ESD 160 - Design Manual Vol.1.pdf

Engineering Department

Design Manual Volume One

Design Contractor Guide

ESD-160 March 2007

ESD 160 Design Manual

Volume One: Design Contractor Guide

REVISION LOG

Item (Table of Contents, Chapter, or Appendix)

Rev.

No.

Date Entered

Initials

This REV01 replaces REV00 in its entirety

001 03/19/07

Instructions:

After revising your ESD as described in the revision transmittal, enter the item revised, date entered, and initial above.

SDCWA

San Diego County Water Authority Engineering Department

ESD 160

Design Manual: Volume One

Design Contractor Guide

March 2007

Copyright © 2000 The San Diego County Water Authority. The information provided herein is for the convenience and use of the San Diego County Water Authority and its member agencies. Any use of the information by any entity other than the San Diego County Water Authority is at such entity’s own risk, and the San Diego County Water Authority assumes no liability for such use.

Prepared by: Jacobs Engineering, Edited by: Jacobs Engineering Reviewed by: Water Authority Departments

Approved by: John Economides, Director of Engineering

For additional copies, call Ron Hartnett at 858-522-6878 or vist the Engineering Department offices at the Water Authority, San Diego

SDCWA Design Manual Validation

DESIGN CONTRACTOR GUIDE

March 2007 ii REV 01

ESD 160 Design Manual: Volume One (Design Contractor Guide)

Introduction and use

The ESD 160 Design Manual: Volume One (Design Contractor Guide) documents the practices and standards that are used for design of projects at the San Diego County Water Authority.

Personnel involved in design of Water Authority projects shall adhere to the practices and procedures described in this document.

Engineering management shall be responsible for enforcement of these practices in their respective design management of projects.

Revisions and maintenance

This manual is intended to be a living document that evolves to meet changing San Diego County Water Authority needs.

Engineering management continuously monitors the design activities for its various projects and will identify refinements to or additional practices and procedures.

The Engineering Department is responsible for maintaining this manual, for revising chapters as practices and procedures change, and for issuing manuals and revisions to appropriate personnel.

Users may suggest changes or additions to this document by submitting a Change Request Form to the Manager of the Administration and Controls Group. This form is available at the Water Authority server in the directory I:\0130.00\Resources\Forms&Templates. Comments will be reviewed, and if changes are instituted, the manual will be revised and revisions will be distributed to manual users.

Personnel entrusted with this manual are responsible for maintaining it in a current and update condition as revised chapters are published.

Validation The San Diego County Water Authority Engineering ESD 160 Design

Manual: Volume One (Design Contractor Guide) is hereby accepted and approved.

John A. Economides, Director of Engineering San Diego County Water Authority

SDCWA Design Manual TABLE OF CONTENTS

March 2007 iii REV 01

Table of Contents

Chapter 1 Introduction and Administration

Chapter 2 Design Cost and Schedule Control

Chapter 3 QA/QC Program

Chapter 4 Design Development

Chapter 5 Records Research, Utility Coordination, and Field Investigations

Chapter 6 Surveying and Mapping

Chapter 7 Rights-of-way, Easements, Encroachments and Land Acquisition

Chapter 8 Geotechnical, Seismic, and Hazardous Materials Investigations

Chapter 9 Transient Analysis and Surge Control

Chapter 10 Environmental Compliance and Permit Support

Chapter 11 Risk Management

Chapter 12 Public Coordination and Community Outreach

Chapter 13 Traffic Control

Chapter 14 Technical Specifications, Drawings and Calculations

Chapter 15 Construction Cost Estimates and Schedules

Chapter 16 O&M Manuals, and Lifecycle Cost Analysis and O&M Impact Reports

Chapter 17 Owner-Procured Equipment

Chapter 18 Bid and Award Phase

Chapter 19 Construction Phase

Chapter 20 Startup and Commissioning, Closeout, and Warranty

Chapter 21 Document Control and Records Management

SDCWA Design Manual Chapter 1. Introduction and Administration

March 2007 Chapter 1 REV 01

Chapter 1 Introduction and Administration

Overview

Purpose This chapter presents an introduction to standards and procedures to be followed by Design Contractors.

Topics This chapter is composed of the following topics:

CHAPTER 1 INTRODUCTION AND ADMINISTRATION

1.1 MISSION, PURPOSE, AND SCOPE ............................................................................................. 1-1

1.1.1 MISSION OF THE WATER AUTHORITY .................................................................................... 1-1

1.1.2 PURPOSE OF THE DESIGN MANUAL....................................................................................... 1-1

1.1.3 SCOPE OF THE DESIGN MANUAL........................................................................................... 1-2

1.1.4 CHAPTER DESCRIPTIONS IN THE DESIGN CONTRACTOR GUIDE.............................................. 1-2

1.1.5 CHAPTER SECTIONS ............................................................................................................ 1-4

1.1.6 HYPERLINKS ........................................................................................................................ 1-5

1.1.7 WATER AUTHORITY REFERENCE DOCUMENTS ...................................................................... 1-5

1.1.8 CIP TERMS AND NOMENCLATURE......................................................................................... 1-5

