HomeMy WebLinkAbout2009-07-20 City Council Agenda Packet
1 07/20/09
MATERIALS RELATED TO AN ITEM ON THIS AGENDA SUBMITTED TO THE CITY COUNCIL AFTER
DISTRIBUTION OF THE AGENDA PACKET ARE AVAILABLE FOR PUBLIC INSPECTION IN THE CITY
CLERK’S OFFICE AT PALO ALTO CITY HALL, 250 HAMILTON AVE. DURING NORMAL BUSINESS HOURS.
Agenda posted according to PAMC Section 2.04.070. A binder containing supporting materials is available in the Council
Chambers on the Friday preceding the meeting. Regular Meeting
Council Chambers
July 20, 2009
7:00 P.M.
ROLL CALL
STUDY SESSION 7:00 P.M. – 8:00 P.M.
1. Status Report from Composting Task Force
SPECIAL ORDERS OF THE DAY
2. Proclamation Welcoming Exchange Students from Oaxaca, Mexico
ATTACHMENT
3. Appointments to the Library Advisory Commission for Two Unexpired Terms
Ending January 31, 2010 and One Unexpired Term Ending January 31, 2011
ATTACHMENT
CITY MANAGER COMMENTS
ORAL COMMUNICATIONS
Members of the public may speak to any item not on the agenda; three minutes per speaker. Council reserves the right to limit the duration or Oral Communications period to 30 minutes.
CONSENT CALENDAR
Items will be voted on in one motion unless removed from the calendar by two Council Members.
2 07/20/09
MATERIALS RELATED TO AN ITEM ON THIS AGENDA SUBMITTED TO THE CITY COUNCIL AFTER
DISTRIBUTION OF THE AGENDA PACKET ARE AVAILABLE FOR PUBLIC INSPECTION IN THE CITY
CLERK’S OFFICE AT PALO ALTO CITY HALL, 250 HAMILTON AVE. DURING NORMAL BUSINESS HOURS.
4. Approval of a Utilities Enterprise Fund Contract with Ranger Pipelines Inc. in a
Total Not to Exceed Amount of $5,227,975 for Capital Improvement Program
WS-07003, Water Main Replacement Project 21 (WMR Project 21) and WS-
08017, Water Main Replacement Project 22 (WMR Project 22), in the Crescent
Park, Community Center, Old Palo Alto, Evergreen Park, and Ventura
Subdivisions and Approval of a Budget Amendment Ordinance to Increase
Appropriations in a Total Amount of $286,709 for WMR Project 21 and WMR
Project 22
CMR 315:09 and ATTACHMENTS
5. Approval of the City of Palo Alto Sanitary Sewer Management Plan as Required
by the State Water Resource Control Board
CMR 303:09 and ATTACHMENTS
6. Approval of a Final Map to Subdivide Three Lots into Separate Parcels and
Approval of Community Room Use Agreement at 3401, 3415, 3445 Alma Street
(Alma Plaza)
CMR 316:09 and ATTACHMENTS
AGENDA CHANGES, ADDITIONS, AND DELETIONS
HEARINGS REQUIRED BY LAW: Applications and/or appellants may have up to ten minutes at the outset of the
public discussion to make their remarks and put up to three minutes for concluding remarks after other members of the public have spoken.
OTHER AGENDA ITEMS: Public comments or testimony on agenda items other than Oral Communications shall be limited to a maximum of three minutes per speaker.
REPORTS OF COMMITTEES AND COMMISSIONS
7. Adoption of Resolution Calling a Special Election for November 3, 2009, for
Submittal to the Qualified Electors of the City a Measure Related to Business
License Tax
CMR 319:09 and ATTACHMENTS
REPORTS OF OFFICIALS
3 07/20/09
MATERIALS RELATED TO AN ITEM ON THIS AGENDA SUBMITTED TO THE CITY COUNCIL AFTER
DISTRIBUTION OF THE AGENDA PACKET ARE AVAILABLE FOR PUBLIC INSPECTION IN THE CITY
CLERK’S OFFICE AT PALO ALTO CITY HALL, 250 HAMILTON AVE. DURING NORMAL BUSINESS HOURS.
8. Recommendation to the San Francisquito Creek Joint Powers Authority
Regarding a Preferred Alternative for an Initial Flood Protection Project on San
Francisquito Creek
CMR 321:09 and ATTACHMENTS
9. High Speed Rail Update
CMR 322:09 and ATTACHMENTS
COUNCIL MATTERS
10. Approval of Review of City Auditor Performance Evaluation Criteria
ATTACHMENTS
COUNCIL COMMENTS, ANNOUNCEMENTS, AND REPORTS FROM CONFERENCES
Members of the public may not speak to the item(s).
ADJOURNMENT
Persons with disabilities who require auxiliary aids or services in using City facilities, services, or programs or who
would like information on the City’s compliance with the Americans with Disabilities Act (ADA) of 1990, may contact
650-329-2550 (Voice) 24 hours in advance.
2
CITY OF PALO ALTO
PROCLAMATION
WELCOMING EXCHANGE STUDENTS FROM OAXACA, MEXICO
WHEREAS, cultural exchange resulting from people-to-people communication is
the foundation of the Sister City Program, which attempts to further international
understanding; and
WHEREAS, the City of Oaxaca is Palo Alto’s Sister City in Mexico and has
honored Palo Alto by sending its exchange students to visit this City; and
WHEREAS, the City of Palo Alto recognizes and welcomes the presence of Leticia
Diaz Vez, Gilberto Manuel Hamilton Mijangos, Erika Aguileta Lopez, Luis Fernandez del
Campo Audelo, Manuel Ortega Bolanos Cacho, and Maricela Flores de Acevedo,
exchange students and chaperone from Oaxaca, Mexico; and
WHEREAS, participation in this cultural exchange exemplifies the mutual
objectives of the two cities, namely, to promote, encourage and cultivate
understanding between the people of Oaxaca and Palo Alto; and
WHEREAS, the opportunity to send Palo Alto students to Oaxaca, Mexico and to
host Oaxacan students here, has proven to be mutually beneficial.
NOW, THEREFORE, I, Peter Drekmeier, Mayor of the City of Palo Alto, on
behalf of the City Council, do hereby express our heartfelt welcome and
appreciation to the City of Oaxaca and its visitors and to our local exchange
students, for their significant contribution to the Sister City Program.
Presented: July 2009
______________________________
Peter Drekmeier
Mayor
July 20, 2009 HONORABLE CITY COUNCIL City of Palo Alto SUBJECT: Appointments to the Library Advisory Commission for two unexpired terms ending January 31, 2010 and one unexpired term ending January 31, 2011. Dear Council Members: On Monday, July 20, 2009 the City Council will vote to appoint three Commissioners to the Library Advisory Commission. The Candidates are as follows:
Sara Hart
Eileen Landauer
Marc Marchiel
Vibhu Mittal
Theivanai Palaniappan
Kristina Vetter Voting will be by paper ballot. Five votes are required to be appointed. The first candidate to receive at least five votes will be appointed to the term ending January 31, 2011 and the next two candidates to receive at least five votes will be appointed to the terms ending January 31, 2010. Respectfully submitted, Ronna Jojola Gonsalves Deputy City Clerk cc: Donna Grider, City Clerk Diane Jennings, Staff Liaison
TO: HONORABLE CITY COUNCIL
FROM: CITY MANAGER DEPARTMENT: UTILITIES
DATE: JUL Y 20, 2009 CMR: 315:09
REPORT TYPE: CONSENT
SUBJECT: Approval of a Utilities Enterprise Fund Contract with Ranger
Pipelines Inc. in a Total Not to Exceed Amount of $5,227,975 for
Capital Improvement Program WS-07003, Water Main Replacement
Project 21 (WMR Project 21) and WS-08017, Water Main
Replacement Project 22 (WMR Project 22), in the Crescent Park,
Community Center, Old Palo Alto, Evergreen Park, and Ventura
Subdivisions and Approval of a Budget Amendment Ordinance to
Increase Appropriations in a Total Amount of $286,709 for WMR
Project 21 and WMR Project 22
RECOMMENDATION
Staff recommends that Council approve and authorize the City Manager or his designee to
execute the attached contract with Ranger Pipelines Inc. (Attachment A) in a total not to exceed
amount of $5,227,975 for the Capital Improvement Program (CIP) WS-07003 (Water Main
Replacement (WMR) Project 21) and WS-080 17 (Water Main Replacement (WMR) Project 22).
Staff also recommends that Council approve and authorize the City Manager or his designee to
, negotiate and execute one or more change orders to the contract with Ranger Pipelines Inc. for
related additional but unforeseen work, which may develop during the project, the total value of
which shall not exceed $522,796 (which represents 10% of the contract amount).
Staff also recommends that Council approve a Budget Amendment Ordinance (BAO) to increase
appropriation to WMR Project 21 by $262,017 and increase appropriation to WMR Project 22 by
$24,692.
DISCUSSION
Project Description
The work to be performed under the contract is for installation of 33,515 linear feet of new high
density polyethylene (HDPE) water main, 51 new fire hydrants, 14 copper new customer
services, and service stubs to reconnect 669 existing customer copper services and to reconnect
13 existing fire services within the city limits of Palo Alto. The project will replace mains on
(project locations are shown in Attachment C):
CMR: 315:09 Page 1 of5
• Alma Street (Tennyson to North California)
• Cambridge Avenue (EI Camino Real to Park Blvd.)
• Cedar Street (Harker to Hopkins)
• Channing Avenue (Guinda to Newell)
• Chaucer Street (University to Hamilton)
• Greenwood Avenue (Melville to Harriet)
• Greenwood A venue (Hutchinson to Newell)
• Hamilton Avenue (Chaucer to Lincoln)
• Harker A venue (Melville to Newell)
• Harriet Street (Channing to Hopkins)
• Hutchinson Avenue (Harker to Channing)
• Santa Rita Avenue (Alma to Bryant)
• Center Street (University to Hamilton)
• Chestnut Avenue (Park to Ash)
• Dana Avenue (Lincoln to Center)
• EI Camino Real (Ventura to Los Robles)
• Forest Avenue (Boyce to Center)
• Hamilton A venue (Lincoln to Newell)
• Island Drive (Hamilton to Edgewood)
• Lincoln Avenue (Hamilton to Channing)
• Lytton Avenue (Cowper to Webster)
• Melville Avenue (Alma to Emerson)
• Oregon Avenue (Middlefield to Ross)
• Pitman Avenue (Lincoln to Newell)
-Ross Road (Garland to Oregon)
The project continues a 26-year replacement program for the cast iron portion of the City's water
distribution system and other failing mains.
As the City's water distribution system ages, it becomes necessary to replace existing water
mains that begin to show signs of extensive corrosion or become subject to recurring breaks,
typically cast iron pipes. The old mains are also inadequate in size to maintain the required flow
and pressure for fire protection. This project will replace mains indentified by staff as subject to
breakage. Replacing the water distribution system mains with High Density Polyethylene
(HDPE) pipe will eliminate leaks in the project area, increase the reliability of the water
distribution system, improve the quality of supplied water, and facilitate maintenance of the
required flow and pressure for fire protection.
The work is being performed by contract because the project resource requirements are beyond
the City's personnel and equipment capacity.
CMR: 315:09 Page 2 of5
S fB'dP umman' 0 I rocess
Bid NamelNumber Water Main Replacement Project 21, CIP WS-07003 and
Water Main Replacement Project 22, CIP WS-080 17, IFB
Number 131450
Proposed Length of Project 300 calendar days
Number of Bids Mailed to 15
Contractors
Number of Bids Mailed to Builder's 10
Exchanges
Total Days to Respond to Bid 23
Pre-Bid Meeting? Yes (Mandatory)
Number of Company Attendees at 12
Pre-Bid Meeting
Number of Bids Received: 2
Bid Pri "no From a low of $5,227,975 to a high of $7,025,665
*Bid summary provided in Attachment B.
Staff has reviewed all bids submitted and recommends that the bid of $5,227,975 submitted by
Ranger Pipelines Inc be accepted and that Ranger Pipelines Inc be declared the lowest
responsible bidder. The bid is 5 percent below the staff engineer's estimate of $5,502,120. The
change order amount of $522,795.50, which equals 10 percent of the total contract, is requested
for additional unforeseen work that may develop during the project.
Staff confirmed with the Contractor's State License Board that the contractor has an active
license on file. Staff checked references supplied by the contractor for previous work performed
and found no significant complaints.
PROJECT COORDINATION
The work for the project has been and will continue to be coordinated with the Public Works
Department at the monthly UtilitieslPublic Works coordination meetings. Project coordination
within the City is enhanced by using the City's Geographical Information System Project
Coordinator Program for staff discussions on potential project conflicts. The project conflicts are
resolved by staff at the monthly coordination meetings. Staffs WMR Projects 21 and 22
communications will include project notifications mailed to all residents and businesses along
the project alignment. Links to the WMR Projects 21 and 22 website will be included in the
mailed project notifications. Construction on the project will most likely start in September
2009.
RESOURCE IMPACT
In FY 2007 through FY 2009, Council approved a total appropriation of $3,026,000 and
$2,963,000 for WMR Project 21 and WMR Project 22, respectively, to cover the costs of the
design and construction of the projects.
Costs were incurred for the design leaving a balance of $2,752,718 for WMR Project 21 and
$2,920,594 for WMR Project 22 for the construction costs and other related expenses (such as
street cut fees). The remaining balances are insufficient to cover the construction costs, and a
CMR: 315:09 Page 3 of5
Budget Amendment Ordinance is necessary to increase appropriation of these projects. $262,017
is needed for WMR Project 21; this will be funded by transferring a portion of the remaining
appropriations from the completed WMR Project 20 ($180,000) in addition to a fund transfer
from the Water Rate Stabilization Reserve ($82,017). WMR Project 22 needed $24,692; this will
be funded by the Water Rate Stabilization Reserve.
The following table summarizes the transactions affecting WMR Project 21 and Project 22.
Description WS-07003 WS-08017 Total
Project 21 Project 22
Total Appropriations from $3,026,000 $2,963,000 $5,989,000
FY 2007 through FY 2009
Less: Design Costs $273,282 $42,406 $315,688
Balance Available After $2,752,718 $2,920,594 $5,673,312
Design Costs ~ ....
$127,232 $82,017 $209,249 Less: Street Cut Fees
Less: Construction Costs $2,887,503 $2,863,269 $5,750,772
(including 10%
contingency)
. Amount Needed for $262,017 $24,692 $286,709
, Additional Appropriation
Funding Sources Transfer of Water Rate
appropriation from Stabilization
CIP Project WS-Reserve
06002 (WMR
Project 20) of
$180,000 and
$82,017 from
Water Rate
Stabilization
Reserve
POLICY IMPLICATIONS
Water Main Replacement Projects 21 and 22 were approved by Council as part of the FY 2008-
09 CIP budget approval process. The approval of this Water Enterprise Fund contract is
consistent with existing City policies. This recommendation is consistent with the Council-
approved Utilities Strategic Plan Key Strategy No.1, "Operate distribution system in a cost
effective manner," Strategy No.7, "Implement programs that improve the quality of the
environment" and Objective No.2, "Invest in utility infrastructure to deliver reliable service."
ENVIRONMENTAL REVIEW
These projects are categorically exempt from California Environmental Quality Act (CEQA)
pursuant to CEQA Guidelines Sections 15301 (b) repair, maintenance of existing facilities and
15 302 (c) replacement or reconstruction of existing facilities.
CMR: 315:09 Page 4 of5
I
ATTACHMENTS
A: Contract
B: Bid Summary
C: Project Map
D: Budget Amendment Ordinance
PREPARED BY:
DEPARTMENT HEAD:
CITY MANAGER APPROVAL:
CMR: 315:09
Aleksandr Pishchik, Senior Project Enginee~ p
Greg Scoby, WOW Engineering Manage~~~
Tomm Marshall, Assistant Utilities Direct~
VALERI~
Director of Utilities
Page 5 of5
CONTRACT No. C10131450
(Public Work)
Utilities Department
ATTACHMENT A
This Contract, number C10131450 dated ___ is entered into by and between the City of Palo Alto, a California
Charter City and a municipal corporation of the State of California ("City"), and Ranger Pipelines Inc. ("Contractor").
For and in consideration of the covenants, terms, and conditions (*the provisions*) of this Contract, City and Contractor
("the parties") agree:
1. Term. This Contract shall commence and be binding on the parties on the Date of Execution of this Contract,
and shall expire on the date of recordation of the Notice of Substantial Completion, or, if no such notice is
required to be filed, on the date that final payment is made hereunder, subject to the earlier termination of this
Contract.
2. General Scope of Project and Work. Contractor shall furnish labor, services, materials and equipment in
connection with the construction of the Project and complete the Work In accordance with the covenants, terms
and conditions of this Contract to the satisfaction of City. The Project and Work is generally described as
follows:
Title of Project: Water Main Replacements 21 and 22, Invitation for Bids (lFB) No. 131450
Bid: $5.227,975
3. Contract Documents. This Contract shall consist of the documents set forth below, which are on file with the
City Clerk and are hereby incorporated by reference. For the purposes of construing, interpreting and resolving
inconsistencies between and among the provisions of this Contract, these· documents and the provisions
thereof are set forth in the following descending order of precedence.
a. This Contract.
b. Invitation for Bid.
c. Project Specifications.
d. Drawings.
e. Change Orders.
f. Bid.
g. Supplementary Conditions.
h. General Conditions.
I. City of Palo Alto Dept. of Public Works Standard Drawings and Specifications (2007).
j. Certificate of Insurance, Performance Surety Bond, Labor & Materials (Payment) Surety Bond.
k. Other Specifications, or part thereof, not expressly incorporated in the Contract Specifications or the
City of Palo Alto Dept. of Public Works Standard Drawings and Specifications (2007).
I. Any other document not expressly mentioned herein which is issued by City or entered into by the
parties.
4. Compensation. In consideration of Contractor's performance of Its obligations hereunder, City shall pay to
Contractor the amount set forth in Contractor's Bid In accordance with the provisions of this Contract and upon
the receipt of written Invoices and all necessary supporting documentation within the time set forth in the
Contract Specifications and the City of Palo Alto Dept. of Public Works Standard Drawings and Specifications
(1992), or, if no time is stated, within thirty (30) Days ofthe date of receipt of Contractor's invoices.
5. Insurance. On or before the Date of Execution, Contractor shall obtain and maintain the policies of insurance
coverage described in the Invitation For Bid on terms and conditions and In amounts as may be required by the
Risk Manager. City shall not be obligated to take out insurance on Contractor's personal property or the
personal property of any person performing labor or services or supplying materials or equipment under the
Project. Contractor shall furnish City with the certificates of insurance and with original endorsements affecting
coverage required under this Contract on or before the Date of Execution. The certificates and endorsements
for each insurance policy shall be signed by a person who is authorized by that insurer to bind coverage in its
behalf. Proof of insurance shall be mailed to the Project Manager to the address set forth In Section 16 of this
Contract.
CITY OF PALO ALTO C10131450
rev. 12100
PAGE 1 OF7
6. Indemnification. Contractor agrees to protect, defend, indemnify and hold City, its Council members, offICers,
employees, agents and representatives harmless from and against any and all claims, demands. liabilities,
losses, damages, costs, expenses, liens, penalties, suits, or jUdgments, ariSing, in whole or in part, directly or
indirectly, at any time from any injury to or death of persons or damage to property as a result of the willful acts
or the negligent acts or omissions of Contractor, or which results from Contractor's noncompliance with any Law
respecting the condition, use, occupation or safety of the Project site, or any part thereof, or which arises from
Contractor's failure to do anything required under this Contract or for doing anything which Contractor is
required not to do under this Contract, or which arises from conduct for which any Law may impose strict liability
on Contractor in the performance of or failure to perform the provisions of this Contract, except as may arise
from the sole willful acts or negligent acts or omissions of City or any of its Council members, officers,
employees, agents or representatives. This indemnification shall extend to any and all claims, demands, or
liens made or filed by reason of any work performed by Contractor under this Contract at any time during the
term of this Contract, or arising thereafter.
To the extent Contractor will use hazardous materials in connection with the execution of its obligations under
this Contract, Contractor further expressly agrees to protect, indemnify, hold harmless and defend City, its City
Council members, officers and employees from and against any and all claims, demands, liabilities, losses,
damages, costs, expenses, liens, penalties, suits, or judgments City may incur, arising, in whole or in part, in
connection with or as a result of Contractor's willful acts or negligent acts or omissions under this Contract,
under the Comprehensive Environmental Response, Compensation and Liability Act (42 U.S.C. :t:t9601-6975,
as amended); the Resource Conservatidn and Recovery Act (42 U.S.C. ~:t6901-6992k. as amended); the Toxic
Substances Control Act (15 U.S.C. :t32601-2692, as amended); the Carpenter-Presley-Tanner Hazardous
Substance Account Act (Health & Safety Code, 3325300-25395, as amended); the Hazardous Waste Control
Law (Health & Safety Code, 3325100-25250.25, as amended); the Safe Drinking Water and Toxic Enforcement
Act (Health & Safety Code, 3325249.5-25249.13, as amended); the Underground Storage of Hazardous
Substances Act (Health & Safety Code, 3325280-25299.7, as amended); or under any other local, state or
federal law, statute or ordinance, or at common law.
7. Assumption of Risk. Contractor agrees to voluntarily assume any and all risk of loss, damage, or injury to the
property of Contractor which may occur in, on, or about the Project site at any time and in any manner,
excepting such loss, injury, or damage as may be caused by the sole willful act or negligent act or omission of
City or any of its Council members, offICers, employees, agents or representatives.
8. Waiver. The acceptance of any payment or performance, or any part thereof, shall not operate as a waiver by
City of its rights under this Contract. A waiver by City of any breach of any part or provision of this Contract by
Contractor shall not operate as a waiver or continuing waiver of any subsequent breach of the same or any
other provision, nor shall any custom or practice which may arise between the parties in the administration of
any part or provision of this Contract be construed to waive or to lessen the right of City to insist upon the
performance of Contractor in strict compliance with the covenants, terms and conditions of this Contract.
9. No EXQneration By Inspection: The City has the right, but not the duty, to inspect Contractor's Work. The right
of inspection is solely for the benefit of City. Contractor has the obligation to complete the Work in a
satisfactory manner in compliance with Contract requirements. The presence of a City inspector does not shift
that obligation to the City or relieve Contractor from Its obligations to complete the Work in a satisfactory
manner in compliance with the Contract requirements.
10. Compliance with laws. Contractor shall comply with all Laws now in force or which may hereafter be in force
pertaining to the Project and Work and this Contract, with the requirement of any bid security or fire
underwriters or other similar body now or hereafter constituted, with any discretionary license or permit issued
pursuant to any law of any public agency or official as well as with any provision of all recorded documents
affecting the Project site, insofar as any are required by reason of the use or occupancy of the Project Site, and
with all Laws pertaining to nondiscrimination in employment and hazardous materials.
11. Bid Security Bonds. As a condition precedent to City's obligation to pay compensation to Contractor, and on or
before the Date of Execution, Contractor shall furnish to the Project Manager the Bid Security as required under
the Invitation For Bid.
12. Representations and Warranties. In the supply of any materials and equipment and the rendering of labor and
services during the course and scope of the Project and Work, Contractor represents and warrants:
CITY OF PALO ALTO C10131450
rev. 12100
PAGE 2 OF7
a. Any materials and equipment which shall be used during the course and scope of the Project and
Work shall be vested in Contractor;
b. Any materials and equipment which shall be used during the course and scope of the Project and
Work shall be merchantable and fit to be used for the particular purpose for which the materials are
required;
c. Any labor and services rendered and materials and equipment used or employed during the course
and scope of the Project and Work shall be free of defects in workmanship for a period of one (1) year
after the recordation of the Notice of Substantial Completion, or, if no such notice is required to be
filed, on the date that final payment is made hereunder;
d. Any manufacturer's warranty obtained by Contractor shall be obtained or shall be deemed obtained by
Contractor for and in behalf of City.
e. Any information submitted by Contractor prior to the award of Contract, or thereafter, upon request,
whether or not submitted under a continuing obligation by the terms of the Contract to do so, is true
and correct at the time such information is submitted or made available to the City;
f. Contractor has not colluded, conspired, or agreed, directly or indirectly, with any person in regard to
the terms and conditions of Contractor's Bid, except as may be permitted by the Invitation For Bid;
g. Contractor has the power and authority to enter into this Contract with City, that the individual
executing this Contract is duly authorized to do so by appropriate resolution, and that this Contract
shall be executed, delivered and performed pursuant to the power and authority conferred upon the
person or persons authorized to bind Contractor;
h. Contractor has not made an attempt to exert undue influence with the Purchasing Manager or Project
Manager or any other person who has directly contributed to City's decision to award the contract to
Contractor;
I. There are no unresolved claims or disputes between Contractor and City which would materially affect
Contractor's ability to perform under the Contract;
j. Contractor has furnished and will furnish true and accurate statements, records, reports, resolutions,
certifications, and other written information as may be requested of Contractor by City from time to
time during the term of this Contract;
k. Contractor and any person performing labor and services under this Project are duly licensed by the
State of California as required by California Business & Professions Code Section 7028, as amended;
and
I. Contractor has fully examined and inspected the Project site and has full knowledge of the physical
conditions of the Project site.
13. Assignment. This Contract and the performance required hereunder is personal to Contractor, and it shall not
be assigned by Contractor. Any attempted assignment shall be null and void.
14. Claims of Contractor. All claims pertaining to extra work, additional charges, or delays within the Contract Time
or other disputes arising out of the Contract shall be submitted by Contractor to City in writing by certified or
registered mail within ten (10) Days after the claim arose or within such other time as may be permitted or
required by law, and shall be described in sufficient detail to give adequate notice of the substance of the claim
to City.
15. Audits by City. During the term of this Contract and for a period of not less than three (3) years after the
expiration or earlier termination of this Contract, City shall have the right to audit Contractor's Project-related
and Work-related writings and business records, as such terms are defined in Califomia Evidence Code
Sections 250 and 1271, as amended, during the regular business hours of Contractor, or, if Contractor has no
such hours, during the regular business hours of City.
CITY OF PALO ALTO C10131450
rev. 12100
PAGE 3 OF7
16. Notices. All agreements, appointments, approvals, authorizations, claims, demands, Change Orders, consents,
designations. notices, offers, requests and statements given by either party to the other shall be in writing and
shall be sufficiently given and served upon the other party if (1) personally served, (2) sent by the United States
mail. postage prepaid, (3) sent by private express delivery service, or (4) in the case of a facsimile transmission,
if sent to the telephone FAX number set forth below during regular business hours of the receiving party and
followed within two (2) Days by delivery of a hard copy of the material sent by facsimile transmission, in
accordance with (1), (2) or (3) above. Personal service shall Include, without limitation, service by delivery and
service by facsimile transmission.
To City:
Copy to:
To Contractor:
City of Palo Alto
City Clerk
250 Hamilton Avenue
P.O. Box 10250
Palo Alto, CA 94303
City of Palo Alto
Dept -Utilities
Division -Engineering
Address -1007 Elwell Court
Palo Alto, CA 94303
A1eksandr Pishchik. Project Manager
Ranger Pipelines, Inc.
1790 Yosemite Avenue
San Francisco, CA 94124
Attn: Thomas Hunt
17. Appropriation of City Funds. This Contract is subject to the fiscal provisions of Article III, Section 12 of the
Charter of the City of Palo Alto. Any charges hereunder for labor, services, materials and equipment may
accrue only after such expenditures have been approved in advance in writing in accordance with applicable
Laws. This Contract shall terminate without penalty (I) at the end of any fiscal year In the event that funds are
not appropriated for the following fiscal year, or (ii) at any time within a fiscal year in the event that funds are
only appropriated for a portion of the fiscal year and funds for this Contract are no longer available. This
Section 17 shall control in the event of a conflict with any other provision of this Contract.
18. Miscellaneous.
a. Bailee Disclaimer. The parties understand and agree that City does not purport to be Contractor's
bailee, and City is, therefore, not responsible for any damage to the personal property of Contractor.
b. Consent. Whenever in this Contract the approval or consent of a party is required, such approval or
consent shall be in writing and shall be executed by a person having the express authority to grant
such approval or consent
c. Controlling Law. The parties agree that this Contract shall be govemed and construed by and in
accordance with the Laws of the State of Califomla.
d. Definitions. The definitions and terms set forth in Section 1 of the City of Palo Alto Dept. of Public
Works Standard Drawings and Specifications (1992) of this Contract are incorporated herein by
reference.
e. Force Majeure. Neither party shall be deemed to be in default on account of any delay or failure to
perform its obligations under this Contract which directly results from an Act of God or an act of a
superior govemmental authority.
f. Headings. The paragraph headings are not a part of this Contract and shall have no effect upon the
construction or interpretation of any part of this Contract.
CITY OF PALO ALTO C10131450
rev. 12100
PAGE40F7
g. Incorporation of Documents. All documents constituting the Contract documents described in Section
3 hereof and all documents which may, from time to time, be referred to in any duly executed
amendment hereto are by such reference incorporated in this Contract and shall be deemed to be part
of this Contract.
h. Integration. This Contract and any amendments hereto between the parties constitute the entire
agreement between the parties conceming the Project and Work, and there are no other prior oral or
written agreements between the parties that are not incorporated in this Contract.
I. Modification of Agreement. This Contract shall not be modified or be binding upon the parties, unless
such modification is agreed to in writing and signed by the parties.
j. Provision. Any agreement, covenant, condition. clause. qualification. restriction, reservation, term or
other stipulation in the Contract shall define or otherwise control. establish, or limit the performance
required or permitted or to be required of or permitted by either party. All provisions, whether
covenants or conditions, shall be deemed to be both covenants and conditions.
k. Resolution. Contractor shall submit with its Bid a copy of any corporate or partnership resolution or
other writing, which authorizes any director, offICer or other employee or partner to act for or in behalf
of Contractor or which authorizes Contractor to enter into this Contract.
I. Severability. If a court of competent jurisdiction finds or rules that any provision of this Contract Is void
or unenforceable, the provisions of this Contract not so affected shall remain in full force and effect.
m. Status of Contractor. In the exercise of rights and obligations under this Contract, Contractor acts as
an independent contractor and not as an agent or employee of City. Contractor shall not be entitled to
any rights and benefits accorded or accruing to the City Council members. officers or employees of
City, and Contractor expressly waives any and all claims to such rights and benefits.
n. Successors and Assigns. The provisions of this Contract shall inure to the benefit of. and shall apply
to and bind, the successors and assigns of the parties.
o. Time of the Essence. Time is of the essence of this Contract and each of its provisions. In the
calculation of time hereunder. the time in which an act Is to be performed shall be computed by
excluding the first Day and including the last. If the time in which an act is to be performed falls on a
Saturday. Sunday, or any Day observed as a legal holiday by City, the time for performance shall be
extended to the following Business Day.
p. Altemative Dispute Resolution. The parties shall endeavor to resolve any disputes or claims arising
out of or relating to this Contract by mediation, which, unless the parties agree otherwise, shall be
conducted under the auspices of the Judicial Arbitration and Mediation Service (JAMS), San Jose,
Califomia. The Intent of the parties is that the mediation shall proceed in advance of litigation;
however. if any party should commence litigation before the conclusion of mediation, such litigation,
including discovery, shall be stayed pending completion of mediation, and by executing this Contract
the parties stipulate to mediation in accordance with Santa Clara County Superior Court Local Rule
1.15 or Rule 2-3(b) of the ADR Local Rules of the U.S. District Court for the Northem District of
Califomia, as such rules may be amended from time to time. The parties shall share the cost of the
mediation, including the mediator's fee, equally. Any written agreement reached in mediation shall be
enforceable pursuant to Califomia Code of Civil Procedure § 664.6, as amended.
q. Venue. Unless the parties mutually agree otherwise, mediation shall take place in San Jose,
Califomia. In the event that litigation is commenced by any party hereunder, the parties agree that
such action shall be vested exclusively in the state courts of Califomia in the County of Santa Clara or
in the United States District Court for the Northem District of Califomia.
r. Recovery of Costs. Each Party shall bear its own costs, including attomey's fees, through the
completion of mediation. If the claim or dispute is not resolved through mediation, or if litigation is
necessary to enforce a settlement reached at mediation pursuant to califomia Code of Civil Procedure
CITY OF PALO ALTO C10131450
rev. 12100
PAGES OF7
§ 664.6, as amended, then the prevailing party in any subsequent litigation may recover its reasonable
costs, including attorney's fees, incurred subsequent to conclusion of the mediation.
s. Flow-down. Contractor agrees to Include provisions of this Contract relating to Alternative Dispute
Resolution, Venue. and Recovery of Costs in any subcontracts or major material purchase
agreements which it enters into in connection with this Contract. and to require its subcontractors to
Include those provisions in any sub-contracts or major material purchase agreements, such that any
mediation or litigation of any claim or dispute asserted by a subcontractor or major material supplier
will be consolidated with any related claim or dispute between the Contractor and the City. Should the
Contractor fail to do so, such that the City is required to defend an action brought by a subcontractor
or material supplier inconsistent with the Alternative Dispute and Venue provisions of this Contract,
Contractor shall indemnify City for City's costs of defense, including reasonable attorney's fees.
