County of Santa Clara Capital Programs Division
Architect-Engineer Guide
for
Design Services
Purpose:
Capital Programs has many construction protocols and standards that are unique
to the way we do business. This Guide assists the A-E in:
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Understanding the design services agreement (PSA- Professional
Services Agreement);
Understanding the Capital Programs’ construction contract “front end”
Division 0/1 specification sections, so that the A-E can readily incorporate
the protocols and standards of these sections in to their Construction
Document technical specifications; and
Identifies the County’s “technical standards” that must be incorporated in
to the A-E’s construction design.
There are numerous hyperlinks in the Guide. The narrative below is linked to
various reference documents such as the Professional Services Agreement.
Words and phrases underlined and in blue are hyperlinked to other documents.
To access the hyper-linked documents, place your cursor over the link, press
down on the Ctrl key, and click on your mouse.
How to use this Guide:
The information in this main document should be distributed to all subconsultants. The sub-Sections of this Guide that pertain to specific design
disciplines should be distributed to the relevant sub-consultants.
The checklists in the main Section of this Guide, and for each Sub-Section, such
as HVAC, Fire Protection, etc, must be completed by the A-E and the appropriate
sub-consultants, and submitted to the County Project Manager when making the
100% construction document submission.
Page 1 of 27
A-E Design Guide
Written by Ken Rado, Deputy Director Facilities and Fleet, for Capital Programs
Table of Contents:
I.
Contract and Project Management Information
1. Organization and Mission of Capital Programs Division
2. Contracting for Design and Consulting Services
a) Project Agreements
i) Developing Fees
ii) Executing a Project Agreement
b) County Travel and Expense Reimbursement Policy
3. Invoicing
II.
Design Phases
1.
2.
3.
4.
III.
Programming
Schematic Design
Design Development
Construction Documents
Design “Protocols”
1. Organization of Technical Specifications
2. “Front End” Documents
a) Contractor Quality Control
i) Special Inspection (CBC Chapter 17)
b) Submittal Review Time
c) Warranty Information
d) Operation and Maintenance Manuals
e) Training
f) Commissioning
g) Construction Administration
3. Brand Names; and “Or Equal” Specifications
a) Issues
b) Architectural Features
c) Mechanical and Electrical
d) “Or Equal”
e) A-E Responsibilities
4. Permits from Regulatory Agencies
5. Deferred Submittals and Permits from the Building Department
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A-E Design Guide
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6. Citing outside references
7. Extended Warranties
IV.
Design Standards and Checklists
1. A-E 100% CD Checklist
2. Geotechnical Report, Excavation and Backfill
3. HVAC Design Guide
4. Fire Protection Systems
5. Plumbing
6. Electrical, Including Emergency Generators
7. Architectural
8. Landscaping and Pesticide use
9. Elevators
10. Building Automation System
11. Security Systems
12. Sustainable Design
13. Lighting Control
14. Site Civil—Storm Water Containment
Page 3 of 27
A-E Design Guide
Written by Ken Rado, Deputy Director Facilities and Fleet, for Capital Programs
Contracting and Project Management
Organization and Mission of Capital Programs Division
Capital Programs Division is part of the Facilities and Fleet Department, County
of Santa Clara.
The County is made up of Departments and Agencies including the Department
of Corrections which operates the Jail and the Elmwood Correctional Facility;
Probation Department which operates Juvenile Hall and the James Ranch and
Muriel Wright Center, The Office of the District Attorney; Office of the Sheriff;
Santa Clara County Health and Hospital System; and other agencies.
The staff of Capital Programs manages the planning, design and construction of
facilities infrastructure and buildings for the County. Separately, the County
Roads and Airports Department oversees the maintenance and construction of
County roads and bridges.
Capital Programs has a staff of approximately 22 people. We are led by Ken
Rado, the Manager, Capital Programs Division. The Chief of Design is Siva
Darbhamulla, and the Chief of Construction is Alex Gallego. The two branch
Chiefs supervise a total of 10 Project Managers.
Although many of our Project Managers are Registered Architects and
Engineers, we contract for nearly all design and engineering consulting services.
Contracting Instruments
Once selected through a qualification-based process A-E firms enter in to a
Professional Services Agreement (PSA) with the County. A PSA is an “umbrella”
Agreement that provides a menu of services and deliverables (S&D) that may be
ordered by Capital Programs. PSA’s may be for a specific project, usually large
in total project value (>$10M); or they be for a variety of smaller projects that are
defined, or still yet-to-be-determined.
PSA’s are approved by the Board of Supervisors. Each PSA has a maximum
compensation limit (MCL), which sets a limit of the total value of fees for the A-E,
and an expiration date (term limit). After initial execution of a PSA Capital
Programs may subsequently seek Board approval to increase the MCL and/or
extend the term limit, should circumstances dictate such action.
