk.

Contractor must deduct the Cost of OCIP Coverages for all lower tier subcontractors, in addition to its own Cost of OCIP Coverages. If, upon verification by the OCIP Administrator, it is found by the Sponsor that the Cost of OCIP Coverages were not excluded from the contract, a deductive change order will be issued to remove these costs.

Upon award of a contract, Contractor will receive access to the OCIP Administrator’s website, for online data submission. (see instructions in Section 8) Contractor shall submit their Insurance Cost Worksheet online, includin g copies of their Workers’ Compensation, General Liability and Excess Umbrella rate and declaration pages. Co ntractor must include any deductible or Self Insured retention (SIR) amounts for Costs of OCIP Coverage verification purposes.

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

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In the event the Sponsor elects not to include a Contractor of any tier’s work under the OCIP, the standard terms and conditions regarding in surance listed in the Contract Document will then apply. The OCIP Administrator will advise a Contractor of any tier, which has submitted an enrollment form, if excluded from the OCIP.

Contractor shall cooperate fully with the OC IP Administrator in providing the necessary insurance data and information as required in the bid specifications and associated documents furnished by the Sponsor and/or OCIP Administrator as and when required during the duration of the project or until Sponsor-furnished insurance coverages are terminated.

4.3 Enrollment
Enrollment in the OCIP is required but not auto matic. Eligible Contract ors must complete the enrollment form online (see instructions in Section 8), and participate in the enrollment process for the OCIP coverage to apply. Access to the project site will not be permitted until the enrollment is complete.

Each Contractor of any tier shall provide details about its lower tier subcontractors via the Notice of Contract Award Form F (contained in Section 8). This form must be completed and submitted to the OCIP Administrator prior to mobilization. Each Contractor is responsible to complete their Enrollment online to obtain coverage under the OCIP.

A separate online Enrollment and Contractor’s Insurance Cost Work Sheet is required for each Contract which you are performing Work; however, only one Workers’ Compensation policy will be issued for your firm.

4.4 Assignment of Return Premiums
The Sponsor will pay the cost of the OCIP insu rance coverage. The Sponsor will be the sole recipient of any return OCIP premiums or dividends. All Participating Contractors shall assign to Sponsor all adjustments, refunds, premium discounts, dividends, credits, or any other monies due from the OCIP insurers.

4.5 Payroll Reports
Each Participating Contractor must submit a Monthly Payroll Report online identifying man- hours and payroll for all work performed at the Project Site on a “per contract” basis to the OCIP Administrator. This information will be used to provide the insurance company with the information required to determine the premium for the OCIP.

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

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The monthly man-hour reports shall certify all Work performed at or emanating directly from the Project Site, including supervisory and clerical personnel on site.

Payroll shall be unburdened and allocated by Workers’ Compensation Classification(s), and shall exclude the excess or premium paid for overtime (i. e., only the straight time rate shall apply to overtime hours worked). Furthermore, such re cords shall limit the pa yroll for Owners and Executive Officers as stated in manual rules.

A Separate Monthly Payroll is required for each Contract for Work you are performing.

4.6 Insurance Company Payroll Audit
Each Participating Contra ctor is required to maintain payroll records for the Project Site in accordance with the Basic Manual of Rules, Classifications, and Experience Rating Plan for Workers’ Compensation and Empl oyers Liability Insurance. Each Participating Contractor is required to participate in any audit conduc ted by the insurers for the OCIP, the OCIP Administrator, Sponsor, external or internal auditors of Sponsor, the State and to cooperate with the auditor(s) conducting such audit.

4.7 Completion of Work
When a Participating Contractor has completed its work, each Particip ating Contractor shall complete a Notice of Work Completion online and submit it to the OCIP Administrator. The Sponsor will not release final payment until all required data has been submitted to and approved by the OCIP Administrator. It is the upper-tier Contractor’s responsibility to assure that each of their lower-tier subcontractors completes this form. This form must be completed separately for each contract.

Any Contractor Claims Obligatio n that Contractors of any tier are responsible for will be considered at the time of the Contract close-ou t unless the actual cost of the claim has been established and considered prior to close-out.