IN WITNESS WHEREOF, the parties have by their duly appointed representatives executed this Contract in the city of
Palo Alto, County of Santa Clara, State of California on the date first stated above.
APPROVED
CITY OF PALO ALTO
City Manager
APPROVED AS TO FORM:
Senior Asst. City Attorney
CITY OF PALO ALTO C10131450
rev. 12100
RANGER PIPELINES, INC.
8y: ________________ _
Name: __________________ _
Title: __________________ _
PAGE 6 OF7
CITY OF PALO ALTO
BID SUMMARY
WATER MAIN REPLACEMENT PROJECT 21; CIP WS-07003 & PROJECT 22; CIP WS-08017
BID SUMMARY
Description
A' BASE BID
1 1.040 Install 12" HOPE pipe by open trench method $200.00
2 1,040 Install 12" HOPE pipe bv directional borino method $180.00
3 300 Install 10" HOPE pipe by open trench method $150.00
4 293 Install 10" HOPE pipe by directional boring method $140.00
5 12,113 Install 8" HOPE pipe by open trench method $120.00
6 12,073 Install 8" HOPE pipe by directional boring method $110.00
7 102 Install 6" HOPE pipe by open trench method $100.00
8 102 Install 6" HOPE pipe by directional boring method $90.00
9 11 Install 1" CU services $1,200.00
10 3 Install 2" CU services $1,400.00
11 532 Reconnect exisling 1" CU services $300.00
12 3 Reconnect existinQ 1-1/2" CU services $350.00
13 4 Reconnect existing 2" CU services $400.00
14 38 Install 6" fire hydrant assemblv lines $5,300.00
15 1 Reconnect existing 4" PVC/DIP fire service $1,250.00
16 1 Reconnect existing 6" AeP/el? fire service $1,600.00
17 1 Reconnect existing 4" AeP/elP fire service $1,500.00
18 9 Perform new 6" water main tie-ins/existing water main abandonments $3,500.00
19 36 Perform new 8" water main tie-ins/existing water main abandonments $4,000.00
20 1 Perform new 10" water main lie-in/existing water main abandonment $4,500.00
21 2 Perform new 12" water main tie-ins/existing water main abandonments $5,000.00
22 1 Perform new 16" water main tie-in/existing water main abandonment $6,000.00
23 565 Perform removal of the existing water mains $30.00
24 13 Install 6" linestoppers $2,000.00
25 6 tnstall 8" linestoppers $2,500.00
26 2 Install 10" linestoppers $2,600.00
27 3 Install 12 linestoppers $3,000.00
28 1 Install 16 linestopper $4,000.00
29 38 Abandon existing fire hydrants $1,200.00
30 5,000 RecyclinQ $15.00
I Total of Base Bid (items 01 through 30 onl~, with all a~~licable taxes included) II
B' ADD ALTERNATE BID
31 55 Install 12" HOPE jJipe bv open trench method ·$200.00
32 3,194 Install 8" HOPE pipe by open trench method $120.00
33 3,175 Install 8" HOPE pipe by directional boring method $110.00
34 28 Install 6" HOPE pipe bv open trench method $150.00
35 122 Reconnect existing 1" CU services $300.00
36 4 Reconnect existino 1-1/2" CU services $350.00
37 4 Reconnect existing 2" CU services $400.00
38 13 Install 6" fire hydrant assembl lines $5,300.00
39 1 Reconnect existing 6" PVP/DIP fire service $1,500.00
40 6 Reconnect existing 4" PVC/DIP fire service $1,250.00
41 1 Reconnect existing 6" ACP/CIP fire service $1,600.00
42 2 Reconnect existing 4" ACP/CIP fire services $1,500.00
43 1 Perform new 6" water main tie-in/existino water main abandonment $3,500.00
44 25 Perform new 8" water main tie-ins/existing water main abandonments $4,000.00
45 3 Perform new 12" water main tie-ins/existino water main abandonments $5,000.00
46 430 Perform removal of the existing water mains $30.00
47 5 Install 6" linestoppers $2,000.00
48 4 Install 8" linestoppers $2,500.00
49 25 Replace water meter boxes for 5/8" meters with Christy B-9 $550.00
50 25 Re lace water meter boxes for 1" meters with Christy B-16 $750.00
51 3 Replace water meter boxes for 1-112" meters with Christy B-30 $900.00
52 5 Replace water meter boxes for 2" meters with Christy B-36 $1,000.00
53 20 Install air release valves $3,000.00
54 100 Install additional pavement (Concrete) $20.00
55 100 Install additional pavement (Asphalt Concrete) $15.00
56 100 Install curb $30.00
57 100 Install Qulter $30.00
58 100 Install sidewalk $18.00
59 75,000 Install additional pavement (thickness) $1.75
60 50,000 Saw cut additional pavement (thickness) $0.50
61 100 Perform additional sawcuttino $2.00
62 1,000 tnstall slurry seal $1.00
63 100 Abandon old valves and anode boxes $250.00
64 50 ExchanQ e 5/8" or 1" water meters ·$100.00
65 10 Exchange 1-1/2" or 2" water meters $150.00
66 13 Abandon existinQ fire hydrants $1,200.00
67 120 Install flex restraint devices $350.00
68 125 Perfonm GPS survey $500.00
To
Grand Total-Base Bid and Add Alternate Bid (items 01 through 68, with all applicable taxes
included)
$208.000.00
$187,200.00
$45,000.00
$41,020.00
$1,453,560.00
$1.328,030.00
$10,200.00
$9,180.00
$13,200.00
$4,200.00
$159,600.00
$1,050.00
$1,600.00
$201,400.00
$1,250.00
$1,600.00
$1,500.00
$31,500.00
$144,000.00
$4,500.00
$10,000.00
$6,000.00
$16,950.00
$26,000.00
$15,000.00
$5,200.00
$9,000.00
$4,000.00
$45,600.00
$75,000.00
$4,060,340.00
$11,000.00
$383,280.00
$349,250.00
$4,200.00
$36,600.00
$1,400.00
$1,600.00
$68,900.00
$1,500.00
$7,500.00
$1,600.00
$3,000.00
$3,500.00
$100,000.00
$15,000.00
$12,900.00
$10,000.00
$10,000.00
$13,750.00
$18,750.00
$2,700.00
$5,000.00
$60,000.00
$2,000.00
$1,500.00
$3,000.00
$3,000.00
$1,800.00
$131,250.00
$25,000.00
$200.00
$1,000.00
$25,000.00
$5,000.00
$1,500.00
$15,600.00
$42,000.00
$62,500.00
$166.00 $172,640.00 $195.00 $202,800.00
$88.00 $91,520.00 $190.00 $197,6QO.00
$200.00 $60,000.00 $180.00 $54,000.00
$143.00 $41,899.00 $150.00 $43,950.00
$90.00 $1,090,170.00 $145.00 $1,756,385.00
$66.00 $796,818.00 $110.00 $1,328,030.00
$180.00 $18,360.00 $175.00 $17,850.00
$114.00 $11,628.00 $110.00 $11,220.00
$1,950.00 $21,450.00 $1,650.00 $18,150.00
$3,900.00 $11,700.00 $3,850.00 $11,550.00
$1,225.00 $651,700.00 $1,100.00 $585,200.00
$1,450.00 $4,350.00 $2,050.00 $6,150.00
$1,600.00 $6,400.00 $1,670.00 $6,680.00
$5,270.00 $200,260.00 $6,020.00 $228,760.00
$5,150.00 $5,150.00 $3,000.00 $3,000.00
$5,150.00 $5,150.00 $4,450.00 $4,450.00
$5,150.00 $5,150.00 $4,250.00 $4,250.00
$4,900.00 $44,100.00 $7,650.00 $68,850.00
$5,500.00 $198,000.00 $7,650.00 $275,400.00
$9,000.00 $9,000.00 $8,200.00 $8,200.00
$9,450.00 $18,900.00 $8,680.00 $17,360.00
$10,950.00 $10,950.00 $9,890.00 $9,890.00
$50.00 $28,250.00 $4.00 $2,260.00
$8,450.00 $109,850.00 $11,235.00 $146,055.00
$9,850.00 $59,100.00 $12,625.00 $75,750.00
$10,875.00 $21,750.00 $13,685.00 $27,370.00
$11,120.00 $33,360.00 $14,075.00 $42,225.00
$19,400.00 $19,400.00 $19,010.00 $19,010.00
$500.00 $19,000.00 $100.00 $3,800.00
$3.00 $15,000.00 $25.00 $125,000.00
II I $3,781,005.00 $5,301,195.00
$550.00 $30,250.00 $315.00 $17,325.00
$80.00 $255,520.00 $145.00 $463,130.00
$70.00 $222,250.00 $110.00 $349,250.00
$150.00 $4,200.00 $165.00 $4,620.00
$1,250.00 $152,500.00 $1,440.00 $175,680.00
$1,525.00 $6,100.00 $1,965.00 $7,860.00
$1,625.00 $6,500.00 $2,100.00 $8,400.00
$6,750.00 $87,750.00 $6,590.00 $85,670.00
$5,000.00 $5,000.00 $2,875.00 $2,875.00
$5,000.00 $30,000.00 $2,190.00 $13,140.00
$8,650.00 $8,650.00 $5,850.00 $5,850.00
$8,650.00 $17,300.00 $5,260.00 $10,520.00
$5,400.00 $5,400.00 $9,025.00 $9,025.00
$6,450.00 $161,250.00 $7,940.00 $198,500.00
$6,700.00 $20,100.00 $8,770.00 $26,310.00
$50.00 $21,500.00 $4.00 $1,720.00
$8,650.00 $43,250.00 $11,270.00 $56,350.00
$9,750.00 $39,000.00 $12,600.00 $50,400.00
$55.00 $1,375.00 $115.00 $2,875.00
$55.00 $1,375.00 $130.00 $3,250.00
$250.00 $750.00 $140.00 $420.00
$250.00 $1,250.00 $165.00 $825.00
$2,650.00 $53,000.00 $2,365.00 $47,300.00
$20.00 $2,000.00 $5.40 $540.00
$15.00 $1,500.00 $6.35 $635.00
$30.00 $3,000.00 $58.00 $5,800.00
$25.00 $2,500.00 $58.00 $5,800.00
$11.00 $1,100.00 $36.00 $3,600.00
$1.50 $112,500.00 $0.85 $63,750.00
$0.50 $25,000.00 $0.25 $12,500.00
$5.00 $500.00 $2.75 $275.00
$2.35 $2,350.00 $5.40 $5,400.00
$115.00 $11,500.00 $54.00 $5,400.00
$510.00 $25,500.00 $92.00 $4,600.00
$700.00 $7,000.00 $300.00 $3,000.00
$500.00 $6,500.00 $100.00 $1,300.00
$400.00 $48,000.00 $260.00 $31,200.00
$190.00 $23,750.00 $315.00 $39375.00
$1,446,970.00 .. ,~ .
ATTACHMENT "C"
PROJECT LOCATION MAP SHEET 1 OF 4
CMR: XXX:09
ATTACHMENT "C"
PROJECT LOCATION MAP SHEET 2 OF 4
CMR: XXX:09
ATTACHMENT "C"
PROJECT LOCATION MAP SHEET 3 OF 4
CMR: XXX:09
ATTACHMENT "C n
PROJECT LOCATION MAP SHEET 4 OF 4
CMR: XXX:09
J '<,"" ~ ~.-..:.c.,~_ .'"-' H_'"i_< ~~E~L~A~M~tN!O~RE~AL~~~~~~
-~ -. ;--::::::-:---1
1· .,
~" ; ., ~
ATTACHMENT D
ORDINANCE NO. ______ _
ORDINANCE OF THE COUNCIL THE CITY OF PALO ALTO
AMENDING THE BUDGET FOR THE FISCAL YEAR 2010 TO PROVIDE
AN ADDITIONAL APPROPRIATION OF $262,017 TO CAPITAL
IMPROVEMENT PROGRAM (CIP) WS-07003, WATER MAIN
REPLACEMENT (WMR) PROJECT 21, AND PROVIDE AN ADDITIONAL
APPROPRIATION OF $24,692 TO CIP PROJECT WS-080017, WMR
PROJECT 22
Council of t City of Palo Alto does ordain as follows:
SECTION 1. The Council of the City of Palo Alto finds
and determines as follows:
A. Pursuant to the provisions of Section 12 of Article III of
t Charter of t City of Palo Alto, the Council on June 15, 2009
did adopt a budget for Fiscal Year 2010; and
B. In Fiscal Year 2007, t Council did adopt a budget for
CIP Project WS-07003, Water Main Replacement Project 21 (Project
21), wi th an ini tial appropriation of $226,000 for the design
cost, In Fiscal Year 2008, Council increased the appropriation by
$2,800,000 the construction cost, bringing total appropriation
to $3,026,000 for Project 21; and
C. In Fiscal Year 2008, t Council did adopt a budget for
CIP Project WS-08017, Water Main Replacement Project 22 (Project
22), wi th an ini tial appropriation of $233,000 for the design
cost, In Fiscal Year 2009, Council increased the appropriation by
$2,730,000 for t construction cost, bringing total appropriation
to $2,963,000 for Project 22; and
D. From Fiscal Year 2007 to date, expenses related to design
elements of t Project were incurred leaving a balance of
$2,752,717 and $2,920,593 for t construction and other related
construction costs for Project 21 and Project 22, respectively;
and
E. Street cut fees payable to the General Fund in t amount
of $209,249 for both Project 21 and Project 22 are necessary
related construction costs that were not included in the previous
appropriation of the projects; and
F. These projects were put out to bid; the low bid is higher
than the amount available for the projects. Additional funding of
$262,017 and $24,692 is required to cover the construction costs
and street cut fees for Project 21 and Project 22, respectively.
The total additional appropriation for these projects will be
funded by a transfer of appropriation from the existing CIP
Project WS-06002, WMR Project 20 and a drawdown from the Water
Fund Rate Stabilization Reserve. The summary of the transactions
affecting these projects are reflected in the following table; and
Description WS-07003 WS-OS017 Total
Project 21 Project 22
Total $3,026,000 $2,963,000 $5,989,000
Appropriations
from FY 2007
through FY 2009
Less: Design Costs $273,282 $42,406 $315,688
~lance Available $2,752,718 $2,920,594 $5,673,312
fter Design Costs
Less: Street Cut $127,232 $82,017 $209,249
Fees
Amount Available $2,625,486 $2,838,577 $5,464,063
Less: Construction $2,887,503 $2,863,269 $5,750,772
Costs (including
10% continqency)
Amount Needed for $262,017 $24,692 $286,709
Additional
Appropriation
Funding Sources Transfer of Water Rate
appropriation Stabilization
from CIP Reserve
Project WS-
06002 (WMR.
Project 20)of •
$180,000 and
Water Rate
Stabilization
Reserve of
$82,017
G. City Council authorization is needed to amend the Fiscal
Year 2010 budget to make available the funds required for
construction of the projects.
SECTION 2. The sum of Two Hundred Sixty Two Thousand Seventeen
Dollars ($262,017) is hereby appropriated to CIP Project WS-07003,
Water Main Replacement Project 21,
SECTION 3. The appropriation for CIP Project WS-06002, Water
Main Replacement Project 20 is hereby ced by One Hundred
Eighty Thousand Dollars ($180,000).
SECTION 4. sum of Twenty Four Thousand Six Hundred Ninety
Two Dollars ($24,692) is hereby appropriated to CIP Project WS
08017, Water Main Replacement Project 22.
The Water Rate Stabilization Reserve is hereby
decreased by One Hundred Six Thousand Seven Hundred Nine Dollars
($106,709) with a remaining balance of Thirteen Million Nine
Hun Seven Thousand Two Hundred Ninety One Dollars
($13,907,291) ,
The transactions above will
Capital Project Fund Infrastructure Reserve,
no impact on the
Alto
As cified in Section 2,28.080(a) of t Palo
Code, a two-thirds vote of t ty Council is
t this ordinance.
As provided in Section 2.04.330 of the Palo Alto
this ordinance shall come effective upon
==~===-~. The Council of the City of Palo Alto hereby finds
ojects are categorically exempt from the provisions
of the Cal ornia Environmental Quali ty Act, t to CEQA
Guidelines Sections 15301 (b) (repair, maintenance of existing
facilities and 15302 (b) (replacement or reconstruction of
existing facilities) and therefore, no environmental impact
assessments are necessary.
INTRODUCED AND PASSED:
AYES:
NOES:
ABSTENTIONS:
ABSENT:
ATTEST: APPROVED:
Mayor
APPROVED AS TO FORM:
Sen or Asst. ty Attorney es
Director of Administrative
ces
TO:
FROM:
DATE:
REPORT TYPE:
SUBJECT:
HONORABLE CITY COUNCIL
CITY MANAGER DEPARTMENT: UTILITIES
JULY 20, 2009 CMR: 303:09
CONSENT
Approval of the City of Palo Alto Sanitary Sewer Management Plan as
Required by the State Water Resource Control Board
RECOMMENDATION
Staff recommends that Council certify the attached Sanitary Sewer Management Plan (SSMP) as
required by the State Water Resources Control Board and the San Francisco Regional Water
Quality Control Board. Once approved, the elements of the SSMP will be used as a guide to
effectively manage the City's sanitary sewer collection system.
BACKGROUND
On May 2, 2006, pursuant to its authority under California Water Code § 13263, the State Water
Resource Control Board (SWRCB) adopted the Statewide General Waste Discharge Requirement
(WDR) and issued Water Quality Order No. 2006-0003 to regulate wastewater collection system
management. The purpose of the WDR is to protect the water quality in the State and prevent
public nuisance associated with sewer overflows. The WDR applies to all public collection
system agencies in California that own or operate collection systems with more than one mile of
pipe or sewer lines that convey untreated wastewater to a publicly owned treatment facility. Prior
to the May 2006 Order, the City had been required by the Regional Water Quality Control Board
to develop and implement the SSMP by August 2008. However, the new Order established a
deadline and required certification of SSMP by the governing board on August 2,2009.
In compliance with the Order, on November 2, 2006, the City filed a Notice of Intent (NOI) with
the State Water Resources Control Board and developed a schedule for developing and certifying
the SSMP. On October 22,2007, the Council reviewed and approved the schedule that contained
due dates for developing various elements of the plan.
DISCUSSION
The SSMP is a document that describes the activities an agency uses to manage its wastewater
collection system effectively. The intent of the SSMP, as required by the WDR, is to implement a
formalized criteria and procedure for design and construction, rehabilitation, operation, and
maintenance of the City's wastewater collection system. The SSMP was initially developed by the
CMR: 303:09 Page 1 of3
Engineering, Utilities Operations and Environmental Compliance staff and has been reviewed and
finalized by a qualified consulting engineer. In summary, the SSMP contains the following
elements:
Components of SSMP
Elements Requirements Description
1 Goals The goals as defined under the plan are to properly
manage, operate and maintain the City's wastewater
collection system in order to reduce and prevent
Sanitary Sewer Overflow (SSO's), as well as to
mitigate any SSO's that occur.
2 Organization Identifies the names and telephone numbers for
management, administrative and maintenance positions
responsible for implementing specific elements in the
SSMP program.
3 Legal Authority Identifies the legal authorities for enforcing the
violation of the Sewer Use Ordinance for illicit
discharges and discharge of Fat Oil and Grease (FOG)
to the sewer.
4 Operation & Maintenance Identifies the plan for the routine operation and
Plan maintenance of the collection system which includes a
map of the system.
5 Design Standards Identifies the City's engineering standards for design,
construction, maintenance and rehabilitation of the
wastewater collection system and its associated
apparatus.
6 Emergency Response Plan Defines the procedure for responding to a sewer
overflow, field documentation of each incident, and
requirements for reporting to regulatory agencies.
7 Fats, Oil & Grease (FOG) Describes the City's FOG source control program to
reduce the amount of grease substances that are being
discharged to the sewer.
8 System Evaluation and Describes the City's capital improvement plan based on
Capacity Assurance the 2004 Master Plan for capacity assessment of the
collection system.
9 Monitoring Measurement Describes how the implementation of the plan will be
and Plan Modification monitored, modified or updated
10 SSMP Audit Describes how the annual audit of the plan will be
conducted and the reporting of the results to the
regulatory agencies.
11 Communication Program Describes communication of the implementation of the
plan with the citizens and customers.
RESOURCE IMPACT
On an annual basis, the City spends approximately $14 million on design, construction,
maintenance, environmental enforcement, and administration of sanitary sewer collection system.
While there is no immediate impact, full implementation of the SSMP will require additional
CMR: 303:09 Page 2 of3
funding. Additional funding will be required to increase sewer mains cleaning frequency and to
initiate a preventive maintenance program for the City-owned laterals. The intent of the WDR and
the SSMP is to provide a plan and schedule to help reduce and prevent SSOs. Most of the
information required to complete the SSMP elements is readily available. Utilities continues to
rehabilitate 20,000 to 30,000 linear feet of pipe every year through the Council approved Capital
Improvement Project (CIP) budget and these funds will continue to be used to meet the
requirements of the SSMP. Utilities also continues to operate and maintain the collection system
and those approved budgets and efforts will be focused on meeting the plan elements. Any
increased efforts in the operations and maintenance of the collection system identified by the
SSMP development, including additional collection system condition assessments, may result in
future requests for increased funding.
POLICY IMPLICATIONS
This request does not represent a change in policy.
ENVIRONMENTAL REVIEW
The SWRCB, not the City, is the lead agency responsible tor environmental review pursuant to the
California Environmental Quality Act (CEQA). On May 5, 2006, SWRCB determined that its
action to adopt the Statewide General Waste Discharge Requirements was exempt from CEQA
because it was an action taken by a regulatory agency to assure the protection of the environment
and the regulatory process involves procedures for protection of the environment. (Cal. Code of
Regs., Title 14 § 15308). In addition, the SWRCB determined that its action was exempt from
CEQA pursuant to Cal. Code of Regs., Title 14 § 15301 to the extent that it applies to existing
sanitary sewer collection systems that constitute "existing facilities" involving negligible or no
expansion of capacity.
The Council's approval of the Palo Alto Sanitary Sewer Management Plan is similarly exempt.
ATTACHMENT
A. Sanitary Sewer Management Plan (SSMP)
PREPARED BY:
DEPARTMENT APPROVAL:
CITY MANAGER APPROVAL:
CMR: 303:09
JAVAD GHAFFARI
Manager ofWGW Operations
~ DE BATCHELOR
Assistant Director of Utilities Operations
VALE~NG
Director of Utiliti~s
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'''?..... L., /l
JAMES KEENE
City Manager
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Page 3 of3
Wastewater Collections
SEWER SYSTEM
MANAGEMENT PLAN
City of Palo Alto
Sewer System Management Plan
Updated: July, 2009
I/~ ;,..; - -
CITY OF PALO ALTO
UTILITIES
SEWER SYSTEM MANAGEMENT PLAN
TABLE OF CONTENTS
i
Table of Contents
Title Page
Table of Contents................................................................................................................................i
Definitions, Acronyms, and Abbreviation Definitions...................................................................iii
Introduction........................................................................................................................................1
Regulatory Requirements and Compliance Dates ..........................................................................2
Plan and Schedule ..........................................................................................................................2
1. Element 1 – Goals ......................................................................................................................1-1
2. Element 2 – Organization ..........................................................................................................2-1
2.1. Organizational Structure .......................................................................................................2-1
2.2. Responsible and Authorized Representatives......................................................................2-3
2.3. Chain-of-Communication for Reporting and Responding to SSOs.......................................2-4
3. Element 3 – Legal Authority......................................................................................................3-1
3.1. Legal Authority ......................................................................................................................3-1
3.2. Sewer Use Ordinance (Relevant to SSMP)..........................................................................3-3
4. Element 4 – Operation and Maintenance Program .................................................................4-1
4.1. Collection System Maps .......................................................................................................4-2
4.2. Operation and Maintenance Program...................................................................................4-2
4.3. Rehabilitation and Replacement Program ............................................................................4-4
4.4. Training Program ..................................................................................................................4-5
4.5. Resources & Budget .............................................................................................................4-6
5. Element 5 – Design and Performance Provisions ..................................................................5-1
5.1. Standards for Installation, Rehabilitation and Repair............................................................5-1
5.2. Standards for Inspection and Repair ....................................................................................5-1
6. Element 6 – Sanitary Sewer Overflow Emergency Response Plan......................................6-1
6.1. Notification ............................................................................................................................6-1
6.2. Responsibility of Dispatch Center.........................................................................................6-2
6.3. SSO Response .....................................................................................................................6-3
6.4. Sanitary Sewer Overflow Cleanup........................................................................................6-6
6.5. Documentation......................................................................................................................6-7
6.6. Reporting ..............................................................................................................................6-7
6.7. Training...............................................................................................................................6-14
7. Element 7 – Fats, Oils, and Grease (FOG) Control Program .................................................7-1
7.1. Goals for the FOG Program..................................................................................................7-2
7.2. Source Control ......................................................................................................................7-2
7.3. Food Service Establishment Inspections ..............................................................................7-3
7.4. 2008 Inspection Highlights of Food Service Establishments ................................................7-5
7.5. Outreach ...............................................................................................................................7-6
7.6. Regional FOG Groups ..........................................................................................................7-6
7.7. Inspections and Compliance.................................................................................................7-7
7.8. FOG Acceptance at RWQCP and Maximizing Energy Recovery .........................................7-8
8. Element 8 – System Evaluation and Capacity Assurance Plan.............................................8-1
9. Element 9 – Monitoring, Measurement and Program Modifications.....................................9-1
9.1. Monitoring, Measurement .....................................................................................................9-1
9.2. Program Modifications ..........................................................................................................9-3
10. Element 10 – Program Audits...............................................................................................10-1
11. Element 11 – Communication Program...............................................................................11-1
SEWER SYSTEM MANAGEMENT PLAN
TABLE OF CONTENTS
ii
Table of Tables
Table 1 – Compliance Dates for SSMP Applicable to Palo Alto
(10,000< Population<100,000)
Table 2-1 – Phone Numbers for SSO Responders
Table 3-1 – Summary of Legal Authorities
Table 4-1 – Collection System Budget Summary for Fiscal Year 2008-09
Table 4-2 – Tools and Equipment Inventory List
Table 6-1 – Schedule for Dispatching a Response Team
Table 7-1 – Summary of FOG FSE Inspections for 2005-2008 & 2009 Goals
Table 9-1 – SSMP Monitoring Parameters, by SSMP Element
Table of Figures
Figure 2-1 – Organization Chart for City of Palo Alto Water, Gas and Wastewater
Figure 6-1 – Guide For Reporting SSOs To Regulatory Authorities – Part 1
Figure 6-2 – Guide For Reporting SSOs To Regulatory Authorities – Part 2
SEWER SYSTEM MANAGEMENT PLAN
DEFINITIONS, ACRONYMS, AND ABBREVIATION DEFINITIONS
iii
Definitions, Acronyms, and Abbreviation Definitions
Definitions, Acronyms, and Abbreviation Definitions
ASTM; American Society for Testing and Materials
AWWA; American Water Works Association
BAPPG; Bay Area Pollution Prevention Group
BMPs; Best Management Practices
CCTV; Closed Circuit Television
City; City of Palo Alto
CIP; Capital Improvement Plan
CIWQS; California Integrated Water Quality System
CWEA; California Water Environment Association
Dispatch; City Communication Center
ECD; Environmental Compliance Division
FOG; Fats, Oil and Grease
FSE; Food Service Establishment
FSR; Field Service Representative
FTE; Full-time Equivalent
FY; Fiscal Year
GCD; Grease Control Device
GIS; Geographical Information System
GPS; Global Positioning System
GWDR; General Waste Discharge Requirements No. 2006-0003, Statewide
General Waste Discharge Requirements for Sanitary Sewer
Systems, dated May 2, 2006.
GWI; Ground Water Infiltration
ICOMMM; A Sewer Maintenance Database
I/I; Infiltration/Inflow
LRO; Legally Responsible Official
MGS; Million Gallons per Day (MGD)
MMPM; Monitoring, Measurement, and Plan Modifications
MSC; Municipal Service Center
MSDS; Material Safety Data Sheet
OERP; Overflow Emergency Response Plan
SEWER SYSTEM MANAGEMENT PLAN
DEFINITIONS, ACRONYMS, AND ABBREVIATION DEFINITIONS
iv
OES; Office of Emergency Services
O&M; Operations and Maintenance
PARWQCP; Palo Alto Regional Water Quality Control Plant
PE; Polyethylene Pipe
PM; Preventative Maintenance
PVC; Polyvinylchloride Pipe
PWD; Public Works Department
RWQCB; Regional Water Quality Control Board
RWQCP; Palo Alto Regional Water Quality Control Plant
SCADA; Supervisory Control and Data Acquisition
SECAP; System Evaluation and Capacity Assurance Plan
SDR; Standard Dimension Ratio
SSMP; Sewer System Management Plan
SSO; Sanitary Sewer Overflows
SSOERP; Sanitary Sewer Overflow Emergency Response Plan
SWRCB; State Water Resources Control Board
VCP; Vitrified Clay Pipe
WGW; Water, Gas and Wastewater
SEWER SYSTEM MANAGEMENT PLAN
INTRODUCTION
1
Introduction
This Sewer System Management Plan (SSMP) describes the City of Palo Alto’s (City’s)
wastewater collection system management activities. The purpose of these activities is
to:
1. Maintain and improve the condition of the collection system infrastructure,
2. Control infiltration/inflow (I/I) and provide appropriate sewer capacity, and to
3. Minimize the number and impact of sanitary sewer overflows (SSOs) that occur.
The State Water Resources Control Board (SWB) has issued statewide waste
discharge requirements for sanitary sewer systems which include requirements for
development of an SSMP. The State Water Board requirements are outlined in Order
No. 2006-0003-DWQ, Statewide General Waste Discharge Requirements for Sanitary
Sewer Systems, dated May 2, 2006 (SWB SSO WDR), and Order No. WQ-2008-0002-
EXEC, dated February 20, 2008.
The SSMP is also required by the San Francisco Bay Regional Water Quality Control
Board (RWQCB). Requirements are outlined in the Sewer System Management Plan
Development Guide dated July 2005, by the RWQCB in cooperation with the Bay Area
Clean Water Agencies (BACWA).
This SSMP includes the elements required by both the SWB and RWB, and is
organized following the SWB outline. Both SWB and RWB SSMP requirements are
included and addressed in each element. Requirements language is shown verbatim
from the SWB SSO WDR and the RWB SSMP Development Guide. The SWB SSO
WDR uses the term “Enrollee” to mean each individual municipal wastewater agency
that has completed and submitted the required application for coverage under the WDR
(in this case, the Enrollee is the City of Palo Alto).
SEWER SYSTEM MANAGEMENT PLAN
INTRODUCTION
2
Regulatory Requirements and Compliance Dates
The City of Palo Alto’s SSMP contains 11 elements and it is designed to meet both the
RWQCB and the GWDR requirements. Table 1 provides the list of the elements of
each plan with respective compliance due dates:
Table 1 – Compliance Dates for SSMP Applicable to Palo Alto
(10,000< Population<100,000)
SSMP Element Compliance Dates
RWQCB SWRCB
• Plan and Schedule NR 11/02/07
Element 1 • Goals 08/31/06 11/02/07
Element 2 • Organization 08/31/06 11/02/07
Element 3 • Emergency Response Plan 08/31/06 05/02/09
Element 4 • FOG Control Program 08/31/06 05/02/09
Element 5 • Legal Authority 08/31/07 05/02/09
Element 6 • Measures and Activities
(O&M Plan)* 08/31/07 05/02/09
Element 7
• Design & Construction Standards
(Design and Performance Standard)*
08/31/07 08/02/09
Element 8 • Capacity Management
8/31/08 08/02/09
Element 9
• Monitoring, Measurement, and
Program Modifications
08/31/08 08/02/09
Element 10 • Program Audits
08/31/08 08/02/09
Element 11 • Communication Program NR 08/02/09
• Final SSMP Certification
NR 08/02/09
o * variations between the two requirements
o NR= not required
Plan and Schedule
In compliance with the GWDR, the Utilities Engineering and Operations staff developed
a schedule with milestones for developing and certifying the SSMP. On October 22,
2007, the City Council passed a resolution approving the SSMP Development Plan and
Schedule.
SEWER SYSTEM MANAGEMENT PLAN
ELEMENT 1 – GOALS
1-1
1. Element 1 – Goals
SWRCB Requirements:
The goal of the Sewer System Management Plan (SSMP) is to provide a plan and schedule to
properly manage, operate, and maintain all parts of the sanitary sewer system. This will help
reduce and prevent SSOs, as well as mitigate any SSOs that do occur.