1.2 TECHNICAL INPUT TO THE PROJECT DELIVERY PLAN ............................................................... 1-6

1.2.1 PROJECT DELIVERY PLAN .................................................................................................... 1-6

1.3 DISTRIBUTION AND MAINTENANCE OF THE DESIGN MANUAL..................................................... 1-7

1.3.1 DISTRIBUTION AND MAINTENANCE ........................................................................................ 1-7

1.4 RESOLVING INCONSISTENCIES................................................................................................. 1-8

1.4.1 DISCOVERY OF INCONSISTENCIES......................................................................................... 1-8

1.4.2 ORDER OF PRECEDENCE ..................................................................................................... 1-8

1.5 PROCEDURE TO DEVIATE FROM THE DESIGN MANUAL, PRE-DESIGN REPORT, OR SCOPE OF WORK ............................................................................................................................................... 1-9

1.5.1 DEVIATION REQUESTS DURING NEGOTIATIONS ..................................................................... 1-9

1.5.2 DEVIATION REQUESTS DURING DESIGN ................................................................................ 1-9

1.5.3 DEVIATION REQUEST PROCEDURE ....................................................................................... 1-9

1.6 PROJECT ADMINISTRATION ................................................................................................... 1-10

March 2007 Chapter 1 REV 01

1.6.1 USE OF THE DESIGN MANUAL .............................................................................................1-10

1.6.2 PROGRESS MEETINGS........................................................................................................1-10

1.6.3 PROGRESS REPORT ...........................................................................................................1-10

1.6.4 ISSUE RESOLUTION ............................................................................................................1-11

1.6.5 CHANGE MANAGEMENT ......................................................................................................1-11

1.6.6 PROJECT DESIGN SCHEDULE..............................................................................................1-11

1.6.7 DESIGN DELIVERABLES.......................................................................................................1-12

1.6.8 RECORDS MANAGEMENT ....................................................................................................1-12

1.6.9 SCOOP AND EQUAL OPPORTUNITY POLICIES .....................................................................1-13

1.6.10 INVOICE PROCEDURES .......................................................................................................1-14

1.6.11 CONTRACT AMENDMENTS...................................................................................................1-14

1.7 COORDINATION REQUIREMENTS.............................................................................................1-15

1.7.1 OTHER DESIGN CONTRACTORS ..........................................................................................1-15

1.7.2 OTHER PROFESSIONAL SERVICES CONTRACTORS...............................................................1-15

1.7.3 WATER AUTHORITY MEMBER AGENCIES AND GOVERNMENTAL ENTITIES ..............................1-15

1.7.4 PERMITTING AND REGULATORY AGENCIES ..........................................................................1-16

1.7.5 BOARD OF SENIOR PROFESSIONAL SERVICES CONTRACTORS .............................................1-16

1.8 PERMITS................................................................................................................................1-17

1.8.1 TYPES OF PERMITS ............................................................................................................1-17

1.8.2 IDENTIFICATION OF AND APPLICATION FOR PERMITS ............................................................1-17

1.8.3 PERMITS OBTAINED BY THE WATER AUTHORITY ..................................................................1-17

1.9 DESIGN CONTRACTOR EVALUATION.......................................................................................1-19

1.9.1 DESIGN CONTRACTOR EVALUATION ....................................................................................1-19

FIGURE 1-1: CHAPTER LAYOUT .......................................................................................................1-4

ATTACHMENT 1-1: DOCUMENTS REFERENCED IN THE DESIGN MANUAL..........................................1-20 ATTACHMENT 1-2: WATER AUTHORITY TERMS, ABBREVIATIONS, AND ACRONYMS .........................1-22 ATTACHMENT 1-3: REQUEST FOR DEVIATION.................................................................................1-24 ATTACHMENT 1-4: SCOOP SCHEDULE A-4, DESIGNATION OF SUBCONTRACTORS.........................1-25 ATTACHMENT 1-5: EXAMPLE OF PROFESSIONAL SERVICES CONTRACTOR PERFORMANCE EVALUATION

FORM .......................................................................................................................................1-26

March 2007 1-1 REV 01

1.1 Mission, Purpose, and Scope

1.1.1 Mission of the Water Authority

1. The mission of the San Diego County Water Authority (Water Authority) is to provide a safe, secure, and reliable supply of water to the San Diego region through its twenty-three member agencies.

With an acute awareness of San Diego’s dependence on imported water sources, the Water Authority has implemented numerous studies, programs, and initiatives to manage, conserve, and reclaim water.

1.1.2 Purpose of the Design Manual

1. The Design Manual provides general administrative and technical guidelines that shall be followed by Design Contractors selected by the Water Authority to prepare engineering reports, construction drawings, and specifications for the facilities necessary to implement the CIP and/or to provide services during other project phases. The design of these facilities shall be based on the Design Manual and other criteria presented in the Predesign Report.

2. The Design Manual consists of two volumes, the Design Contractor Guide and Facility Design Guide:

2.1. The Design Contractor Guide provides design management

requirements, including requirements for design schedule and budget control, reporting, QA/QC program, deliverables at different levels of design, construction cost estimating, records management, and other topics. The Design Contractor Guide also describes the relationships between the Design Contract-or and the Design Manager.

2.2. The Facility Design Guide provides common design

requirements for different types of facilities, including pipelines, pump stations, and flow control facilities.