4.8 Approved Off-Site Locations
The Contractor is responsible, on behalf of it self or its lower tier subcontractors or sub- subcontractors, for applying for approval to ha ve off-site locations covered by the OCIP. The Contractor, prior to the use of the site, shall notify the OCIP Administrator of the need and shall request approval of the site. The request should include the location address, description of the site, intended use, and the duration of the work to be performed at the site. The off-site location DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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must be dedicated 100 % to the Project. The OCIP Administrator will notify the Contractor in writing if and when the off-site location is appr oved by the OCIP insurer. Contractor shall not assume OCIP coverage is provided for the off-site location until Contractor has received written confirmation from the OCIP Administrator.

4.9 Safety
Contractors of any tier are required to establis h a written safety program and to provide a full- time qualified Safety Manager or designated competent safety representative who shall be onsite when any work is in progress. Non-compliance with Project Loss Control Requirements could be considered to be the same as non-compliance with another contractual condition. Minimum standards for Contractor programs are outlined in the Project Safety Manual.

The Sponsor or its loss control representatives will have the right to “Stop Work” when serious defective conditions, unsafe work activities, or life threatening hazards are identified. In accordance with contract requirements, if deemed necessary, the Sponsor may remove any contractor and/or contractor employees that blatantly violate these requirements. The Sponsor, at its discretion, will designate an individual to act on its behalf, in all matters relating to work site safety and health.

4.10 Claims Reporting
Please refer to section 7 of this Manual.

4.11 Change Order Procedures
All change orders submitted by Contractor of any tier will be priced to exclude their normal cost of insurance for the coverage(s) that are provided by the OCIP. The final adjustment will take into account all insurance char ges associated with any approved change orders. The Sponsor reserves the right to adjust the initial insura nce deductive change order for any significant change orders.

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

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5.0 INSURANCE COVERAGE

5.1 Covered Parties
Contractors of any tier must enroll in the OCIP before coverage is available to them for any loss.

No Contractor of any tier shall begin work on site until they have properly enrolled in the OCIP.

All insurance, underwriting, payroll, rating or loss history information (including evidence of other insurance required under Section 5 requeste d by the Administrator) must be provided to the Administrator by Contractor of any tier within five (5) working days of the request. A Contractor of any tier shall not be deemed to be a Participating Contractor and shall not be permitted to work on the project until enrolled in the OCIP by the Administrator. Enrollment will be established only upon issuance by the Administrator of a OCIP Certificate of Insurance to the Participating Contractor. Every Participating Cont ractor shall, at all times during and after the Project, cooperate with the Sponsor, the Admini strator, and the OCIP insurers and adjusters concerning matters relating to the OCIP.

5.2 Parties Not Covered
Contractors of any tier who will not be included in participation in th e OCIP (Nonparticipating Contractors) shall include all vendors, suppliers, truckers, material dealers, and delivery services companies- regardless of contra ct size. Nonparticipating Contractors shall not be permitted to work on the Project until they have provided to the OCIP Administrator evidence of their compliance with the insurance requirements as outlined in the Contract document.

5.3 Exclusion of Contractors from the OCIP
The Sponsor has the exclusive right to exclude other Contractors of any tier from participating in the OCIP. Such Nonparticipating Contractors, who will not be covered under the OCIP, must comply with the insurance requirements as outlined in the Contract document.

5.4 Evidence of OCIP Coverage
Each Participating Contractor will be issued an individual Workers’ Compensation policy including Employer’s Liability coverage. The OCIP Administrator will also provide a Certificate of Insurance evidencing General Liability, and Exce ss Liability insurance to each Participating Contractor, each of whom will be a named insured on the policy. Other documentation including forms, posting notices, if any, will be furnished to each Participating Contractor. A complete copy of the policy will be furnished to an authorized representative of each Participating Contractor upon written request.

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

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5.5 Description of Insurance Coverages
The following coverage is provided by the OCIP:
x Commercial General/ Excess Liability
x Workers’ Compensation and Employer’s Liability
The following additional coverages are provided outside of the OCIP:
x Builders’ Risk
x Pollution Liability Insurance
Non-Workers’ Comp Insurance Policies: Master policies will be endorsed to include the Sponsor and any of their affiliates, or subsidiary compan ies or corporations, as well as the Contractors enrolled in the OCIP as a Named Insured.