RWQCB Requirements:
Each wastewater collection system agency shall, at a minimum, develop goals for the Sewer
System Management Plan as follows:
• To properly manage, operate, and maintain all parts of the wastewater collection
system
• To provide adequate capacity to convey peak flows
• To minimize the frequency of SSOs
• To mitigate the impact of SSOs
In August, 2006, the City of Palo Alto Developed the SSMP goals based on the
RWQCB’s order dated July 7, 2005. In May 2009, the City revised this section of the
SSMP using the GWDR guidelines. The goal of the SSMP is to address both RWCQB
and the GWDR requirements. The goals of the City of Palo Alto SSMP are to:
• Properly manage, operate and maintain the wastewater collection system in
order to provide a reliable service now and into the future.
• Develop and maintain design construction standards and specifications for the
installation and repair of the collection system and its associated infrastructure.
• Cost effectively minimize infiltration/inflow (I/I) and provide adequate system
capacity to handle peak flows during a storm event.
• Maintain a comprehensive and up-to-date map of wastewater collection system.
• Coordinate with the City Public Works Operation to maintain Storm Water maps.
• Respond to sanitary sewer overflows quickly and mitigate the impact of the
overflow.
• Implement a collection system maintenance program to minimize the frequency
of sanitary sewer overflows.
• Provide training on a regular basis for WGW staff in collection system
maintenance and operations.
• Encourage and support participation in the quarterly meetings with the
neighboring collection system agencies and the partners to the City’s wastewater
treatment plant.
• Maintain a Fats, Oil, and Grease (FOG) program to limit fats, oils, grease, and
other debris that may cause blockages in the sewage collection system.
• Develop a closed-circuit televising (CCTV) program for the sewer collection
system.
SEWER SYSTEM MANAGEMENT PLAN
ELEMENT 2 – ERGANIZATION
2-1
2. Element 2 – Organization
SWRCB Requirements:
The Sewer System Management Plan (SSMP) must identify:
a. The name of the responsible or authorized representative as described in Section J of
this Order.
b. The names and telephone numbers for management, administrative, and maintenance
positions responsible for implementing specific measures in the SSMP program. The
SSMP must identify lines of authority through an organization chart or similar document
with a narrative explanation; and
c. The chain of communication for reporting SSOs, from receipt of a complaint or other
information, including the person responsible for reporting SSOs to the State and
Regional Water Board and other agencies if applicable (such as County Health Officer,
County Environmental Health Agency, Regional Water Board, and/or State Office of
Emergency Services (OES)).
RWQCB Requirements:
Each wastewater collection system agency shall, at a minimum, provide information regarding
organization:
• Identify agency staff responsible for implementing, managing, and updating the SSMP
• Identify chain of communication for responding to SSOs
• Identify chain of communication for reporting SSOs
2.1. Organizational Structure
An organization chart for the Water Gas and Wastewater operation is shown in
Figure 2-1 on the following page. This organization shows the lines of authority
for administrative and field staff who respond to SSOs. Following Figure 2-1, a
brief description of the the City staff responsible for implementing various aspects
of the SSMP is provided.
SEWER SYSTEM MANAGEMENT PLAN
ELEMENT 2 – ERGANIZATION
2-2
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SEWER SYSTEM MANAGEMENT PLAN
ELEMENT 2 – ERGANIZATION
2-3
2.2. Responsible and Authorized Representatives
City staff responsible for implementing various aspects of the SSMP are as
follows:
City of Palo Alto Utilities Director
Oversees the overall program, communicates with City Manager, provides
reports to the City Council and designates Legally Responsible Official (LRO) to
certify SSO reports.
Assistant Director of Utilities Operations
Oversees the program and communicates with the media.
Water Gas Wastewater Operations Manager
Manages the program and reviews reports and certifies SSO’s.
Wastewater Collections Supervisor
Manages field operations and maintenance activities, provides relevant
information to agency management, prepares and implements contingency
plans, leads emergency response, investigates and reports SSO’s, and trains
field crews.
Water Gas Wastewater Supervisor
Responds to after hour sewer overflow incidents. Oversees field operation,
compiles and submits the 2-hour report.
Water Gas Wastewater Engineering Manager
Establishes policy, plans strategy, reviews and certifies SSMP, leads engineering
staff, allocates resources, delegates responsibility and authorizes outside
contractors to perform services.
Senior Wastewater Project Engineer
Manages and administers the capital improvement program (CIP).
Inspector
Conducts inspections for CIP projects. Ensures that new and rehabilitated assets
meet agency standards.
Field Operation Crews
Responds to SSOs. Performs preventive maintenance activities and mobilizes
and responds to notification of stoppages and SSO’s.
Manager, Environmental Compliance Division (ECD)
Manages the development, implementation and administration of various
environmental compliance and water pollution prevention programs for the
Regional Water Quality Control Plant. Maintains and updates the City’s Sewer
Use Ordinance.
SEWER SYSTEM MANAGEMENT PLAN
ELEMENT 2 – ERGANIZATION
2-4
Manager, Environmental Control Program
Administers the City’s FOG, Industrial Waste, and Storm Water programs.
ECD Industrial Waste Investigator
Conducts inspections of industrial, commercial, and food service facilities.
ECD Industrial Waste Inspector, Storm Water
Investigates the illegal discharge of wastewater to the storm drains.
ECD Industrial Waste Inspector, Sampling
Collects samples and inspects discharge locations including creeks and grease
removal devices.
ECD Engineering Tech III
Inspects food service facilities.
Manager, Communications (Utilities)
Disseminates urgent and pertinent information to the public in a timely manner.
2.3. Chain-of-Communication for Reporting and
Responding to SSOs
In response to an SSO event, Water Gas Wastewater (WGW) immediately
implements its Sanitary Sewer Overflow Response Plan (Response Plan),
discussed in more detail in Element 6. The Response Plan provides direction for
the immediate verbal and written notification of City staff and agencies.
Important phone numbers for City staff involved in SSO response are shown on
Table 2-1.
Table 2-1 – Phone Numbers for SSO Responders
Responsible Party Name Phone Number
Field Service
Representative
(FSR)
Refer to daily schedule (650) 496-6780
WGW Crew Refer to daily schedule (650) 496-6780
Wastewater
Supervisor
Frank Alvarado (650) 496-6917
Legally Responsible
Official (LRO)
Javad Ghaffari (650) 496-6932
Utilities Director Valerie Fong (650) 329-2277
SEWER SYSTEM MANAGEMENT PLAN
ELEMENT 2 – ERGANIZATION
2-5
A list of radio call signs for WGW Operations personnel is included in the
Element 2 Appendix. This list also includes several additional phone numbers.
List of Documents in the Element 2 Appendix (see separate tab):
1. WGW Radio Call Signs
SEWER SYSTEM MANAGEMENT PLAN
ELEMENT 3 – EEGAL AUTHORITY
3-1
3. Element 3 – Legal Authority
SWRCB Requirements:
Each Enrollee must demonstrate, through sanitary sewer system use ordinances, service
agreements, or other legally binding procedures, that it possesses the necessary legal
authority to:
a. Prevent illicit discharges into its sanitary sewer system (examples may include I/I,
stormwater, chemical dumping, unauthorized debris and cut roots, etc.);
b. Require that sewers and connections be properly designed and constructed;
c. Ensure access for maintenance, inspection, or repairs for portions of the lateral owned
or maintained by the Public Agency;
d. Limit the discharge of fats, oils, and grease and other debris that may cause blockages,
and
e. Enforce any violation of its sewer ordinances.
RWQCB Requirements:
Each wastewater collection system agency shall, at a minimum, describe its legal authority,
through sewer use ordinances, services agreements, or other legally binding procedures to:
• Control infiltration/inflow (I/I) from satellite wastewater collection systems and laterals
• Require proper design and construction of new and rehabilitated sewers and
connections
• Require proper installation, testing, and inspection of new and rehabilitated sewers
3.1. Legal Authority
The City of Palo Alto Council has the power to enact ordinances and other legally
binding instruments to regulate usage and prevent discharges to protect and
foster human health and the environment. The City has approved and adopted
the Sewer Use Ordinance (Palo Alto Municipal Code, PAMC, Title 16, Chapter
16.09), the Utilities Rules and Regulations, and the Utility Standards to govern
the collection, maintenance, and construction of the wastewater facilities within
the City.
The specific purpose of the City’s Sewer Use Ordinance is to prevent the
discharge of any pollutant into the sewer system, the storm drain system, or
surface waters, which would 1) obstruct or damage the collection system; 2)
interfere with, inhibit or disrupt the Palo Alto Regional Water Quality Control Plant
or it’s treatment processes; 3) pass through the treatment system and contribute
to violations of the regulatory requirements placed upon the plant; or 4) result in
or threaten harm to or deterioration of human health or the environment.
SEWER SYSTEM MANAGEMENT PLAN
ELEMENT 3 – EEGAL AUTHORITY
3-2
The Utilities Rules and Regulations, approved and adopted by resolution of the
City of Palo Alto City Council, govern the business operation of the City’s utilities.
The Utilities Rules and Regulations can be found online at:
http://www.cityofpaloalto.org/depts/utl/forms_and_downloads.asp
The Utility Standards are the City’s standard specifications for installation,
rehabilitation and repair of facilities, and govern the requirements for proper
design, construction, and maintenance of water, gas, and wastewater utility
facilities and connections within the City of Palo Alto. The Utility Standards are
also available online at:
http://www.cityofpaloalto.org/news/displaynews.asp?NewsID=998&TargetID=243
Enforcement is found in the Palo Alto Municipal Code (PAMC). Violations of the
PAMC can be addressed through criminal, judicial, administrative, and/or
injunctive action. For other lesser violations, the City may assess monetary fines
as well.
Specific references to the GWDR legal authority requirements are shown in
Table 3-1.
Table 3-1 – Summary of Legal Authorities
GWDR Requirement Reference
Prevent illicit discharge into the
sanitary sewer system
PAMC 16.09.075;
PAMC 16.09.100 – 102;
PAMC 16.09.105;
PAMC 16.09.110;
PAMC 16.09.117
Require that sewers and
connections be properly designed
and constructed
Utility Standards, Water, Gas and
Wastewater, 2005
Ensure access for maintenance,
inspection, or repairs for portions of
lateral owned or maintained by the
City
Utilities Rules and Regulations 8,
Access to Premises, 7/1/98
Limit the discharge of fats, oils, and
grease and other debris that may
cause blockages
PAMC 16.09.102 – 103;
PAMC 16.09.110
Enforce any violation of the sewer
ordinances
PAMC 16.09.130;
PAMC 16.09.140 – 145
SEWER SYSTEM MANAGEMENT PLAN
ELEMENT 3 – EEGAL AUTHORITY
3-3
3.2. Sewer Use Ordinance (Relevant to SSMP)
Reference:
http://www.amlegal.com/nxt/gateway.dll/California/paloalto_ca/title16buildingregu
lations*/chapter1609seweruseordinance*?f=templates$fn=altmain-
nf.htm$q=%5Band%3Asewer%20use%20ordinance%5D%20$x=server$3.0#LP
Hit1
3.2.1. 16.09.005 Purpose
The overall goal of this chapter and the city’s water quality control program is
to prevent and control pollution and protect and foster human health and the
environment. The specific purpose of this chapter is to prevent the discharge
of any pollutant into the sewer system, the storm drain system, or surface
waters, which would: 1) obstruct or damage the collection system; 2) interfere
with, inhibit or disrupt the Palo Alto Regional Water Quality Control Plant (the
“plant”), or its treatment processes, or operations, or its sludge processes,
use or disposal; 3) pass through the treatment system and contribute to
violations of the regulatory requirements placed upon the plant; or 4) result in
or threaten harm to or deterioration of human health or the environment. It is
the intent of the City to update and modify this chapter as needed to continue
to provide a program for pretreatment of industrial wastes which is approved
by federal and state regulatory agencies. Therefore this chapter is designed
to be no less stringent than the U.S. Environmental Protection Agency
“General Pretreatment Regulations for Existing and New Sources of Pollution”
published at Title 40 of the Code of Federal Regulations, Part 403, as
applicable, and as such regulations may be amended from time to time
(hereinafter the “Pretreatment Regulations”). (Ord. 4252 § 1, 1994: Ord. 3889
§ 1 (part), 1989)
3.2.2. 16.09.075 Limitations on Point of Discharge.
No person shall discharge any substances directly into a manhole or other
opening in a city sewer, other than through an approved building sewer or
other location approved by the superintendent. (Ord. 3889 § 1 (part), 1989)
3.2.3. 16.09.100 Prohibitions.
Wastes discharged into the sewer system shall not have characteristics which
by themselves or by interaction with other wastes may:
(a) Endanger the health and safety of the public or city personnel
(b) Cause damage to the sewer system
(c) Create nuisance such as odors or coloration
SEWER SYSTEM MANAGEMENT PLAN
ELEMENT 3 – EEGAL AUTHORITY
3-4
(d) Result in extra cost of collection, treatment, or disposal
(e) Interfere with, inhibit or disrupt any wastewater treatment process of
the plant, its treatment processes, sludge processes, or operations in
such manner to cause violations of the plant’s NPDES permit, or any
regulatory requirement, or result in the use of sludge in noncompliance
with any applicable requirements. This shall include instances due to
flow rate and/or pollutant concentration and applies to increases in
magnitude or duration of violation by the plant
(f) Exit the plant into waters of the United States in quantities or
concentrations which contribute to a violation of any regulatory
requirement applicable to the plant. This shall include increases in
magnitude or duration of any violation or period of noncompliance
(g) Cause the temperature of the influent flow to the plant to exceed 40ºC
(104ºF)
(h) Prevent, hinder, delay, or impede compliance with effluent quality
requirements established by regulatory agencies, or exceed the same
(i) Cause wastewater quality to fall outside reclamation feasibility limits.
(Ord. 3889 § 1 (part), 1989)
3.2.4. 16.09.101 Root Control Chemicals.
No person shall discharge, dispose of or add to the sanitary sewer system
any substance containing greater than five percent copper by weight, to
control roots or for any other purpose. No person shall discharge, dispose or
add to the storm drain system any substance to control roots (Ord. 4760 §
10, 2002: Ord. 4252 § 6, 1994: Ord. 4070 § 4, 1992).
3.2.5. 16.09.102 Grease Disposal Prohibited.
No person shall dispose of any grease, or cause any grease to be disposed,
by discharge into any drainage piping, by discharge into any public or private
sanitary sewer, by discharge into any storm drainage system, or by discharge
to any land, street, public way, river, stream or other waterway (Ord. 4070 §
5, 1992).
3.2.6. 16.09.103 Grease Removal Device Required –
Garbage Disposers Prohibited.
(a) The owner of every newly constructed, remodeled, or converted
commercial or industrial facility with one or more grease generating
activities, including food service facilities with new or replacement
kitchens, for which a building permit is issued on or after January 1, 1992,
shall install or cause to be installed a grease interceptor for each grease
generating activity, of a size equal to or greater than the minimum size
meeting the definition of “grease interceptor,” as set forth in Section 209 of
SEWER SYSTEM MANAGEMENT PLAN
ELEMENT 3 – EEGAL AUTHORITY
3-5
the 1997 Uniform Plumbing Code or the equivalent section of a
subsequently adopted edition of the California Plumbing Code.
(b) The owner of every commercial or industrial generator of grease, including
food service facilities, serviced by a sewer collection line found to have a
grease blockage, a history of grease blockage, or accelerated line
maintenance resulting from grease disposal shall install or cause to be
installed, upon notification by the superintendent, a grease removal
device.
(c) The owner of every commercial or industrial generator of grease, including
food service facilities, for which installation of grease removal devices is
not required pursuant to subsection (a) or (b) of this section, shall install or
cause to be installed a grease removal device for each grease generating
activity, on or before January 1, 1997.
(d) All grease removal device(s) shall be installed on the premises where
grease is used or generated and shall be sized in conformance with
Chapter 10 of the 1997 Uniform Plumbing Code or the equivalent section
of a subsequently adopted edition of the California Plumbing Code. The
contents of all grease removal devices shall be removed periodically as
necessary to prevent violations of this chapter. At a minimum, the contents
shall be removed every six months. All grease removal devices shall be
kept in good repair and shall be maintained in continuous operation. A log
of all grease removal activities shall be maintained at the facility showing
the date of removal, the amount removed, and the disposition of the
removed contents. The log shall be retained for a period of three years
and shall be available for inspection by city inspectors upon request.
(e) Effective January 1, 2003, the installation of any food waste disposer
(grinder) at any food service facility with one or more grease generating
activities is prohibited.
(f) Effective January 1, 2007, no food service facility with one or more grease
generating activities shall utilize a food waste disposer (grinder) for the
purpose of food waste disposal to the sanitary sewer (Ord. 4760 § 11,
2002: Ord. 4070 § 6, 1992).
3.2.7. 16.09.105 Unpolluted Water.
(a) Unpolluted water shall not be discharged through direct or indirect
connection to the sanitary sewer system unless a permit is issued by the
City. As used in this section, unpolluted water shall include stormwater
from roofs, yards, foundation, or underdrainage, which meets all state and
federal requirements for discharge to surface waters of the United States.
The City may approve the discharge of such water to the sewer system
only when no reasonable alternative method of disposal is available. If a
permit is granted for the discharge of such water into the sewer system,
the user shall pay the applicable charges and fees and shall meet such
other conditions as required by the superintendent.
SEWER SYSTEM MANAGEMENT PLAN
ELEMENT 3 – MEGAL AUTHORITY
3-6
(b) After January 1, 2003, non-emergency discharges greater than 200
gallons per day from once-through cooling systems using potable water as
a coolant shall not be discharged to the sanitary system; provided, that the
superintendent may approve an exception in the following instances: (1)
for once-through cooling water used for benchtop reflux or distillation or
other similarly sized activity or (2) for short term use only, upon the
determination that the use is for a research activity for which another
source of cooling is not easily available.
(c) After January 1, 2006, non-emergency discharges of any amount from
once-through cooling systems using potable water as a coolant shall not
be discharged to the sanitary system; provided, that the superintendent
may approve an exception in the following instances: (1) for once-through
cooling water used for benchtop reflux or distillation or other similarly sized
activity or (2) for short term use only, upon the determination that the use
is for a research activity for which another source of cooling is not easily
available (Ord. 4760 § 13, 2002: Ord. 4252 § 7, 1994: Ord. 3889 § 1
(part), 1989).
3.2.8. 16.09.106 Storm Drains – Prohibited Discharges.
(a) It shall be unlawful to discharge any domestic waste or industrial waste
into storm drains, gutters, creeks, or the San Francisco Bay. Unlawful
discharges to storm drains shall include, but not be limited to, discharges
from toilets, sinks, industrial processes, cooling systems, boilers, fabric
cleaning, equipment cleaning, vehicle cleaning, construction activities,
including, but not limited to, painting, paving, concrete placement,
sawcutting and grading, swimming pools, spas, and fountains, or
substances added to the storm drain to control root growth, unless
specifically permitted by a discharge permit or unless exempted pursuant
to guidelines published by the superintendent.
(b) It shall be unlawful to cause hazardous materials, domestic waste or
industrial waste to be deposited in such a manner or location as to
constitute a threatened discharge into storm drains, gutters, creeks or the
San Francisco Bay. A “threatened discharge” is a condition creating a
substantial probability of harm, when the probability and potential extent of
harm make it reasonably necessary to take immediate action to prevent,
reduce or mitigate damages to persons, property or natural resources.
Domestic or industrial wastes that are no longer contained in a pipe, tank
or other container are considered to be threatened discharges unless they
are actively being cleaned up.
(c) Interior floor drains shall not be connected to storm drains.
(d) Exterior drains located in the following areas shall not be connected to
storm drains:
a. Equipment or vehicle washing areas
b. Areas where equipment fluids are routinely changed
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c. Areas where hazardous materials, chemicals or other uncontained
materials that are easily transported by wind or water are stored and
are not secondarily contained
d. Loading dock areas, except that loading dock drains to the storm
drain system may be allowed if a valve or equivalent device is
provided, which remains closed except when it is raining. Secondary
containment shall be provided for any rooftop equipment, tanks or
pipes containing other than potable water, cooling water, heating
system hot water, steam, water condensate or equivalent
substances, which the superintendent determines will otherwise
cause a probable discharge to the storm drain system.
(e) After January 1, 2003, new buildings, except for single-family and duplex
residences, shall provide a covered area for a dumpster. The area shall be
designed to prevent water run-on to the area and run-off from the area.
(f) After January 1, 2003, new multi-family residential development projects
with 25 or more units shall provide a covered area for occupants to wash
their vehicles. A drain shall be installed to capture all vehicle washwaters
and shall be connected to an oil/water separator prior to discharge to the
sanitary sewer system. The oil/water separator shall be cleaned at a
frequency of at least once every six months or more frequently if
recommended by the manufacturer or the superintendent. Oil/water
separators shall have a minimum capacity of 100 gallons.
(g) Storm drain inlets shall be clearly marked with the words “No dumping –
Flows to Bay,” or equivalent (Ord. 4760 § Revised 4/2004 16 14, 2002:
Ord. 4252 § 8, 1994: Ord. 3988 § 2, 1990).
3.2.9. 16.09.110 Standards.
The following standards shall apply to all discharges to the sewer at a
designated sampling location determined by the superintendent to be
consistent with the dilution prohibition contained in Section 16.09.121:
(a) The categorical standards set forth in 40 CFR Chapter I, Subchapter N,
Parts 405-471 shall apply to all applicable sources. The definitions and
procedures for establishing individual effluent limitations shall be as
specified therein. Nothing in this chapter shall be construed as allowing
less stringent limitations.
(b) Local limitations, in addition to those specified in this section, shall be
developed by the superintendent based upon the prohibitions contained in
Section 16.09.100 . These limitations will be imposed on appropriate
dischargers via industrial waste discharge permits or modifications to
existing permits.
(c) In addition to the requirements of (a) and (b) above, the following
requirements shall apply where they are more stringent:
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Parameter Average
Concentration
Instantaneous
Oil & grease* (mg/l) -- 20 --
Oil & grease (total) (mg/l) -- 200 --
Suspended solids (mg/l) 3000 6000 --
Total dissolved solids (mg/l) 5000 10000 --
Temperature, (Degrees F)
<30 gpm & ,30 minutes
All other times
150 F
120 F
Fluoride (mg/l) 65 65
pH** 11.0 5.0
*Gravity separation at a temperature of 20oC and a pH of 4.5.
** Where the pH is monitored continuously, no individual deviation from
the above range shall exceed twenty minutes in length for discharges less
than ten thousand gallons per day nor ten minutes in length for
dischargers greater than ten thousand gallons per day. The total time of
deviations during any seven calendar day period shall not exceed a total
of sixty minutes. Any pH reading less than or equal to 2.0 or greater than
or equal to 12.5 is prohibited.
(d) Dyes. Wastes showing excessive coloration shall not be discharged into
the sewer system. Excessive coloration shall be defined as any coloration
in a waste which, for any wave length, displays less than sixty percent of
the light transmissibility of distilled water under the following conditions:
a. After filtration through a 0.45 micron membrane filter.
b. In the pH range of 5.5 to 11.0.
c. Through a one centimeter light path.
d. A maximum spectrum band width of 10 nanometers.
e. Through the wave length range from four hundred to eight hundred
nanometers.
(e) Explosives. No solids, liquids, or gases which by themselves or by
interaction with other substances may create fire or explosion hazards,
including wastestreams with a closed cup flashpoint of less than 140° F.
(60° C.) shall be discharged. Flammable substances including, but not
limited to, acetone, alcohols, benzene, gasoline, xylene, hexane and
naphtha shall not be discharged into the sewer system except where
present in contaminated groundwater discharges being discharged under
an exceptional waste permit issued by the city. Where groundwater
discharges contain such contaminants, the discharger shall monitor the
sewer atmosphere for explosivity and flammability using a properly
calibrated meter designed for the purpose. The frequency of such
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monitoring shall be defined in the permit. Whenever ten percent of the
lower explosive level is exceeded, the discharger shall immediately notify
the superintendent of the potential hazard in the sewer within fifteen
minutes of making the determination of threatened explosivity. The
discharger shall follow verbal notification with a written explanation of the
cause of the explosive hazard within five working days, with corrective
actions taken to alleviate the situation and measures taken to prevent a
reoccurrence. The discharger shall not recommence without prior written
approval of the superintendent or his/her designated representative.
Where flammable substances are used in processes, separate collection
and disposal outside the sewer system shall be provided.
(f) Oil and Grease. Oil and/or grease shall not be discharged into the sewer
system if the average concentration of floatable oil and/or grease (defined
as that which is subject to gravity separation at a temperature of 20° C.
and at a pH of 4.5) exceeds twenty mg/liter; nor shall the total oil and/or
grease concentration exceed two hundred mg/liter. In addition, the
discharge of petroleum oil, nonbiodegradable cutting oil, or products of
mineral origin in amounts that cause interference or pass through, as
defined by EPA regulations, shall be prohibited.
(g) Hazardous, Noxious or Malodorous Substances. No industrial waste shall
be discharged which alone or in combination with other wastes may create
a public nuisance or hazard, make human entry into the sewers unsafe, or
which constitutes a discharge of hazardous waste.
Permitted dischargers shall be required to certify at least every six months
in their Periodic Report of Continued Compliance (PRCC) that their waste
does not constitute a hazardous waste, and that during the previous six
months no discharge of hazardous waste has occurred. Dischargers shall
be required (as a condition to permission to discharge) to file with the Palo
Alto fire department a current Hazardous Materials Management Plan
(HMMP) pursuant to Title 17 of this code and to have on site copies of
material safety data sheets for all hazardous materials stored, generated,
or used at the discharger’s site. Should any discharge of a hazardous
waste occur, the discharger shall verbally notify the EPA, the Regional
Water Quality Control Board and the superintendent as soon as possible,
but in no event later than twenty-four hours after such discharge.
Appropriate records of hazardous waste disposal manifests, inventories of
stored virgin and used hazardous materials, and other documentation
required by the HMMP shall be kept and made available for inspection
and/or copying at the city’s request.
Mercaptans and dissolved sulfides shall not be discharged in
concentrations exceeding 0.1 mg/liter.
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(h) Organic Solvents. Except as permitted by other sections of this chapter,
the sewer shall not be used as a means of disposal for organic solvents.
Wastewater discharged to the sewer shall not contain a sum total greater
than one thousand milligrams per liter of acetone, ethanol, methanol, or
isopropyl alcohol in any combination. Dischargers having organic solvents
on site or using same shall provide and use a separate collection and
disposal system outside the sewer system and shall provide safeguards
against their accidental discharge to the sewer. An approved solvent
management plan to prevent entry to the sanitary sewer and accidental
spill prevention plans shall be filed by the discharger as a condition of
permission to discharge to the sanitary sewer. Records of appropriate
disposal and handling shall be maintained by the discharger and shall be
available for inspection and copying by city personnel.
Organic solvents shall include, but shall not be limited to, those used in
dry cleaning establishments, and shall also include separator water
generated by dry cleaning equipment. Neither the organic solvent nor the
separator water may lawfully be discharged to the sewer or storm drain
system.
(i) Total Toxic Organics. The prohibition against disposal of organic solvents
contained in 16.09.110(h) may be replaced by a specific limitation on total
toxic organics (TTO). Any such limitation must be contained in an
industrial waste permit and either based on the appropriate categorical
standard of the pretreatment regulations or the following:
Total toxic organics (TTO) is the sum of all quantifiable values greater
than 0.01 mg/l from the list of toxic organic pollutants contained in 40 CFR
Part 433.11(e). The sum of the TTO shall be less than 1.0 mg/l as an
instantaneous maximum. No individual toxic organic compound (except for
phenol) shall exceed 0.75 mg/l as an instantaneous maximum. These
limitations are subject to change in the future as the requirements placed
on the plant become more stringent and as the process for establishing
the industrial waste limitations is refined.
(j) Radioactivity. The discharge of radioactive wastes into the sewer system
shall conform to the requirements of California Radiation Control
Regulations, Title 17, California Code of Regulations, Chapter 5,
Subchapter 4, and as subsequently amended.
(k) Solids. No material shall be discharged to the sanitary sewer that will
obstruct or damage the collection system, treatment system, or
appurtenances. Specific prohibitions are as follows:
a. Inert Solids. The discharge of inert solids including, but not limited
to sand, glass, metal chips, bone, plastics, etc. into the sewer is
prohibited. Settling chambers or treatment works shall be installed
where necessary to prevent the entry of inert solids into the sewer
system.
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b. Solid Particles. Industrial wastes shall not contain particulate matter
that will not pass through a one half-inch screen; this subsection
shall not apply to domestic sewage from industrial establishments.
(l) Stored Liquid Wastes. Liquid aqueous-based wastes that have been
collected and held in tanks or containers shall not be discharged into the
sewer system except at locations authorized by the superintendent to
collect such wastes. Wastes of this category include but are not limited to:
a. Chemical toilet wastes
b. Industrial wastes collected in containers or tanks
c. Pleasure boat wastes
d. Septic tank pumping
e. Trailer, camper, housecar, or other recreational vehicle wastes.
3.2.10. 16.09.117 Requirements for Construction Operations.
(a) A spill response plan for hazardous waste, hazardous materials and
uncontained construction materials shall be prepared and available at the
construction sites for all projects where the proposed construction site is
equal to or greater than one acre of disturbed soil and for any other
projects for which the city engineer determines that a plan is necessary to
protect surface waters. Preparation of the plan shall be in accordance with
guidelines published by the city engineer.
(b) A storm water pollution prevention plan shall be prepared and available at
the construction sites for all projects equal to or greater than one acre of
disturbed soil and for any other projects for which the city engineer
determines that a storm water management plan is necessary to protect
surface waters. Preparation of the plan shall be in accordance with
Chapter 16.28 of this code and with guidelines published by the city
engineer.
(c) Prior approval shall be obtained from the city engineer or designee to
discharge water pumped from construction sites to the storm drain. The
city engineer or designee may require gravity settling and filtration upon a
determination that either or both would improve the water quality of the
discharge. Contaminated ground water or water that exceeds state or
federal requirements for discharge to navigable waters may not be
discharged to the storm drain. Such water may be discharged to the
sewer, provided that the requirements of Section 16.09.110 are met and
the approval of the superintendent is obtained prior to discharge. The City
shall be compensated for any costs it incurs in authorizing such discharge,
at the rate set forth in the Municipal Fee Schedule.
(d) No cleanup of construction debris from the streets shall result in the
discharge of water to the storm drain system, nor shall any construction
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debris be deposited or allowed to be deposited in the storm drain system.
(Ord. 4760 § 19, 2002: Ord. 4252 § 14, 1994)
3.2.11. 16.09.130 Damage to Facilities.
When a discharge causes an obstruction, damage, or any other impairment to
city facilities, the City may assess a charge against the discharger to
reimburse the city for costs incurred to clean or repair said facility (Ord. 3889
§ 1 (part), 1989).
3.2.12. 16.09.140 Enforcement – Criminal Penalties.
As provided in 1.08 of Title 1 of this code, violations of the provisions of this
title shall be subject to criminal penalties. The following designated employee
positions may enforce the provisions of this chapter by the issuance of
citations. Persons employed in such positions are authorized to exercise the
authority provided in Penal Code Section 836.5 and are authorized to issue
citations for violations of this chapter. The designated employee positions are:
industrial waste inspector industrial waste investigator, associate engineer;
manager, environmental control programs, supervisor, industrial waste, and
manager, environmental compliance division. (Ord. 4252 § 16, 1994: Ord.
4070 § 9, 1992: Ord. 3889 § 1 (part), 1989)
3.2.13. 16.09.141 Enforcement – Judicial Civil Penalties.*
Any person who intentionally or negligently violates any provision of this
chapter or any provision of any permit issued pursuant to this chapter shall be
civilly liable to the City in a sum of not to exceed twenty-five thousand dollars
per day for each day in which such violation occurs. The city may petition the
Superior Court pursuant to Government Code Section 54740 to impose,
assess, and recover such sums. The remedy provided in this section is
cumulative and not exclusive, and shall be in addition to the penalty
provisions of Chapter 1.08 of this code and all other remedies available to the
city under state and federal law (Ord. 4252 § 18, 1994).
*Editor’s Note: Former Section 16.09.141, Public Notification of Violations,
previously codified herein and containing portions of Ordinance No.3889 was
repealed in its entirety by Ordinance No. 4252. See Section 16.09.144 for
public notification of violations.
3.2.14. 16.09.142 Enforcement – Administrative Civil
Penalties.
(a) Complaint. The superintendent may serve an administrative complaint on
any person who has violated any provision of this chapter. The complaint
shall state:
a. The act or failure that constitutes the violation
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b. The provisions of law authorizing the civil liability to be imposed
c. The proposed civil penalty
The complaint shall be served by personal delivery or certified mail
on the person subject to requirements that the superintendent
alleges were violated, and shall inform the person served that a
hearing on the complaint shall be conducted within sixty days after
service, unless the person charged with the violation waives his or
her right to a hearing.