3. The primary purpose of the Design Manual is to ensure uniformity of design concepts, formats, methodologies, procedures, construction materials, types of equipment, and quality of work products to be produced under the CIP.

4. Recognizing the need to maintain creativity, innovation, and ingenuity, Design Contractors are expected to adapt the Design Manual for design of the facilities for which they are responsible and to take full responsibility for the designs produced. This respon-sibility of the Design Contractor is in no way diluted or absolved by the Design Manual.

March 2007 1-2 REV 01

1.1.3 Scope of the Design Manual

5. The Water Authority intends to contract directly with the Design Contractor for the preparation of Contract Documents. The Design Contractor’s contract with the Water Authority (Contract) for design services will incorporate a detailed scope of work and specific administrative requirements.

6. A Design Manager will be assigned to administer each project and will be the Design Contractor’s point of contact with the Water Authority for the project. The Design Manager will administer the Contract to ensure compliance with provisions of the Contract and the Design Manual.

7. At the discretion of the Design Manager, the Design Manual may be referenced in the project scope of work as a requirement for the De-sign Contractor. The scope of work may also list any project-specific changes or deviations from Design Manual requirements.

8. During different project phases, the Design Manager may delegate to others, including the Project Manager and Construction Manager, the authority to directly contact the Design Contractor. However, any direction given by others is not binding on the Water Authority unless such delegation is authorized in advance and in writing by the Design Manager. In addition, such delegation does not alter the Design Manager’s position as the Design Contractor’s point of contact with the Water Authority for the project.

1.1.4 Chapter Descriptions in the Design Contractor Guide

1. The Design Contractor Guide is composed of the following chapters:

Chapter 1 – Introduction and Administration

Presents an introduction to standards and procedures to be followed by Design Contractors.

Chapter 2 – Design Cost and Schedule Control Presents Design Contractor requirements for control of design costs and schedules.

Chapter 3 – QA/QC Program Presents the Quality Control and Quality Assurance standards and procedures to be followed by Design Contractors.

Chapter 4 – Design Development Describes Design Contractor requirements and responsibilities at each level of design development, from the Basis of Design Report thorough the Accepted Final Design submittal.

Chapter 5 – Records Research, Utility Coordination, and Field Investigations

March 2007 1-3 REV 01

Outlines Design Contractor responsibilities in researching exist-ing and planned utilities, and coordinating with public and utilities agencies including the Water Authority Right of Way Department.

Chapter 6 – Surveying and Mapping Presents Design Contractor responsibilities in providing the necessary topographical surveys and mapping to perform proper design.

Chapter 7 – Rights-of-Way, Easements, Encroachments, and Land Acquisition

Describes Design Contractor requirements in preparing the necessary documents needed to acquire right-of-ways, easements, or encroachment permits from other agencies and private parties. It also outlines the requirements for coordination with the Water Authority Right of Way Department.

Chapter 8 – Geotechnical, Seismic, and Hazardous Materials Investigations

Outlines requirements and procedures for performing the neces-sary geotechnical, seismic and hazardous material investigation by the Design Contractor.

Chapter 9 – Transient Analysis and Surge Control Presents requirements to perform transient hydraulic analysis and design surge control measures for Water Authority projects.

Chapter 10 – Environmental Compliance and Permit Support Outlines Design Contractor requirements to obtain the necessary permits to perform design and field-related design activities.

Chapter 11 – Risk Management Describes Design Contractor requirements and responsibilities to develop a Risk Management Plan and reduce the risk inherent in the project design and construction.

Chapter 12 – Public Coordination and Community Outreach Describes the Design Contractor’s role in coordination with the Water Authority Public Affairs Department.

Chapter 13 – Traffic Control Specifies Design Contractor requirements for coordination with traffic engineers of public utilities and agencies and in development of traffic control plans.

Chapter 14 – Technical Specifications, Drawings, and Calculations Outlines Design Contractor requirements to follow Water Author-ity standards in preparing specifications, drawings, calculations, March 2007 1-4 REV 01 and other documents for Water Authority projects.

Chapter 15 – Construction Cost Estimates and Schedules

Presents Design Contractor requirements for developing cost estimates and schedules at different design levels.

Chapter 16 – O&M Manuals, and Lifecycle Cost Analysis and O&M Impact Reports

Outlines Design Contractor requirements to produce O&M Manuals, develop lifecycle cost analyses, and O&M impact studies.

Chapter 17 – Owner-Procured Equipment Presents the Design Contractor requirement to coordinate design documents in consideration of owner-procured equipment.

Chapter 18 – Bid and Award Phase Outlines Design Contractor responsibilities during the Bid and Award Phase of projects.

Chapter 19 – Construction Phase Presents Design Contractor responsibilities during the project Construction Phase.

Chapter 20 – Startup and Commissioning, Closeout, and Warranty Outlines Design Contractor responsibilities during the startup and commissioning of project components, as well as responsibilities during project closeout and administration of warranty.

Chapter 21 – Document Control and Records Management Illustrates Design Contractor requirements for submitting project documents to the Water Authority for proper documentation.