The following coverage summaries are provided for informational purposes only. The actual terms and conditions of the coverage provided are contained in the insurance policies under the OCIP, and the Sponsor and others shall not rely upon this summary in lieu of the policies themselves.

Copies of the policies will be made available to all potential Participating Contractors upon written request.

5.5.1 Workers’ Compensation and Employer’s Liability Insurance Workers’ Compensation and Employer’s Liability
Part One: Workers’ Compensation Statutory Limit

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

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5.5.2 Commercial General Liability Insurance
Limits of Liability
Shared by All Insureds for All Projects
General Aggregate (Reinstates Annually) $ 4,000,000
Products/ Completed Operations Aggregate $ 4,000,000
Personal/ Advertising Injury $ 2,000,000
Each Occurrence Limit $ 2,000,000
Fire Damage Legal Liability (any one fire) $ 100,000
Medical Payments (any one person) $ 10,000
Products/Completed Operations Tail
10 years/Statute of
Limitation
Deductible Paid for by Sponsor
The deductible will apply only to loss covered by insurance policies in the OCIP. The deductible does not impose upon the Sponsor any duties of an insurer toward Participating Contractor.

A Single General Liability policy will be issued covering all insureds.

5.5.3 Excess Liability Insurance
Limits of Liability
Shared by All Insureds for All Projects
Each Occurrence Limit Not Less Than $75,000,000
Annual General Aggregate Limit Not Less Than $75,000,000 Follow Form Excess Policy

5.5.4 Builders’ Risk Insurance
The Sponsor shall obtain and maintain in force during the term of this Agreement, a Builders’ Risk Insurance policy or policies separate from th e OCIP, which shall insure against all risks of physical loss and/ or damage including flood and excluding earthquake, subject to normal policy exclusions, to all buildings, structures, materials, and real property on site, which are intended to be, or have already been incorporated into and forming part of the Project, whether or not such buildings, structures, materials, or real property will have been supplied or made available to Contractors by Sponsor.

The Builders’ Risk policy shall be endorsed to add Contractors of any tier as additional named insureds’, as their interests may appear and to waive the carrier’s right of recovery under subrogation against City of San Jose and all ot her Contractors of any tier whose interests are insured under such policy.

Unless required otherwise by Sponsor, claims under Builders’ Risk insurance provided are subject to a Contractor Claims Obligation of five thousand dollars ($5,000) per occurrence. If a claim results from any construction activity, the responsible Contractor, Subcontractor, or Sub- DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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Subcontractor shall pay the Contractor Claims Obligation up to $5,000. All Builders’ Risk losses will be adjusted with and payable to the Sponsor or the Designee for the benefit of all parties as their interest may appear.

The Sponsor shall not be responsible for loss or damage to, or obtaining and/or maintaining in force insurance on temporary structures, construction equipment, tool or personal effects, owned or rented to or in the care, custody, and control of a Contractor of any tier.

5.5.5 Pollution Liability Insurance
a. Insurer: TBD
b. Terms of Insurance: TBD
c. Policy Limits: Not less than
$5,000,000 Per Occurrence
$5,000,000 Aggregate
d. Policy Form: Pollution Liability-Occurrence Based
e. Premium Payments By Sponsor
f. Deductibles/ SIR By Sponsor

5.6 OCIP Termination or Modification
The Sponsor reserves the right to terminate or modify the OCIP or any portion thereof. If the Sponsor exercises this right, Contractors will be provided notice as required by the terms of their individual contracts. At its option, Sponsor may procure alternate coverage or may require the Contractors to procure and maintain alternate insurance coverage.

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

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6.0 CONTRACTOR REQUIRED COVERAGE
Contractors of any tier are required to maintain insurance coverage that protects the Sponsor from liabilities arising from the Contractor of any tier’s operat ions performed away from the project site, for types of coverage not provided by the OCIP, and for operations performed in connection with excluded parties operating under Contractor or any tier’s operations control or direction.

Verification of insurance shall be submitted in the form of a Certificate of Insurance on a standard ACORD Form 25-S and the required and applicable endorsements to the listed policies.

A sample of an acceptable Certif icate of Insurance and other docu mentation is provided in the Appendix.