(b) Hearing. Unless the person charged with the violation(s) waives his or her
right to a hearing, the city manager or designee of the city manager shall
conduct a hearing within sixty days. If the hearing officer finds that the
person has caused a violation, he or she may assess administrative
penalties against the person. In determining the amount of the civil
penalty, the hearing officer may take into consideration all relevant
circumstances, including, but not limited to, the extent of harm caused by
the violation, the economic benefit derived through any noncompliance,
the nature and persistence of the violation, the length of time over which
the violation occurs, and corrective action, if any, attempted or taken by
the discharger. Civil penalties that may be imposed are as follows:
a. An amount not to exceed two thousand dollars per day for failing or
refusing to furnish technical or monitoring reports
b. An amount not to exceed three thousand dollars per day for failing
or refusing to comply in a timely fashion with any compliance
schedule established by the city
c. An amount not to exceed five thousand dollars per day of violation
for discharges in violation of any waste discharge limitation, permit
condition or requirement issued by the city
d. An amount not to exceed ten dollars per gallon for discharges in
violation of any suspension, cease and desist order or other orders,
or prohibition issued, reissued or adopted by the city
(c) Appeal. Any person against whom penalties are assessed by the hearing
officer may appeal the decision of the hearing officer within thirty days of
notice of the decision. The city council may hear the appeal or deny
review of the case. If the city council decides to hear the appeal, it shall
conduct the appeal in accordance with procedures established by the
council. The decision of the city council shall be in writing and shall be
final. All civil penalties imposed in accordance with this section shall be
payable within thirty days of the decision of the hearing officer; provided,
that if the decision is appealed, all penalties shall be payable within thirty
days after the city council decision on the appeal.
(d) Lien. The amount of any civil penalties imposed under this section which
have remained delinquent for a period of sixty days shall constitute a lien
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against the real property of the discharger from which the violation
occurred resulting in imposition of the penalty. The superintendent shall
cause the amount of uncollected penalty to be recorded with the county
recorder, in accordance with Section 54740.5 of the California
Government Code, as the same from time to time may be amended (Ord.
4252 § 19, 1994).
3.2.15. 16.09.143 Enforcement – Administrative Citation.
Any person who violates any provision of this chapter or any provision of any
permit issued pursuant to this chapter shall be subject to the administrative
citation provisions contained in Chapter 1.12 of this code (Ord. 4760 § 20,
2002: Ord. 4287 § 2, 1995: Ord. 4252 § 20, 1994).
3.2.16. 16.09.144 Enforcement – Administrative Compliance
Order.
Any person who violates any provision of this chapter or any provision of any
permit issued pursuant to this chapter shall be subject to the administrative
compliance order provisions contained in Chapter 1.16 of this code (Ord.
4760 § 21, 2002: Ord. 4252 § 21, 1994).
3.2.17. 16.09.145 Enforcement – Notice of Non-Compliance.
(a) Unless the superintendent finds that the severity of the violation warrants
immediate action under Sections 16.09.140 , 16.09.141 or 16.09.142 or
permit revocation or suspension, he or she shall issue a notice of
noncompliance which:
a. Enumerates the violations found
b. Orders compliance by a certain date
If the violations are not abated in the time period identified further
action may be taken by the superintendent, including, but not
limited to, suspension, revocation or modification of the
discharger’s permit pursuant to Section 16.09.040 .
(b) Subject to the following limitations, and in addition to the provisions of
subsection (a), the superintendent may require a discharger that has
violated any discharge limits contained in this chapter to install a
temporary system for the capture, testing and release of wastewater:
a. The requirement will apply to facilities that have produced multiple
violations for the same parameter at the same sampling point,
when the superintendent determines that appropriate corrective
measures have proved difficult to identify or implement.
b. The requirement will apply only to those specific areas of a facility
from which the superintendent determines that the discharge may
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be originating, rather than to the entire flow from the facility, unless
there is no reasonable way to determine where the discharge may
be originating.
c. The requirement will not be applied in the case of very infrequent
violations or when the superintendent determines that a capture
system is impractical. If the superintendent determines that a
capture system is impractical, the superintendent may require an
alternative compliance measure of equivalent effectiveness.
d. The requirement will be terminated following a demonstration of
compliance. Twenty-one consecutive, violation-free calendar days
of sampling by the discharger followed by four days of violation-free
sampling by the superintendent shall constitute a demonstration of
compliance (Ord. 4760 § 22, 2002).
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4. Element 4 – Operation and Maintenance Program
SWRCB Requirements:
The Sewer System Management Plan (SSMP) must include those elements listed below that are
appropriate and applicable to the Enrollee’s system:
a. Maintain an up-to-date map of the sanitary sewer system, showing all gravity line segments and
manholes, pumping facilities, pressure pipes and valves, and applicable stormwater conveyance
facilities;
b. Describe routine preventive operation and maintenance activities by staff and contractors,
including a system for scheduling regular maintenance and cleaning of the sanitary sewer
system with more frequent cleaning and maintenance targeted at known problem areas. The
Preventative Maintenance (PM) program should have a system to document scheduled and
conducted activities, such as work orders;
c. Develop a rehabilitation and replacement plan to identify and prioritize system deficiencies and
implement short-term and long-term rehabilitation actions to address each deficiency. The
program should include regular visual and TV inspections of manholes and sewer pipes, and a
system for ranking the condition of sewer pipes and scheduling rehabilitation. Rehabilitation and
replacement should focus on sewer pipes that are at risk of collapse or prone to more frequent
blockages due to pipe defects. Finally, the rehabilitation and replacement plan should include a
capital improvement plan that addresses proper management and protection of the infrastructure
assets. The plan shall include a time schedule for implementing the short- and long-term plans
plus a schedule for developing the funds needed for the capital improvement plan;
d. Provide training on a regular basis for staff in sanitary sewer system operations and
maintenance, and require contractors to be appropriately trained; and
e. Provide equipment and replacement part inventories, including identification of critical
replacement parts.
RWQCB Requirements:
Collection System Map: Each wastewater collection system agency shall maintain up-to-date maps
of its wastewater collection system facilities.
Resources and Budget: Each wastewater collection system agency shall allocate adequate
resources for the operation, maintenance, and repair of its collection system.
Prioritized Preventive Maintenance: Each wastewater collection system agency shall prioritize its
preventive maintenance activities.
Scheduled Inspections and Condition Assessment: Each wastewater collection system agency
shall identify and prioritize structural deficiencies and implement a program of prioritized short-term
and long-term actions to address them.
Contingency Equipment and Replacement Inventories: Each wastewater collection system
agency shall provide contingency equipment to handle emergencies, and spare/replacement parts
intended to minimize equipment/ facility downtime.
Training: Each wastewater collection system agency shall provide training on a regular basis for its
staff in collection system operations, maintenance, and monitoring.
Outreach to Plumbers and Building Contractors: Implement an outreach program to educate
commercial entities involved in sewer construction or maintenance about the proper practices for
preventing blockages in private laterals. This requirement can be met by participating in a region-
wide outreach program.
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4.1. Collection System Maps
Since 1995, the Utilities Wastewater Engineering staff has been utilizing the
City’s Geographical Information System (GIS) to maintain the collection system
map. The GIS map includes lateral, mains, manholes, easements and other
infrastructure owned by the City. A copy of as-built drawings and associated
work orders (Minor Order) are scanned for map updates, cataloged and stored in
the City’s database. Hardcopies of records are maintained in WGW operations.
Any field discrepancy that is noted by the operation staff is documented on the
Map Update Request Form and mailed to the WW engineering group for
investigation. The engineering group updates the wastewater map after
completion of the as-built for each CIP project.
In addition to the GIS map, the Wastewater Engineering team publishes hard
copies of the 200-scale map book. The map books are 11”X17” and 24”x16” in
size and are in the WGW operation center and service vehicles that are assigned
to the wastewater operation. Hard copies of the map books are published every
other year.
Storm sewers are also shown on a GIS-based map and viewable by wastewater
operation staff. The City Public Works Engineering Division is responsible for
maintaining the storm sewer map. The storm sewer GIS is equipped with a tool
“FLO” that can electronically trace the location of any overflow from the source to
the downstream pipe or the final destination on the map (pump stations or a
creek). In addition to the GIS, a hard copy of the City’s storm water collection
map is maintained in the WGW operation center and service vehicles that are
assigned to the wastewater operation.
4.2. Operation and Maintenance Program
The City’s maintenance plan has four components:
• Routine maintenance
• Preventive maintenance
• Emergency maintenance
• Predictive maintenance
4.2.1. Routine Maintenance
The City’s routine maintenance program includes scheduled and planned
maintenance of the entire collection system on a regular basis. Currently, the
main focus of the routine maintenance is to ensure that the primary collection
lines (sewer mains) and their associated manholes are free of any obstacles.
For scheduling purposes, the entire collection system is divided into two
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regions known as north and south, and each region is divided into 14 basins.
The City has dedicated one VacCon truck and two qualified operators to each
region. Based on the pre-defined annual schedule for each basin, a work
order for each segment of the collection system within a basin is printed out
from the computer program. After each line cleaning, the operator uses the
work order to document the respective field activities. Upon completion of the
daily field work, the operators enter the information from the work orders into
the database. The small diameter pipes and the sewer laterals are being
cleaned with rods or the snake machine.
Prior to 2005, the primary sewer lines (sewer mains) were cleaned randomly
within 2-3 years period. In 2005, the City hired a contractor to hydro flush and
televise the entire collection system. The cleaning project lasted over 14
months and produced over 100 hours of video footage that are currently
being reviewed by the City engineers and inspectors. Since the completion of
the project, the City has established a schedule that includes cleaning of the
entire system within a 30 month period.
To avoid interruption of the sewer crews from their daily maintenance
activities, the City has an ongoing contract with a qualified plumbing company
for responding to the customers’ sewer calls. On average, the contractor
responds to five sewer calls a day. The contract service is being used only
during the weekdays and some holidays.
4.2.2. Preventative Maintenance
The City’s preventive maintenance program focuses on areas such as
downtown Palo Alto, which includes many food service facilities, or areas with
solid materials or roots. While the preventive maintenance is also a
scheduled maintenance, the frequency of the maintenance may vary
depending on the condition of the sewers. For example, FOG hot spot areas
of the collection system may be cleaned more frequently during the holiday
seasons than in the summer. The Flushing Program for Hot Spots is included
in the Element 4 Appendix.
As a part of the City’s preventive maintenance program, the operation crew
may coordinate their cleaning schedule taking into account food service
facilities. This is to ensure that FOG residue that may have been dislodged to
the collection system (during the facility’s interceptor cleaning) is removed
from the collection system before causing any blockage.
Areas with a large amount of roots, or areas that may not be easily
accessible, such as parks or easements, may be chemically treated. While in
the past the operation crew has applied “Root X”, or grease emulsifying
agents for removal of roots and grease, the City will soon contract this task to
a qualified chemical applicator.
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4.2.3. Emergency Maintenance
Emergency maintenance is conducted as a part of the daily response to the
primary or secondary sewer blockages that are called in or observed by the
field crew. In general, the secondary lines (laterals) are cleaned after report of
a blockage, or if the video of a sewer main indicates grease or roots build up
at the connections. After each emergency call, and depending on the severity
of the blockage or the age of the pipe, a follow up video inspection of the line
is scheduled. Based on the results of the inspection, if needed, further action
such as line replacement, root control or spot repair will be taken.
While the wastewater operation teams maintain the sewer mains and install
laterals and access holes, the majority of capital improvement projects are
handled through contracts with major construction companies.
4.2.4. Predictive Maintenance / Inspection Program
The City’s predictive maintenance program includes continuous monitoring of
the collection system using advanced technologies such as closed-circuit
television (CCTV), SCADA and in-line flow/level monitoring. Currently, after
each pipe cleaning event, the City’s crew uses CCTV to evaluate the
condition of the lines. A CCTV van equipped with various size cameras, a
hoist for lowering and lifting the camera, and an on-board computer is being
used for video inspection. The computer uses PicAx program for storing and
processing images. Each video footage is then downloaded into a GIS-based
program for further analysis. In addition to the video van, the City owns three
portable video systems that are being used for small diameter pipes and
secondary sewer lines.
In addition to CCTV and SCADA, the operation staff relies on periodic visual
inspection of the mains by opening and inspecting manholes in areas with
potential for accumulation of FOG.
4.3. Rehabilitation and Replacement Program
Prioritizing long term sanitary sewer main projects involves analyzing data from
CCTV inspections, the Sanitary Sewer Master Plan – Capacity Study (2004),
maintenance frequency and severity, overflows, and risk for potential overflow.
In November 2006, a qualified contractor completed a CCTV project that videoed
over 95% of the City’s wastewater collection system. The Wastewater engineers
utilized the ICOMM database, equipped with a rating system, to create a
Damage Severity Index (DSI) for the entire video catalog. Lines can be sorted
and prioritized by DSI, type of defect, location, or other attributes. Once a priority
list is established, the engineering division adds the list to its CIP plan.
The wastewater engineers also utilize the operation’s maintenance records as a
key indicator to develop a priority list for the CIP plan. Structural deficiencies that
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cause overflows are high priority items. Areas with a high risk of overflows move
up on the project’s priority list.
The City has an annual project for rehabilitation and replacement of its sanitary
sewer system. The funds that support the Capital Improvement Program come
from the City’s Sewer Fund. The sewer fund is an enterprise fund and sewer
fees are established to meet projected needs.
The City replaces non-plastic lower laterals and ABS laterals older than 10 years,
while replacing mains in CIP projects.
Short-term sewer projects that involve minor main or lateral replacement are
performed by the WGW operations’ crew or by a contractor. The City Purchasing
Department has a procedure in place that allows staff to expedite the process of
hiring a contractor to perform small CIP projects.
4.4. Training Program
The City uses a combination of in-house classes, on the job training, and
conferences, seminars, and other training opportunities to train its wastewater
collection system staff. The City encourages collection system staff to obtain
Technical Certification through the California Water Environment Association
(CWEA). A copy of the 2009 Collection System Maintenance Certification
Candidate Handbook is included in the Element 4 Appendix for reference. In
addition, vendors provide in-house training on tools or equipment newly
purchased for use in WGW operations. While the majority of the wastewater
collection system operators have 10 or more years of service with the City,
ongoing training on various aspects of the wastewater collection system is
essential to a successful operation. A portion of bi-weekly tailgate meetings is
dedicated to training on various wastewater topics.
Since 2007, the City of Palo Alto and its wastewater partner agencies have
formed a collection system group that meets on a quarterly basis. The meeting
is being used for information sharing and training of the collection system
operators. Most recently, overflow volume assessment and wastewater rerouting
procedures were demonstrated, and employees from local agencies had the
opportunity to participate in hands-on training.
On an annual basis, the WGW operators receive training on the following topics:
storm water pollution prevention, confined space entry, biological and chemical
hazards, VacCon safety, underground construction, use of gas detectors,
application of overflow control materials, back injury prevention, overflow
reporting and field documentation. In addition, the City provides free training and
seminars on various professional development topics including computer
application, writing, and communication skills.
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4.5. Resources & Budget
4.5.1. Budget
On an annual basis, the City of Palo Alto spends over 14 million dollars on
design, construction, operation, maintenance and administration of the
sanitary sewer collection system. A summary of the 2008-2009 budget is
shown in Table 4-1.
Table 4-1 – Collection System Budget Summary for Fiscal Year 2008-09
Fund Element
FY 2008-09
Starting
Budget
Comments
Operation & Engineering
10,050,000 Includes media
resources and public
education
CIP 4,000,000 CIP Projects
Environmental Compliance 110,000 FOG program
Total 14,1100,000
4.5.2. Tools and Equipment Inventories
A summary of major tools and equipment that are being used by operation
staff to maintain the City’s collection system is shown in Table 4-2 on the
following page. The smaller tools are kept inside the service vehicles and are
easily accessible to field personnel. However, the larger tools and equipment
are housed inside the City’s Municipal Service center (MSC). The MSC
building is accessible to employees who have an access key card to enter the
building.
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Table 4-2 – Tools and Equipment Inventory List
Description Number Comments
Flush Truck (VacCon) 2
Rodding Truck 1
Service Vehicles 3
Emergency Trailer 1
Standby Van 1
Shoring Trailer 1 Used for deep trenches
Dump Truck 5 yard 2
Dump Truck 10 yard 1
Backhoe 1
Service Vehicles 3
Video Van 1 Televising capability from 6” -24”
Video Camera 2 Used for laterals
6” Pump 1 MSC
2” Pump 2 MSC
11/2” Pump 1 MSC
Generators 3 MSC
Snake Machine 2 Standby vehicle
Smoke Machine
1 MSC
Spill Control Rubber Dam 10 Placed inside service vans and sewer
vehicles
Spill Control Rubber Matt 10 Placed inside service vans and sewer
vehicles
Gas Detector 4
4.5.3. Contingency Equipment and Replacement Inventories
As shown in Table 4-2, the City uses various types of equipment to operate
and maintain its 208 miles of wastewater collection system. To prevent any
down time, tools and equipment are serviced by qualified mechanics in the
General Shop, which is managed by Operations. In addition, the Fleet
department is responsible for maintenance of heavy equipment and
responding to regular or after-hour emergency repairs. Replacement parts
costing less than $5,000 can be purchased immediately by the supervisors or
the managers. The more expensive equipment such as pumps, trailers, or
trucks are purchased through a procurement process. The City also operates
a General Store that maintains spare parts and critical operational items for
use by the crew. After hour and weekend access to the store is limited to
managers and senior staff.
4.5.4. Record Keeping and Data Management
In 2005, the City purchased a new web-based application package for
tracking and analyzing wastewater collection system data. The new
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database, ICOM3, is capable of handling various operational tasks including
scheduling daily activities, tracking inspection reports, storing video footage
and compiling regulatory reports. The new program is being used by both
engineering and operations personnel. In addition, historically, both
engineering and operations have been storing hard copies and electronic
copies of sewer-related activities including work orders, as-built drawings,
reports, and the collection system maps.
Hard copies of SSO records are kept in the City’s Municipal Service Center,
building C- WGW operations, located at 3201 East Bayshore Road in Palo
Alto. The records must be kept for a minimum of five calendar years.
List of Documents in the Element 4 Appendix (see separate tab):
1. Flushing Program for Hot Spots
2. 2009 Collection System Maintenance Certification Candidate Handbook
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5. Element 5 – Design and Performance Provisions
SWRCB Requirements:
a. Design and construction standards and specifications for the installation of new sanitary
sewer systems, pump stations and other appurtenances; and for the rehabilitation and
repair of existing sanitary sewer systems; and
b. Procedures and standards for inspecting and testing the installation of new sewers,
pumps, and other appurtenances and for rehabilitation and repair projects.
RWQCB Requirements:
Each wastewater collection system agency shall identify procedures and standards for
inspecting and testing the installation of new sewers, pump stations, and other appurtenances;
and for rehabilitation and repair projects.
5.1. Standards for Installation, Rehabilitation and Repair
The City has standard specifications for installation, rehabilitation and repair of
facilities. The Utility Standards: Water, Gas, and Wastewater include standard
detail design criteria, products, installation procedures and testing for wastewater
facilities. Utility Standards incorporate, by reference, other City department
standards including Public Works and Traffic, technical association standards
(i.e. ASTM, AASHTO, AWWA) and CALTRANS standards. Section 2730 of the
Utility Standards, the Wastewater Design Standards, is included in the Element
5 Appendix.
5.2. Standards for Inspection and Repair
Inspection and repair standards are included in the Utility Standards as noted
above. The City has five full time inspectors to monitor the construction of CIP
projects and customer service installations to ensure compliance with the City’s
specifications.
List of Documents in the Element 5 Appendix (see separate tab):
1. Wastewater Design Standards
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6. Element 6 – Sanitary Sewer Overflow Emergency
Response Plan
SWRCB Requirements:
Each Enrollee shall develop and implement an overflow emergency response plan that
identifies measures to protect public health and the environment. At a minimum, this plan must
include the following:
a. Proper notification procedures so that the primary responders and regulatory agencies
are informed of all SSOs in a timely manner;
b. A program to ensure an appropriate response to all overflows;
c. Procedures to ensure prompt notification to appropriate regulatory agencies and other
potentially affected entities (e.g. health agencies, Regional Water Boards, water
suppliers, etc.) of all SSOs that potentially affect public health or reach the waters of the
State in accordance with the MRP. All SSOs shall be reported in accordance with this
MRP, the California Water Code, other State Law, and other applicable Regional Water
Board WDRs or NPDES permit requirements. The Sewer System Management Plan
(SSMP) should identify the officials who will receive immediate notification;
d. Procedures to ensure that appropriate staff and contractor personnel are aware of and
follow the Emergency Response Plan and are appropriately trained;
e. Procedures to address emergency operations, such as traffic and crowd control and
other necessary response activities; and
f. A program to ensure that all reasonable steps are taken to contain and prevent the
discharge of untreated and partially treated wastewater to waters of the United States
and to minimize or correct any adverse impact on the environment resulting from the
SSOs, including such accelerated or additional monitoring as may be necessary to
determine the nature and impact of the discharge.
RWQCB Requirements:
Each wastewater collection system agency shall develop an overflow emergency response
plan with the following elements:
• Notification – Provide SSO notification procedures.
• Response – Develop and implement a plan to respond to SSOs.
• Reporting – Develop procedures to report and notify SSOs per SSO Monitoring and
Reporting Program.
• Impact Mitigation – Develop steps to contain wastewater, to prevent overflows from
reaching surface waters, and to minimize or correct any adverse impact from SSOs.
The components of Sanitary Sewer Overflow Emergency Response Plan are as shown
in the paragraphs below.
6.1. Notification
The initial notification of a blockage or SSO from the public is through the City’s
24-hour Dispatch Center. SSO-related calls are routed to the Dispatch Center
for proper documentation and tracking. The Dispatch Center is responsible for
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routing the calls to the appropriate response team. SSO’s observed by City
Utilities Staff in the course of their normal duties are also reported immediately to
the Dispatch Center and the WGW Operations Office Staff if feasible.
During the response time, the dispatcher is in communication with the
responding team to ensure each call is being routed to the appropriate supervisor
or other supporting team. The Dispatch Center records communications between
the callers, as well as the responders and any other supporting team that is being
dispatched to the SSO scene. Direct SSO calls to WGW operations are also
forwarded to the dispatch center for tracking and documentation.
6.2. Responsibility of Dispatch Center
Utilities customers can report overflows or sewer blockages by calling one of the
following numbers: (650-329-2579), (650-329-2413) or the emergency 911
number. These phone numbers are well publicized via the monthly utility bills to
customers. Upon a receipt of a sewer call, staff at the Dispatch Center collects
the following information:
a. Time and date of call
b. Incident number
c. Specific location
d. Nature of call
e. In case of SSO, start time of overflow
f. Caller’s name and phone number
g. Caller’s observation (e.g., odor, duration, location on property,
cleanouts or manholes)
h. Other relevant information
i. Responder call sign number
Depending on the time of the call, the dispatch center uses the schedule shown
in Table 6-1 to dispatch a response team.
Table 6-1 - Schedule for Dispatching a Response Team
Days Time 1st Responding Team 2nd Responding Team
0630-1600 FSR Crew
1600-2100 FSR Standby Crew
Weekdays*
2100-0630 Standby Crew
0800-1800 FSR Standby Crew Weekends &
Holidays** 1800-0800 Standby Crew
* On Fridays, the standby team starts at 1500 hours.
** Holiday calls are covered by an on-call contractor for responding to Category 2 SSO’s.
Contractors are trained in City procedures for responding to and reporting SSOs.
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Standby Crew procedure and responsibilities are described in the WGW Standby
Policy, which is included in the Element 6 Appendix.
6.3. SSO Response
In Palo Alto, depending on the time of the day, two teams are assigned to
respond to sewer related calls. The responsibility of each response team is
described as follow:
6.3.1. Responsibilities of the 1st Response Team
It is the responsibility of the first responder who arrives at the site of a sewer
overflow to protect the health and safety of the public by mitigating the impact
of the overflow to the extent feasible. Should the overflow not be the
responsibility of the City of Palo Alto but there is imminent danger to public
health, public or private property, or to the quality of waters of the U.S., then
emergency action, including traffic and crowd control, is taken until the
responsible party arrives on the scene and assumes command and control of
the incident. Upon arrival at an SSO, the response crew does the following:
• Determines the cause of the overflow, (e.g. sewer line blockage; pump
station mechanical or electrical failure, sewer line break, etc).
• Identifies and requests, if necessary, assistance or additional
resources to correct the overflow or to assist in determining the cause.
• Determines if private property is impacted. If yes, the dispatch center
immediately notifies the wastewater supervisor or the standby
supervisor.
• Takes immediate steps to stop the overflow (e.g. relieve pipeline
blockage, block the storm drain to recover some or all of the overflow,
manually operate pump station controls, repair pipe, etc). Additional
steps may be considered where overflows from private property
threaten public health and safety (e.g., an overflow running off of
private property into the public right-of-way).
• Requests additional personnel, materials, supplies, or equipment that
will expedite and minimize the impact of the overflow.
If the first response team is a Field Service Representative (FSR), the
response is limited to initial field assessment and basic containment of the
overflow. Based on the initial assessment, if needed, the 2nd response team
with the appropriate equipment will be called in. Each FSR is trained to arrive
to the scene as quickly as practicable, often within 20 minutes of receiving the
call. In the event that an SSO has entered a storm drain, the FSR will
document the amount of SSO that has entered the storm drain and notify the
Wastewater Collection Supervisor or Standby Supervisor. The FSR remains
at the site until the 2nd response team arrives.
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6.3.2. Responsibility of the 2nd Response Team
The level of response to each overflow may vary depending on the location
and the volume of SSO. As a guideline for the responding team, the SSO’s
are divided into the following categories:
• Level I - Discharge is contained and has not reached the storm drain.
Wastewater and debris will be collected for disposal to the collection
system. The Field Crew Lead or Primary Standby person is responsible
for collecting and documenting the field data on the City’s Main/Lateral
Overflow Report Form.
• Level II - Discharge enters a storm drain but the overflow has stopped.
When the overflow enters a storm water catch basin, the second
responding team uses the storm drain collection system map to block the
downstream storm drain to prevent wastewater flow from reaching a creek
or the bay. If the crew determines that further work is needed to remove
the blockage of the line, efforts must be given to eliminate the stoppage
before initiating the clean up process. Clean up must include washing off
the affected area and rinsing the storm drain with fresh water. Rinse
water is vacuumed for recovery. The Field Crew Lead or Primary Standby
person is responsible for collecting and documenting the field data on the
City’s Main/Lateral Overflow Report Form. The Supervisor-In-Charge
must be immediately notified to receive SSO information for filing the 2-
hour report.
• Level III – Overflow is on going and has reached the storm drain,
pump station, creek or the bay.
After the initial assessment by the responding team, the crew lead must
notify the Wastewater Collection System supervisor or the Standby
supervisor. The crew must continue to remove the blockage, minimize
flow to the storm drain and wait for further instruction.
It is the responsibility of the responding supervisor to determine the proper
course of action. The supervisor will utilize the wastewater collection
system map, storm drain collection system map and other documentation
to minimize the impact of the overflow to the environment. If the stoppage
is anticipated to result in a prolonged overflow, the supervisor requests
additional crew and equipment to remedy the situation, and if necessary,
initiates rerouting of the wastewater. If an SSO reaches the creek or the
bay, the supervisor may request additional assistance from outside
agencies that are the wastewater treatment plant partners (City of
Mountain View, City of Los Altos, Town of Los Altos Hills, Stanford
University and the East Palo Alto Sanitary District).
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If wastewater reaches a flowing creek, the supervisor may direct the crew
to collect water samples in the event sample analysis is expected.
Sampling must be in accordance to the sampling procedures.
The Field Crew Lead or Primary Standby person is responsible for
collecting and documenting the field data on the City’s Main/Lateral
Overflow Report Form. It is the supervisor’s responsibility to immediately
file the two-hour notification with the regulatory agencies.
In the event that a major SSO occurs, or when wastewater reaches the
creek or the bay, the Wastewater Supervisor/Supervisor-In-Charge must
notify the Utilities WGW Operations manager, Public Work’s Operation
Manager and the Environmental Control Program Manager.
6.3.3. SSO’s That Reach Surface Water
If an SSO is confirmed to have entered a creek or waterway, the wastewater
supervisor and the operation manager must be immediately notified. The
crew will do the following:
• Determine the extent of the SSO.
• Determine if the creek is safe to enter. During the winter storm season,
cleaning the creek may not be feasible due to high water flows.
• Supervisor must call in for additional help and equipment.
• If feasible, block the creek downstream of the affected area. Block the
creek in an area that is safe to enter and is accessible to set up a
pump or utilize VacCons.
• To extent feasible, remove the contaminated water.
• May collect samples from upstream and downstream of the location of
overflow.
• If a beach is contaminated, the supervisor must direct the crew to post
warning signs at the beach and other affected nearby locations with
public access.
6.3.4. Water Quality Sampling and Testing
Water quality sampling and testing is expected to occur when wastewater
enters a body of water. Samples may be collected by trained personnel or the
Supervisor-In-Charge. The water quality sampling procedures are listed
below:
• Use an ammonia test strip. If positive, then conduct sampling.
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• Samples should be collected as soon as feasible after the discovery of
the SSO event.
• Only take samples when it is safe to do so. Do not enter a confined
space area.
• The water quality samples should be collected from upstream and
downstream of the overflow (e.g. creeks). The water quality samples
should be collected near the overflow point of entry to the waterbody
and every 100 feet along the shore on impoundments (e.g. ponds).
• If the presence of ammonia is confirmed, additional samples must be
collected for total coliform, fecal coliform, biochemical oxygen demand
(BOD), and dissolved oxygen tests.
• If the beaches are contaminated, collect a sample every 100 feet from
the point of SSO entry to the beach.
• Follow-up sampling will be performed to determine when posted signs
can be removed. The Wastewater Supervisor will make follow-up calls
to affected agencies until posting has been discontinued.
6.3.5. SSO Resulting from Pump Station Failure
The City of Palo Alto operates only one wastewater lift station that is located
in Foothill Park and serves a small community of less than 30 customers.
The station houses two pumps that lift wastewater and discharges through
900 feet of force main into a 10-inch gravity sewer line. The pump station is
controlled by SCADA and maintained by the wastewater crew and the
Maintenance Mechanics on a regular basis. In case of any pump failure, the
high level sensor activates the SCADA alarm system and the standby crew
will be dispatched to the stations. To prevent overflow, wastewater from the
wet well can be pumped into a vacuum truck for disposal to a nearby sanitary
sewer manhole.
6.4. Sanitary Sewer Overflow Cleanup
Sewer overflow sites are cleaned after an overflow. No readily identified residue
(e.g., sewage solids, papers, rags, plastics, rubber products) will remain on site.
Where practical, contaminated areas including storm drain lines are to be
thoroughly flushed and cleaned of any wastewater or wash-down water. Solids
and debris are to be flushed, swept, raked, picked-up and placed in the sewer or
transported for proper disposal.
The overflow site is to be secured to prevent contact by members of the public
until the site has been thoroughly cleaned. Posting, if required, should be
undertaken pursuant to the Section titled Public Advisory Procedure.
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Where appropriate, the overflow site is to be disinfected and deodorized. Where
wastewater has resulted in ponding, the pond should be pumped dry and the
residue returned to a sewer line or off-site. If a pond area contains wastewater
which cannot be pumped dry, it may be treated with bleach. If wastewater has
reached a body of water that may contain fish or other aquatic life, bleach or
other appropriate disinfectant should not be applied, and the California State Fish
and Game Department should be contacted for specific instructions.
Use of portable aerators may be required where complete recovery of
wastewater is not practical and where severe oxygen depletion in existing
surface water is expected.
6.5. Documentation
The Wastewater Collection System supervisor is responsible for reviewing the
field documentation and reporting SSO’s to the appropriate agencies. Hard
copies of SSO records are maintained in the City of Palo Alto Municipal
Service Center (MSC) for a minimum of 5 years from the date of the SSO.
This period may be extended when requested by the Regional Water Board
Executive Officer.
Depending on the nature of the issue (blockage or SSO), the field crew will
use appropriate forms to document field activities. A Field Service Report is
filled out to document the call. If the blockage does not result in an overflow,
the crew fills out the Sewer Main/lateral Overflow Stoppage Report. If the
blockage causes an overflow, the crew fills out the Sewer Main/Lateral
Overflow Report (SSO compliance). For the Category 1 SSO (see next
section for definitions), the Supervisor-In-Charge must fill out the 2nd page of
the Sewer Main/Lateral Overflow Report (SSO compliance). These Report
forms are included for reference in the Element 6 Appendix.