1.1.5

Sections

1. Each chapter is composed of a series of sections.

Section Topic 3

Section Topic 2

Section Topic 1

Figure 1-1: Chapter Layout

March 2007 1-5 REV 01

2. An overview is provided for each chapter, identifying the specific sections within that chapter, and reference documents used to develop the chapter.

3. Each subsequent section in the chapters is a major chapter topic, and the blocks of information provided within each section are the chapter subtopics.

1.1.6 Hyperlinks

1. The Design Contractor Guide chapter tables of contents are hyperlinked. Other references are not hyperlinked.

1.1.7 Water Authority Reference Documents

1. A partial list of other Water Authority manuals and documents referred to in the Design Manual is included in Attachment 1-1.

1.1.8 CIP Terms and Nomenclature

1. A list and description of terms, abbreviations, and acronyms used in the Design Manual is included in Attachment 1-2.

March 2007 1-6 REV 01

1.2 Technical Input to the Project Delivery Plan

1.2.1 Project Delivery Plan

1. The Water Authority Project Manager will develop a Project Delivery Plan (PDP) for each project during the planning phase prior to entering into the Contract with the Design Contractor.

Certain technical aspects of the PDP may change and evolve as the project is developed during the design phase. The Design Contractor is responsible for providing technical input to the Design Manager so the PDP can be updated appropriately to reflect these changes.

March 2007 1-7 REV 01

1.3 Distribution and Maintenance of the Design

Manual

1.3.1 Distribution and Maintenance

2. Refer to Chapter 21, Document Control and Records Management, for procedures related to maintenance and distribution of the Design Manual. These procedures include the following:

2.1. Control of Design Manual revisions

2.2. Distribution of Design Manual revision

2.3. Control of Design Manual distribution

2.4. Maintenance of Design Manual inventory

2.5. Electronic and Internet Design Manual distribution

March 2007 1-8 REV 01

1.4 Resolving Inconsistencies

1.4.1 Discovery of Inconsistencies

1. If the Design Contractor finds inconsistencies between different Design Manual sections, or if inconsistencies should develop during design (necessitated by site-specific and/or project-specified considerations and constraints), the Design Contractor shall immediately notify the Design Manager in writing of their findings, recommendations, and reasons for such recommendations.

2. The Design Contractor is ultimately responsible for their design and shall resolve all conflicts, inconsistencies, errors, and omissions discovered in any conflicting or inconsistent guidelines and standards to ensure that the designs meet the highest professional standards.

1.4.2 Order of Precedence

1. Design Contractors will be provided with both the Design Manual and pertinent predesign reports for their projects. However, inconsistencies and conflicts may exist between these documents.

2. Should such inconsistencies and conflicts be discovered, the Design Contractor must immediately notify the Design Manager in writing. In general, the following order of precedence shall be in effect:

2.1. Scope of work.

2.2. Predesign (planning) reports.

2.3. Design Manual.

3. Scope of work and predesign reports take precedence over the Design Manual because these documents are site- and project-specific, while the Design Manual may be more generic in nature. If in specific instances the Design Contractor feels that adherence to the Design Manual, rather than the predesign report, would provide a better facility or product, the Design Contractor shall recommend such adherence as described below.

March 2007 1-9 REV 01

1.5 Procedure to Deviate from the Design Manual, Pre-

design Report, or Scope of Work

1.5.1 Deviation Requests during Negotiations

1. During scope and fee negotiations, the Design Contractor may desire to propose deviations from the scope of work, predesign report, and/or the Design Manual. This situation could be prompted by a design concept or a feature that the Design Contractor believes is better or more cost-effective than the one provided in the scope of work, predesign report, and/or Design Manual, or by the development of new equipment or systems since the completion of predesign report.

2. In such cases, the Design Contractor shall propose the deviations in writing, and, if accepted, the Design Manager will revise the scope of work accordingly.

1.5.2

Requests during Design

1. During development of the project design, the Design Contractor may desire to deviate from the scope of work, predesign report, and/or Design Manual. This situation could be prompted by discovery of new or unforeseen conditions during the investigations phase of the design or by introduction of new or improved equipment or materials to the market.

2. In such cases, the Design Contractor shall submit a deviation request to the Design Manager. Each request must be accompanied by full documentation and justification for the proposed deviation(s). Attachment 1-3 shows an example deviation request.

1.5.3

Request Procedure

1. The Design Manager will meet with the Design Contractor within one week from the receipt of the deviation request to discuss the proposed deviation(s). The Design Manager will transmit written notice of acceptance or rejection of the deviation request no later than two weeks after the initial meeting.

2. If the deviation request is not accepted, no change to the scope of work or other documents will be made.

3. If the deviation request is accepted as presented, or in some modified form, the Design Manager will execute the form shown in Attachment 1-3 listing any conditions applicable to its acceptance.

No deviation(s) to the design requirements will be permitted without prior written authorization from the Design Manager.

March 2007 1-10 REV 01

1.6 Project Administration

1.6.1 Use of the Design Manual

1. In addition to the provisions of the Contract, the Design Manager will use the Design Manual for guidance in administering each project.

The Design Manual provides a basis for uniformity of format, methodology, procedures, and quality of work products. Design Contractors and their subcontractors shall familiarize themselves, in detail, with the provisions and requirements of the Design Manual.