Contractors are responsible for monitoring their lower tier subcontractors insurance documents, whether enrolled or excluded. Sponsor reserves the right to disapprove the use of Contractors and their lower tier subcontractors unable to meet the insurance requirements. Certificates evidencing compliance shall be submitted to Sponsor.

The limits of liability shown for the insurance required of the Contractor is not intended to restrict the liability imposed on the Contractors for Work performed under their Contract or any indemnification provisions in Contract.

At Contractors sole cost and as shall be included in any proposals, Contractors of any tier agree to obtain and maintain during the life of th is contract the following minimum insurance requirements:

6.1 Workers’ Compensation
All Participating Contractors shall maintain Workers’ Compensation Insurance applicable to all employees and subcontractors hired by the in sured, who are not covered under the OCIP workers’ compensation policy. The insurance shall provide limits as follows:

Workers’ Compensation and Employer’s Liability
Part One: Workers’ Compensation Statutory Limit

Part Two: Employer’s Liability Annual Limits Per Insured Bodily Injury by Accident, each accident $1,000,000
Bodily Injury by Disease, each employee $1,000,000
Bodily Injury by Disease, policy limit $1,000,000
Enrolled Contractors shall provide evidence of workers’ compensation applicable to “off-site” activities. Excluded Contractors shall provide evidence of workers compensation applicable to “on-site” and “off-site” activities.

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

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A certificate of insurance evidencing this coverage shall be provided to the Sponsor.

6.2 General Liability
This insurance shall include coverage for bodily injury, property damage, and personal injury with no less than the following limits:

General Liability and/or Excess Liability
Enrolled Parties Excluded Parties
General Aggregate $ 2,000,000 $ 2,000,000
Products/ Completed Operations Aggregate $ 2,000,000 $ 2,000,000 Personal/ Advertising Injury $ 1,000,000 $ 4,000,000
Each Occurrence Limit $ 1,000,000 $ 4,000,000
Enrolled Contractors shall provide evidence of general liability insurance for “off-site” activities.

Excluded Contractors shall provide evidence of general liability insurance applicable to “on- site” and “off-site” activities.

A certificate of insurance evidencing this cove rage shall be provided to the Sponsor. This insurance shall be endorsed to name Sponsor as additional insureds and evidence of such status via additional insured endorsement(s).

6.3 Business Auto Liability
Contractors of every tier will maintain at their own expense Automobile Liability Insurance covering the operations, maintenance, use and loading and unloading of all owned, non-owned, and hired vehicles. As such, all Contractors of any tier shall furnish to the Sponsor a Certificate of Insurance showing such coverage with the following minimum limit s of liability. This insurance shall be endorsed to name Sponsor as additional insureds and evidenced of such status via additional insured endorsement(s):

Business Auto Liability
Combined Single Limit: Bodily Injury and/or Property
Damage
$1,000,000

All Contractors shall provide evidence of auto mobile liability. The OCIP does not cover automobile liability.

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

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6.4 Construction Equipment Insurance
Any policies maintained by the Participating Contractors on their owned and/or rented equipment and materials shall contain a provision requiring the insurance carriers to waive their rights of subrogation against the Sponsor and all other indemnities named in their contract documents. The OCIP does not cover contractor’s property.

6.5 Professional Liability Insurance (Errors & Omissions) In the event any contract specifications requ ires a Participating Co ntractor, including any professional service provider, to perform profes sional services, such as, but not limited to, architectural, engineering, construction manageme nt, surveying, design, etc., a certificate of insurance must be provided to the Sponsor prior to commencing work:

Professional Liability
Each Claim $ 1,000,000
Aggregate $ 1,000,000

Change in limits, coverage, or loss of aggregate limit due to outstanding claims must be reported to the Sponsor within thirty (30) days of any such event. The OCIP does not provide Professional Liability insurance.

6.6 Aviation Insurance
In the event any fixed or rotary aircraft are us ed in connection with this Agreement and/or execution of the work, a minimum of five million ($5,000,000) of aviation liability insurance must be maintained with the following requirements:
a) The Sponsor must be named as an “additional insured” and a waiver of hull damage must be provided in favor of the Sponsor.
b) Also, if any aircraft is to be used to pe rform lifts at the project site, a “slung cargo” endorsement must be included to cover th e full replacement value of any equipment or material being lifted. All such lifts must be coordinated with the Sponsor for approval prior to lift execution.