6.6. Reporting
6.6.1. SSO Categories
Two categories of SSO’s are defined by the State Water Board as follows:
Category 1 SSO:
All discharges of sewage resulting from a failure in the City’s sanitary sewer
collection system that:
• Equal or exceed 1,000 gallons, or
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• Result in a discharge to a drainage channel1 and/or surface water, or
• Discharge to a storm drainpipe that was not fully captured and returned
to the sanitary sewer system
Category 2 SSO:
All other discharges that originate from the City-owned collection system and
do not meet the criteria as listed for a Category 1 SSO.
The City has further defined a Category 3 SSO as follows:
This category includes any discharge that originates from pipes, clean-outs or
manholes that are not owned and operated by the City. Reporting of these
SSO’s is optional.
6.6.2. Initial SSO reporting for Category 1 SSOs
• The Field Person will immediately notify the Supervisor-In-Charge.
• The Wastewater Collections Supervisor will notify the Water-Gas-
Wastewater Operation Manager. If the wastewater reaches the creek
and assistance from outside agencies is needed, the Assistant Director
of Utilities Operation will be notified.
• The Supervisor-In-Charge will review the field data for reporting to
regulatory agencies. A guide to reporting to regulatory agencies is
shown in Figures 6-1 and 6-2 on the following pages.
6.6.3. Follow up SSO reporting for Category 1
• The Supervisor-In-Charge is responsible for filing an electronic report
to RWQCB within 24 hours of becoming aware of the SSO by logging
into: http://www.wbers.net/
• Within 3 business days of the SSO incident, the Supervisor-In-Charge
must submit the initial report to the SWRCB’s by logging into CWIQS
data base @ http://ciwqs.waterboards.ca.gov/ciwqs
• Within 15 calendar days of the completion of response activities for an
SSO incident, Operation Manager must review and certify the report by
logging into CWIQS data base @
http://ciwqs.waterboards.ca.gov/ciwqs
1 A “drainage channel” is now defined on the State Water Board website as “…(1) a man-made canal
used to transport storm water as part of a municipal separate storm sewer system, or (2) an
intermittent or perennial stream bed.”
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Reports will be filed in accordance to the City of Palo Alto’s SSO Reporting
Procedure. See Figures 6-1 and 6-2 on the following pages for regulatory
requirements associated with reporting to regulatory agencies.
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Figure 6-1 – Guide For Reporting SSOs to Regulatory Authorities – Part 1
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Figure 6-2 – Guide For Reporting SSOs to Regulatory Authorities – Part 2
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6.6.4. Initial SSO reporting for Category 2
• If the wastewater enters the storm drain and is fully recovered, the field
crew will immediately notify the Supervisor-In-Charge.
• The Supervisor-In-Charge will review the field data for reporting to the
regulatory agencies. See Figures 6-1 and 6-2 for more information.
6.6.5. Follow-up SSO reporting for Category 2
Within 30 calendar days after the end of the calendar month in which the SSO
occurs, the Operations Manager must review and certify the report by logging
into CWIQS data base @ http://ciwqs.waterboards.ca.gov/ciwqs .
6.6.6. Private Lateral Discharges
The Wastewater Collections Supervisor may report private lateral SSO’s
using CIWQS at his discretion, specifying that the sewage discharge occurred
and was caused by a private line and identifying the responsible party, if
known.
6.6.7. No Spill Certification (Monthly)
Within 30 calendar days after the end of each calendar month, if there are no
SSO’s during the calendar month, the Wastewater Collections Supervisor will
submit an electronic report that the City did not have any SSO’s. The Utilities
Operations Manager will certify the report.
6.6.8. CIWQS Not Available
In the event that CIWQS is not available, the Wastewater Collection
Supervisor will fax all required information to the RWQCB office at (510) 622-
2460 in accordance with the time schedules identified above. In such an
event, the city will submit the appropriate reports using CIWQS as soon as
practical.
It is very important to NOT use the RWQCB fax number for 2-hour reporting
or 24-hour certification (such as shown in Figure 6-2). The RWQCB does not
accept those reports by fax due to their urgent nature.
6.6.9. Reporting to the City’s FOG Program
If an SSO is determined to be caused by grease from one or more food
service facilities, the City’s FOG program manager, located at the Regional
Water Quality Control Plant (RWQCP) will be notified. The wastewater
supervisor is responsible to report the following information to the FOG
program:
• Location of all affected laterals and the sewer main
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• Date, time, address, and cause of the SSO
• Severity of the FOG
• If available, a copy of the CCTV
6.6.10. Public Advisory Procedure
In the event wastewater reaches surface water, marsh lands or a local beach,
the Supervisor-In-Charge will initiate a public notification process by posting
signage at the affected area. The postings do not necessarily prohibit use of
recreational areas, unless posted otherwise, but provide a warning of
potential public health risks due to wastewater contamination.
6.6.11. Media Notification Procedure
When an overflow has been confirmed and is a threat to public health, the
following actions should be taken, if necessary, to notify the media:
1. Field crew verifies the overflow and reports back to the Supervisor.
2. The Supervisor or the Operation manager will contact the City’s Public
Communication Manager (PCM). The City’s PCM is responsible for
updating the Media.
3. The status report must include; time, location, volume of SSO, health
and safety concerns, road closures and other relevant information.
4. Any calls from the media should be routed to the PCM or the Assistant
Director of the Utilities Operations.
5. The following personnel are authorized to be interviewed by the media
and are the designated spokespersons:
Contact Name Phone Number
Clerkson, Linda 650-329-2656
Batchelor, Dean 650-496-6981
6.6.12. SSO Investigation and Mitigation
It is the responsibility of the Wastewater Supervisor to investigate an SSO
and determine the cause of the overflow. The supervisor must determine if
additional maintenance is needed or a repair/replacement is required. The
procedures for investigating the SSO are:
• Review the incident/overflow report
• Interview responding crew members
• Review past maintenance records
• Review past CCTV records
• Conduct new CCTV inspection if necessary
• If the SSO is caused by FOG, report to Environmental Compliance
Division for further investigation
SEWER SYSTEM MANAGEMENT PLAN
ELEMENT 6 – EANITARY SEWER OVERFLOW EMERGENCY RESPONSE PLAN
6-14
• If the SSO is located within the designated hot spot areas, consider
increasing the maintenance frequency
• If the SSO is due to pipe failure, schedule repair or replacement as
soon as feasible
• If the SSO is due to an under-sized pipe, infiltration/inflow or other
engineering defects, contact the Utilities Engineering Division for
inclusion in the CIP work
6.6.13. Post-SSO Debriefing
As soon as feasible after major SSO events, the participants – from the
person who received the call to the last person to leave the site – should meet
to review the procedures used and to discuss what worked and where
improvements could be made in responding to and mitigating future SSO
events. The results of the debriefing should be recorded and tracked to
ensure the action items are completed. These records will be attached to the
Wastewater Service Call Report.
6.6.14. Reporting Back to the Customer
In the event the initial overflow calls are from a citizen in Palo Alto, the
Supervisor-In-Charge should follow up in person or by telephone to thank the
caller for their efforts. The cause of the overflow and its resolution should also
be provided to the customer upon request.
6.7. Training
Training of wastewater collection system staff, including overflow emergency
response, is covered in Section 4.4 of this SSMP.
List of Documents in the Element 6 Appendix (see separate tab):
1. WGW Standby Policy
2. Field Service Report Form
3. Sewer Main / Lateral Stoppage Report Form
4. Sewer Main / Lateral Overflow Report Form
SEWER SYSTEM MANAGEMENT PLAN
ELEMENT 7 – EATS, OILS, AND GREASE (FOG) CONTROL PROGRAM
7-1
7. Element 7 – Fats, Oils, and Grease (FOG) Control
Program
SWRCB Requirements:
Each Enrollee shall evaluate its service area to determine whether a FOG control program is
needed. If an Enrollee determines that a FOG program is not needed, the Enrollee must
provide justification for why it is not needed. If FOG is found to be a problem, the Enrollee must
prepare and implement a FOG source control program to reduce the amount of these
substances discharged to the sanitary sewer system. This plan shall include the following as
appropriate:
a. An implementation plan and schedule for a public education outreach program that
promotes proper disposal of FOG;
b. A plan and schedule for the disposal of FOG generated within the sanitary sewer
system service area. This may include a list of acceptable disposal facilities and/or
additional facilities needed to adequately dispose of FOG generated within a sanitary
sewer system service area;
c. The legal authority to prohibit discharges to the system and identify measures to
prevent SSOs and blockages caused by FOG;
d. Requirements to install grease removal devices (such as traps or interceptors), design
standards for the removal devices, maintenance requirements, BMP requirements,
record keeping and reporting requirements;
e. Authority to inspect grease producing facilities, enforcement authorities, and whether
the Enrollee has sufficient staff to inspect and enforce the FOG ordinance;
f. An identification of sanitary sewer system sections subject to FOG blockages and
establishment of a cleaning maintenance schedule for each section; and
g. Development and implementation of source control measures for all sources of FOG
discharged to the sanitary sewer system for each section identified in (f) above.
RWQCB Requirements:
Each wastewater collection system agency shall evaluate its service area to determine
whether a FOG control program is needed. If so, a FOG control program shall be developed as
part of the Sewer System Management Plan (SSMP). If an agency determines that a FOG
program is not needed, the agency must provide justification for why it is not needed.
Fats, oils, and grease, abbreviated as FOG, are an issue due to their ability to cause
sanitary sewer blockages that may result in discharges of untreated wastewater in Food
Service Establishments (FSE’s) and to storm drains, creeks and the San Francisco Bay.
FOG discharges result from improper management of food waste in residences and
commercial FSE’s. The RWQCP adopted ordinance language in 1992 requiring FSE’s
with grease generating activities to install grease removal devices. Additional ordinance
requirements addressing FOG from FSE’s were adopted in 2002, including a prohibition
on installation of food waste disposers (garbage disposals), and a requirement that
existing food waste disposers be removed by January 1, 2007. The Sewer Use
Ordinance was revised in 2008 to include more requirements for FSE’s to help reduce
the number of FOG-related SSOs, for purposes of FOG discharge prevention to the
sanitary sewer and pollution prevention to storm drain systems.
SEWER SYSTEM MANAGEMENT PLAN
ELEMENT 7 – EATS, OILS, AND GREASE (FOG) CONTROL PROGRAM
7-2
7.1. Goals for the FOG Program
The City of Palo Alto has implemented a FOG Control Program due to the
significant number of FOG-generating FSE’s in the City. The benefits of a FOG
Control Program include FOG discharge prevention to the sanitary sewer and
storm drain systems, storm drain pollution prevention from SSO’s and FSE
practices, reducing the number of FOG-related SSO’s, improving public health
and safety, avoiding of overflow-related fines, minimizing property damage
claims, minimizing the risk of lawsuits, improving sewer maintenance and
improving the FSE business environment. The primary goal of the FOG program
is to reduce the number, severity and frequency of SSO’s linked to FOG and to
reduce the environmental impact, liability and exposure to the City, and the costs
associated with SSO clean up.
Since 1996, Palo Alto has maintained a food service program that included
developing and implementing Sewer Use Ordinance (SUO) provisions, site
inspection procedures, enforcement action procedures, Best Management
Practices (BMPs) and distribution of literature. The FOG Program began during
the second half of 2006 with the addition of a full time FOG Program Investigator.
In 2008, the program added a FOG database system running on a tablet PC
which is used for inspections, data formatting, generation of follow-up letters and
storm drain program inspections as they relate to FSE’s. Also during 2008,
criteria for a Grease Hauler Service Contract Work Plan was developed under
the FOG program. The Work Plan includes Program Objectives, Ordinance
Revisions, Request for Proposal (RFP), draft Agreement, draft Council Meeting
Review (CMR) and other documents related to this project.
7.2. Source Control
The City has several high density and high volume restaurant areas including
Downtown, Midtown, and the California Avenue Business District, which are
known hot spots of FOG discharge. There are also several smaller clusters of
FSE’s and other individual restaurants. These areas and specific FSE’s have
been the primary targets for increased inspection, enforcement, and preventive
cleaning.
The Partner Cities remain responsible for their collection systems and are
developing independent SSMP and FOG Control Programs. The City of Palo Alto
will continue to support the satellite systems as needed with creation of outreach
materials, training, and assistance with FSE inspections.
The City’s FOG Program staff manages plan check and specifications for newly
constructed and remodeled FSE’s to ensure items required by the Palo Alto
Municipal Code are completed prior to approval of building permits. The Water
Quality Plan Check Requirements for Newly Constructed, Tenant Improvement
and Remodeled FSE Projects are included in the Element 7 Appendix. Grease-
generating drainage fixtures must be connected to a GCD. Non-grease
SEWER SYSTEM MANAGEMENT PLAN
ELEMENT 7 – EATS, OILS, AND GREASE (FOG) CONTROL PROGRAM
7-3
generating drainage fixtures including hot discharge equipment can be
connected directly to the sanitary sewer system. When drainage fixtures are
properly plumbed and the GCDs are properly maintained, there should be very
little to no FOG discharging to the sanitary sewer system. Improperly plumbed
pipes and drainage fixtures are generally associated with FOG buildup
downstream, and occurrences of sewer backups or SSO’s.
New buildings constructed to house food service facilities are required to include
a covered area for a dumpster. The area is designed to prevent water run-on to
the area and runoff from the area. Drains that are installed within the enclosure
for recycle and waste bins, dumpsters and tallow bins (used oil containers)
serving food service facilities are optional. Any such drains installed must be
connected to a GCD and the sanitary sewer. If tallow is to be stored outside, then
an adequately sized, segregated space for a tallow bin must be included in the
covered area.
7.3. Food Service Establishment Inspections
There are over 300 FSE’s in the City of Palo Alto. The FOG program includes
comprehensive inspections and enforcement. Inspections of FSE’s occur on a
routine basis, and the City conducts more frequent inspections and enforcement
where necessary.
The FSE’s are categorized by their potential to contribute FOG to the wastewater
collection system or storm drains. Facilities located in hot spots or that have
otherwise been problematic are addressed first and receive more frequent
inspections. FSE’s are prioritized in one of the following categories:
• Problem FSE’s in hot spots
• Problem FSE’s not in hot spots
• FSE’s in hot spots
• FSE’s that have only had minor issues in the past
• FSE’s with potential to generate FOG
• FSE’s without significant potential to generate FOG (juice bars, coffee
shops, etc.)
A list of FOG hot spots is included in the Element 7 Appendix.
Past experience has shown that some facilities will frequently not meet all
requirements and will need ongoing attention. These facilities will be re-visited as
necessary. Facilities that demonstrate compliance will receive less attention.
During the inspections, the FSE is ranked on a scale of 1 (worst) to 5 (best) on
their compliance with BMPs and ordinance requirements. FSE’s that cause
problems in the sanitary sewer, storm drain systems or have violations of their
BMPs are rated 1 or 2 depending on their location. The problematic facilities that
rank 1 or 2 have one of more of the following issues:
• Experienced back-ups or overflows
SEWER SYSTEM MANAGEMENT PLAN
ELEMENT 7 – EATS, OILS, AND GREASE (FOG) CONTROL PROGRAM
7-4
• Contributed to FOG build up in the sanitary sewer (identified by CCTV or
cleaning records)
• Unresolved compliance issues
• Failed to follow the proper BMPs
• Failed to keep records
• Had storm drain violations
• Failed to comply with verbal or written directives
A Food Service Facility Inspection Survey form is included for reference in the
Element 7 Appendix.
In July of 2008, the ECD received updated lists of FSE’s from the County of
Santa Clara, Department of Environmental Health and the Consumer Protection
Division. Not all of the 393 facilities on the list require an inspection by the City of
Palo Alto, as many are farmer’s markets, gas stations and general food vendors.
Some of the facilities required more than one follow-up inspection.
In 2008, there were 374 FSE storm drain system inspections, which included
initial and follow-up FOG inspections. Thirty-three full FOG inspections were
conducted including 13 Green Business Compliance inspections, approving 9 to
be in compliance for the certification. Only 4 of the 33 FSE’s inspected were in
compliance at the time of full inspection. Efforts were concentrated in areas of
known problems and facilities with historical issues or known potential to
discharge grease. Two residential inspections were conducted at apartments
buildings in 2008, which were triggered by SSOs. We also conducted 5 FOG
Program inspections with our Partners: the Cities of East Palo Alto and Los Altos
Hills, and Stanford. Enforcement actions included 36 Compliance Directives, 58
Follow-up Letters, 1 Warning Letter, and 24 Notices of Non-compliance, 1
Compliance Agreement, and 4 Administrative Citations. There were 25 more
Compliance Directive type enforcement actions as they were replaced with an
automatically generating follow-up Letter with the new FOG Program Database.
Many of the FOG Program compliance issues were storm water related.
During the inspection, posters on BMPs for handling FOG are distributed. The
Bay Area Pollution Prevention Group (BAPPG) funded CalFOG to create a
poster that is available in English, Spanish, Korean, Chinese, and Vietnamese. In
2008, 49 posters were distributed (33 English, 13 Chinese and 3 Korean).
In addition to the Posters, BAPPG created food scrapers with the RWQCP’s
insignia and local disposal contact info from www.cleanbay.org and a phone
number. These food scrapers are BMP tools to help scrape off any remaining
food and FOG waste into the trash prior to rinsing kitchen items. The City
distributed at least 2 food scrapers to each FSE during inspections and during
many follow-up inspections. A total of 250 food scrapers were distributed to the
City of Los Altos for their FOG outreach projects.
Compliance with storm drain regulations is also assessed during the inspections.
Outdoor cleaning of kitchen equipment, dumping of mop water, and poor
SEWER SYSTEM MANAGEMENT PLAN
ELEMENT 7 – EATS, OILS, AND GREASE (FOG) CONTROL PROGRAM
7-5
housekeeping around trash compactors, trash bins and tallow bins is addressed.
Packages provided by the Santa Clara Valley Urban Runoff Pollution Prevention
Program (SCVURPPP) have been distributed to 40 FSE’s in 2008 during
inspections and with follow-up Letters. This package includes a letter from this
group; top ten BMPs for FSE’s and a poster addressing stormwater issues. The
package is designed for training staff in the proper procedures for cleaning FSE’s
inside and outside.
City staff educates the FSE management and staff on ordinance requirements
and BMPs to the extent practical during inspections. If a violation is observed, the
inspector issues a Compliance Directive as addressed in Follow-up Letters.
Follow-up Letters have taken more emphasis over Compliance Directives as they
can be generated with the new FOG Program database. Follow-up Letters are
sent or issued at the time of inspection as a “thank you” to the contact person for
their time and as a summary of the goals and observations during the inspection.
The Follow-up Letter reminds the FSE’s to complete tasks to achieve compliance
for outstanding violations. For FSE’s that do not achieve compliance,
enforcement will be escalated according to the RWQCP Pretreatment Program’s
Enforcement Response Plan.
7.4. 2008 Inspection Highlights of Food Service
Establishments
The City of Palo Alto highlights for the FOG inspection program are listed below:
• 33 full FOG inspections
• 374 FSE storm drain system inspections
• 36 Compliance Directives were issued
• 58 Follow-up Letters were issued
• 1 Warning Letters were issued
• 24 Notices of Noncompliance were issued
• 1 Compliance Agreements was issued
• 4 Administrative Citations including monetary penalties were issued
Enforceable actions included:
• Excessive FOG on and around tallow bins which are a threatened
discharge.
• Storm drain discharges or threatened storm drain discharges such as
washing kitchen equipment outside allowing wastewater to flow to the
storm drain system, and also dumping mop wastewater.
• Failure to keep a maintenance log that depicts GCD clean out activities.
• Failure to maintain a GCD by not cleaning the contents out frequent
enough not to allow excess FOG to pass down the line.
• Failure to have an adequate or properly functioning GCD.
• Contributing to at least one sanitary sewer overflow (SSO).
• The presence of food waste grinders that were to be removed by January
1, 2007.
SEWER SYSTEM MANAGEMENT PLAN
ELEMENT 7 – EATS, OILS, AND GREASE (FOG) CONTROL PROGRAM
7-6
• For large cafeterias and markets to have their floor finish MSDS submitted
by a given due date to ensure they use a Zinc-Free Floor Finish or the can
contain its waste and treat it as hazardous waste.
7.5. Outreach
7.6.1. Residential
Outreach for residents is an important component of the FOG program.
The Clean Bay Campaign highlighted FOG as a pollutant of concern. In
addition to the ads that were part of the campaign, residents received
FOG BMP information in their utility bills. An example FOG ad is included
in the Element 7 Appendix. There were also ads in movie theater
previews and in local newspapers. In 2008, the City of Palo Alto continued
the collection of tallow (yellow grease or used cooking oil) at the City’s
recycling center.
7.6.2. California Water Environment Association
Presentation
In April of 2008, RWQCP staff presented the City of Palo Alto’s FOG
Program highlights at the California Water Environment Association’s
(CWEA) Annual Conference in Sacramento, CA. In 2009, RWQCP staff
also presented an Overview of the City’s FOG Program and its Results at
the CWEA Annual Pretreatment, Pollution Prevention and Stormwater
Conference in Monterey, CA.
7.6. Regional FOG Groups
7.7.1. California Fats, Oils, and Grease Workgroup
In 2008, RWQCP staff continued participating in the statewide California
Fats, Oils and Grease (CalFOG) workgroup, a collaboration of wastewater
agencies addressing management practices for fats, oils and grease.
RWQCP staff funded the startup of CalFOG, and created and designed
the CalFOG website (located at www.calfog.org) in 2004 and continues to
maintain the site. In 2009, RWQCP staff will continue to support the efforts
of CalFOG.
7.7.2. Bay Area Pollution Prevention Group
In 2008, RWQCP participated in Bay Area Pollution Prevention Group’s
(BAPPG) FOG Hauler Outreach Project. The goal of this project was to
create outreach material on the proper FOG disposal and grease pumping
requirements of AB 1333 for FOG haulers in the Bay Area. In 2008-2009,
City staff served as chair of BAPPG.
SEWER SYSTEM MANAGEMENT PLAN
ELEMENT 7 – EATS, OILS, AND GREASE (FOG) CONTROL PROGRAM
7-7
7.7. Inspections and Compliance
The 2008 Clean Bay Pollution Prevention Plan includes a long-standing goal of
inspecting at least one-third of the FSE’s each year. The expanded FOG
program will include more rigorous inspections and enforcement but will maintain
the same goal for the number of inspections (Table 7-1).
Table 7-1 – Summary of FOG FSE Inspections for 2005-2008 & 2009 Goals
Year 2005 2006 2007 2008 Goal for 2009
Yearly Initial Inspections 10 117 88 33 110 (33%)
Yearly Total Inspections n/a n/a 286 374 200
FSE’s in Compliance at
Initial Inspection
n/a 37
(32%)
20
(23%)
40
(36%)
Compliance Directive 0 44 95 36 0*
Follow-up Letter 0 29 110 58 110
Notices of Noncompliance 2 30 32 24 20
Warning Letter 0 7 3 1 2
Compliance Agreement 0 0 4 1 0
*Compliance Directives will be classified as Notices of Noncompliance Letters in 2009
City staff has continued to prioritize FSE’s in problem areas where, according to
the City’s Water-Gas-Wastewater Division, major FOG build-up has been
identified. These areas have been targeted first due to the need for accelerated
line maintenance. When this round of inspections began in 2006, the intent was
to complete the initial inspections without too much follow-up and to create a
priority list for the next round. Due to the severity of the situations, the procedure
changed to do more follow-up and correct problems as they were discovered.
Once all of the facilities have received an initial visit, time demands are
determined and priorities are refined. Setting reasonable goals for inspection
frequency for each category and percentage of facilities in compliance will then
be possible, and a reduction of the number of 1- and 2-rated FSE’s in the system
should be achieved. The City will only know the percentage of 1- and 2-rated
FSE’s when all FSE’s have been inspected and ranked.
The City’s main goals for FSE’s are to have GCDs maintained frequently enough
to prevent FOG from escaping from GCDs and entering the sanitary sewer
system, ensuring drainage fixtures are correctly plumbed, keeping a
maintenance log for GCDs, not to wash kitchen equipment or discharge
wastewater to the storm drain system, and to maintain the tallow bin and trash
areas free of FOG and debris.
SEWER SYSTEM MANAGEMENT PLAN
ELEMENT 7 – EATS, OILS, AND GREASE (FOG) CONTROL PROGRAM
7-8
The FOG investigator continued to inspect FSE’s that applied for the County of
Santa Clara’s Green Business Certification Program and will continue in 2009.
The initial goal of inspecting at least one-third of the total FSE’s each calendar
year was adjusted due to elevated levels of follow-up and enforcement actions, in
addition to program development tasks. The City plans to continue thorough
inspections of FSE’s in 2009.
7.8. FOG Acceptance at RWQCP and Maximizing Energy
Recovery
At the present time, the RWQCP can accept up to approximately 6,000 gallons of
grease waste hauler loads per day. The grease waste hauler loads are currently
processed by combining the GCD waste loads with the floatables from the plant’s
primary sedimentation tanks. This mixture is pumped to the scum concentrator
allowing the combined floatables to be bled into the incinerator where it is used
as a fuel source to incinerate the biosolids from the plant. The excess water and
bottom solid waste from the GCD waste loads are returned to the plant’s head-
works to be treated with the service area’s sanitary sewer waste. The ultimate
outcome of the FOG is an ash which is disposed at another location.
In 2008, City staff investigated FOG acceptance procedures at the RWQCP in
order to evaluate the possibility of accepting additional grease waste hauler loads
in the future.
City staff has met with several FOG to biodiesel companies to discuss the option
of converting the grease hauler loads combined or separately with floatables
from the sediment tanks to biodiesel. The City will continue to investigate this
process in 2009.
List of Documents in the Element 7 Appendix (see separate tab):
1. Water Quality Plan Check Requirements: Newly Constructed, Tenant
Improvement and Remodeled FSE Projects
2. List of FOG Hot Spots
3. Food Service Facility Inspection Survey Form
4. Example FOG Ad
SEWER SYSTEM MANAGEMENT PLAN
ELEMENT 8 – EYSTEM EVALUATION AND CAPACITY ASSURANCE PLAN
8-1
8. Element 8 – System Evaluation and Capacity
Assurance Plan
SWRCB Requirements:
The Enrollee shall prepare and implement a capital improvement plan (CIP) that will provide
hydraulic capacity of key sanitary sewer system elements for dry weather peak flow conditions,
as well as the appropriate design storm or wet weather event. At a minimum, the plan must
include:
a. Evaluation: Actions needed to evaluate those portions of the sanitary sewer system that
are experiencing or contributing to an SSO discharge caused by hydraulic deficiency. The
evaluation must provide estimates of peak flows (including flows from SSOs that escape
from the system) associated with conditions similar to those causing overflow events,
estimates of the capacity of key system components, hydraulic deficiencies (including
components of the system with limiting capacity) and the major sources that contribute to
the peak flows associated with overflow events;
b. Design Criteria: Where design criteria do not exist or are deficient, undertake the
evaluation identified in (a) above to establish appropriate design criteria; and
c. Capacity Enhancement Measures: The steps needed to establish a short- and long-
term CIP to address identified hydraulic deficiencies, including prioritization, alternatives
analysis, and schedules. The CIP may include increases in pipe size, I/I reduction
programs, increases and redundancy in pumping capacity, and storage facilities. The CIP
shall include an implementation schedule and shall identify sources of funding.
d. Schedule: The Enrollee shall develop a schedule of completion dates for all portions of
the capital improvement program developed in (a)-(c) above. This schedule shall be
reviewed and updated consistent with the Sewer System Management Plan (SSMP)
review and update requirements as described in Section D. 14.
RWQCB Requirements:
Capacity Assessment: Each wastewater collection system agency shall establish a process
to assess the current and future capacity requirements for the collection system facilities.
System Evaluation and Capacity Assurance Plan: Each wastewater collection system
agency shall prepare and implement a capital improvement plan to provide hydraulic capacity
of key sewer system elements under peak flow conditions.
The Brown & Caldwell (B&C) and CH2MHILL Inflow/Infiltration (I/I) studies as well as
the Camp, Dresser and McKee (CDM) master plan study in the 1980’s provided the
basis for the City of Palo Alto’s 20-year CIP Rehabilitation/Augmentation Wastewater
Program adopted in 1990 by City Council. The rehabilitation projects recommended by
B&C are classified as priorities 1 through 4, but only priority 1 work was included in the
20-year CIP Wastewater Program. The early years of the 20-year program included
only cost-effective infrastructure projects, (i.e., diversion structures and rehabilitation
projects). By definition, excessive I/I occurs when the cost to treat the I/I exceeds the
cost to repair the sewer. Therefore, the rehabilitation projects were on a schedule that
was faster than the augmentation (capacity) projects.
SEWER SYSTEM MANAGEMENT PLAN
ELEMENT 8 – EYSTEM EVALUATION AND CAPACITY ASSURANCE PLAN
8-2
Design for the CIP projects for sewer rehabilitation has been performed by City staff.
Most of the design of augmentation work was designed in-house with certain project
designs supplemented by consultants on an as-needed basis.
In 2004, an update of the Master Plan was completed by MWH Americas for the City of
Palo Alto to ascertain the effectiveness of the 20-year rehabilitation/augmentation
wastewater program. This document is titled, “Wastewater Collection System Master
Plan –Capacity Assessment”, March 2004 (Master Plan). The Executive Summary of
this report and a CD containing the Master Plan are included in the Element 8
Appendix. The Master Plan included a model of the collection system and an
evaluation of the ability for the system to handle peak flows from a 5-year design storm.
Collection system improvements were designed for a 20-year design storm however.
Projects in the Master Plan were broken into three groups, phases ‘A’, ‘B’, or ‘C’. The
‘A’ group consists of high priority projects. The ‘B’ group corrects relatively minor
deficiencies. The ‘C’ group identifies potential future deficiencies.
The 2004 study, due to more refined modeling, concluded that the City’s 20-year CIP
program was so effective that new CIP implementation recommendations included the
elimination of $21 million (2003 dollars) of capacity improvements originally identified in
the 1988 Wastewater Collection (WWC) System Master Plan. With over half of Palo
Alto’s land area designated as parks or open space, a relatively small portion (less than
one percent) of the City consists of vacant, developable land with most projects being in
the form of redevelopments. The current 5-year WWC CIP projects are being refocused
to concentrate on the remaining capacity deficiencies noted in the updated Master Plan
priority A and selected B projects and ongoing system rehabilitation projects.
List of Documents in the Element 8 Appendix (see separate tab):
1. Wastewater Collection System Master Plan – Capacity Assessment: Executive
Summary
2. Wastewater Collection System Master Plan – Capacity Assessment (on CD)
SEWER SYSTEM MANAGEMENT PLAN
ELEMENT 9 – EONITORING, MEASUREMENT AND PROGRAM MODIFICATIONS
9-1
9. Element 9 – Monitoring, Measurement and
Program Modifications
SWRCB Requirements:
The Enrollee shall:
a. Maintain relevant information that can be used to establish and prioritize appropriate
Sewer System Management Plan (SSMP) activities;
b. Monitor the implementation and, where appropriate, measure the effectiveness of each
element of the SSMP;
c. Assess the success of the preventative maintenance program;
d. Update program elements, as appropriate, based on monitoring or performance
evaluations; and
e. Identify and illustrate SSO trends, including: frequency, location, and volume.
RWQCB Requirements:
Each wastewater collection system agency shall monitor the effectiveness of each SSMP
element and update and modify SSMP elements to keep them current, accurate, and available
for audit as appropriate.
9.1. Monitoring, Measurement
The City of Palo Alto Wastewater Operation tracks several performance
measures through tracking logs, computer database, and annual reports. The
field data for each event (pipe cleaning, SSO, lateral replacement and repairs) is
compiled in a database (ICOMM) and tracked via the GIS system. On a monthly
basis, the Operations Supervisor generates monthly reports to monitor and
evaluate the effectiveness of the City’s collection system operation. The monthly
report is also discussed with engineering staff at the Division’s regular monthly
meetings. In addition, since January 2005 and on annual basis, the report of
collection system activities has been submitted to the San Francisco Regional
Water Quality Control Board. The report includes the number, cause, location,
volume of SSOs and length of pipe cleaned and type of debris found. An Annual
SSO Report template is included in the Element 9 Appendix. The City plans to
continue tracking performance measures that are currently tracked.
In order to monitor the effectiveness of the SSMP, the City has selected certain,
specific parameters that can be documented and compared on an annual basis.
These parameters were selected because they are straightforward, quantitative,
and focused on results. Changes in these parameters over time will indicate the
overall success of the SSMP or, conversely, underlying conditions that can then
be investigated further. The actions or measures of program effectiveness are
shown in Table 9-1 on the following page.