1.6.2 Progress Meetings

1. The Design Contractor shall meet monthly with the Design Manager to discuss progress of the Project. The Design Manager may designate time intervals other than monthly. Other Contractor or subcontractor personnel may also be required to attend progress meetings to address specific technical issues.

2. The Design Contractor shall prepare a written agenda for each pro-gress meeting. The agenda shall be submitted to the Design Manager a minimum of two days in advance of the progress meeting.

3. The Design Contractor shall submit draft minutes of the progress meeting to the Design Manager within five days of the progress meeting. The Design Manager will review the minutes and notify the Contractor of changes, corrections, or additions, if any. The Design Contractor shall incorporate the comments and submit the revised minutes to the Design Manager for review and approval. The approved progress meeting minutes shall become part of the Project record.

1.6.3 Progress Report

1. The Design Contractor shall prepare and submit a work progress report to the Design Manager a minimum of two days prior to the monthly progress meeting. The updated project schedule, resource allocation, and discussion shall be included in the Design Contractor’s monthly progress report.

2. Physical progress may be verified by the Design Manager using various techniques, such as drawing counts, achievement of milestones, or acceptance of progress at defined gates. Refer to the Water Authority Gateway Process for an explanation of defined gates.

3. The accepted progress report shall also be submitted with the Design Contractor’s monthly invoice. The progress report shall be a condition of acceptance of the invoice.

March 2007 1-11 REV 01

4. Refer to Chapter 2, Design Cost and Schedule Control, for additional progress reporting requirements.

1.6.4 Issue Resolution

1. The Design Contractor shall track the resolution of design issues, and shall prepare and submit separate tracking reports with the monthly progress report. When the issue resolution is final, the Design Contractor shall prepare and submit a final issue resolution report to the Design Manager for review, comment, and acceptance.

1.6.5 Change Management

1. For each proposed change to the project, regardless of the source of the change request, the Design Contractor shall prepare a separate change impact report. The report shall contain, as a minimum, the following:

1.1. A narrative description, including justification and impacts.

1.2. An estimate of the cost impact of the change.

1.3. An estimate of the change, if any, to the project schedule.

1.4. An estimate of changes in project risk, if any.

1.5. Status of processing the change request.

1.6. Final resolution of the change request.

1.7. Other information relevant to the change.

2. The change impact report shall be drafted as soon as a potential change is identified and updated with each monthly progress report.

On final resolution of the change request, the Design Contractor shall submit a final change impact report to the Design Manager for review, comment, and acceptance. This final report shall be made regardless of whether or not the change is implemented.

1.6.6 Project Design Schedule

1. The purpose of the project schedule is to assist the Design Contractor in planning and organizing their sequence of activities, determining the longest path of activities through the project, identifying potential bottlenecks and proposing solutions, and making work assignments. The schedule also assists all project team members to communicate about work requirements and the progress of the work, and assists the Design Manager in monitoring work progress and in reviewing the Design Contractor’s invoices.

2. The scope of work provides requirements for scheduling the Design Contractor’s design effort, and for the number, timing and contents of submittals. The required schedule must include all project

March 2007 1-12 REV 01 activities and subactivities, interrelationships, milestones, and intermediate and final design deliverables. The schedule shall incorporate sufficient detail to permit straightforward, accurate monitoring of progress. Schedule standards and procedures are provided in Chapter 2, Design Cost and Schedule Control.

3. The Design Contractor shall update and re-evaluate the project schedule each month, using actual dates and resources (defined in the scope of work) expended. Potential delays caused by circumstances beyond the Design Contractor’s control, or which could result from the failure of others to provide timely inputs to the design effort, shall be identified in the schedule. The work remaining shall be compared with remaining resources to determine if the project can be completed on time and within budget. If resources must be reallocated, or if the schedule must be revised, the Design Contractor shall immediately notify the Design Manager.

4. The Design Contractor shall maintain an accurate record of the budget expended and shall forecast the amount required for project completion. The Design Contractor shall immediately notify the Design manager in writing either when 80% of the budgeted amount for any task is expended or when the forecasted amount to complete any task exceeds the budgeted amount.

1.6.7 Design Deliverables

1. Chapter 4, Design Development, provides requirements for the number, timing and content of design deliverables. The Design Manager will review project work products and forward written comments to the Design Contractor. The Design Contractor shall address written comments resulting from the reviews in writing in a timely manner. The Design Manager’s review of work products does not, however, relieve the Design Contractor of full responsibility for their work in accordance with their contractual agreement with the Water Authority.

2. The Design Manager will schedule formal design review meetings to discuss and resolve comments on the submittals. The Design Contractor shall prepare and distribute minutes of these meetings within 10 calendar days of each session. As a minimum, these minutes shall include a summary of items discussed, decisions reached and items needing further development or action.

1.6.8 Records Management

1. The Design Contractor shall provide a document control and records management system that complies with the provisions of Chapter 21, Document Control and Records Management, and ensure documents and deliverables generated by the design team

March 2007 1-13 REV 01 can be easily and cost-effectively retrieved.