The services and deliverables (S&D) of a PSA are ordered via a task-order,
called a Project Agreement (PA). A PA is an actual contract between the A-E
and Capital Programs for the provision of specific S&D, ordered from the “menu”
of a PSA, with a timetable for delivery, and a set fee. A PA is signed by an Officer
of the A-E firm, the Manager, Capital Programs Division, a representative from
County Counsel, and the Deputy County Executive.
Page 4 of 27
A-E Design Guide
Written by Ken Rado, Deputy Director Facilities and Fleet, for Capital Programs
Contracting and Project Management
For services of a more informal nature, for which the County does not have an
appropriate PSA, a Service Agreement (SA) contract may be used by Capital
Programs. A SA is valued at less than $100K. It is signed by an officer of the A-E
firm, the Manager of Capital Programs, and the County’s Procurement Director.
Link back to Table of Contents.
Project Agreements (PA)
A PA consists of The Recitals section, along with four Attachments:
The Recitals section. This section identifies the total value of the PA; identifies
the title of the PA; indicates an expiration date of the PA, and contains other legal
provisions. This is the document that is signed by the various parties. A template
Recitals section is provided here.
There are four Attachments to the Recitals:
Attachment 1; Scope of Work. The specific S&D are defined in this Attachment. A
sample is provided here.
Attachment 2; Schedule. The timetable for accomplishing the S&D of Attachment
1 are defined in this Attachment.
Attachment 3; Compensation summary. The fees to be paid to the A-E are
captured in Attachment 3. A template Attachment 3 is provided here. Fees are in
three categories:
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Fees for Basic Services. Basic Services follow the format in the PSA,
usually Part 5.
Fees for Supplemental Services.
Allowance for Additional Services . When completing Attachment 3 the
County Project Manager may include “contingency” funds in the PA to
expeditiously order services related to the scope of work of the PA, but not
identified as being needed at the time the PA was executed.
The Capital Programs’ Project Manager may order additional services by
executing an AS Order. An ASO need only be signed by an Officer of the
A-E firm and the Manager, Capital Programs Division. A sample ASO is
provided here.
Fees are of two types: Fixed or Hourly. Fixed for specific S&D for which fees can
be quantified at the time of entering in to the Project Agreement; Hourly for the
provision of those services for which the A-E effort cannot be quantified up-front.
Page 5 of 27
A-E Design Guide
Written by Ken Rado, Deputy Director Facilities and Fleet, for Capital Programs
Contracting and Project Management
This distinction is important for the purposes of billing. See the Invoicing section
of this Guide for more details. A sample Attachment 3 is provided here.
Attachment 4; List of Sub-Consultants. This is used to provide a list of subconsultants, not previously identified in the PSA, who will be used by the A-E in
the execution of the Project Agreement.
Developing Fees
Scope of Work
Consultant’s Fee(s) is directly related to the Scope of Work agreed upon and
captured in Attachment 1 of the Project Agreement. Developing the Scope of
Work is usually an iterative process. The Capital Programs Project Manager will
prepare a draft scope of work and send to the A-E for comment. The A-E may
edit and refine the Scope and submit back to the Project Manager.
Task-fee breakdown
Once the Scope of Work is agreed upon the A-E is expected to develop a taskfee breakdown. The Task-fee breakdown should indicate:
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Specific tasks;
The planned hours of effort by the A-E and each sub-consultant;
The category of Professional (Project Architect, Job Captain, Draftsman,
etc.); and
Associated hourly rates.
For the A-E that has entered in to the PSA with the County, the hourly rates are
established in the PSA and must be used for each Project Agreement. For subconsultants, hourly rates must be consistent with “industry standards.” A sample
task-fee breakdown is provided here.
The Capital Programs Project Manager will review the task-fee breakdown in
order to ensure that all tasks described in the Scope of Work have been
captured. The PM will also review the “reasonableness” of the fees. Negotiations
may ensue.
On “larger” projects development of a task-fee breakdown may not be practical.
In such a situation the A-E fee may be based on a percentage-of-construction
cost basis.
Capital Programs prefers that a fixed price be obtained for performing A-E
services.
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A-E Design Guide
Written by Ken Rado, Deputy Director Facilities and Fleet, for Capital Programs
Contracting and Project Management
The Consultant is required to identify, as a separate line item in their fee
proposal, the fee for performing quality control and coordination checks.
Executing a Project Agreement
In order for a Project Agreement to be finalized, the Consultant must sign and
then it is signed by the Manager, Capital Programs Division, County Counsel,
and the Assistant County Executive.
County Travel Policy and Reimbursable Expenses
Consultants may be reimbursed for certain travel expenses, particularly if they
are visiting the project site from out of the Bay area, and hotel accommodation
and rental cars must be used. In these circumstances, the Consultants should
familiarize themselves with the County Travel Policy. In all instances in which the
Consultant intends to claim reimbursement for travel-related costs, the
Consultant must produce detailed, itemized receipts for all items. For example, a
credit card receipt for meals is not adequate. The itemized bill must be provided.