SEWER SYSTEM MANAGEMENT PLAN
ELEMENT 9 – EONITORING, MEASUREMENT AND PROGRAM MODIFICATIONS
9-2
Table 9-1 – SSMP Monitoring Parameters, by SSMP Element
SSMP Element Summary of Element Purpose Actions or Measures for
Tracking Effectiveness
Goals
Reduce overflows Not needed
Organization
Establish the hierarchy and
assign responsibility within the
organization
Review , update and adjust based on
organizational changes
Legal Authority Ensure the City has sufficient
legal authority to properly
maintain the system
Modify as needed
Operation and Maintenance
Program
Minimize blockages and reduce
SSOs by properly maintaining the
system and keeping the system
in good condition
• Total number and volume of
SSOs
• Number of repeat SSOs (same
location as any previous SSO)
• Total number of mainline
blockages
• Total number of lateral blockages
• Length of pipe cleaned
• Length of pipe CCTV’d and
inspected
• Number of laterals replaced
• Length of mains replaced
• Number of clean outs installed
• Length of pipe treated for roots
Design & Construction
Standards
Ensure new facilities are properly
designed and constructed
Modify as needed
Overflow Emergency Response Provide timely and effective
response to SSO emergencies
and comply with regulatory
reporting requirements
• Response time
• Overtime hours
• Monthly trend analysis
Fats, Oils, & Grease Control Minimize blockages and
overflows due to FOG
• Number of blockages due to FOG
• Number of overflows due to FOG
• Number of Facility inspections
Capacity Management Minimize SSO’s due to
insufficient capacity by evaluating
system capacity and
implementing necessary projects
• Number of SSO’s due to capacity
limitations
• Number of SSO’s due to wet
weather
Monitoring, Measurement, &
Program Modifications
Evaluate effectiveness of SSMP,
keep SSMP up-to-date, and
identify necessary changes
As needed
Program Audits
Review the program
effectiveness and make
necessary changes to comply
with the requirements
Formally audit the program every
year
Communication Program Evaluate effectiveness of
communication program and
identify necessary changes
As needed
SEWER SYSTEM MANAGEMENT PLAN
ELEMENT 9 – EONITORING, MEASUREMENT AND PROGRAM MODIFICATIONS
9-3
9.2. Program Modifications
The Palo Alto’s SSMP will be modified to include operational changes that affect
the SSMP elements. The City will review the successes and needed
improvements of the SSMP as part of the SSMP annual audit (see Element 10).
City staff will update critical information, such as radio call signs, contact
information, name of the Designated Authorized Representative (DOAR) and the
SSO response chain of communication, as needed. A comprehensive SSMP
update will occur every 5 years, as required by the SWRCB.
List of Documents in the Element 9 Appendix (see separate tab):
1. Annual SSO Report Template
SEWER SYSTEM MANAGEMENT PLAN
ELEMENT 10 – EROGRAM AUDITS
10-1
10. Element 10 – Program Audits
SWRCB Requirements:
As part of the Sewer System Management Plan (SSMP), the Enrollee shall conduct periodic
internal audits, appropriate to the size of the system and the number of SSOs. At a minimum,
these audits must occur every two years and a report must be prepared and kept on file. This
audit shall focus on evaluating the effectiveness of the SSMP and the Enrollee’s compliance
with the SSMP requirements identified in this subsection (D.13), including identification of any
deficiencies in the SSMP and steps to correct them.
RWQCB Requirements:
Each wastewater collection system agency shall conduct an annual audit of their SSMP which
includes any deficiencies and steps to correct them (if applicable), appropriate to the size of
the system and the number of overflows, and submit a report of such audit.
The City audits and updates its SSMP on an annual basis. The audit process is
documented in the Annual SSMP Audit Form, a copy of which is included in the
Element 10 Appendix. The audit form provides structure for a systematic review of
each SSMP element in order to ensure the SSMP contains current information,
regulatory requirements are satisfied, and programs are effective. If updates or
changes are required, the content and timeline to complete those change are described
in the audit form. The Annual SSMP Audit Form, intended as an attachment to the
Annual SSO Report, is submitted to the RWQCB by March 15th following the end of the
calendar year being audited.
The first annual audit was completed for the 2008 calendar year. This audit was
conducted by a team that consisted of the WGW Operations Manager and Supervisor,
as well as various operations personnel.
List of Documents in the Element 10 Appendix (see separate tab):
1. Annual SSMP Audit Report Form
SEWER SYSTEM MANAGEMENT PLAN
ELEMENT 11 – EOMMUNICATION PROGRAM
11-1
11. Element 11 – Communication Program
SWRCB Requirements:
The Enrollee shall communicate on a regular basis with the public on the development,
implementation, and performance of its Sewer System Management Plan (SSMP). The
communication system shall provide the public the opportunity to provide input to the
Enrollee as the program is developed and implemented.
The Enrollee shall also create a plan of communication with systems that are tributary
and/or satellite to the Enrollee’s sanitary sewer system.
Outreach and public education are an important part of the City of Palo Alto’s
operations. On an annual basis, the City utilizes various medium (newspaper,
utility insert and website) to inform its utilities customers of various topics
including sanitary sewer collection system issues. Most recently, public outreach
material on “how to keep your sanitary sewer working properly” was published on
the web and sent to the customers. The outreach material provided instruction
for reporting sewer blockage and overflows to the City’s dispatch center. In
addition, the Environmental Compliance Division (ECD) distributes public
education materials on proper disposal and handling of the household grease.
A copy of the City of Palo Alto SSMP will be made available in the City library
and on the city’s web site. A section of the website entitled “Sewer System
Management Plan” is currently under development and will be in place by
Summer 2009. The website will include a link to the SSMP, as well as a link to
the California Integrated Water Quality System’s (CIWQS) public reports. This
website provides public access to reported SSO data and information about
regulatory developments.
A communication plan with the collection systems tributary to the RWQCP
(Partner agencies) is already in place and meetings are held periodically on
various topics of interest.
On October 22, 2007, the City Council passed a resolution approving the SSMP
Development Plan and Schedule. Also, in accordance with section D.14 of the
GWDR, the SSMP will be resubmitted for approval by the City Council if future
updates result in significant changes.
Element 2 Appendix
1. WGW Radio Call Signs
WATER-GAS-WASTEWATER RADIO CALL SIGNS
NEW CONSTRUCTION WATER TRANSMISSION
---#Q-::::-D. VanBibber {Su("lervisoO 650} 644-5975 260 -J. Reinert (Supervisor) 650 444-6256
~[). Bohna {~ead) 650} 380-4735 261 -D. OsteTI()JLead} 650) 380-5262
· 222 ...... Vacant (Lead) 650) 387-4669 262 -C. Du (Lead) 650)444-8025
223 -E. Talley 263 -M. Torres 650 444-6308
• 224 -M. Haynes 264 -M. Perez 650 444-5121
! 225 -Vacant 265 -D. Cordova 650) 444-9068
226 -K. Hanks 266 -J. Weir 650) 444-5693
i 227 F. Ramirez 267 -Vacant 650) 444-6716
I 228 -P. Garcia
229 O. Garcia METER SHOPS/BACKFLOW
I 294 -S. Wirth 270 -J. Strickland (Supervisor) 650 444-6123
· 296 -T.ljafner(lnspector) 650) 444-4941 271 -E. Frazier
272 -L. Charlot
WIG MAINTENANCE 273 -P. Manansala 650)444-5349
230 -B. Hagins (Supervisor) 650) 438-2991 274 -V. Vasquez 650 380-4765
231 -D. Serna (Lead) 650) 444-6188 275 -Vacant
232 -D. Camm(Lead) 276-M. Dean 650} 444~4395
233 -A. Meneses
i 234 -K. Odom FIELD SERVICE -_ ..
~?§-C. Sigur 270 -J. Strickland (Supervisor) 650 444-6123
236 -J. Givens Service 1 -J. Silva (Lead) 650 444-8911
237 -M. Hajduk 650) 380-5394 Service 2 -J. Jensen 650 444-6121
238 -M. Simon Service 3 -M. Akins 650 444-5475
239 -P. Perez Service 4 -A. Silva 650) 740-8173
I 286 -Vacant Service 5 -A. Gonzalez 650) 444-6122
Service 6 -Vacant
Service 7 R. Salas 650) 444-4668
WASTEWATER MAINTENANCE
240 -F. Alvarado (Supervisor) 650)44 UPPORT STAFF
i 241 -J. Wilson (Lead) 650 444-0-Office
242 -D. Mendoza (Lead) ..... 656)444-5071 281 -M. Smart 510 432-8595
• 243 -vacanT 282 -J. January
I 244 -R. Justus 650) 444-4002 283 -Equipment Maintenance 650 496-6935
245~ F. Castro
.. _ .... -
284 -Tow Truck
i 246 -E. YOlJngquist 290 -Javad Ghaffari .. 650 444-6348
i 247 -J. Wortham 291 -A. Easton-Mena
• 248 -S. Wiggins I 292 -R. Silva ...... 650) 444-6124
I 249 -B. Bil1gham 505 D. ua,\J"clvl 650 444-6204
· 293 -J. Gonzalez 522 -T. Kaiser 650 444-4890
~ENERAL SHOP I WGW ENGINEERING
250 -E. Mueller (Supervisor) 650) 387-4281 I 201 -R. Antonio 650) 740-2498
251 -K. Griswold (Sr. Mec~anic) 650) 444:4769 202 -A. Pishchik 650)566-4521
252 -S. Giovannetti 203 -::J. Nguy 650) 566-4523
253 -J. Hart 204 -C. Woolf
254 -Vacant 205 -Vacant
255 -P. Gutierrez 206....:B. Chan -256 -J. Hughes 207 -L. Sorin
257 -R. Anderson 208 -J. Flanigan
258 -B. Saulus 650) 444-4664 209 -R. Item -259-B. Will 210 -Vacant
211 -R. Long
212 S. Santos
-----~~ ...... 650) 566-4520
213 -J. Jovel
INSPECTORS 214 E.Wu 650: -295 -A. ROdriguez 6§0) 740-2451 215 -G. Scoby (Manager) 650: 387-5202
~ ... :-L. Krug 650} 387-4278 216 -M. Ezrina
298 -R. Knox 650) 740-2494 217 -K. Nguyen 650 566-4522 ~ ... 650) 740-2496 218 R. Ekstrand 650 566-4511 ~ ...... C. Crllry ..... -~~
219-A.Le 650 566-4528
Revised: 06/03/09 2
Element 4 Appendix
1. Flushing Program for Hot Spots
2. 2009 Collection System Maintenance Certification Candidate
Handbook
Flushing Program for "Hot Spots"
The Flushing Program for the "Hot Spots" has been developed to prevent and minimize
sewer overflows. There are fifteen "Hot Spot" routes, these routes were entered into our
ICOMMM database and Line Cleaning IInspection Work Orders are scheduled on a
regular basis.
Our Downtown "Hot Spots" are listed below with their Flushing and Inspection dates.
Route 1 Downtown ECR
Route 2 Downtown Lytton
Route 3 Downtown University
Route 4 Downtown Hamilton
ROUTE LOCATION
1 Downtown
2 Downtown
3 Downtown
14 Downtown
15 Downtown
6 California
7 Sheridan
8 Sherman
Route 5 Downtown Emerson
Route 6 Califomia Business District
Route 7 Sheridan
Route 8 Sherman
FLUSHING INSPECTION
DATE DATE
3rd week in January, 3ra week in February,
March, May, July, April, June, August,
September and October and December
November
3rd week in January, 3ra week in February,
March, May, July, A pril, June, August,
September and October and December
November
3rd week in January, 3rd week in February,
March, May, July, April, June, August,
September and October and December
November
3rd week in January, 3m week in February,
March, May, July, April, June, August,
September and October and December
November
3 rd week in January, 3rd week in February,
March, May, July, April, June, August,
September and October and December
November
3rd week in January, 3rd week in February,
March, May, July, April, June, August,
September and October and December
November
3rd week in January, 3rd week in February,
March, May, July, April, June, August,
September and October and December
November
3rd week in January, 3r<iweek in February,
March, May, July, April, June, August,
September and October and December
November
Flushing Program for "Hot Spots"
The Flushing Program for the "Hot Spots" has been developed to prevent and minimize
sewer overflows. There are fifteen "Hot Spot" routes, these routes were entered into our
ICOMMM database and Line Cleaning IInspection Work Orders are scheduled on a
regular basis.
Our Midtown, College Terrace and South Palo Alto "Hot Spots" are listed below with
their Flushing and Inspection dates.
Route 9 Midtown -Bryson
Route 10 College ECR to Park
Route 11 Leland ECR to Park
Route 12 Park Ave. -(Ventura -Wilton)
Route 13 Ventura ECR -Park
Route 14 Wilton ECR -(w) Matadero Barron
Route 15 Portage ECR to Park
ROUTE LOCATION FLUSHING INSPECTION
DATE DATE
9 Midtown 3rd week in February, 3rd week in April,
June and October August and December
10 College 3rd week in February, 3rd week in April,
June and October August and December
11 Leland 3rd week in Febmary, 3rd week in April,
June and October I August and Decembcr
12 Park 3rd week in Februa~ 3rd week in April,
June and October August and December
13 Ventura 3rd week in February, 3rd week in April,
June and October August and December
14 Wilton 3rd week in February, 3rd week in April,
June and October August and December
15 Portage 3rd week in February, 3rd week in April,
June and October August and December
Handbook
This booklet contains ...
Subject matter for the Collection
System Maintenance tests
Education and experience
requirements
Selected study references
Certification policies
Contents
Contents
Introduction
The California Water Environment Association
The Technical Certification Program
Important Information
The Certification Process
Code of Ethics
Test Administration and Admission
Test Design and Format
Test Scoring
Test Rescheduling and Cancellation
Item Appeals
Test Result Notification
Issue of Certificate/Wallet Cards
Renewal of Certification/Re-Certification
Accommodations For Those With Physical or Learning Disabilities
Grade I Collection System Maintenance
Eligibility Criteria for Taking the Test
Essential Duties
Com plexity of Test Questions
Test Content Areas
Grade II Collection System Maintenance
Eligibility Criteria for Taking the Test
Qualifying With Your Education
Essential Duties
Complexity of Test Questions
Test Content Areas
Grade III Collection System Maintenance
Eligibility Criterra for the Test
Qualifying With Your Education
Essential Duties
Complexity ofTest Questions
Test Content Areas
Grade IV Collection System Maintenance
Eligibility Criteria for Taking the Test
Qualifying With Your Education
Essential Duties
Complexity of Test QuestiOns
Test Content Areas
SAMPLE TEST QUESTIONS
SElECTED REFERENCES
PREPARING FOR YOUR TEST
Determining Your Preparedness
the Selected References
Using the Test Content Areas as a Guice to Your Study
FREQUENTLY ASKED QUESTIONS
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Page 1
Introduction
Tbe California Water Environment Association
CWEA's mission is to enhance the education and
effectiveness of California wastewater professionals
through training, certification, dissemination of
technical information, and promotion of sound
policies to benefit society through protection and
enhancement of the water environment.
CWEA is a California Nonprofit Corporation and is a
Member Association of the Water Environment
Federation and a member of the National
Organization for Competency Assurance.
The Technical Certification Program
The Technical Certification Program (TCP) was
created to offer multilevel technical certification for
individuals employed in the water quality field. Tests
are written by vocational specialists and
administered throughout the year in six different
disciplines: Biosolids, Collection System
Maintenance, Environmental Compliance Inspection,
Laboratory Analyst, Plant Maintenance (Electrical!
Instrumentation and Mechanical Technologist), and
Industrial Waste Treatment Plant Operator.
CWEA first offered a certification program for
operators of wastewater treatment plants in 1937.
The program was administered by CWEA until 1973
when the State of California assumed responsibility
for the program. During those 36 years, CWEA
awarded 3915 operator certificates.
In 1975 the first committees were formed to establish
a new voluntary certification program for water
quality professionals specializing in disciplines other
than plant operation. Eventually, the Voluntary
Certification Program (VCP) emerged with
specialized certificate programs for Biosolids Land
Application Management, Collection System
Maintenance, Plant Maintenance, Environmental
Compliance Inspection, and Laboratory Analyst. The
first of the new certifications were given in April of
1976. In the 1980s two more disciplines were added:
Electricaillnstrumentation, and Industrial Waste
Treatment Plant Operator.
Today CWEA offers certification in six different
vocational programs with a total of 23 different
certifications. About 2,000 certification applications
are processed every year and over 5,500 certificates
are currently held by individuals in California.
Michigan, Hawaii, and Missouri.
The Certification Process
To become certified, all applicants must complete
the Application For Technical Certification, pay the
application fee, have appropriate experience!
education, and pass the computer-based test.
Application instructions and fee schedules are listed
on the application.
Page 2 ~
Important Information
After applications are received at the CWEA office.
applicant information is compiled in the certification
database. Acceptance letters are then mailed to all
applicants. The experience and education given on
the application is then reviewed by CWEA staff. If the
application is approved, then the applicant will
receive an acceptance letter. If the application is
rejected, the applicant will be notified and may be
asked to supply more information if warranted. After
completing the test. applicants are sent official test-
results. Those who pass the exam will then be
mailed certificates and"blue wallet cards.
Code of Ethics
The Code of Ethics is intended to reflect the stan-
dards and behavior that California Water Environ-
ment Association certificate holders and applicants
expect of each other as they perform their work pro-
tecting public health and the environment and that
reaffirm the value of holding a CWEA certifi-
cate. The purpose of the Code of Ethics is to ensure
public confidence in the integrity and service of pro-
fessional water quality workers while performing their
duties.
All California Water Environment Association certifi-
cate holders and applicants are expected to meet the
following standards of professional conduct and eth-
ics:
1. To protect public health, themselves, their co-
workers, property, and the environment by per-
forming the Essential Duties of the CWEA certi-
fied vocation safely and effectively, and comply-
ing with all applicable federal, state and local
regulations.
2. To represent themselves truthfully and honestly
throughout the entire certification process.
3. To adhere to all test site rules and make no at-
tempt to complete the test dishonestly or to as-
sist any other person in doing so.
4. To refrain from activities that may jeopardize the
integrity of the Technical Certification Program.
Test Administration And Admission
Testing Dates and Sites: Tests are given throughout
the year. Applicants eligible for the test will receive
an acceptance letter and instructions on how to
schedule their exam.
Testing Test Dates Application
Window Deadline
Spring April 1 June 30. 2009 February 27
Summer July 1 -September 30.2009 May 29
Fall October 1 -December 31, 2009 August 31
Winter January 1 -March 31 , 2010 November 30
CWEA also provides reasonable accommodations
for those with physical or learning disabilities (See
following page: "Accommodations For Those With
Physical or Learning Disabilities").
Introduction
Test Site Admission: Certificate candidates are
required to show at least one valid government
issued photo identification (State driver's license or
10, or passport). Only after positive identification has
been made by the testing proctor may a candidate
begin the exam. Candidates do not require to show
their acceptance letters to enter the test site.
Test Security: Beginning January 2009, all exams will
be computer-based format. No reference material,
laptop computers, or cameras are allowed in the test
site. Candidates will have access to an onscreen
calculator, however, examinees are welcome to
bring pre-approved calculator (visit www.cwea.org/
cbt). Candidates are not allowed to take any notes
from the test site. Candidates who violate test site
rules may be asked to leave the site and may be dis-
qualified from the test. All violations of test security
will be investigated by CWEA and appropriate action
will be taken. There are no exceptions to this policy.
Test Design And Format
Test Design: All certification tests are designed to test
knowledge and abilities required to perform Essential
Duties with minimal acceptable competence.The
Essential Duties and Test Content Areas for each
certification were determined by a job analysis and
meta-analysis of job specifications by two
independent psychometric consulting firms.
The studies gathered data from onsite visits of over
31 water and wastewater agencies, interviews with
110 water and wastewater professionals, and
analysis of more than 300 job speCifications. All
research was conducted under the guidance of the
Technical Certification Program Committee,
vocational sub-committees, and CWEA staff. All test
questions are designed to measure at least one area
of knowledge or ability that is required to perform an
essential duty.
Test Delivery Mechanism: All tests are computer-
based format and are written in the English language
only.
Test Format: All Collection System Maintenance tests
are given completely in the multiple choice format
(see Sample Test Questions in this booklet for
examples). The multiple choice format is considered
the most effective for use in standardized tests. This
objective format allows a greater coverage in content
for a given amount of testing time and improves
competency measurement reliability. Multiple choice
questions range in complexity from simple recall of
knowledge to the synthesis and evaluation of the
subject matter.
Test Scoring
SCQring Method: All tests are electronically scored by
CWEA. The overall test score will determine if you
pass or fail the test. Generally, the minimum score
Important Information
required to pass the test is 75% (this passing score
may be adjusted downward depending on the
difficulty level of each particular test). The minimum
passing score is determined by the modified Angoff
Method. When taking your test it is recommended
that you try your best to score as high as possible.
Do not try to target the minimum passing score.
How Passing Scores Are Set: Each time a certification
test is given the questions are changed resulting in a
different test form. Since each form has different
questions the difficulty level of the test may not be
the same from form to form. The passing score is
developed as an overall estimate of minimal
acceptable competence in the Test Content Areas by
subject matter. and testing experts. Passing scores
are determined by an overall passing score, not by
performance on individual Test Subject Areas, and
are independent of other candidate's scores. Partial
credit will not be awarded for any test item answered
incorrectly.
Test Rescheduling and Cancellation Instructions
Reschedule your Testing Window
To reschedule your application you must submit a
written request (a letter stating that you wish to re-
schedule) to the adjacent (next) window once without
a fee. A $40 administrative fee is required to re-
schedule your application again to the third window.
There are no exceptions to this policy.
Reschedule your Test Appointment
If you already have a scheduled exam with our test-
ing administrator, Pearson VUE (PV) , and wish to
reschedule your apPOintment, you must contact (PV)
one (1) business day in advance to avoid losing your
exam fee.
Cancel your Application
To cancel your application you must submit a written
request (a letter stating you wish to cancel your ap-
plication) to CWEA. The written request must be re-
ceived at the CWEA office before the testing window
begins. Full refunds, less a $40 administrative fee,
will be made within 4 weeks after the scheduled
date.
Item Appeals
Candidates who wish to appeal a specific test item
must do so during the test by completing Candidate
Comment Review Screen during the exam. Candi-
date comments will be evaluated and appropriate
adjustments will be made to the test content. Candi-
dates submitting comments will not be contacted in
regards to the appeal.
Test Result Notification
Exam results are routinely mailed to certificate
candidates approximately 4 weeks after the exam
date. No results are given over the phone, via fax or
email. All results are confidential and are only
released to the certificate candidate. There are no
exceptions to this policy.
Page 3
Issue of Certificate/Blue Wallet Card
Certificates and blue wallet cards will be issued to
all candidates who pass the exam. Certificates and
blue wallet cards are mailed about two to three
weeks after result notifications have been mailed.
Renewal of Certification
All certificates must be renewed annually. The first
renewal is due one year from the last day of the
month in which the certification exam was held.
Certificate renewals less than one year past due are
subject to the renewal fee plus a penalty fee of 100
percent of the renewal fee. Certificates more than
one year past due will need to retest to regain certi-
fication. Renewal notices are mailed to certificate
holders two months before the due date. It is the
responsibility of the certificate holder to ensure that
his or her certificate(s) remains valid.
Re-Certification:
CWEA Certificate holders shall be required to renew
certificates annually, and shall be required to pro-
vide evidence of completion of 12 contact hours of
continuing education requirements every two years.
For more information, visit CWEA's website:
www.cwea.org.
Accommodations For Those With Physical or
Learning Disabilities
In compliance with the Americans with Disabilities
Act, special accommodations will be provided for
those individuals who provide CWEA with a
physician's certificate, or its equivalent,
documenting a physical or psychological disability
that may affect the individual's ability to successfully
complete the certification examination. Written
requests for special accommodations must be made
no later than 3 weeks before the examination date.
----------~ Page 4 \Y r ntroduction
Grade I Collection System Maintenance
Collection System Maintenance Grade I Certification 6. Breaks, cuts and restores concrete and
paved surfaces using jackhammers,
concrete saws, etc.
is designed to demonstrate competency at the entry
and basic working level. More specifically, Grade I
certification implies competence in the knowledge,
skills and abilities required to perform the Essential 7. Prepares, inspects, and maintains vehicles
for use; ensures vehicles are in proper
operating condition and arranges for
maintenance when required
Duties of an entry Collection System Maintenance
Technologist.
Eligibility Criteria For Taking The Test
There are no experience or education requirements 8. Ensures that tools and equipment are in
proper operating condition for daily use and
arranges for maintenance when required
for Grade I certification. Completing the Application
for Technical Certification, paying the appropriate
application fee, and passing the examination are the
only requirements. It is, however, recommended that 9. Participates in the maintenance and repair of
wastewater collection system lift stations and
components
Grade I candidates have at least one year of
experience working as an Collection System
Maintenance Technologist performing the Essential
Duties listed below. Many candidates without the 10. Completes accurate, legible and timely
records/data of work performed recommended experience have difficulty
successfully completing the computer-based test.
Essential Duties Of The Grade I Collection
System Maintenance Technologist
Individuals certified as Grade I Collection System
11. Participates in maintaining proper traffic
safety controls at work sites to move traffic
safely and efficiently around work site
Maintenance Technologists are expected to possess 12. Responds to public inquiries in a courteous
manner and provides information
appropriate to the area of aSSignment
acceptable competency when performing the tasks
that are necessary for entry level Collection System
Maintenance Technologists. These necessary tasks
are known as the Essential Duties. The certification 13. Adheres to safe work practices and abides
by all applicable regulations, policies and
procedures
test measures knowledge, skills and abilities
required to perform the Essential Duties.
1.
2.
3.
4.
5.
Essential Duties for Grade I
Participates in inspecting, cleaning,
maintaining, constructing and repairing of
wastewater collection systems, utilizing a
variety of mechanical or specialized
equipment
Assists with pump station inspections,
records instrument readings and
makes minor adjustments to keep flow
steady
Performs a variety of manual tasks including
the lifting, carrying and removal of heavy
loads including materials, equipment and
debris
Inspects and maintains easements, some of
which may be remote or difficult to access
Participates in excavating, shoring and re
pairing the collection system, including dam-
aged pipe, manholes and casting adjust-
ments
Grade [ Collection System Maintenance
14.
15.
16.
Reads and interprets collection system maps
to determine basic flow characteristics and
construction details
Participates in the containment and cleanup
of wastewater spills
Stays abreast of new trends and innovations
in the field of wastewater collection system
operation and maintenance
17. Participates in confined space entries
Complexity Of Test Questions
At the Grade I level, certificate candidates are
expected to have basic knowledge of the job and the
ability to safely perform the Essential Duties listed
above. Examinees will have to answer multiple
choice questions that test knowledge,
comprehension, and application of the subject
matter. The complexity of the questions will range
from basic recall of previously learned material and
the ability to understand the meaning of the subject
matter, to being able to apply knowledge to new
situations.
Page 5
Test Content Areas
The following list is an outline of Test Content Areas.
Each content area is a Knowledge, Skill, or Ability
that is required to perform the Essential Duties listed
above. Since all of the Knowledge, Skills, or Abilities
are required to perform the Essential Duties they are
all equally important in the demonstration of
acceptable competency. Thus, all of the content
areas listed below are equally weighted on the test.
Test Content Areas for Grade I
Knowledge of:
101. Operations, services, and activities of a
wastewater collection system operations and
maintenance program
102. Methods and techniques of recording
instrument readings and related measuring
devices
103. Methods and techniques of traffic control
104. Operation and proper application of
collection system maintenance eqUipment
and tools
105. Occupational hazards and standard safety
practices
106. Applicable codes, regulations, policies, and
procedures
107. Underground Service Alert (USA) markings
Skill to:
108. Establish and maintain cooperative
relationships with those contacted in the
course of work
109. Communicate accurately, clearly, and
concisely: in writing, orally, and
electronically, in the English language
110. Read and interpret essential technical
information including maps and drawings
111. Perform basic mathematical calculations
Ability to:
112.
113.
Page 6
Perform operation, maintenance, and repair
of the wastewater collection system
Operate a variety of specialized equipment
including vehicles and collection system
maintenance devices, hand and power tools,
air compressors and jackhammers
114. Perform basic facilities and grounds
maintenance
115. Understand and follow oral and written
instructions
116. Learn more difficult collection systems
construction, maintenance, and repair
techniques
117. Properly lift and carry heavy loads in a
variety of difficult conditions
118.
119.
Obtain appropriate licenses and
certifications
Work in hazardous, difficult, and
disagreeable conditions
Grade I Collection System Maintenance
Grade II Collection System Maintenance
Collection System Maintenance Grade II Certification
is designed to demonstrate competency at the skilled
or journey level. More specifically, Grade II
certification implies competence in the knowledge,
skills, and abilities required to perform the Essential
Duties of a skilled Collection System Maintenance
Technologist.
Eligibility Criteria For Taking The Test
The basic requirement is four years of full~time work
in Collection System Maintenance. You may also
qualify by having two years of experience and
holding a Collection System Maintenance Grade I
Certificate for one year, OR having two years of full~
time experience and holding an Associate's degree
in a related field, OR having one year of full~time
experience and holding a Bachelor's, or higher,
degree in a related field.
Eligibility criteria are summarized in the table below.
You may qualify by meeting either Education!
Experience Combination A, B, C, or D. If you do not
meet any of the combinations of experience and
education, then you do not qualify for Grade II:
• Combination I EDUCATION & -I-EXPERIENCE
CERTIFICATIONS
A 4 full~time years
None in Collection
System
Maintenance
B Hold Grade I 2 full~time years
CSM Certificate in Collection
for 1 yr. System
Maintenance
C AAlAS degree in 2 full~time years
a related field in Collection
System
Maintenance
0 Hold a BAlBS, or 1 full~time year in
higher, degree in Collection System
a related field Maintenance
Qualifying With Your Education
Holding a college degree, or its equivalent, in a field
related to your vocation will reduce the number of
years required for your test (see the table above).
Your degree must be in a field that is related to the
certificate for which you are applying. If you are
uncertain if your degree is related to your vocation
you should still include your degree information in
your application. The Technical Certification Program
Committee will determine if your degree qualifies. If it
does not, you will be accepted for the next highest
grade level for which you qualify. Associate's and
Bachelor's degrees in technical fields are usually
accepted. Degrees are evaluated on a case·by~case
basis upon receipt of the application. College credit
without a degree is not accepted unless it can be
demonstrated that the credit is equivalent to a d~
gree.
Essential Duties Of The Grade II Collection
System Maintenance Technologist
Individuals certified as Grade II Collection System
Maintenance Technologists are expected to possess
acceptable competency when performing the tasks
that are necessary for skilled or journey level
Collection System Maintenance Technologists.
These necessary tasks are known as the Essential
Duties. The certification test measures knowledge,
skills and abilities required to perform the Essential
Duties.
Essential Duties for Grade II
1. Performs, trains and directs the duties listed
for Collection System Maintenance Grade I
2. Inspects, troubleshoots and maintains
proper collection system operation using
advanced techniques and instruments
3. Conducts confined space entries
4. Performs maintenance and repair of waste~
water collection system
5. Provides information and reports on
activities as required
6. Provides assistance to individuals, agencies
and private organizations with underground
service alert (USA) markings, utilities and
manholes
7. Plans routine traffic safety at worksites and
performs non~routine traffic control under
general supervision
8. Resolves routine complaints in an efficient
and timely manner
9. Monitors crew performance to ensure adher~
ence to safe work practices and compliance
with all applicable regulations, policies and
procedures
10. Participates in the development and
promotion of safe work practices and
procedures
Complexity Of Test Questions
At the Grade II level, certificate candidates are
expected to have the knowledge, skill and ability to
safely and effectively accomplish most of the
Essential Duties listed above. Grade II candidates
are also expected to be familiar with the Grade I Test
Content Areas. Examinees will have to answer
Grade II Collection System Maintenance ~~~~~~~----~~~~~~~----~p~a~g=e~7~
multiple choice questions that test comprehension,
application and analysis of the subject matter. The
complexity of the questions will cover the ability to
basically understand the subject matter; to recall and
apply principles, ideas, and theories; and to break
down ideas and theories into their constituent parts.
Test Content Areas
The following list is an outline of Test Content Areas.
Each content area is a knowledge, skill, or ability that
is required to perform the Essential Duties listed
above. Since all of the knowledge, skills, or abilities
are required to perform the Essential Duties they are
all equally important in the demonstration of
acceptable competency. Thus, all of the content
areas listed below are equally weighted on the test.
Candidates should also be thoroughly familiar with
the Grade I Collection System Maintenance
Technologist Test Content Areas.