1.6.9 SCOOP and Equal Opportunity Policies

1. The Water Authority has a broad-based and comprehensive Small Contractor Outreach and Opportunities Program (SCOOP) design-ed to promote the participation of qualified, small, and diverse con-struction contractors, professional services contractors, and vendors on Water Authority procurements. Extra effort is made to fully inform the small business community of contract opportunities and to ensure that Design Contractors contracted with the Water Authority make the necessary effort to maximize participation on their teams.

2. Design Contractors doing business with the Water Authority shall report contracting activity on SCOOP Schedule A-1, Designation of All Subcontractors, Including Subcontractors/ Vendors/ Service Pro-viders. (Refer to Attachment 1-4 for a blank Schedule A-1). This report shall be submitted by the Design Contractor as follows:

2.1. With the signed contract, indicating the initial commitment to

SCOOP firms.

2.2. With each contract amendment, indicating the current SCOOP commitment and participation.

2.3. Upon completion of the contract, when the Design Contractor shall submit a final update of Schedule A-1 indicating the final amount committed to and paid to all subcontractors.

3. SCOOP will prepare a quarterly SCOOP report for the Water Authority Board of Directors. The Water Authority may request a quarterly update and the Design Contractor shall ensure their SCOOP participation information is current.

4. The basis for reporting contracting activity includes all expenditures except for:

4.1. Payment to employees, including payroll and reimbursements

4.2. Expenditures for employee benefits

4.3. Refunds

4.4. Legal settlements

4.5. Rents and leases for property

4.6. Payments for utilities and telephone service

4.7. Interagency payments and payments to governmental entities

4.8. Memberships (e.g., professional organizations)

4.9. Payments to nonprofit organizations

5. These are the only approved exclusions; all other payments shall be

March 2007 1-14 REV 01 included in the reporting base. Reporting periods shall correspond with the Water Authority’s fiscal year beginning July 1 and ending June 30.

6. Design Contractors shall comply with their stated subcontractor commitments throughout the duration of the Contract. Written authorization from the Water Authority is required prior to substitution of any subcontractor. Substitutions include requests by the Design Contractor to self-perform work originally designated to a subcontractor. Prior to completion of the Contract, Design Con-tractors shall submit a final update of SCOOP Schedule A-1 noting the final amount committed and paid to all subcontractors.

1.6.10 Invoice Procedures

1. Design Contractor’s invoices to the Water Authority for work performed under the Contract shall be prepared and submitted in accordance with the Contract.

2. Refer to Chapter 2, Design Cost and Schedule Control, for additional invoicing requirements.

1.6.11 Contract Amendments

1. Contract amendments shall be requested, prepared, and submitted according to the provisions of the Contract.

March 2007 1-15 REV 01

1.7 Coordination Requirements

1.7.1 Other Design Contractors

1. The Water Authority anticipates that several Design Contractors will be under Contract simultaneously for the design of Water Authority facilities. The Design Contractors selected for the design of such facilities shall coordinate work closely to ensure that necessary operational links are accommodated in their respective designs.

However, the Design Manager maintains overall responsibility for such design coordination, and will take measures to synchronize designs and construction schedules so linked facilities become operational at the time required by the Water Authority.

2. However, immitigable factors may arise which prevent successful simultaneous completion of linked facilities. Design Contractors shall provide flexibility in their design(s) so that the construction work associated with the operational links between projects can be added or deleted, depending on the timing of construction.

1.7.2 Other Professional Services Contractors

1. The Water Authority anticipates other professional services contractors will be under Contract during the same time as the Project. These contractors may provide services for planning, environmental work, public affairs and community outreach, oper-ations and maintenance, right-of-way, and other services.

2. The Design Contractor shall coordinate with these other professional services contractors to ensure no conflicts or adverse situations develop.

1.7.3 Water Authority Member Agencies and Governmental Entities

1. The Project may affect or involve Water Authority member agencies.

This shall include the Metropolitan Water District of Southern California (MWD).

2. The Project may be located in, affect, or involve governmental entities, including federal and state land or jurisdictions, the County of San Diego, Indian reservations, and cities.

3. The Design Contractor shall coordinate with the affected member agencies and governmental entities to ensure no conflicts or ad-verse situations develop, and all applicable requirements are in compliance.

March 2007 1-16 REV 01

1.7.4 Permitting and Regulatory Agencies

1. The Design Contractor shall coordinate affected permitting and regulatory agencies to ensure applicable permits are obtained and requirements are included in the design.

1.7.5 Board of Senior Professional Services Contractors

1. For complex projects or programs that involve a number of linked projects, the Water Authority may engage a Board of Senior Professional Services Contractors to coordinate the work.

2. In such instances, the Design Contractor shall coordinate with the Board of Senior Professional Services Contractors to ensure no con-flicts or adverse situations develop.

March 2007 1-17 REV 01

1.8 Permits

1.8.1 Types of Permits

1. Most Water Authority projects, depending on their characteristics and location, will require planning, temporary access, and/or encroachment and environmental permits from regulatory and private agencies prior to construction. Key permitting agencies include the U.S. Army Corps of Engineers; the California Department of Water Resources; the California Department of Transportation (Caltrans); the Regional Water Quality Control Board; the California and San Diego County Departments of Health Services; the California Department of Fish and Game; the California Coastal Commission; the California Department of Water Resources Division of Safety of Dams; the Atchison, Topeka, and Santa Fe Railroad; and the Metropolitan Transit Development Board. In addition, the Design Contractor shall comply with the plan check and permitting processes of the different cities, County of San Diego, and other jurisdictions that may be involved in the project.