See also the County’s “Quick Reference Guide” for information about travel
expenses.
All Reimbursable Expenses must be supported by a receipt.
Invoicing
Part 11 of the PSA describes, in general terms, the County’s Invoicing policy.
Consultant’s fees for a Project Agreement (PA) are captured in Attachment 3 of
the PA, the Compensation Summary. A sample is provided here. A sample is
provided here. The particular Project Agreement referenced in this sample is for
Construction Administration Services.
The Compensation Summary is divided into Basic Services, which coincide with
Part 5.04 of the PSA; Supplemental Services, which coincides with Part 5.05,
and Reimbursable Services, Part 11.02 of the PSA.
Fees for specific line items of the PA are either:
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“Fixed,” meaning the Consultant is performing that specific service for a
fixed (set) fee; or
“Hourly,” meaning the specific effort, in terms of man-hours, to accomplish
a Service is not known at the time of execution of the PA. So the
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A-E Design Guide
Written by Ken Rado, Deputy Director Facilities and Fleet, for Capital Programs
Contracting and Project Management
Consultant will perform the service, track their time, and invoice based on
the hourly rates established in the PSA.
The sample Compensation Summary provides more information.
When the County Project Manager issues a Notice to Proceed for a particular
Project Agreement, the PM will send an Excel spreadsheet that is the County’s
Invoice form. The form is in two pages. Page 2 of the form is essentially the
Compensation Summary of the Project Agreement, in Excel format. Attached is a
sample. For the initial invoice the Consultant will complete the yellow portion of
the invoice form. The first page of the invoice form will then automatically be
populated. The Consultant must sign and date the invoice, provide
The Consultant should then use the same spreadsheet for subsequent invoices.
When the yellow sections are filled in, the sections in green will automatically be
populated.
For invoices that contain “hourly” charges (as opposed to “fixed fee” charges) the
Consultant must also submit a task-fee breakdown, documenting the hourly
charges.
Additionally, for all invoices, the Consultant must submit a narrative “report”
describing work accomplished during the period covered by the invoice.
Link back to Table of Contents
Page 8 of 27
A-E Design Guide
Written by Ken Rado, Deputy Director Facilities and Fleet, for Capital Programs
Phases of Design
Design Phases
This section of the A-E Guide provides a brief overview of Capital Programs’
management of the design process.
Architectural Programming
This phase of the design process establishes the benchmarks by which
the project will be evaluated. Capital Programs has adopted the guidelines of
ASHRAE Guideline 0-2005 for the preparation of the Programming document.
Click on the Architectural Programming to reference the PSA.
Schematic Design
Key decisions about the specifics of the project design are made during the SD
phase. As part of the SD fee proposal it is incumbent on the A-E to identify
specific site investigations that need to be made in order to commence the DD
phase of the design.
Additionally, during this phase of design the A-E should be establishing the
design parameters for the mechanical and electrical systems.
Design development
During this phase the A-E not only crystallizes the design but also communicates
to the County the decisions that have been made to satisfy the design intent
requirements, through the submission of the Basis of Design. These design
decisions and accompanying calculations provide the County information on not
only mechanical and electrical systems, but structural design as well.
Construction Documents
General:
“No Guess” bidding. We want the Contractor to be able to provide a bid on
the plans and specifications and not have to guess or gamble on quantity of
items or site conditions. For the purposes of developing Construction
Documents, this philosophy has two impacts for the A-E:
1. The use of exculpatory language in the CD’s is not acceptable. An
example of exculpatory language: “…access panels are required wherever
a piece of equipment or operator is inaccessible and requires access for
maintenance, repair or adjustment, whether or not shown on
drawings..."
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A-E Design Guide
Written by Ken Rado, Deputy Director Facilities and Fleet, for Capital Programs
Phases of Design
There is no way for a Contractor to provide an accurate bid, in a typical
30-day bidding period, for access panels based, on this statement.
a. We don’t want A-E’s to have to rely upon, or use, statements such
as the one given, or any kind of exculpatory language in the CD’s.
b. The A-E, to the best of their ability and reasonable design time,
should identify quantities of items to be provided.
c. There may be quantities of items that cannot be determined, either
because the Contractor actually provides some portion of the
design (for example Coordination Drawings), or there may be site
conditions that cannot be fully explored. Then the A-E, in
conjunction with the County project manager, should identify known
quantities and state, in the CD’s, words to the effect of: “Base bid
on providing XX widgets, access panels, etc. The County will issue
a change order, with appropriate compensation, to adjust this
number up or down.”
2. We must provide site condition information to the bidders through one of
two ways: (1) Define the site conditions through surveys, borings or
selective demolition during design; or (2) Tell the Contractor the expected
site conditions he should base his bid, and indicate that if site conditions
differ a change order will be issued.