Knowledge of:
Test Content Areas for Grade II
200. Knowledge, skill and ability identified on the
Test Content Specifications for Collection
Systems Grade I
'201. Operations, services and activities of a
wastewater collection system operations and
maintenance program
202. Methods and techniques of wastewater
collection system inspection, maintenance
and repair
203. Operation and characteristics of collection
system maintenance eqUipment and tools
including heavy equipment, CCTV
inspection, and monitoring devices
204. Methods and techniques, tools and materials
used in the maintenance and repair of
wastewater collection systems and lift
stations
Page 8
205. Safe working practices pertinent to
wastewater collection system maintenance,
repair, and construction
206. Occupational hazards and standard safety
practices
207. Applicable codes, regulations, policies, and
procedures
Skill to:
208. Establish and maintain effective relationships
with those contacted in the course of work
209. Communicate accurately, clearly, and
conCisely: in writing, orally, and;electronically,
in the English language
210. Perform simple algebra and geometrical
calculations
Ability to:
211. Perform maintenance and repair of the
wastewater collection system
212. Operate a variety of collection system
maintenance construction equipment such as
air compressors, compactors, Vibrators,
jackhammers, tampers, cutters and CCTV
inspection and monitoring devices
213. Work independently in the absence of direct
supervision
214. Understand and follow oral and written
instructions
215. Learn new and advanced collection systems
construction, maintenance, and repair
techniques
216. Effectively assess and interpret situations and
conditions and apply independent judgement
217. Operate a variety of heavy construction
equipment, such as backhoes, loaders,
dozers, and dump trucks
Grade II Collection System Maintenance
Grade III Collection System Maintenance
Collection System Maintenance Grade III
Certification is designed to demonstrate competency
at the lead or advanced technical level. More
specifically, Grade III certification implies
competence in the knowledge, skills and abilities
required to perform the Essential Duties of a lead or
advanced Collection System Maintenance
Technologist.
Eligibility Criteria For Taking The Test
The baSic requirement is six years of full-time work in
Collection System Maintenance. You may also
qualify by having four years of experience and
holding a Collection System Maintenance Grade II
Certificate for two years, OR having four years of full-
time experience and holding an Associate's degree
in a related field, OR having three years of full-time
experience and holding a Bachelor's, or higher,
degree in a related field.
Eligibility criteria are summarized in the table below.
You may qualify by meeting either Education/
Experience Combination A, B, C, or D. If you do not
meet any of the combinations of experience and
education, then you do not qualify for Grade III:
: Combination EDUCATION &
CERTIFICATIONS ""'I I-EXPERIENCE
A 6 full-time years in
None Collection System
Maintenance
B Hold Grade 1/ 4 full-time years in
CSM Certificate Collection System
for 2 years. Maintenance
C Hold an 4 fUll-time years in
Associate's Collection System
degree in a Maintenance
related field
D Hold a BAlBS, or 3 fUll-time years in
higher, degree in Collection System
a related field Maintenance
Using Your Education To Help Quality For The
Test
Holding a college degree, or its equivalent, in a field
related to your vocation will reduce the number of
years required for your test (see the table above).
Your degree must be in a field that is related to the
certificate for which you are applying. If you are
uncertain if your degree is related to your vocation
you should still include your degree information in
your application. The Technical Certification Program
Committee will determine if your degree qualifies. If it
does not, you will be accepted for the next highest
grade level for which you qualify. Associate's and
Bachelor's degrees in technical fields are usually
accepted. Degrees are evaluated on a case-by-case
basis upon receipt of the application. College credit
without a degree is not accepted unless it can be
demonstrated that the credit is equivalent to a
degree.
Essential Duties Of The Grade III Collection
System Maintenance Technologist.
Individuals certified as Grade 1/1 Collection System
Maintenance Technologists are expected to possess
acceptable competency when performing the tasks
that are necessary for lead or advanced level
Collection System Maintenance Technologists.
These necessary tasks are known as the Essential
Duties. The certification test measures knowledge,
skills and abilities required to perform the Essential
Duties.
Essential Duties for Grade III
1. Plans, coordinates and reviews the perfor-
mance of the duties of Collection System
Maintenance Grade I and Grade II
2. Coordinates with other utilities, the public,
agencies and private organizations to
address complex or non-routine issues
3. Participates in the evaluation of the perfor-
mance of the wastewater collection system
such as energy efficiency, material costs and
preventive/predictive maintenance programs
4. Participates in the development and imple-
mentation of training of assigned employees
in their areas of work in wastewater
collection system inspection and repair
methods, techniques, equipment and safety
5.
6.
7.
8.
9.
10.
11.
Verifies the work of assigned employees for
accuracy, proper work methods, techniques
and compliance with applicable standards
and specifications
Monitors and inspects the work of
contractors for a variety of construction or
maintenance projects
Analyzes and reviews system data to recom-
mend priorities, schedules and workload
performance measures
Develops and directs the execution of
complex or non-routine traffic safety plans
Responds to exceptional and/or non-routine
public inquiries in a courteous manner and
partiCipates in the development of formal
reports and responses to the media
Participates in, ensures the development of,
and adherence to the safety program
Participates in fact-gathering to respond to
liability claims
r .. I-------_ \y Page 9 Grade [I[ Collection System Maintenance
12.
13.
Participates in investigations into potential
wrongdoing or policy violations
Attends and participates in professional
group meetings; stays abreast of new trends
and innovations in the field of wastewater
collection system operation & maintenance.
Complexity Of Test Questions
At the Grade III level, certificate candidates are
expected to have the knowledge, skill and ability to
safely and effectively accomplish and coordinate
complex tasks as listed in the Essential Duties
above. Grade III candidates are also expected to be
familiar with the Grade I and II Collection System
Maintenance Technologist knowledge, skills and
abilities. Examinees will have to answer multiple
choice questions that test application, analysis, and
synthesis of the subject matter. The complexity of
the questions will cover the ability: to abstract in
particular and concrete situations; to clarify and
organize theories and ideas; and to put facts
together to form a new solution.
Test Content Areas
The following list is an outline of Test Content Areas.
Each content area is a Knowledge, Skill, or Ability
that is required to perform the Essential Duties listed
above. Since all of the Knowledge, Skills, or Abilities
are required to perform the Essential Duties they are
all equally important in the demonstration of
acceptable competency. Thus, all of the content
areas listed below are equally weighted on the test.
Candidates should also be thoroughly familiar with
the Grade I and II Collection System Maintenance
Test Content Areas.
Test Content Areas for Grade III
Knowledge of:
300. Knowledge, skill and ability identified on the Test
Content Specifications for Collection Systems
Grades I and II
301. Operations, services, and activities of a
wastewater collection system operations and
maintenance program
302. Principles of leadership, supervision, and training
303. Methods and techniques of wastewater collection
system inspection, predictive/preventive
maintenance and repair
304. Operation and characteristics of collection system
maintenance equipment and tools.
305.
306.
Page 10
Methods and techniques, tools and materials
used in the maintenance and repair of
wastewater collection systems
Procedures, methods, tools, and equipment used
in the operation of motors, pumps, controls, and
instrumentation
307.
308.
309.
310.
311.
Skill to:
312.
313.
Safe working practices applicable to wastewater
collection system maintenance, repair and
construction
Pipeline and manhole design and construction
Occupational hazards and safety practices
including the management of exceptional
circumstances
Office equipment including computers and
supporting word processing, spreadsheets, and
databases
Applicable codes, regulations, policies and proce-
dures
Establish and maintain cooperative working
relationships with those contacted in the course of
work
Communicate accurately, clearly, and concisely:
in writing, orally, and electronically, in the English
language
314. Perform advanced algebra, geometry, statistical
analysis, including cut sheet problems
Ability to:
315. Lead and train maintenance and repair staff. In-
cludes scheduling and assigning personnel and
the use of materials and equipment to assure
desired quality and quantity of work
316. Work cooperatively with co-workers; identify and
minimize conflict
317. Compute time requirements, labor, materials, and
equipment needed for various jobs
318. Plan, organize, and schedule training
319. Inspect and diagnose operating problems on
pumps, electrical motors, and automatic control
systems
320.
321.
322.
323.
324.
325.
Supervise and direct the most difficult collection
system maintenance and repair tasks
Work independently under general supervision
Competently inspect the work of contractors and
staff
Operate a variety of collection system
maintenance equipment and tools
Understand, follow and provide oral and written
instructions
Effectively assess and interpret situations and
conditions and apply independent judgment
Grade III Collection System Maintenance
Grade IV Collection Systenl Maintenance
Collection System Maintenance Grade IV
Certification is designed to demonstrate competency
at the program manager level. More specifically,
Grade IV certification implies competence in the
knowledge, skills and abilities required to perform the
Essential Duties of a management level Collection
System Maintenance Technologist.
Eligibility Criteria For Taking The Test
The basic requirement is eight years of full-time work
in Collection System Maintenance. You may also
qualify by having six years of experience and holding
a Collection System Maintenance Grade III
Certificate for two years, OR having six years of full-
time experience and holding an Associate's degree
in a related field, OR having five years of full-time
experience and holding a Bachelor's, or higher,
degree in a related field. All Grade IV candidates
must also demonstrate at least one year of
experience supervising the work of others.
Eligibility criteria are summarized in the table below.
You may qualify by meeting either Educationl
Experience Combination A, e, C, or D. If you do not
meet any of the combinations of experience and
education, then you do not qualify for Grade IV:
Combination EDUCATION &
CERTIFICATIONS ~ ... EXPERIENCE
A 8 years in
Collection System
None Maintenance with
one of those
years supervising
B 6 years in
Hold Grade III Collection System
CSM certificate Maintenance with
for 2 years. one of those
years supervising
C Hold an AAlAS, 6 years in
or higher, Collection System
degree in a Maintenance with
related field one of those
years supervising
D Hold an 5 years in
Bachelor's, or Collection System
higher, degree in Maintenance with
a related field one of those
years supervising
Qualifying With Your Education
Holding a college degree, or its equivalent, in a field
related to your vocation will reduce the number of
years required for your test (see the table above).
Your degree must be in a field that is related to the
certificate for which you are applying. If you are
uncertain if your degree is related to your vocation,
you should still include your degree information in
your application. The Technical Certification Program
Committee will determine if your degree qualifies. If it
does not, you will be accepted for the next highest
grade level for which you qualify. Associate's and
Bachelor's degrees in technical fields are usually
accepted. Degrees are evaluated on a case-by-case
basis upon receipt of the application. College credit
without a degree is not accepted unless it can be
demonstrated that the credit is equivalent to a
degree.
Essential Duties Of The Grade IV Collection
System Maintenance Technologist
Individuals certified as Grade IV Collection System
Maintenance Technologists are expected to possess
acceptable competency when performing the tasks
that are necessary for management level Collection
System Maintenance. These necessary tasks are
known as the Essential Duties. The certification test
measures knowledge, skills and abilities required to
perform the Essential Duties.
Essential Duties for Grade IV
1. Administers and manages the performance of the
duties of Collection System Maintenance Grade I,
Grade II and Grade III
2. Responsible for all services and activities
associated with the operation, maintenance and
repair of the wastewater collection system
3. Manages the development and implementation of
goals, objectives and policies for the wastewater
collection program
4. Directs and supports supervisors and staff to
ensure high performance in a customer service-
oriented work environment that supports
achieving desired goals and objectives
5. Evaluates the performance of the wastewater
collection system such as staffing levels, predic-
tive/preventive maintenance programs, energy
efficiency and material costs
6. Plans, directs, coordinates, prioritizes and
reviews the work plan for the collection
system
7.
8.
9.
Selects, motivates and evaluates personnel;
works with employees to achieve performance
goals and objectives; implements disciplinary
procedures; conducts general labor relations
activities
Develops, implements and oversees a
comprehensive equipment selection and
maintenance program
Coordinates wastewater collection system
activities with other divisions, outside agencies
Grade IV Collection System Maintenance ~~-----------------------------p-ag-e--II··
10.
11.
12.
13.
14.
15.
16.
17.
18.
19.
and organizations. Negotiates and resolves
sensitive and controversial issues
Provides responsible and complex technical
support to upper management and prepares and
presents staff reports, including organizational
studies
Originates and administers the work of
contractors/consultants/engineers for a variety of
construction or maintenance projects
Responsible for the development and administra-
tion of safety training programs for wastewater
collection system staff and ensures compliance
with safe working practices, rules and regulations
Responsible for the development and administra-
tion of assigned employees in wastewater
collection system inspection, repair methods,
techniques and equipment
Oversees and participates in the development
and administration of the wastewater collection
system annual budget; tracks and forecasts
resources needed for staffing, equipment,
materials, and supplies; monitors and approves
expenditures and implements adjustments
Initiates, develops and administers programs,
policies, and procedures to ensure the safe and
efficient operation of the wastewater collection
system
Attends and participates in professional group
meetings; stays abreast of new trends and
innovations in the field of wastewater collection
system operation and maintenance; ensures the
availability of opportunities for all staff to
participate in professional development
Responds to difficult and sensitive public inquiries
in a courteous manner and develops formal
reports and responses to the media
Reviews and responds to liability claims
Investigates potential wrongdoing or policy
violations
Complexity Of Test Questions
At the Grade IV level, certificate candidates are
expected to have the knowledge, skill and ability to
administer, coordinate and manage complex
programs described in the Essential Duties above.
Grade IV candidates are also expected to be familiar
with the Grade I, II, and III Collection System
Maintenance Technologist knowledge, skills and
abilities. Examinees will have to answer multiple
choice questions that test analysis, synthesis and
evaluation of the subject matter. The complexity of
the questions will cover the ability: to clarify and
organize theories and ideas; to put together facts to
form new solutions; to make managerial level judge-
ments
Test Content Areas
The following list is an outline of Test Content Areas.
Each content area is a Knowledge, Skill, or Ability
that is required to perform the Essential Duties listed
above. Since all of the Knowledge, Skills, or Abilities
are required to perform the Essential Duties they are
all equally important in the demonstration of accept-
able competency. Thus, all of the content areas
listed below are equally weighted on the test.
Candidates should also be thoroughly familiar with
the Grade I, II, and III Collection System
Maintenance Test Content Areas.
Test Content Areas for Grade IV
Knowledge of:
400. Knowledge, skill and ability identified on the
Test Content Specifications for Collection
Systems Grades I, II, and III
401. Operational characteristics, services and
activities of a wastewater collection system
maintenance program
402. Operation and characteristics of collection
systems maintenance equipment and tools
403. Methods and techniques, tools and materials
used in the maintenance and repair of
wastewater collection systems
404. Wastewater collection system inspection
methods and techniques
405. PrinCiples and practices of program
development and administration
406. Principles and practices of budget
preparation and administration.
407. Principles of leadership, supervision, training
and performance evaluation
408. PrinCiples of labor relations administration
409. Recent developments, current literature and
sources of information related to wastewater
collection
410. Office equipment including computers and
supporting word processing, spreadsheets,
databases and specialized computer soft-
ware programs
411. Occupational hazards and general safety
practices
412. Applicable codes, regulations, policies, and
procedures
Skill to:
413.
414.
Establish and maintain cooperative
relationships with those contacted in the
course of work
Communicate accurately, clearly, and
concisely: in writing, orally, and
electronically, in the English language
------------"p Page 12 \Y Grade IV Collection System Maintenance
415. Perform budget development, expenditure
forecasting, statistical evaluation, and cost
analysis
Ability to:
416. Manage, direct and coordinate the work of
staff
417. Select, supervise, train, and evaluate staff
418. Oversee and direct the operations, services
and activities of a wastewater collection
system
419. Manage and administer inspection services on
wastewater collection system projects
420. Read and interpret blueprints, construction
drawings and specifications
421. Develop and administer goals. objectives and
procedures
422. Interpret, explain, and enforce division policies
and procedures
423. Develop and implement safety training
programs
424. Prepare and administer program budget
425. Prepare clear and concise administrative and
financial reports
426. Research, analyze, and evaluate new
methods and techniques
427. Interpret and apply appropriate codes,
regulations, policies, and procedures
428. Understand, follow and provide oral and
written instructions
429. Effectively assess and interpret situations and
conditions and apply independent judgment
Sanlple Test Questions
The following sample test questions are provided to help
you become familiar with the multiple choice format. These
questions reflect only a sample of the subject matter
covered at each grade level.
For each question, choose the single most correct answer.
An answer key is provided on page 14.
Grade I Collection System Mamtenance
1. Operation and maintenance of a Wastewater
Collection System means keeping the:
a. power supply available.
b. system in good operating condition.
c. water flowing from the spigot.
d. electrical equipment dry.
2. Upon arrival to a service request for a building lateral
stoppage, you notice a constant flow coming up from
the clean-out. The first thing you should do is:
a. cap the clean-out and see if any sewage comes
into the building.
b. set up the hydro-cleaner at the downstream
manhole.
c. open the upstream manhole to see if it is full.
d. make sure that water is not being used in the
building.
3. In order to complete a sewer repair, the crew had to
cut out a section of sidewalk 4 feet wide, 8 feet long
and 4 inches thick. How many cubic yards of
concrete are needed to restore the sidewalk?
a. 3.5 cubic yards
b. 0.39 cubic yards
c. 9.6 cubic yards
d.0.96 cubic yards
Grade II Collection System Maintenance
1. A report of a clean-out cover missing in the side
walk is routed to you. Which of the following
would be the best response?
a. Make a note and take care of it when you are
in the area.
b. Respond immediately and put a cone over it.
c. Take care of it after lunch.
d. Respond immediately and repair or replace
the clean-out cover.
2. While conducting a video inspection, the
camera becomes stuck. Which of the following
would be the first step in solving this problem?
a. Call for a backhoe and dig up the area where
the camera is stuck.
b. Disconnect the wires and close the manhole;
return the following moming to see if it has
freed itself.
c. Attempt to dislodge the camera by using the
tag line.
Sample Test Questions a..r-------'Y Page 13
d. Attach pulling cable to a truck hitch and pull
through the bad spot, then continue your
inspection.
3. A new sewer line is installed using a bubble level.
For every foot of pipe installed, the level measures a
quarter (1f4) inch of fall. A quarter (1f4) inch of fall
for every foot is equal to what percent?
a.4%
b.1.4%
c.2%
d.O.002%
Grade III Collection System Maintenance
1. The main advantage of using variable speed
pumping equipment is that the pumping rate can be
adjusted to meet:
a. head loss rate.
b. discharge rate.
c. inflow rate.
d. friction loss.
2. When preparing a lift station maintenance
program, which of the following factors should be
considered first?
a. Computer activity codes
b. Station J.D. codes
c. Equipment specifications
d. History of stoppages
3. A wet well is 115 feet long by 85 feet wide and has a
water level of 18 feet. The flow is 22 million gallons a
day. What is the detention time?
a. 76 minutes
b.1 hour 26 minutes
c. 1 hour 43 minutes
d. 2 hours 26 seconds
4. Which characteristic is typical of workers who are
high achievers in performing their jobs?
a. Seeking out problems rather than avoid them
b. Developing faster methods without seeking
supervisorial advice
c. Resolving routine problems
d. Achieving mediocre results with abundant
resources
Page 14
Grade IV Collection System Maintenance
1. You receive an anonymous complaint that one of
your maintenance vehiCles is parked in a
neighborhood and two employees are inside of the
vehicle drinking alcohol. What steps, if any, should
you take?
a. Call in all maintenance personnel and have
everyone tested for drugs and alcohol.
b. Go out to the site and send the suspected
employees home.
c. Suspend the employees until fact finding is
complete.
d. Take another supervisor out to the site, observe
employees, ask questions and investigate the
circumstances.
2. One of your maintenance crews reports to you that a
contractor working within your jurisdiction is pumping
raw sewage into a nearby creek. Which of the
following should you do first?
a. Tell your crew to ask the contractor to keep a
record of how many gallons are pumped into the
creek.
b. Take a police officer to the site, have the contractor
arrested, and call the health department.
c. Have your crews contain the sewage in the creek,
pump it back into a nearby sanitary sewer, and
have the contractor let them know if any more
sewage is to be pumped.
d. Go to the site, confirm the illegal discharge, advise
the contractor to stop, take photos, take down
names, and notify the health department.
3. Which of the following would be a detrimental
effect of excessive infiltration and inflow?
a. Contamination of the ground water supply
b. Higher power costs for pump stations
c. Reducing storm water runoff
d. Reducing root intrusion into sanitary sewer lines
4. Which of the following would be a typical item in the
Operating Budget?
a. Purchase of a new backhoe
b. A large sewer main replacement project
c. Purchase of daily materials and supplies
d. Reserve funding for future projects
Answer Kev To Sample Test Questions
Question # Grade I Grade II Grade III Grade IV
b d c d
2 d c c d
3 b c b b
4 a c
Sample Test Questions
Selected References
The following table lists references that may be useful
when studying for the certification test. The table lists
primary and supplementary study references. Primary
study references are recommended as the best sources
for studying for the certification test. Supplementary study
references are recommended as sources that will help to
further your understanding of the subject matter beyond
the primary references.
For information about obtaining these publications, use the
contact information listed in the reference. If no phone
number or website is listed, contact the publishing agency
directly or contact your local library or bookstore.
For each reference a "P" indicates Primary reference and
an US" indicates a Supplementary reference. Check the
Grade column that corresponds to the grade level you will
be taking to determine if a reference is Primary or
Supplementary. Blank boxes indicate that the reference is
not appropriate for that grade level.
This reference list is intended to assist certificate
candidates in their preparation for the Collection System
Maintenance Technologist certification test. Use of these
references does not guarantee successful completion of
the test. There may be other publications that may be
helpful to candidates preparing for the test. CWEA
encourages you to identify and utilize other resources in
preparing for your test.
GRADE
Reference I II III I
"Operation and Maintenance of Wastewater Collection Systems", Volume I, Kenneth Kerri, Office of
Water Programs, California State University Sacramento, 6000 J Street, Sacramento, CA. 95819-6025, P P P P
(916) 278-6142. www.owp.csus.edu
I "Collection System Maintenance Study Guide", Grades 1-4 (2001) CWEA (510) 382-7800
i www.cwea.org P P P P
"Confined Space Entry", WEF Publication, Water Environment Federation, 601 Wythe Street, P P P IP
Alexandria, VA. 22314-1994, Phone: 1-800-666-0206. www.wef.org ISBN: 1-57278-122-X
"Wastewater Collection System Maintenance", Michael J. Parcher CRC Press. ISBN: 1566765692 P P P P
www.crcpress.com Phone: 800/272-7737 Fax: 800/374-3401 email: orders@crcpress.com
''The Math Text for Water and Wastewater Technology" Second Edition, Wrights Training, P.O. Box 515, P S S
! Elmira, CA. 95625-0515. (707) 448-3659 www.wrights-trainingsite.com (download form to order)
. "Operation and Maintenance of Wastewater Collection Systems" Volume II, Kenneth Kerri, Office of P P
Water Programs, California State University Sacramento, 6000 J Street, Sacramento, CA. 95819-6025,
Phone: (916) 278-6142.
I "Wastewater Collection Systems Management", (Manual of Practice No.7), 5th Edition, ISBN: 1-57278-P P
1152-1 Water Environment Federation, 601 Wythe Street, Alexandra, VA. 22314-1994, 1-800-356-5705.
www.wef.org
I "Manage for Success: Effective Utility Leadership Practices", Office of Water Programs, California State S
! University Sacramento, 6000 J Street, Sacramento, CA. 95819-6025, (916) 278-6142.
i www.owp.csus.edu
"Supervisor's Guide to Safety and Health Programs", Water Environment Federation, 601 Wythe Street, S
Alexandria, VA. 22314-1994, 1-800-666-0206.
"Applied Math for Wastewater Operators", Joan Kirkpatrick Price, CRC Press, 1-800-374-3401 S
. www.crcpress.com ISBN: 0877620892
"Utility Management" Office of Water Programs California State University Sacramento 6000 J Street S S P P
Sacramento, CA 95819-6025 916/278-6142 www.owp.csus.edu/
"Manual of Traffic Controls for Construction and Maintenance Work Zones-1996 State of California P P P P
Department of Transportation 1900 Royal Oaks Drive Sacramento, CA 95815 www.dot.ca.gov
Download from www.cwea.org/book_brcsg_csm3.shtml or www.dot.ca.gov/manuals.htm
"Safety and Health in Wastewater Systems" , WEF Manual of Practice SM-1 Water Environment P P P ,P
Federation 601 Wythe St. Alexandria, VA 22314-1994 800/666-0206 www.wef.org ISBN: 1-881369-87
I I -0
Selected References Page 15
i Reference
i "Manual of Traffic Controls for Construction & Maintenance Work Zones-1990 State of California
• Department ofTransportation 1900 Royal Oaks Dr. Sacramento. CA 95815 (916)445-3520;
i http://svhqsgi4.dot.ca.gov/hqltraffops/signtech/signdel/pdffiles.htm
"Mathematics for Collection System Operators, a Workshop Manual
OCT. Inc. P.O. Box 332 Gladstone, OR 97027 ; www.octinc.com
"Sewer Rehabilitation Handbook NASSCO"
140 Circle Dr. , Suite 103 Maitland, FI 32751
www.nassco.org
"Trench Safety Shoring Manual. Red Cass Cruise Publications
1430 Tully Road, suite 416
San Jose, CA 95122
"Operation and Maintenance of Wastewater Collection Systems, WEF Manual of Practice NO.7 -1985"
Water Environment Federation
601 Wythe Street Alexandria, VA 22314-1994 ; (800)666-0206 ; www.wef.org
Conversions and Formulas Given in the Certification test
Conversions
12 inches = 1 foot
36 inches = 3 feet = 1 yard
5,280 feet = 1 mile
1,440 minutes = 1 day = 24 hours
144 square inches = 1 square foot
9 square feet = 1 square yard
43,560 square feet = 1 acre
1,728 cubic inches = 1 cubic foot
27 cubic feet = 1 cubic yard
Formulas
Flow = AreaxVelocity
Area:
Rectangle = LengthxWidth
Circle = 0.785x(Diameter)2
Circumference of a Circle =
3.14xDiameter
Volume:
GRADE
I
P P
S S
S S
S S
S S
Rectangular Solid = LengthxWidthxDepth
III
P
S
S
S
S
1 cubic foot of water contains 7.48 gallons
1 cubic foot of water weighs 62.4 pounds
1 gallon of water = 8.34 pounds
1 million gallons per day (mgd) = 694 gallons per minute
(gpm)
Right Rectangular Cylinder = 0.785x(Diameter)2
= Bx(Radius)2xLength
1 million gallons per day (mgd) = 1.55 cubic feet per second
(cfs)
1 kilowatt = 1,000 watts Sl Rise ope=:-Run
IV
P
S
S
S
Selected References
Page 16
Preparing For Your Test
This section addresses a few possible methods for
preparing for the certification test. Since you are most
familiar with your own abilities you are responsible for
determining the best method for preparing for your
certification test. Following the suggestions in this
section does not guarantee you will pass the
certification test.
Determining Your Preparedness: An individual's
preparedness for the certification test depends o~ a
number of things including amount of practical
experience in the vocation and years of education. If
you are unsure how prepared you are for the test
review the Essential Duties and Test Content Areas
for the test that you are considering. If you are not
familiar with most of the Essential Duties and Test
Content Areas you should consider reviewing some of
the material in the references listed for that grade
level. You may also want to consider applying for a
lower grade level if appropriate.
Using The Selected References: After evaluating
how well prepared you are for the test you may want
to review some of the Selected References. The
references in this list may be used to review those
Test Content Areas that you are not familiar with or
those for which you have little background. Well
prepared candidates may only have to brush-up on a
few topics while those less prepared may have to
study extensively.
Study Sessions: CWEA Local Sections host at least
two study sessions in various parts of California. All
applicants will be mailed the date and location of the
nearest preparation classes if provided by Local Sec-
tion to CWEA staff. Usually these classes are given
about one month before the test date and last a full
day with Grades I and II material covered in the
morning and Grades III and IV. covered in the
afternoon.
Using the Essential Duties and Test Content Areas
as a Guide to Your Study: The Essential Duties
(EDs) are a basic outline of the test subject matter.
You can use the EDs as your study guide by referring
to the EDs in the primary Selected References. For
example, if you are preparing for the Grade II test, and
you are not very familiar with ED #7 (Routine traffic
safety planning), you can look up "Traffic control
zones" in the index of Operation and Maintenance of
Wastewater Col/ection Systems Volume 1. There you
can read about safe procedures for traffic control on
pages 141-145. Similarly, you could read about Test
Content Area (TCA) #6 (Occupational hazards and
standard safety), in the same reference. As you study
you will find that the TCAs are related to the EDs (TCA
#6 is clearly related to ED #7). Each test question is
written to address at least one TCA and its related
Preparing For Your Test/FAQs
Question: Is it required that I begin at the Grade I
level then work my way up from there to higher
levels?
Answer: No, you may take any test that you qualify
for with your education and experience. However, if
you are just starting out you can see by the
education and experience requirements that you can
work your way up the grade levels fa~ter if you
become certified at Grade I, then achieve each
successive certification as soon as you get the
required education and experience.
Question: If I take a Grade II, III, or IV test will I
have to know the Test Content Areas for the lower
level tests?
Answer: Yes, the subject matter for each test builds
on the subject matter for those tests below its grade
level. A thorough knowledge of the Test Content
Areas for the grade level that you are taking is most
important to your preparation, but you should expect
questions from any of the lower grade levels.
Question: If I am re-taking a test that I had
previously failed do I need to re-submit a full
application and the entire application fee?
Answer: No, you must complete the Re-Test appli-
cation with appropriate fees.
Question: Is continuing education required to renew
my certification?
Answer: Yes. For any certificate earned on or after
July 2001, you need to obtain 12 hours of continuing
education every two years. For more information,
visit www.cwea.org, or feel free to call the CWEA
office.
Question: How long is the test?
Answer: All tests have about 75-100 questions and
3 hours are given for completion.
Question: Can I take more than one certification test
at a same time?
Answer: Yes, but you can only take up to two at a
same time (under a different vocation). You will be
given a total of three hours to complete both tests.
Question: How do I get a receipt showing I paid for
the test?
Answer: A receipt is sent to all applicants upon re-
quest. Hold on to this receipt until the ~e~ification
process is over in case you have to submit It to your
employer for reimbursement.
Question: If I am applying for the Grade IV test do I
need to be a Supervisor?
Answer: No, you just need to have about one year
of supervision experience, verified by your manager.
You do not have to hold the title of "Supervisor."
Page 17
Testing Test Oates Application
Window Deadline
Spring April 1 -June 30, 2009 February 27
Summer July 1 -September 30, 2009 May 29
Fall October 1 -December 31, 2009 August 31
Winter January 1 -March 31, 2010 November 30
Other CWEA Certificate Programs
• Biosolids Land Application Management
• Environmental Compliance Inspector
• Laboratory Analyst
• Plant Maintenance
o Electrical J nstrumentation
o Mechanical Technologist
• Industrial Waste Treatment Plant Operator
O California Water Environment Association 1.... 7677 Oakport Street, Suite 600
'--, Oakland, CA 94621
Have a question?
Give us a call at (510) 382-7800.
Element 5 Appendix
1. Wastewater Design Standards
WASTEWATER DESIGN STANDARDS SECTION 2730
CITY OF PALO ALTO: Wastewater Design Standards PAGE 1 OF 6
WASTEWATER DESIGN STANDARDS
1.01 DESIGN WASTEWATER FLOW
General:
A capacity study report shall be submitted by the Project Engineer when plans are submitted for preliminary
review. The report shall provide the following information for the study area:
A. Pipe information for each new sewer reach, including:
Pipe diameter
Slope
Invert elevations
Length
Roughness coefficient for Manning’s equation
Design capacity
Full pipe capacity
Design flow
Percentage of full pipe capacity utilized1
Pump station operation parameters (if applicable)
B. Land use information for conditions prior to commencement of project, immediately after
completion of project, and at build-out, including:
Residential users
Square footage for Commercial/Industrial users
Square footage for “High Tech” Industries2
Sewered acreage
C. Map showing:
Location of new sewer reaches and pump stations
Proposed connection point(s) to existing City sewers
Location of residential/commercial/industrial users
1 Calculated by dividing the design flow by the full pipe capacity and multiplying by 100. 2 “High tech” industries are defined as those with unusually high water requirements
WASTEWATER DESIGN STANDARDS SECTION 2730
CITY OF PALO ALTO: Wastewater Design Standards PAGE 2 OF 6
Design:
Sewers shall be designed for a design flow 20 years from the current year. The design flow is composed of up
to three components: peak base wastewater flow (PBWF), groundwater infiltration (GWI), and rainfall-
dependent infiltration/inflow (RDI/I). The design flow shall be based on the greater of the following two
formulas:
(PBWF X .75) + GWI + RDI/I
PBWF + GWI
Exception: If the wastewater flow is pumped, design flows downstream of the pump station shall be based on
the maximum capacity of the pump(s).
1.01.01 Peak Base Wastewater Flow (PBWF)
Average base wastewater flow (ABWF) is the average daily dry weather flow contributed from
residential, commercial, industrial, and “high tech” users. ABWF is calculated by applying the unit
flow rates shown in Table 1-1 and then multiplying those rates by the number of units for the
appropriate category. If supporting data indicates the need, a higher unit flow rate should be applied
for commercial/ industrial users. The ABWF values must be multiplied by a peaking factor to account
for the variations that occur hour-to-hour and day-to-day.
A peaking factor is determined by the equation:
Peaking Factor = 3.15 * ABWF -0.104
where ABWF is in million gallons per day (mgd). The peaking factor has a maximum of 4.0 and a
minimum of 1.0.