2. Refer to Chapter 10 for additional information and requirements re-garding permits.

1.8.2 Identification of and Application for Permits

1. The Design Contractor shall identify all required permits early in the design process and shall prepare and submit timely permit application packages to the appropriate jurisdictional agencies.

2. This preparation includes conducting any necessary analytical studies required to submit the application packages.

3. Such permit applications will be reviewed by the Water Authority Water Resources Department prior to submittal and shall be submit-ted by the Design Contractor to the jurisdictional agencies in a timely manner so no project delays result from permits not being in place at the appropriate time.

4. The Design Contractor shall comply with any follow-up requests for additional information or clarification of permit submittals, and shall incorporate permit conditions and requirements into the project design.

1.8.3 Permits Obtained by the Water Authority

In some cases, usually in situations where the permit application and approval process exceeds the time scheduled for the design phase, the Water Authority will separately submit permit applications. In such cases, the Design Contractor shall work with the Design Manager and the Water Resources Department staff to monitor the progress of the permit applications, and, when

March 2007 1-18 REV 01 approved, shall incorporate the permit conditions and requirements into the project design. Refer to Chapter 10, Environmental Compliance and Permit Support, for additional information and requirements.

March 2007 1-19 REV 01

1.9 Design Contractor Evaluation

1.9.1

Contractor Evaluation

1. Performance of the Design Contractor will be evaluated as part of the contract closeout activities. At the discretion of the Design Manager, intermediate performance evaluations may be conducted at one or more points during the course of the project.

2. Refer to Attachment 1-5 for an example Professional Services Contractor Performance Evaluation template.

March 2007 1-20 REV 01

Attachment 1-1: Documents Referenced in the Design Manual

Documents referenced in the Design Manual may include but are not limited to those listed below. The lists are provided for the convenience of the Design Contractor only and may not be inclusive or exhaustive.

WATER AUTHORITY DOCUMENTS AND MANUALS

WATER AUTHORITY

DOCUMENT NUMBER

DOCUMENT TITLE

ESD-100 Construction Management Manual

ESD-110 Corrosion Control Manual

ESD-120 Drafting Manual

ESD-130 Field Inspection Manual

ESD-140 Urgent Repair Manual

ESD-150 Specifications Style Guide

ESD-170 Engineering Guidelines for Review of Proposed Right-of Way Encroachments

ESD-500 Engineering Invoice Policy and Processing Procedures

ESD-510 Policies, Procedures, and Practices

Design Manual, Volume 2, Facilities Design Guide

Estimating Process Manual

General Conditions and Standard Specifications

Human Machine Interface (HMI) Standards

Operations and Maintenance Procedures Manual

Procurement Procedures Manual

Standard Drawings

DOCUMENTS AND MANUALS ISSUED BY OTHER AGENCIES

ISSUING AGENCY

American Society of Professional Estimators

(ASPE)

Certification requirements for cost estimators

Association for Advancement of Cost Engineering International (AACEI)

Definitions of cost estimate types and classes

California Department of Health Services

(CDHS)

Abandoned Site Program Information System (ASPIS)

California Department of Health Services

(CDHS)

Expenditure Plan for the Hazardous Substance Cleanup Bond Act

California Department of Health Services Toxic Substances Control Division, Potential Hazardous

March 2007 1-21 REV 01

DOCUMENTS AND MANUALS ISSUED BY OTHER AGENCIES

ISSUING AGENCY

(CDHS) Waste Properties in California

California Department of Transportation (CalTrans)

CalTrans Traffic Manual

California Integrated Waste Management Board (CIWMB)

Active Landfills

California Integrated Waste Management Board (CIWMB)

Inactive Landfills

California Office of Planning and Research Hazardous Waste and Substance Sites List (Governor's List)

California Regional Water Quality Control Board (CRWQCB)

CRWQCB, San Diego Region, Leaking Underground Tank Facilities List

City of San Diego City of San Diego Standard Drawings

Construction Specifications Institute (CSI) MasterFormat, 1988 Edition

County of San Diego Regional Standard Drawings

San Diego Department of Environmental Health Services, Hazardous Materials Management Division (HMMD)

Selected Hazardous Materials Records List (SHMRL)

Southern California Chapter of American Public Works Association (APWA) and the Southern California Districts of the Associated General Contractors (AGC) of California.

Standard Specifications for Public Works Construction (SSPWC or Greenbook)

U.S. Environmental Protection Agency

(EPA)

Comprehensive Environmental Response Cleanup and Liability Act Information System (CERCLIS) List

U.S. Environmental Protection Agency

(EPA)

National Priority List (Superfund Site)

March 2007 1-22 REV 01

Attachment 1-2: Water Authority Terms, Abbreviations, and Acronyms

BODR Basis of Design Report, as defined in Chapter 4, Design Development, of the Design Manual.

CIP Projects Projects specifically identified in the Water Authority’s Capital Improvement Program (CIP).

Construction Administrator or CA

The person designated by the Water Authority to administer the construction contract and be the Construction Manager’s primary point of contact.