Compatibility of Technical Specifications with County Administrative
Requirements
In addition to representing completing the last 20% of design, the A-E will also be
completing the technical specification Sections. These Sections must
complement the County’s Division 0 and 1 Sections. Capital Programs has
invested significant effort in developing the Div 0/1 sections, and their contents
incorporate significant lessons-learned regarding administrative protocols.
It is not expected that the A-E read all these Sections (there are over 300 pages).
This Guide highlights key elements of the Div 0/1 documents and instructs the AE how to incorporate the County’s requirements in to the technical specifications.
As part of the CD phase the A-E must also provide information to the County in
several areas, including:
 sole-source items;
 permits;
 equipment to be commissioned ; (If formal commissioning is part of the
project)
 equipment needing operation and maintenance information
 Tests to be performed by the Contractor;
 Quality Control Special Inspectors;
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A-E Design Guide
Written by Ken Rado, Deputy Director Facilities and Fleet, for Capital Programs
Phases of Design
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List of Confined Spaces;
List of Outside References;
List of Extended Warranties
Submittal review times;
CEQA Mitigation Measures; and
Document Coordination Check
Link back to Table of Contents
Page 11 of 27
A-E Design Guide
Written by Ken Rado, Deputy Director Facilities and Fleet, for Capital Programs
Design Protocols
Design “Protocols”
Capital Programs recognizes the A-E as the technical expert in the design effort.
However, based on extensive construction management experience, we have
developed certain protocols with respect to development of the contract
specifications (also referred to as the Project Manual). These protocols greatly
facilitate management of the project.
By familiarizing themselves with these protocols the A-E will be able to develop
the technical specifications in a way that aligns with Capital Programs’
construction management procedures.
Organization of Technical Specifications
Most A-E’s will organize the technical specification sections pursuant to AIA and
CSI formats and protocols. Within these formats there are three areas of editing
requirements relative to County “standards:”
1. The Submittals paragraph of a technical Section must identify all
submittals required. Obvious? Well, not so much.
a. Qualifications of sub-contractors.
Frequently A-E’s will include a paragraph entitled “Quality
Assurance.” Identified in this paragraph are the qualifications of a
sub-contractor to perform the work. An example is, “Sub-contractor
must have five years experience performing XX work.” Or, “Subcontractor must be certified by the product manufacturer to install
XX product.”
This information should be more appropriately captured in a
submittal. The Submittals paragraph should read: “provide
documentation that sub-contractor has XX years experience in
installing product.” Or, “Provide documentation that sub-contractor
is certified by the product manufacturer to install XX product.”
b. Operation and Maintenance Manuals
The County has a very “robust” O&M specification, Section 01782.
The contents of this section are the result of many lessons-learned.
The Architect and the sub-consultants should not identity separate
O&M requirements in the technical sections. Instead, in the
Submittals paragraph, for those products/equipment that normally
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Design Protocols
would require an O&M manual, instead indicate: “Submit Operation
and Maintenance information pursuant to Section 01782.”
2. Quality Control. In the Execution section of a Technical Specification
Section, there is normally a paragraph entitled Quality Control. The
contents of this paragraph must indicate all the tests that must be
performed to achieve quality control. Pursuant to the PSA, A-E must
identify in the contract documents all specific tests to be performed by the
Contractor;
Link back to Table of Contents
“Front End” Documents
The County has very comprehensive “front end” (Division 0/1) documents. These
sections of the specifications are prepared/edited by the County Project Manager
and then submitted to the A-E for inclusion in to the overall bid documents.
So as to not duplicate or conflict with the Division 0/1 documents the narrative
below, and subsequent checklists, are provided to aid in the preparation of the
technical specifications. As part of the 100% construction document submission
the A-E must complete the checklists at the end of each Section of this Guide
and submit to the County Project Manager.
Contractor Quality Control
The county of Santa Clara employs the Contractor Quality Control (CQC) system
of implementing quality workmanship on our construction projects.
CQC is a process for improving the quality of construction performed by the
Contractor. The A-E-developed plans and specifications define the expected
results or outcome for quality. The CQC Program defines specific processes and
controls the Contractor must implement to plan for quality, test for quality, and
document efforts to achieve quality
The employment of the CQC Program is defined in Section 01450 of the contract
documents. The A-E is encouraged to read Section 01450 to gain an
understanding of the QC program. For the purposes of this Guide the following
are key elements of CQC:
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The Contractor employs a QC organization that is “independent” of the
production organization;
The QC organization is headed by a QC Manager who has overall
responsibility for implementing Quality Control of the Work;
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A-E Design Guide
Written by Ken Rado, Deputy Director Facilities and Fleet, for Capital Programs
Design Protocols
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The QC Manager is assisted by “Special Inspectors” who perform
inspections in key, specialized areas, such as water-proofing, structural
steel and concrete, etc.** (see comments below on OSHPD projects)
On larger projects, the QC Manager will be a separate individual. On
smaller projects the on-site Superintendent may perform as the QC
Manager;
The Contractor must contract with an independent Testing Laboratory to
perform all tests, such as concrete testing, welding tests, etc.