The OCIP does not provide Aviation insurance.

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

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6.7 Pollution Liability
If this Agreement involves the removal / hau ling of waste or hazardous materials, the removal/replacement of underground tanks, or use of toxic chemicals and substances, the Contractor will be required to provide coverage no less than the following limits, for such exposures subject requirements and approval of the Sponsor:

Pollution Liability
Each Claim/Per Occurrence $ 5,000,000
Aggregate $ 5,000,000

6.8 Conditions of Understanding
The amount and types of insurance coverage requ ired herein shall not be construed to be a limitation of the liability on the part of the Spon sor, Participating Contractors, Nonparticipating Contractors, or any lower-tier Subcontractors. An y type of insurance, or any greater limits of liability than described above, which the Contractor requires for their own protection or on account of statute, shall be the Contractor’s own responsibility and at its own expense. The carrying of the insurance described shall in no way be interpreted as relieving a Contractor of any tier, whether Participating or Non-Participating, of any responsi bility of liability under this Contract.

6.9 Other Insurance Required of All Contractors
Participating Contractor shall f ile certificates of such insurance with the Sponsor, which shall be subject to the Sponsor’s approval for adequa cy of protection, including the satisfactory character of any Insurer. If requested by the Sponsor, a certified copy of the actual policy(s) with the appropriate endorsement(s) and other documents shall be provided to the Sponsor.

Contractor shall immediately provide written notice to the Sponsor of any notice of cancellation, notice of non-renewal, or any other material modification of the insurance coverages required to be provided by the Contractor.

In the event of failure of any tier to furnis h and maintain said insurance and to furnish satisfactory evidence thereof, the Sponsor shall have the right to take out and maintain same coverage for all parties on behalf of the Contract or of any tier who also agrees to furnish all necessary information thereof and to pay the co st thereof to the Sponsor immediately upon presentation of a premium invoice.

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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7.0 CLAIM PROCEDURES
This section describes the basic procedures for reporting various types of claims. A claim kit will be provided to all Participating Contractors. It will include deta ils about claim reporting and is intended for use at the job site.

7.1 Workers’ Compensation Claims
The main responsibility for any Contractor is first to see that the injured worker receives immediate medical care. Next, you should notify the on-site Contractor’s Safety Supervisor immediately in the event of a serious injury or accident.

An Employers First Report of Injury (Form 5020) must be completed and submitted to the on- site safety representative and the OCIP Administrator, along with the DWC-1 (Employee’s Claim) and the Supervisors Report of Injury Form.

The employer of the injured employee must report all Workers Compensation claims to the OCIP insurer within 24 hours of the event.

The Sponsor and their insurer will arrange with preferred medical providers for treatment of all minor or non-life threatening injuries. A list of the providers will be provided to all Participating Contractors.

Participating Contractors must designate a repres entative at the site to take injured employees to the medical center, and to report the claim. This individual should remain with the injured employee at the center while he/she is being treated. The treating physician should provide a written description of whether or not the injured worker can return to work, a list of restrictions, if any, and the estimated length of time he/she will stay on modified duty.

Participating Contractors must re port all Workers Compensation in juries as applicable to their employees to the OCIP insurer as soon as is practical within 24 hours of the incident. Contractor shall ensure that it or any of its subcontrac tors comply with any return to work policy requirements.

7.2 General Liability Claims
Accidents at or around the job site resulting in damage to property of others (other than the Work itself), or personal injury or death to a member of the public, must be reported immediately to the on-site Contractor’s Safety Supervisor. A General Liability Loss Notice (Accord Form 3) shall be completed and delivered within 24 hours to the OCIP Administrator.

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

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Contractors shall not voluntarily admit liability and shall cooperate with the Sponsor or insurer representatives in the accident investigation.

If your firm receives notice of a claim, or forthcoming lawsuit, or is served with a lawsuit arising out of your involvement with this project, please forward a copy of the documentation to the OCIP Administrator (See Section 2.0: Project Directory for Contact Information)

7.3 Property Claims
Immediately report any damages to your Work or the Work of any other Contractor to the on-site Contractor’s Safety Supervisor. In addition, complete the Property Loss Notice (Accord Form 1) and submit it to the OCIP Administrator within five days of the occurrence.