Construction Contractor or Contractor

An individual, partnership, corporation, joint-venture, or other legal entity that has signed a contract with the Water Authority to construct the project based on the Contract Documents.

Construction Engineer A person, either retained by the Construction Manager or employed by the Water Authority, designated to monitor and inspect the day-to-day onsite construction activities.

Construction Manager or

CM

The person, partnership, corporation, joint-venture, or other legal entity under contract to the Water Authority during the construction phase of the project that has overall responsibility for managing construction of the project and executing the Quality Assurance Plan.

Contract The professional services contract between the Design Contractor and the Water Authority.

Contract Documents The entire set of documents comprising the contract between the Water Authority and a Construction Contractor, including but not limited to the Notice Inviting Bids, Instruction to Bidders, Bid Forms (including the Bid, Bid Schedule(s), Information Required of Bidder, Bid Bond, and all required certificates and affidavits), Agreement, Performance Bond, Payment Bond, General Conditions, Supplementary General Conditions, Technical Specification, Drawings, and all addenda, change orders, and payment requirements.

Corrosion Control Engineer A person or private entity retained by the Design Contractor to provide specialized expertise in corrosion control.

Design Contractor A private or public person, partnership, corporation, joint-venture, or other legal entity under contract to the Water Authority to provide engineering services for design of facilities.

Design Contractor’s Project Manager

The person designated by the Design Contractor to manage the Design Contractor's project team, and interact with the Water Authority Design Manager.

Design Manager The person designated by the Water Authority to administer the design contract and be the Design Contractor’s primary point of contact.

Geotechnical Engineer A person or private entity retained by the Design Contractor to

March 2007 1-23 REV 01 provide specialized geotechnical expertise.

Includes or Including Means “includes (or including) but not limited to”.

Predesign Report A report prepared by the Water Authority describing the project prior to engagement of the Design Contractor. Also referred to as a Planning Report.

Project Manager or PM The person designated by the Water Authority to shepherd a project through all phases to achieve the project objectives.

Water Authority The San Diego County Water Authority. May also be referred to as Owner, Authority, CWA, or SDCWA.

March 2007 1-24 REV 01

Attachment 1-3: Request for Deviation

Request to Deviate from the Design Manual Or Pre-design Reports

1. Request No.: ___________________________ 2. Date: _________________________

3. Project Title: ____________________________4. CIP No.: _______________________

5. Design Contractor: _______________________________________________________

6. Affected Documents:

(Provide description of the Design Manual and/or Predesign Report element from which deviation or change is requested. Include affected specification section and/or subsection, equipment number, drawing number, etc., to enable the Design Manager to easily understand the element from which deviation is proposed.)

7. Proposed Change:

(Provide a detailed description of proposed change. Attach sketches, specifications or other applicable material which fully describes the scope of the proposal.)

8. Reason for Request:

(Provide complete documentation and justification for this request. Include cost-effectiveness analysis if applicable, and any other supporting data and analysis which will facilitate evaluation.)

9. Date by Which Approval is Requested (please explain why):

10. Impact of Proposal On:

a. Design Schedule & Cost (Please explain as necessary)

b. Construction Schedule & Cost (Please explain as necessary)

c. Previous Design and Construction Work

d. Operations and Maintenance

e. QA/QC of Project

f. Compliance with Environmental Document

11. Remarks:

SUBMITTED: APPROVED:

(Project Manager) (Water Authority)

(Name of Design Contractor) Date Approved

(Date Submitted)

March 2007 1-25 REV 01

Attachment 1-4: SCOOP Schedule A-4, Designation of Subcontractors

March 2007 1-26 REV 01

Attachment 1-5: Example of Professional Services Contractor Performance Evaluation Form

Attachment 1-5: Professional Services Contractor Performance Evaluation Form (continued)

March 2007 1-27 REV 01

March 2007 1-28 REV 01

Attachment 1-5: Professional Services Contractor Performance Evaluation Form (continued)

SDCWA Design Manual Chapter 2. Design Cost and Schedule Control

March 2007 Chapter 2 REV 01

Chapter 2 Design Cost and Schedule Control

Purpose This chapter presents Design Contractor requirements for control of design costs and schedules, preparation of invoices, and submittal of monthly progress reports.

CHAPTER 2 DESIGN COST AND SCHEDULE CONTROL

2.1 INTRODUCTION ........................................................................................................................2-1

2.1.1 GENERAL .............................................................................................................................2-1

2.2 SCHEDULE CONTROL...............................................................................................................2-2

2.2.1 DESIGN SCHEDULE REQUIREMENTS......................................................................................2-2

2.2.2 SCHEDULE STANDARDS........................................................................................................2-2

2.2.3 ELECTRONIC DATA FILES......................................................................................................2-3

2.2.4 CONSTRUCTION SCHEDULE REQUIREMENTS .........................................................................2-3

2.3 INVOICING, PROGRESS REPORT, AND CONTROL OF DESIGN COSTS ..........................................2-4

2.3.1 PROGRESS REPORT .............................................................................................................2-4

2.3.2 REQUESTS FOR PAYMENT.....................................................................................................2-5

2.3.3 NOTIFICATION ..............................................................