The Contractor performs Quality Control. The County performs Quality
Assurance (QA). QC is achieved through continuous inspection and
testing, holding 3-phases of inspection meetings, and by thoroughly
documenting tests and inspection results.
QA is achieved through random testing and inspection, and through
continuous review of the Contractor’s QC program.
The Checklist below will assist the A-E to incorporate the elements of the QC
program in to the technical specifications, and to ensure that the technical
sections, and the plans, are consistent with the requirements of Section 01450.
** For OSHPD-related projects, including County Health Centers, CBC-Chapter
17 inspections are performed by an inspection firm hired by the County. The
Checklist below indicates wording to be used in the project specifications when
CBC-Chapter 17 inspections are performed by the County.
CBC Chapter 17 Special Inspections
Special Inspections that comply with CBC Chapter 17 also fall under the
Contractor’s CQC program. In Section 01450 of the contract documents the
County identifies the Special Inspectors that are to be employed by the
Contractor, and the frequency of inspections that are to perform.
The County Project Manager will prepare the Division 0/1 documents, the A-E
will provide assistance in editing the list of Special Inspectors.
Submittal Review Time
Section 01330 of the Project Manual provides for a 21-day Owner review time for
all submittals. For some submittals, such as structural steel for a large project,
21-days is not enough time to review the submittal. The PSA requires that the AE identify all submittals which the A-E feels will require a longer review time than
21-days. The A-E should be prudent in preparing this list, since extended
submittal review times can impact the contractor’s schedule and cause his bid
price to go up.
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Design Protocols
Warranties and Guaranties
The Contractor must warrant all Work for one year from date of the County Board
of Supervisors Acceptance of the Work of the Project. Capital Programs does not
recognize terms such as “Beneficial Occupancy” or “Substantial Completion.”
The A-E should not include these terms in the technical specifications.
Operation and Maintenance Manuals
The County has a very comprehensive Operation and Maintenance manuals
specification, Section 01782. The A-E should not duplicate the requirements, or
conflict with the requirements, of Section 01782 in the Contract documents. The
County Project Manager will prepare the Division 0/1 documents; pursuant to the
PSA the A-E will provide assistance in editing the list of O&M manuals.
Training
The County has a very comprehensive Training specification, Section 01820.
The A-E should not duplicate the requirements, or conflict with the requirements,
of Section 01820 in the Contract documents. The County Project Manager will
prepare the Division 0/1 documents; the A-E will provide assistance in editing the
list of training requirements.
Commissioning
For those projects that include equipment or systems that should be formally
commissioned (usually with the assistance of an outside Commissioning
Consultant) the County has a very comprehensive Commissioning specification,
Section 01810 that should be included in the Project Manual. The A-E should
not duplicate the requirements, or conflict with the requirements, of Section
01810 in the Contract documents. The County Project Manager will prepare
Section 01810; pursuant to the PSA the A-E will provide assistance in editing
Section 01810.
Describing Construction Administration in the Design
The A-E’s role during construction is to advise the Owner. The A-E does not:
1. “Approve” submittals;
2. Approve/accept stages of work before the Contractor can proceed to the
next stage;
3. Inspect/accept the Work performed by the Contractor; or
4. Directly communicate “direction” to the Contractor.
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Design Protocols
These are all Owner responsibilities, since the Owner (the County) holds the
contract with the Contractor.
Many A-E’s frequently insert these provisions in the contract documents.
Sole-Sourcing of Products; Brand Names; and “Or Equal”
Specifications
Public Contract code 3400 limits the use of sole-source specifications.
Additionally, sole-source requirements give the Supplier monopoly power and
result in higher bids.
Per the A-E PSA, the A-E, when identifying products, must either list two
acceptable products if specifying by brand name, or, if preparing a performance
specification, must certify that at least two vendors can meet the performance
specification.
Issues regarding designation by brand name

Most A-E’s are used to specifying one product, particularly for architectural
features such as carpeting or flooring, or for Mechanical Systems.
For Architectural features, the argument for sole-source is often that the
client likes a certain pattern made by a specific manufacturer. Or that a
particular carpet/floor pattern is a “best fit” for an interior design.
For Mechanical systems the argument for sole-source is that other
systems, including structural and electrical, cannot be designed unless the
“specifics” of the mechanical systems are known.
Our experience in Capital Programs is that indicating sole-source for
anything, including carpet, floor covering, light fixtures, etc. often “backfires” for the following reasons:
o The vendor of that product is given monopoly power and no
incentive to provide a competitive price; or delivery date.
o During the very-often long time delay between when the technical
specifications are prepared, and when a construction contract is
awarded and the material actually ordered, the specific product
identified as sole-source is no longer made. The County is then put
in to the mode of scrambling to identify another product and then
negotiating a change order with the Contractor.
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Design Protocols
o Finally, for Architectural features such as carpet, since the product
is not designed to last forever, and carpet patterns go out of style
quickly, the argument for sole-source is not a very practical one.