7.4 Automobile Claims
No coverage is provided for automobile accidents un der the OCIP. It is the sole responsibility of each Contractor to report accidents involving their automobiles to their own insurers.

In addition to reporting the claim to its own insu rer, each Contractor shall report all accidents occurring in or around the job site to the on-site Contractor’s Safety Supervisor. These accidents will be investigated with regard to any liability arising out of the Project construction activities that could result in future claims. Each Contra ctor shall cooperate in the investigation of all automobile accidents.

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

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8.0 APPENDIX
x Enrollment: Alliant WrapX Online Enrollment Instructions x Insurance Cost Worksheet
x Monthly On-Site Payroll Report – ONLINE SUBMISSION REQUIRED x Notice of Work Termination
x Notice of Contract Award

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

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Alliant WrapX Enrollment Process
x Enrollment into the project will be completed online. x You will receive access to the online system: Alliant WrapX, within three days after Alliant has been notified of your awarded contract.
x Please contact the Wrap Administrator if you have not been given a login ID and Password x Link to the Contractor Portal: https://alliantwrapx.alliantinsurance.com/ContractorPortal x After logging into the system, find your newly awarded contract under the Awarded Contracts window.

x Click on Complete Enrollment to begin the process
x The enrollment wizard will start on the Review page. Any section that is not compliant will be listed in Red. Click Edit to begin updating that section, and continue through the enrollment wizard by clicking Next
DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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x Please see the required information listed below so you can have all the information ready when you are attempting to enroll.

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

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Required Information for Online Enrollment
1 Contractor name May include type of company:

Corporation, LLC, etc…
2 Parent contractor name Name of company you are contracted with
3 Contractor Federal ID Number Check Alliant data and update 4 Start Date at project site Day physical work starts at jobsite 5 Estimated completion date Can be an estimate
6 Contract Value
7 Contract Description Scope of work
8 Contractor Address Physical address of office. Any P.O. Box should be entered under Mailing address
9 Contractor Main Phone and Fax
numbers

10 Contractor Primary Contact Name
11 Contact position
12 Contact phone and fax numbers, and
email address
Email is preferred method for
communication
13 Contractor Payroll Contact Name Can be the same as the Primary Contact 14 Payroll Contact phone and fax numbers,
and email address
Email is preferred method for
communication
15 Workers’ Compensation Class Codes to
be used on job
Can be found in your company WC rate
pages
16 Estimated Man hours and Payroll Required for enrollment 17 Risk ID # Also called Rating Board file #
18 Rating Bureau NCCI or WCRIB or similar name
19 Experience Modifier (EMR) Can be found in your company WC rate pages
20 WC Offsite Carrier Corporate WC carrier name
21 WC Offsite Policy # Corporate WC policy number
22 WC effective date Corporate WC effective date
23 Policy Expiration Date Corporate WC expiration date
24 If any work is being subcontracted out,
please include information about
subcontractors so enrollment can be
started for each contractor
At a minimum: Contractor name;
estimated start date; contact name,
email and phone number; and
contract
value for subcontracted work.

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

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FORM – A

CONTRACTOR ENROLLMENT FORM

Section I
Company Name:

Address:

Main Phone#:

Main Fax#:

Federal ID#:

Company Entity Type (Circle):

Corporation Partnership Sole Proprietor
Limited Partnership JV LLC LLP other________
Primary Contact Name:

Primary Contact Phone#: Primary Contact Email:

Payroll Contact Name:

Payroll Contact Phone#: Payroll Contact Email:

Work Description:

Project Location/ Project Name:

Estimated Start Date: Estimated Completion Date:

Who are you contracted with? Contract Value
Are you subcontracting out any work? □Yes* □No

Section II
Your Workers’ Comp Carrier:

WC Policy #: Eff Date: Exp Date:

Rating Board File#:

Rating Date: Experience Modifier:

State WC Class Code Description Est. Manhours Est. Payroll

Totals
Insurance Agent/Broker Information:

Agency Name: Phone:

Contact: Fax:

Email:

Note: City of San Jose reserves the right to determine who participates in the Wrap-Up Insurance Program. I agree that the following insurance charges will be added to my base bid if I am excluded from the Wrap-Up.