Often, in an attempt to get around the Public Contract Code sole-source
restrictions, specifications are written around one product, or a particular
brand name is specified, and then the phrase “or equal” is inserted,
essentially throwing the responsibility back on the Contractor to find an
equivalent product, if he wants to provide a product other than that
specified. This is problematic from a bidding perspective as well as a
construction administration perspective.
o The phrase “or equal” triggers the product substitution process,
which is governed by Section 01630. Acceptance of a product
substitution request is at the discretion of the Owner. So, if the
Contractor bids on using the product he wants to substitute, he is
essentially gambling that the Owner will accept the product. To the
greatest degree possible, we do not want the Contractor to
“gamble” when he bids.
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Another frequent argument for sole-source of products, particularly
mechanical and electrical systems, is that these systems must interact
with other products or systems. An example is roof-mounted Air Handling
units, and in particular their weight and their power draw. AHU’s normally
sit on roofs and must be supported by a steel or concrete framing system.
If the structural designer does not know the weight of the AHU he will have
“difficulty” completing the design of the structure. Similarly, if the power
draw of the AHU is not known, the electrical designer may not be able to
complete the electrical cabling design.
However, similar to the narrative on Architectural features above, it is the
experience of Capital Programs that specifying sole-source for mechanical
and electrical products often “back-fires.”
Well, I think you can surmise that Capital Programs strongly discourages solesourcing of products, unless:
1. The A-E can clearly demonstrate that only one product will serve the
County’s needs, and the requirements of the Public Contracts Code are
met;
Or
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Design Protocols
2. The various sections of this design guide specifically direct the A-E to
sole-source a particular product.
So, how does the County want the A-E to handle specific issues such as
Architectural features, mechanical systems, etc.?
Architectural Features
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In the case of finishes like carpet or wall paper, we will settle for “similar”
patterns, not exact. In other words, if the client has selected a specific
pattern or color during the design process (which may not even be
available by the time the projects goes in to construction) the A-E should
identify at least two vendors that make, or can make, similar patterns.
When describing the technical features of carpet or flooring, the
specification shall not be written around one particular product or
manufacturer. The A-E is referred to the PSA requirements regarding
sole-source items.
Mechanical and Electrical Systems
The County recognizes that the design of these systems represent a “special
challenge,” since there is often significant accompanying electrical and plumbing
infrastructure, such as wiring and connecting piping for boilers, HVAC units and
the like.
For these systems, the requirement to have at least two products (and preferably
3) that meet our needs is NOT relaxed. The A-E may design around one product,
but is held responsible for ensuring that at least one other product can satisfy our
requirements.
The specifications may be performance specifications. Prescriptive specifications
may also be used, as long as at least two products can meet the requirements of
the specifications.
To deal with the “support infrastructure” for this equipment, see Checklist below.
“Or Equal” designation
This term can also cause problems.
We don’t want this term being used on a “throw-away” basis. That means it
should not be used by the Design team as a means of avoiding PCC restrictions
on sole-source items by requiring the Contractor to research product alternatives,
in lieu of providing the single item specified.
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A-E Design Guide
Written by Ken Rado, Deputy Director Facilities and Fleet, for Capital Programs
Design Protocols
As indicated previously, employment of the term “or equal” triggers the
substitution process, and this can be a mine-field for the Contractor and the
County.

The phrase “or equal” may be used in the specifications, but only under
one of the following two circumstances:
a. At least two other acceptable products have already been specified
by brand name, and we want to consider other potential products;
or
b. The County is not deliberately attempting to limit the number of
acceptable products that may be used, so our Building Operations
Division does not have to maintain, and stock spare parts for,
multiple systems. For example, for Building Automation Systems,
for maintenance and operation purposes, the County will only
accept three BAS products (see the BAS narrative).

If we are going to limit the number of acceptable products
these are identified in this guide in the checklists below.
Permits from Regulatory Agencies
The PSA requires that the A-E identify all permits that will be required from
regulatory agencies. We do not require the A-E to actually obtain the permits.
The County Project Manager will decide whether to include the requirement to
obtain a particular permit as part of the construction contractor’s scope of work,
or for Capital Programs to obtain the permit.
The A-E and the various sub-consultants are the “experts” in the field of design,
and therefore should/must be familiar with permit requirements from regulatory
agencies.
Deferred Submittals and Permits from the Building Department
“Deferred” submittals refer to construction items in which the actual design is
performed by the Contractor pursuant to a performance specification in our
Contract documents.
Page 19 of 27
A-E Design Guide
Written by Ken Rado, Deputy Director Facilities and Fleet, for Capital Programs
Design Protocols
On those projects in which we are obtaining an overall permit from the Building
Department (the A-E should consult with the County Project Manager to
determine if such a permit is being obtained) then some of these submittals such
as curtain wall systems, structural support systems, etc. require a separate
permit from the County Building department.
If such a permit is being obtained, the Submittals paragraph of the specification
Section must contain the statement:
“The Contractor-supplied design submittals of this Section require a Building
Department permit pursuant to Section 01830 Inspection by the Building Official.
The Contractor shall make submittals pursuant to paragraph 1.04 .C of Section
01830.”
Citing Outside References
A-E’s frequently reference outside sources in the specifications such as ASTM,
AWS, AISC, Code of Federal Regulations, etc. The intent is to put the onus on
the Contractor to be aware of these regulations and to be responsible for
compliance. The County recognizes this as a need and it is acceptable practice
for the purposes of this Guide.
However, if outside references are cited in the “Execution” Part of the
specification Section, or the Testing paragraph, or the Quality Control
paragraph, then the A-E must provide copies of these references to the Owner.
Two examples are provided. In the first, a specification section for U/G storm
drain, in paragraph H., an AASHTO test is cited. The A-E will need to provide a
copy of this AASHTO reference.
In the second, for Asphalt Concrete Paving, paragraph 3.4 D. cites an ASTM
test, a CAL 304 test, and a CAL 308 test. Copies of these tests must be provided
as part of the 100% design submittal.
The reason for this is two-fold:
1. Often these references are out of date. If the A-E is required to provide
copies then this search can result in the purging of out-of-date references
and the identification of correct ones.
2. During the Construction phase of the project the Owner will need copies of
these references in order to facilitate our Quality Assurance efforts over
the Contractor’s work.
As part of the Deliverables for the Construction Documents-phase Project
Agreement, the A-E shall prepare a binder, divided by specification Section.
Page 20 of 27
A-E Design Guide
Written by Ken Rado, Deputy Director Facilities and Fleet, for Capital Programs
Design Protocols
Each section shall contain copies of the outside references cited in the Execution
Part of the specifications, or the Testing paragraph or the Quality Control
paragraph.
Extended Warranties
It is important that the County Project Manager have an accounting of all
products, identified in the technical sections, requiring extended warranties, so
that at the conclusion of the project we actually receive these warranties. The AE shall provide, as part of the 100% CD submittal, a list of all such products,
identified by technical Section and paragraph.
Page 21 of 27
A-E Design Guide
Written by Ken Rado, Deputy Director Facilities and Fleet, for Capital Programs
Design Checklists
General Design Checklist
Note to A-E: This Checklist must be completed and submitted as part
of the 100% CD submittal to the County
Incorporated
in the design
Not
Applicable
Item
General Information
”
There are no references to the terms “beneficial occupancy,”
or “substantial completion.” The correct term is “Milestone
Completion.
The County Board of Supervisors Acceptance of the Work of
the Project establishes the warranty period for the project and
triggers the release of Retention.
CEQA Mitigation Measures are identified
Document Coordination Check certification provided
List of Confined Spaces is provided
Drawing “border” standards are provided here and here. (note,
these are CAD files)
Project Manual Cover page is provided here.
Sustainable design features have been incorporated, to the
greatest degree possible
A-E has reviewed CD’s for use of exculpatory language
Site condition information is properly described to the
Contractor
Organization of Specifications
“Submittals” paragraph in each technical Section identifies any
special Contractor qualifications that need to be verified
through a submittal.
The County does not “approve” submittals; we only “accept”
them.
“Execution” section identifies all Quality Control testing and
inspection that must be performed
Contractor Quality Control
Unless this is an OSHPD project ** (including health
centers) the technical specifications shall not reference the AE or Owner performing “inspections.” All inspections are
performed by either the CQC Manager, CQC Special
inspectors, or Contractor’s test lab.
Page 22 of 27
A-E Design Guide
Written by Ken Rado, Deputy Director Facilities and Fleet, for Capital Programs
Design Checklists
Incorporated
in the design
Not
Applicable
Item
** For Health Center projects that require a Building
Department permit CBC Chapter 17 inspections will be
performed by an inspection firm hired by the County.
For those specification Sections that require CBC Chapter 17
inspections (concrete and steel, mostly), the A-E shall insert
the following wording in the Quality Control paragraph in the
applicable Section.
Specifications and Plans reflect that the Testing lab is hired by
the Contractor, not the Owner (County).
A-E has identified in the contract documents all specific tests
to be performed by the Contractor;
Specifications reference that only the Contractor performs
Quality Control. ** (see above for exception)
A-E has assisted the Project Manager in developing a list of
Special Inspectors for the Special Inspector table in Section
01450.
The specifications and plans indicate that the Contractor’s
CQC organization performs all CBC Chapter 17 Special
Inspection.** (see above for exception)
Submittal Review Time
In the technical Sections A-E identifies all submittals that may
require longer than a 21-day review time. This information is
also communicated to the County Project Manager.
Warranties and Guaranties
The A-E has reviewed all technical sections to ensure any
statement about warranty start date is consistent with our
Division 0 requirements.