*Note: Please complete a Notice of Subcontractor Award, for each of your subcontractors. All contractors MUST complete forms A and B in order for them to commence work on site. ENROLLMENT IS NOT AUTOMATIC.

Signature: ___________________________ Date: __________________________ Name: ______________________________ Title: __________________________ DRAFT--Contact the Office of the City Clerk at (408) 535-1260 or [email protected] for final document.

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FORM – B

INSURANCE COST WORKSHEET
Section I
Contract/Bid Information
Contractor Name: Alliant Assigned Contract #
Gross Contract Value(including insurance Net Contract Value(excluding insurance cost): $ Cost): $
Estimated On Site Payroll:
(Auto-fill from Section II) $
Estimated Work Hours:
(Auto-fill from Section II)
Section II
Calculate your insurance premium.

WC Trade
Classification
WC Class
Code
Work
Hours
Estimated
Payrolls
Current WC
Rate
Premium =
Est. Payrolls x WC Rate
$ $
$ $
$ $
$ $
$ $
Attach separate worksheet if more codes apply.

General Liability Do you have a Large Deductible Program? □Yes Current Rate Factor 100/1000 Payroll OR Receipts Premium $ $
Deductible Amount: $
Excess Liability Is your Excess coverage Non-auditable (Flat)? □Yes Current Rate Factor 100/1000 Payroll OR Receipts Premium $ $

Your O & P % (Overhead and Profit Percentage) % $
TOTAL INSURANCE COST $
Insurance Rate (Cost/Payroll) $
I hereby warrant that this worksheet reflects the projected insurance cost that would apply in the event that my regular insurance program was in force at this location. I also recognize that the Sponsor or their Representative - Wrap-Up Administrator, Alliant may request copies of my actual policies to confirm these costs.

Total Manual Premium $
x Experience Mod
= Modified Premium $
Description Rate Modified $ Running Total
+ or - $ $
+ or - $ $
+ or - $ $
+ or - $ $
= Total WC Premium $
WC Premium Rate (Cost/Payroll) $
* Use Project Site Payroll only to
calculate Total Insurance cost.

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

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*Attach your applicable WC, GL and XS rate pages for rate verification.

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

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FORM – E

NOTICE OF WORK TERMINATION FORM

Company Name:

Address:

Contact for Audit:

Federal ID#:

Name of Project:

First Day on Site: Last Day on Site:

Final Total Payroll:

Original Contract Value:

Change Order Amount:

Final Contract Value (including change
orders):

Complete for all subcontractors
Subcontractor Name Completion Date
Final Contracting Value
(including change orders)
$
$
$
$

We hereby verify that all contract work, including the work of subcontractors, has been completed and all on-site payrolls have been submitted.

Signature:___________________________________________________ Print Name:__________________________________________________Date:________________

TO BE SUBMITTED TO CONTRACTOR FOR COMPLETION:

The above referenced contractor has completed their work at the project site under their contract without firm on the above date.

General Contractor:____________________________________

Signature:_____________________________________________Date:_______________

As per your contract, your final payment may not be released until all payroll has been submitted and payroll audits are performed, including your subcontractor’s work of every tier.

Please return by Email, Fax or Mail to:

Tamika Owens Email: [email protected]
Alliant Insurance Services
701 B St. 6th Floor Phone: 619-849-3997
San Diego, CA 92101

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

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FORM F: NOTICE OF SUBCONTRACT AWARD

SUBCONTRACTOR MAKING AWARD: Alliant Assigned Contract # BY: TITLE:

PHONE: FAX:

EMAIL ADDRESS: DATE:

WE HAVE AWARDED A SUBCONTRACT AS FOLLOWS:

SUBCONTRACTOR NAME:

ESTIMATED PROJECT START DATE: CONTRACT VALUE:

SCOPE OF WORK
SUBCONTRACTOR ADDRESS:

CONTACT NAME: EMAIL ADDRESS:

PHONE: FAX:

Please Note: It is the responsibility of the Contractor awarding Subcontract to ensure that their tier sub(s) fill out, maintain, and file all necessary Wrap-up Enrollment forms and Insurance documentation with the Wrap-up Administrator. No hired tier sub may commence work until they are properly enrolled into the Wrap -up program , as evidenced by a Certificate of Insurance provided by the Wrap-up Administrator Please return by Email, Fax or Mail to:

Tamika Owens Email: [email protected]
Alliant Insurance Services
701 B St. 6th Floor Phone: 619-849-3997
San Diego, CA 92101

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

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APPENDIX 13

KEY PERSONNEL AND APPROVED SUBCONTRACTORS
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 13 Upgrade Project at the San Jose - Key Personnel and
Santa Clara Regional Wastewater Facility Approved Subcontractors

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APPENDIX 13

KEY PERSONNEL AND APPROVED SUBCONTRACTORS

13.1 PURPOSE
The purpose of this Appendix is to identify (1) the key management and supervisory personnel proposed to be used by the Design-Builder in performing the Contract Services and (2) those Subcontractors that the City has approved for use by the Design-Builder in performing the Contract Services.

13.2 KEY PERSONNEL
As referenced in Section 7.1 (Management) of this Design-Build Contract, certain key management and supervisory personnel were proposed by the Design-Builder and shall be used by the Design-Builder in connection with the performance of the Contract Services (the “ Key Personnel”). The Key Personnel and their primary responsibilities are identified in Attachment 13A to this Appendix. Any change in the Key Personnel shall be subject to review and approval of the City in accordance with Section 7.1 (Management).

13.3 SUBCONTRACTORS
As of the Contract Date, the Approved Subcontractors are set forth below. Potential Subcontractors shall be proposed by the Design-Builder and approved by the City for any Early Work Packages and for the balance of the Desi gn-Build Work in accordance with Section 5.8 (Early Work Packages), Section 5.9 (Definitive Project Submittal), Section 7.4 (Self-Performance and Subcontractor Selection) and Attachment 13 B (Subcontracting Plan) to this Appendix 13. [NOTE: The names and roles of all Approved Subc ontractors as of the Definitive Contract Amendment Date shall be reflected in the table below as part of the Definitive Contract Amendment.] Approved Subcontractors proposed by the Design-Builder and approved by the City after the Definitive Contract Amendment Date shall be reflected in a Contract Administration Memorandum.

Subcontractor Role

1. Walsh Construction Company II, LLC General Contractor

2. Structural Technologies, Inc.

Specialty Contractor
(Digester Condition
Assessments, Constructability
Review & Construction)

[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 13A

KEY PERSONNEL CHART
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 13 Upgrade Project at the San Jose - Attachment 13A
Santa Clara Regional Wastewater Facility Key Personnel Chart

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ATTACHMENT 13A

KEY PERSONNEL CHART

Position Name
1 DB Project Manager Steve Neil
2 Lead Designer Doug Cayko
3 Pre-Construction Manager Kristian Benson
4 Construction Manager Ryan Singer
6 Structural Design Lead Alex Firth
7 Startup/Commissioning
Manager Ashley Currey

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 13B

SUBCONTRACTING 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 13 Upgrade Project at the San Jose - Attachment 13B
Santa Clara Regional Wastewater Facility Subcontracting Plan

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ATTACHMENT 13B

SUBCONTRACTING PLAN
[NOTE: A final Subcontracting Plan will be inserted into this Attachment 13B prior to execution of the Definitive Contract Amendment, based on the proposed Subcontracting Plan 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.

City of San Jose Additional Digester Facility Appendix 13 Upgrade Project at the San Jose - Attachment 13B
Santa Clara Regional Wastewater Facility Subcontracting Plan

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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 13 Upgrade Project at the San Jose - Attachment 13B
Santa Clara Regional Wastewater Facility Subcontracting Plan

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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 13 Upgrade Project at the San Jose - Attachment 13B
Santa Clara Regional Wastewater Facility Subcontracting Plan

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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 13 Upgrade Project at the San Jose - Attachment 13B
Santa Clara Regional Wastewater Facility Subcontracting Plan

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

San Jose City CouncilJanuary 13, 2026

San Jose City Council
January 13, 2026