Operation and Maintenance Manuals
The A-E has provided assistance in identifying systems and
system components that require O&M manuals, and this
information is included in Section 01782.
No additional/separate O&M requirements need be identified
in the contract documents, beyond what is in Section 01782.
Training
The A-E has provided assistance in editing the list of training
requirements that go in to Section 01820 .
No additional/separate training requirements need be
identified in the contract documents.
Page 23 of 27
A-E Design Guide
Written by Ken Rado, Deputy Director Facilities and Fleet, for Capital Programs
Design Checklists
Incorporated
in the design
Not
Applicable
Item
Commissioning
The A-E has provided assistance in identifying systems and
system components that require commissioning.
The A-E may identify in the contract documents specific
equipment tests that must be performed; however, the A-E
must include the wording (in the appropriate specification
paragraph) that the Contractor shall commission equipment
pursuant to Section 01810.
References to A-E role during Construction Administration
The A-E must review the Contract documents and ensure
these type references have been changed to Owner actions.
Single-Sourcing of Products
The A-E has discussed the inclusion of single-source/solesource products with the Capital Programs Project Manager
before including in the contract documents.
All sole source products must be identified in the Notice to
Bidders. The A-E is responsible for identifying these to the
Project Manager.
Unless the A-E provides justification that meets the criteria
established in PCC 3400, if specifying a product by brand
name, at least two brand names must be identified. If
preparing a performance specification, then the A-E certifies
that at least two products meet the specification requirements.
In the case of finishes like carpet or wall paper or flooring,
we will settle for “similar” patterns, not exact. In other words, if
the client has selected a specific pattern or color during the
design process (which may not even be available by the time
the projects goes in to construction) the A-E should identify at
least two vendors that make similar patterns.
The phrase “or equal” may only be used under the following
circumstances:
1. At least two other acceptable products have already
been specified by brand name, and we want to
consider other potential products; or
2. The County is not deliberately attempting to limit the
number of acceptable products that may be used. See the
checklists in the various Sections of this Guide, such as
HVAC.
Page 24 of 27
A-E Design Guide
Written by Ken Rado, Deputy Director Facilities and Fleet, for Capital Programs
Design Checklists
Incorporated
in the design
Not
Applicable
Item
The A-E shall not use the term “basis of design” in the
Contract documents for any other purpose other than that
described below in Mechanical and Electrical
Systems—Sole Source Issues .
Mechanical and Electrical Systems—Sole Source Issues
In the event a product/equipment must “interact” with
structural systems then the Structural Engineer has
designed for the largest “practical, potential” weight of the
product/equipment.
If the structural “upgrade” costs to accommodate potential
equipment are not “nominal,” then the Engineer must bring
this information to the attention of the Project Manager. A
solution will be provided by Capital Programs.
For power-draw and connecting piping issues, AE should place the following note on the equipment schedule
drawing(s):
“Manufacturers make and model numbers shown on these
drawings are the “basis of design” for this project. Contractor
shall refer to specification sections for other manufacturers of
acceptable alternate products. If a product that differs from the
“basis of design” is proposed, Contractor is responsible for
providing proper infrastructure, including electrical feeds and
plumbing connections, etc., at no additional cost to the
County. This information must also be provided to the Owner
in the form of shop drawings and other appropriate
submittals.”
The A-E shall not use the term “basis of design” in the
Contract documents for any other purpose other than that
described above.
Permits from Regulatory Agencies
The A-E has provided to the Project Manager a list of permits
associated with the construction Work required by Regulatory
Agencies.
Page 25 of 27
A-E Design Guide
Written by Ken Rado, Deputy Director Facilities and Fleet, for Capital Programs
Design Checklists
Incorporated
in the design
Not
Applicable
Item
Deferred Submittals and Permits from the Building Official
Contractor Design-build systems (structural) such as curtain
walls, steel frames, etc. contain this statement in the
Submittals paragraph:
“The Contractor-supplied design submittals of this Section
require a Building Department permit pursuant to Section
01830 Inspection by the Building Official. The Contractor shall
make submittals pursuant to paragraph 1.04 .C of Section
01830.”
Outside References
A-E has provided a binder with outside references.
Extended Warranties
The A-E shall provide, as part of the 100% CD submittal, a list
of all products, identified by technical Section and paragraph,
requiring an extended warranty.
________________________________
Print name of A-E Project Manager
________________________________
Signature of A-E Project Manager
______________
Date Signed
Page 26 of 27
A-E Design Guide
Written by Ken Rado, Deputy Director Facilities and Fleet, for Capital Programs
Design Checklists
Building Automation System
Elevators
Geotechnical Standards
Heating, Ventilating and Air Conditioning Systems
Fire Protection Systems
Plumbing Systems
Electrical Systems
Architectural
Sustainable Design
Site Civil Engineering Design
Landscaping
Page 27 of 27
A-E Design Guide
Written by Ken Rado, Deputy Director Facilities and Fleet, for Capital Programs