PBWF = ABWF * Peaking Factor
1.01.02 Groundwater Infiltration (GWI)
Groundwater infiltration is groundwater that enters the collection system from defects in the pipes,
pipe joints, and sewer structures. The amount of GWI entering the collection system depends on the
structural condition of the system, the depth of the pipes, and the elevation of the groundwater table
relative to the elevation of the sewer pipes. GWI tends to decrease during the dry summer and fall
months and gradually increases as the wet-weather season progresses.GWI is calculated by applying
the GWI unit flow rate that corresponds to the project’s basin to the sewered area. GWI unit flow
rates are shown in Table 1-1.
1.01.03 Rainfall-Dependent I/I (RDI/I)
Rainfall-Dependent I/I is storm water that enters the collection system in direct response to the
intensity and duration of individual rainfall events. In addition to being dependent on rainfall events,
RDI/I is sensitive to soil moisture, increasing throughout the wet weather season as the soil moisture
increases. A 20-year storm event shall be used to determine estimated RDI/I for new sewers.
RDI/I is calculated by applying the RDI/I unit flow rate that corresponds to the project’s basin to the
sewered area. RDI/I unit flow rates are shown in Table 1-1.
WASTEWATER DESIGN STANDARDS SECTION 2730
CITY OF PALO ALTO: Wastewater Design Standards PAGE 3 OF 6
Table 1-1 Unit Flow Rates for ABWF, GWI, and RDI/I*
A. Average Base Wastewater Flow (ABWF)
Unit Unit Flow Rate
Land Use Category Land Use Designation (gpd/unit) (gpd)
Residential
Single Family SF Dwelling Unit 220
Multi-Family MF Dwelling Unit 160
Transit-Oriented CC Dwelling Unit 160
Commercial CS, CN, CH Building Sq. Ft. 0.15
Research/Office Park RO Building Sq. Ft. 0.10
Light Industrial LI Building Sq. Ft. 0.10
Major Institutional MISP Building Sq. Ft. 0.15
School S Student 15
B. Groundwater Infiltration (GWI) = 500 gpd/acre
C. Rainfall-Dependent I/I (RDI/I) = 1,900 gpd/acre
* All rates are based on the 2004 Wastewater Collection system Master Plan.
1.02 PIPE CAPACITY
The theoretical capacity of new pipes shall be calculated using Manning’s equation. The "n" value (Manning's
roughness coefficient) shall be equal to 0.014 for pipes less than 48 inches in diameter and 0.013 for pipes
greater than or equal to 48 inches in diameter.
Manning’s Equation
Q (cfs) = 1.49 / n * A * Rh2/3 * S½
Q = Flow (cfs)
n = Manning's roughness coefficient
A = Area in flow (ft2)
Rh = Hydraulic Radius (ft)
S = Slope (ft/ft)
1.03 PIPE SIZE, SLOPE, DEPTH, AND ALIGNMENT
1.03.01 Size
Pipes less than or equal to 10 inches in diameter shall be sized to handle peak flows at 75% of full
pipe capacity. Pipes greater than 10 inches in diameter shall be sized to handle peak flows at 90% of
full pipe capacity.
No gravity sewer mains shall be less than 8 inches in diameter and no sewer laterals less than 4
inches in diameter.
As a rule, when a smaller sewer joins a large one, the top of both pipes (crowns) should be at the
same elevation.
WASTEWATER DESIGN STANDARDS SECTION 2730
CITY OF PALO ALTO: Wastewater Design Standards PAGE 4 OF 6
1.03.02 Slope
All sewers shall be designed and constructed to give mean velocities, when flowing full, of not less
than 2.0 feet per second. The following are the minimum slopes that should be provided:
Minimum Slope
Sewer Size (Feet Per 100 Feet)
8 inch 0.34
10 inch 0.25
12 inch 0.19
15 inch 0.14
18 inch 0.11
21 inch 0.09
24 inch 0.08
27 inch 0.07
30 inch 0.06
36 inch 0.04
Where velocities greater than fifteen (15) feet per second are attained, special provision shall be
made to protect against displacement by erosion, shock, and hydraulic jumps at changes in velocity.
Sewers on 20 percent slopes or greater shall be anchored securely with concrete anchors, spaced as
follows:
a. Not over 36 feet on center for grades of 20 to 35 percent;
b. Not over 24 feet on center for grades of 35 to 50 percent;
c. Not over 16 feet on center for grades of 50 percent and over.
1.03.03 Depth
In general, sewers should be below pressure utilities and be sufficiently deep to receive sewage from
basements.
Crown (top inside surface of the pipe) of any inlet pipe shall not be lower than the elevation of the
outlet main crown in the manhole, unless otherwise approved by the Engineer.
1.03.04 Alignment
The horizontal and vertical alignment of sewers shall be maintained by the use of laser survey
equipment. Unless otherwise approved by the Project Engineer, all sewers shall be constructed
straight and at uniform grade between manholes.
1.04 MANHOLES
Manholes shall be installed: at the end of each lines; at all changes in grade, size or alignment; at all
intersections; and at distances not greater than 400 feet. Greater spacing may be permitted in large sewers
greater than 30 inches in diameter.
1.04.01 Drop Manholes
A drop pipe should be provided for a sewer entering a manhole at an elevation of 30 inches or
WASTEWATER DESIGN STANDARDS SECTION 2730
CITY OF PALO ALTO: Wastewater Design Standards PAGE 5 OF 6
more above the top of the manhole outlet pipe. Where the difference in elevation between the
incoming sewer and the top of the outlet pipe is less than 30 inches, the invert should be
channeled to prevent solids deposition.
Drop manholes should be constructed with an outside drop connection. Inside drop connections,
allowed only in special cases approved by the Engineer, shall be secured to the interior wall of the
manholes and provide access for cleaning.
Due to the unequal earth pressures that would result from the backfilling operation in the vicinity of
the manhole, the entire outside drop connection shall be encased in concrete.
The minimum diameter of manholes shall be 48 inches. A minimum access diameter of 24 inches
shall be provided.
The flow channel through a manhole should be made to conform in shape and slope to that of the
sewers.
Manholes shall be of the pre-cast concrete type with a poured-in-place base.
All pipes entering the manhole shall be provided with a flexible joint within 12 inches of the edge of
the concrete base.
1.05 SEWERS CROSSING STREAMS
Sewers crossing streams shall be at a sufficient depth below the natural bottom of the stream bed to
protect the sewer line and shall be installed in a steel casing. If open cut excavation method is used,
casing shall be encased in concrete. In general the following cover requirements must be met:
a. One foot of cover is required where the sewer is located in rock;
b. Three feet of cover is required in other material. In major streams, more than three feet of
cover may be required, and
c. In paved stream channels, the top of the sewer line should be placed a minimum of one
foot below the bottom of the channel pavement.
Less cover will be approved only if the proposed sewer crossing will not interfere with the future
improvements to the stream channel. Reasons for requesting less cover should be given in the Bid.
Sewers located along streams shall be located outside of the stream bed and sufficiently removed
therefrom to provide for future possible stream widening and to prevent pollution by siltation during
construction.
1.05.01 Alignment
Sewers crossing streams should be designed to cross the stream as nearly perpendicular to the
stream flow as possible and shall be free from change in grade. Sewer systems shall be designed
to minimize the number of stream crossings.
1.05.02 Materials
Sewers entering or crossing streams shall be constructed of Class 52 Ductile Iron Pipe with
concrete encasement. Sewers shall be constructed so they will remain watertight and free from
WASTEWATER DESIGN STANDARDS SECTION 2730
CITY OF PALO ALTO: Wastewater Design Standards PAGE 6 OF 6
changes in alignment or grade. Material used to backfill the trench shall be stone, coarse
aggregate, washed gravel, or other materials which will not cause siltation.
1.05.03 Siltation and Erosion
Construction methods that will minimize siltation and erosion shall be employed. The design
engineer shall include in the Project Specifications the methods(s) to be employed in the
construction of sewers in or near streams to provide adequate control of siltation and erosion.
Project Specifications shall require that cleanup, grading, seeding, and planting or restoration of all
work areas shall begin immediately. Exposed areas shall not remain unprotected for more than
seven days.
1.06 AERIAL CROSSINGS
Support shall be provided for all joints in pipes utilized for aerial crossings. The supports shall be designed
to prevent overturning and settlement.
Expansion jointing shall be provided between above-ground and below-ground sewers.
For aerial stream crossings the impact of flood waters and debris shall be considered.
1.07 PROTECTION OF WATER SUPPLIES
1.07.01 Water Supply Interconnections
There shall be no physical connections between a public or private potable water supply system
and a sewer, or appurtenance thereto which would permit the passage of any sewage or polluted
water into the potable supply. No water pipe shall pass through or come in contact with any part of
a sewer manhole.
1.07.02 Relations to Water Works Structures
In general, sewers shall meet the requirements of the California Department of Health Services
"Criteria for the Separation of Water Mains and Sanitary Sewers" - Basic Separation Standards.
a. Parallel Construction: The horizontal distance between pressure water mains and sewer
lines shall be at least 10 feet.
b. Perpendicular Construction (Crossing): Pressure water mains shall be at least one foot
above sanitary sewer lines where these lines must cross.
These separation distances shall be measured from the nearest edges of the facilities.
Exceptions to the basic separation standards shall comply with the "Criteria for the Separation of
Water Mains and Sanitary Sewers" and will be reviewed by the City on a case by case basis. (See
Utility Standard Detail #WGW-08)
Water mains and sewer lines must not be installed in the same trench.
*** END OF SECTION ***
Element 6 Appendix
1. Water Gas Wastewater Standby Policy
2. Field Service Report Form
3. Sewer Main / Lateral Stoppage Report Form
4. Sewer Main / Lateral Overflow Report Form
CITY OF PALO ALTO
UTILITIES
Water-Gas-Wastewater Standby
Utilities Operations Division
Policy Field Manual
This policy supersedes all previous Utilities policies on this topic and is intended
to be used as a reference tool in conjunction with the SEIU Memorandum of
Agreement, the City of Palo Alto Merit Rules and Regulations, California Labor
Law, and the City of Palo Alto Policies and Procedures.
The objective of maintaining a Standby program is to ensure that personnel are
available to immediately respond and take corrective action to WGW
emergencies after regular business hours.
The primary responsibility of the Standby person is to eliminate any hazard to the
public and protect against property damage. After the immediate hazard has
been eliminated the Standby person shall, if at all possible, restore service to any
customers affected by the emergency on a temporary or permanent basis. Each
employee must understand how critical their decision making can be when faced
with an emergency situation. Standby employees must be able to respond to
any call and be on the jobsite within one hour, troubleshoot the problem, and
proceed with a safe and effective resolution of the issue. All Standby personnel
and crew working after hours must wear the proper city issued uniform and PPE
while performing their tasks. Water-Gas-Wastewater Operations will maintain a
three person standby team that will work in conjunction with the WGW Standby
Coordinator, WGW Standby Supervisor, the On-Call Field Service
Representative (FSR), the On-Call Water Transmission and other City
designated standby personnel. The WGW standby schedule will begin at 4:00pm
on Monday of each week and proceed through to the following Monday at
6:30am, at which time the standby commitment has been met. If a City holiday
falls on a Monday, the standby personnel will remain on call until Tuesday
morning at 6:30am. At the beginning of each week, a list of the current week's
standby personnel will be forwarded to the Utility Dispatch Center (hereafter
referred to as "Dispatch") with copies to the WGW management team, the field
service representatives and the Electric System Operators' (SCADA) office.
Standby is a commitment. If a person continually fails to uphold this commitment
or regularly gives up their call, management has the right to review the person's
standby eligibility. If a person chooses to stop partiCipating in the standby
program, or is removed by management, a new person will be selected from the
list of qualified employees wishing to participate in the standby program. Any
employee wishing to re-join the standby program must re-submit his name to the
standby program waiting list. The list will give priority to Installer/Repairers but
will otherwise move in the order in which names are added. The standby list will
CITY OF PALO ALTO
UTILITIES
Utilities Operations Division
Policy Field Manual
be maintained by the WGW Manager along with the Division SEIU Union
Representative.
• If either of the designated Primary or Secondary personnel, or the Standby
Heavy Equipment Operator, need to have someone cover their call. The
WGW Standby Coordinator or in his absence the Standby Supervisor
must be notified. Only a Primary. Secondary or a qualified person, or
another designated HEO can be used to fill the commitment. When a
person is scheduled for his standby rotation and cannot cover his shift for
one -two day(s), the Standby Coordinator ,or in his absence the Standby
Supervisor. will use the Standby Coverage List and have the next person
on the 1 -2 day rotation list to fill in for the one -two day(s).
• When a person is scheduled for his standby rotation and cannot cover his
shift for more than two days, The WGW Standby Coordinator, or in his
absence the Standby Supervisor, will use the Standby Coverage List and
have the next person on the 1 week rotation list to fill for the entire week.
All changes in the standby assignment must go through the WGW Standby
Coordinator, or in his absence, the Standby Supervisor. Once the change is
approved, the standby person must log the change in the standby binder and it is
the responsibility of the person assuming the call to notify Dispatch of all
changes. When the standby person gives up his call, the standby pay will be
given to the person who is being assigned to fill in. Spitting shifts on the same
day is not permitted. If no other Primary. Secondary, HEO or other qualified
personnel can be found to cover a shift, the originally scheduled person must
meet their original obligation.
• When a Standby person is on light duty and cannot cover his standby
rotation, his shift will be covered by the next standby person on the
Standby Coverage List. (This will be done only when the light duty
standby person is out for no more that two rotations).
• During the light duty coverage that goes beyond the second rotation and
up to the sixth rotation, the coverage will be rotated by qualified personnel
on the waiting list.
CITY OF PALO ALTO
UTILITIES
Utilities Operations Division
Policy Field Manual
• When a Standby person is on light duty and cannot cover his standby
rotation, for more than six rotations, he will loose his spot on the standby
team and be replaced by another qualified person on the waiting list.
In accordance with City's Policy and Procedures 2-06, Section IV, A, 6, "SEIU
employees shall not be compensated for standby while on vacation, floater,
personal, sick or bereavement leaves." If an employee is absent for the entire
day that they are scheduled to work standby, another standby person must cover
the days of absence. An employee may take partial time off (four hours or less)
during the weekdays that they are scheduled for standby as long as the
employee still able to respond to calls after normal scheduled working hours.
In the event that a third person is needed for any standby call, the additional
staffing for a crew will come from the weekly sign up sheet. The "3rd person" sign
up sheet for those interested in working overtime for the upcoming week will be
put out on Monday and will be available until the end of day on Friday. The order
in which employees sign up on the list will be the order in which the employees
are called, on a rotational basis. Employees wishing to sign up must meet the
minimum qualifications listed below. The third man and the HEO can only be
deployed by the Standby Supervisor and through Dispatch.
Every effort will be made to coincide standby duty with the employees' scheduled
9/80 Friday off. If an employee is scheduled for standby on the 9/80 Friday off, he
will need to be available to respond to calls by 3:00pm. If a standby person is not
at work on their regularly scheduled Friday they must contact the WGW Standby
Coordinator or in his absence the Standby Supervisor before 12:00noon on that
Friday if they are able to maintain their standby responsibilities for Saturday and
Sunday. If the WGW Standby Coordinator or the Standby Supervisor does not
hear from the scheduled standby person by noon on Friday then the Saturday
and Sunday standby shifts will be assigned to the next person on the standby
rotation list.
• When overtime opportunities arise prior to the end of a regular work day,
The Secondary Standby Person will be able to the work extended day and
keep his standby only when the extended work day is not expected to go
over 3 hours. Every effort will be made by the supervisor of the extended
day assignment to compile a qualified crew without using the standby
• staff. This will allow the assigned standby personnel to remain free to
~\I/~ ~ --~
CITY OF PALO ALTO
UTILITIES
Utilities Operations Division
Policy Field Manual
• respond immediately to emergencies. If there are no volunteers among
the non standby staff, then the standby personnel will be contacted by the
Standby Supervisor and instructed to remain at work to respond to the
overtime needs.
• The Secondary Standby Person will be able to work scheduled overtime
only when every effort has been made by the supervisor to compile a
qualified crew without using the Secondary Standby Person.
Qualifications:
The standby team consists of a Primary, Secondary, a Heavy Equipment
Operator, a Field Service Representative, and the Water Transmission Standby
person.
Primary personnel must:
• be an Installer/Repairer or Installer/Repairer -Lead,
• be Operator Qualified (OQ'd)
• have wastewater experience
• and have a commercial driver's license with a tanker endorsement.
Secondary personnel must:
• be Operator Qualified (OQ'd)
• have wastewater experience
• and posses a commercial drivers license with a tanker endorsement.
3rd man:
• Must posses a commercial driver's license with a tanker endorsement.
• May be called out based on job classification/need.
Heavy Equipment Operator
• Must be a designated HEO
• Possess a Class A license
CITY OF PALO ALTO
UTILITIES
Responding to a Call:
Utilities Operations Division
Policy Field Manual
The Field Service Representative (FSR) group will act as first responders to
investigate the nature of all calls that come in after regular WGW office hours. If
the FSR person is responding to emergencies they can notify Dispatch to contact
the Primary person to respond. After checking the situation, the FSR
representative will advise Dispatch if further response is required. As soon as the
FSR verifies the status of a call, and determines that additional help is needed;
Dispatch will notify the Primary and/or Secondary personnel of that status. Safety
requirements for some calls recommend that a two person crew be on site before
commencing work, the first person to respond may begin making an area safe or
assessing the needs of the job.
For standard wastewater calls, only one person needs to respond to run the
lateral. The Primary and Secondary persons may split this duty over the course
of the week but the call out plan must be provided to Dispatch on Monday before
3:00 pm. The responding party will need to notify Dispatch to call out the second
man if required.
Supervisor Notification:
When ANY of the following situations occur, the Standby Supervisor must be
notified:
• a category 1 SSO (Equal or exceeds 1000 gallons, or Results in a
discharge to a drainage channel and/or surface water, or discharge to a
storm drainpipe that was not fully captured and returned to the sanitary
sewer system).
• a wastewater overflow entering a storm drain (2 hour Notification)
• a Grade 1 gas leak is found
• a water main or fire hydrant break is found
• more than two people are needed to complete the work
• the work on a given job lasts more than two hours
• the work will require digging
• any accident or other emergency occurs
• working on a live gas situation
• Any injury occurs
• Any property damage is noted (either City or customer)
Policy Field Manual
CITY OF PALO ALTO
UTILITIES
Types of Call:
1-Wastewater Calls
Calls that come in after WGW Operations business hours but during normal FSR
working hours shall be dispatched to the FSR on duty. If needed, the WGW
Primary and/or Secondary will be called out at the FSR's recommendation
through Dispatch. After regular FSR hours, the initial call will be dispatched to
must know and observe all safety regulations regarding confined space entry
requirements.
2-Gas Calls
All gas calls will be initially dispatched to the on-duty or standby FSR. Upon
receiving the call from Dispatch that additional help is needed, the WGW standby
personnel should go directly to the MSC and pick up the appropriate service
vehicles, respond to the call, and must remain on-site until the condition has
been made safe per DOT regulations. In the case of a Grade 1 leak, or any work
that may require digging, the Standby Supervisor must be notified immediately.
3-Water Calls
Calls that come in after Operations business hours but during normal FSR
working hours shall be dispatched to the FSR on duty. After regular FSR hours,
WGW Primary or Secondary personnel can respond to a water call to restore a
service. When the job requires more than two persons to complete, or any work
that may require digging, the Standby Supervisor must be notified immediately.
When water sampling is required, the On-call Water Transmission person shall
be called in (with an hour of lead time before the antiCipated completed repair) to
take the sample and handle any needed laboratory processing. Should the Water
Transmission Primary be unavailable for some reason, the Primary is responsible
for collecting the sample and delivering the sample to the Regional Water Quality
Control Plant with all of the necessary chain of custody paperwork.
CITY OF PALO ALTO
UTILITIES
Standby Vehicles:
Utilities Operations Division
Policy Field Manual
City vehicles may only be used for travel to and from the job site. Employees
must live within 30 miles of the Palo Alto City limits to be eligible to take a
Standby vehicle home. Only City employees are allowed to ride in City vehicles,
no family members and/or friends are allowed to ride in the standby vehicle. The
City's Risk Management team has reviewed the issue of other employees riding
in the vehicle and has given their approval that it is acceptable provided that both
employees are City personnel. It should be noted that the person not on call shall
know in advance that if the on-call person has to respond to an emergency at the
end of the day he/she is not entitled to a guaranteed ride home.
An employee who is on standby is considered to be "on duty". His/her conduct
during such Standby period must not vary from that which would be considered
acceptable during regular working hours. As a representative of the City, any
conduct that brings discredit to the organization will not be tolerated.
Currently, a CNG van is assigned to the Primary for responding to a call. Since
the majority of the standby calls are wastewater related calls, the van is equipped
with a snake machine and sewer cleaning tools. It is the responsibility of the
Primary on-call person to ensure all vehicles used are filled up with fuel before
leaving MSC, that the Vehicle Inspection Report and Tool/Equipment List for any
vehicle used are filled out daily (including start and ending miles).
Documentation:
All calls shall be documented by the standby person completing the task. The
Primary will be responsible for completed service orders where a crew was
involved to affect a repair. The documentation for a two-person crew to work on a
Wastewater call will be completed by the Primary. All documentation shall be
complete and thorough. The completed documentation shall be reviewed and
approved by the standby supervisor.
OF PALO ALTO
UTILITIES
Communication:
Utilities Operations Division
Policy Field Manual
Standby staff shall not make any commitments while on standby that could
interfere with the ability to be contacted by Communications dispatchers.
Standby employees will be provided with a cell phone that can be used to receive
calls from Dispatch, and to contact Dispatch or to make other Operations related
calls for assistance. It is each person's responsibility to make sure they can be
reached by communications at all times while on standby. Each person is
responsible for the security of the cell phone while it is in his/her possession. The
cell phones are to be used to conduct official City business only, no personal
phone calls are allowed. The only allowable calls in addition to conducting City
business are brief calls to employee's homes to advise family of work status.
Currently, a City cell phone and a two-way radio are being used to communicate
between Dispatch and the standby personnel. It is the responsibility of the
primary and secondary personnel to carry the communication devices at all time
while on call. All cell phones must be returned to the designated location at the
end of each on-call commitment.
For proper documentation, all calls must go through Dispatch. At the beginning of
each shift; the Primary and Secondary are responsible for calling Dispatch and
reporting for duty (10-8). Upon arrival at the job site, the standby personnel must
report the arrival time to Dispatch "10-7 at (address)". While on the job site, the
initial communication with the standby supervisor and any request for additional
help must be handled through Dispatch. After the completion of the job, the
standby personnel must call Dispatch to close the call, "10-8 from (address)". If
another call is pending you would then announce "en route to (address)". If
Standby/Overtime personnel are taking a meal break they should call "10-7 out of
service at (name of restaurant or "yard, for meal)" and 1 0-8 back in service upon
completion of the meal. Finally, Dispatch should be notified when leaving the job
and returning home (10-8 en route to home, then 10-10 in service at home).
CITY OF PALO ALTO
UTILITIES
Utilities Operations Division
Policy Field Manual
Reporting call-outs to WGW Standby Coordinator: The Primary is responsible for
telephone reporting of all standby calls once they are completed to 650-496-6917
0NGW Standby Coordinator's office). The report must include:
• the date
• location
• nature of the call
• staff involved
• arrival and departure time.
By agreeing to be on standby you are assuming the responsibility for being the
"first responder" for the Utilities Department. This is a responsibility that must be
taken seriously. It means that you must make accurate and timely decisions
when responding to call outs under sometimes difficult or stressful conditions.
What you do, and say, can either be a great benefit to our Department or result in
severe consequences. If you have any questions or doubts about expectations
(and your responsibilities) please feel free to discuss them with your Supervisor
or the WGW Manager at any time.
CITY OF PALO ALTO UTILITIES FIELD SERVICE REPORT
UTILITY-WATER 0 GAS 0 ELECT 0 SEWER 0 CITY 0 , REMARKS
EQUIPMENT ACTION ,""'0 ?4HRD R.5.0
V,A, PUANACE 0 ltGHTPK.DT 0
FLrt FURNACE 0 CHECK/ADJUST 0 DUE AMOUtIT GRAVITY RJANACE 0 CLEAN PILOT 0
WALLHEATfiR 0 1SSU8J CI14lI\JRN OfF APr\.-0
WAfERHEAIEIl 0 CK PFl ESStJAE 0 Il(~OHlYDlUTCS100DtO\lNOon D fOOM)OffO
RAOIANT HEATER 0 CKCONTAOLS 0
sua UNIIHTA 0 CHECK AUTO lGNITIC« D
POotHEATER D ClOCK TEST 0 E# f>j,
SPACEH8\TEA D RESET CIA. 8flKR 0 RANG, D REPLACE FUSE 0
DRYER D • !>If:C)( VOLTAGE 0 G# "" HOW:
FIREPlACE D INSTAlL 0
BAfl-B,OUE D EXCHANGE 0 !two: LOCKUP:
BOILER D CHECK VENT D Wi ..
l"USEBOX D lURNWOf'F D
THERMOSTAT D Rf,STOAE SERVICE D I "et"". I c:J ,
BARRICADE D !lE:MOVE UEef\IS D
METER D FLOW CHECKED D . , ,
REGU!..ATOH D ADVISEQ Of' D CI CJ L.J....l-1 ID"l-L.L.J' I D D D
101-44 rav 4103
Incident # Sewer Main / Lateral Stoppage Report
Date Street House # Block #
Stoppage on: 0 City Main 0 City Lateral 0 Private Main 0 Private Lateral 0 Nothing Found
CLEAN OUT INFORMATION:
City C/O Was: 0 Holding 0 N/A Action: 0 Rodded 0 Hydroflushed 0 Vacuumed 0 No Action
Cleanout Location: Distance From LPL ___ ft. Distance From RPL ____ ft.
___ ft.OLWM ORWM OBOM ___ ft. 0 BSW 0 BOC 0 EOP
Contact made with Home Owner: 0 Yes 0 No Name & Phone: ___________ _
Cleanout Accessable? 0 YON Cleanout Access Notification: 0 Given To Customer 0 Left On Door
MAIN INFORMATION:
Manhole #----Downstream Manhole: ____ Distance from stoppage ____ ft.
Main Was: 0 Holding 0 N/A Action: 0 Rodded 0 Hydro-flushed 0 No Action
STOPPAGE INFORMATION: Condition: check all that apply o Debris o Grease/FOG o Flow Exceeded Capacity 0 Other ... o Paper o Root Intrusion o Rainfall Exceeded Design o Rocks o Vandalism o Operator Error o Mud/Sludge o Pipe Structure Faliure o Unknown
TIME LINE:
Call Received
by Dispatch:
OAM
OPM
Call Received
from Dispatch:
OAM
OPM
Arrived at
Jobsite:
OAM
----0 PM
Stoppage
Cleared:
OAM
----0 PM
Call Cleared:
OAM
----OPM
Follow Up 0 Locate 0 CCTV 0 Rodding 0 Hydro Flush 0 Root X 0 Inspect 0 Repair 0 Replace
Notes:
Responder I S Name: Sup Review: ___ Revised 5/21/07
Incident #
Date
Sewer Main / Lateral Overflow IReport
SSO Compliance
Street House # Block #
Overflow on: D City Manhole 0 City Cleanout D Private Manhole D Private Cleanout D No
CLEANOUT INFORMATION: ft . 0 BSW 0 BOC 0 EOP ---Action: D Rodded D Hydroflushed D Vacuumed D No Action ft . 0 LWM 0 RWM 0 BOM ---Cleanout Location: Distance From LPL ____ ft. Distance From RPL ___ ft.
Contact made with Home Owner: 0 YON Name & Phone: ____________ _
Cleanout Accessable? 0 YON Cleanout Access Notification: D Given To Customer D Left On Door
MAIN INFORMATION:
Downstream Manhole: -----Overflowing Manhole #
Distance from stoppage: ____ ft. Action: 0 Rodded D Hydroflushed D Vacuumed D No Action
STOPPAGE INFORMATION: Condition: check all that apply
D Debris
D Paper
D Rocks
D Mud/Sludge
D Grease/FOG
D Root Intrusion
DVandalism
D Pipe Structure Faliure
o Turned Over to CPAU Time:
D Flow Exceeded Capacity D Other ...
D Rainfall Exceeded Design
D Operator Error
D Unknown
OAM
OPM CPAU Representative:
OVERFLOW & CLEAN UP INFORMATION:
Spill Parameters (check all that apply):
D Customer's Property D Planter Strip D StreeUGutter 0 Storm Drain D Vault D Unknown D Other
How was overflow disposed of? D Clean Out D Hauled Away D Main/Manhole
Was spill contained? 0 Yes 0 No Estimated flow rate of overflow: gpm
Approx. Amount Spilled in gallons: Approx. Amount Collected in gallons: DOD __
If over 1000 gallons, you must complete Category 1 Page 2
Did spill reach any surface water? 0 Yes 0 No If yes, you must complete Category 1 Report Page 2
Estimated Amount that reached surface water:
Did spill reach storm drain? 0 YON If yes, was it completely collected? 0 YON
If no, how much was collected? ___ _
Observed Conditions: D Dry Weather DRain D Storm/Flood
TIME LINE:
Call Received
by Dispatch:
OAM ____ OPM
Call Received
from Dispatch:
OAM ____ OPM
Arrived at
Jobsite:
OAM ____ 0 PM
Area Type: 0 Residential 0 Commercial
Stoppage
Cleared:
OAM ____ 0 PM
Call Cleared:
OAM ____ 0 PM
Follow Up D CCTV D Rodding D Hydroflush D Root X 0 Inspect D Repair D Replace
Notes:
Responder's Name: Sup Review : __ _ Revised 1/29/08
Sewer Main / Lateral Overflow Report
SSO Compliance
iJ
Date _______ _ Street ___________ _ House Number ____ ~_
Estimated spill start date & time: / / OAM OPM
Current spill rate if spill is still flowing: ____ gpm
Spill completion date & time: / / ____ OAM OPM
Spill response completion date & time: / / ____ OAM OPM
Estimated volume of spill that reached surface water,
drainage channel, or not recovered from a storm drain gallons
SpUi response: 0 Cleaned Up 0 Restored flow o Contained all or portion of spill 0 Returned all or portion of spill to sanitary sewer o CCTV to determine cause 0 Other
Were Health warnings posted? 0 N/A 0 Yes 0 No
Were any beaches impacted? 0 N/A 0 Yes 0 No Names of beaches: -----------
Were any waterways impacted? 0 N/A 0 Yes 0 No
Names of waterways: 0 Adobe Creek 0 Felt Lake 0 San Francisco Bay o Barron Creek 0 Mayfield Slough 0 San Francisquito Creek o Boronda Lake 0 Matadero Creek 0 Other
Is this incident part of an ongoing investigation? 0 N/A 0 Yes 0 No
Were samples taken at waterways? 0 N/A 0 Yes 0 No
Water quality samples analyzed for: ______________________ _
W . I I d' 0 County Health Agency 0 Other ater samp e resu ts reporte to. 0 Regional Water Quality Control Board ________ _
Steps taken or planned to reduce, eliminate, and prevent reoccurence of overflow
o Added sewer to preventative maintenance program 0 Other o Adjusted schedule or frequency of preventative maintenance program o Enforcement action against FOG source o Planned rehabilitation or replacement of sewer o Repaired sewer
OES Control Number Date & Time OES notified I I / / 0 AM 0 PM I
Were County Health Officers called? Date & time: 0 N/A 0 Yes 0 No
Regional Water Quality Control Board notified? 0 N/A 0 Yes 0 No
Date & Time / / OAM 0 PM
Was spill reported Via Fax? Date & Time 0 YON / /
/ / OAM
---0 PM
_____ 0 AM 0 PM
Notes: ___________ ~ _________________________ ___
Operator Initial Supervisor Initial Manager Initial Last Updated
1/29/08
Element 7 Appendix
1. Water Quality Plan Check Requirements: Newly Constructed, Tenant
Improvement and Remodeled Food Service Establishment (FSE)
Projects
2. List of FOG Hot Spots
3. Food Service Facility Inspection Survey Form
4. Example FOG Ad
Last Revised 5/7/09
Page 1 of 2
Water Quality Plan Check Requirements:
Newly Constructed, Tenant Improvement and Remodeled
Food Service Establishment (FSE) Projects
Please call the Environmental Compliance Division of Public Works Department
at (650) 329-2598 for assistance, co-inspections or dye testing of drainage fixtures
Undesignated Retail Space:
A. PAMC 16.09
Newly constructed or improved buildings with all or a portion of the space with undesignated tenants or future use
will need to meet all requirements that would have been applicable during design and construction. If such
undesignated retail space becomes a food service facility the following requirements must be met:
Designated FSE Project:
B. Grease Control Device (GCD) Requirements, PAMC Section 16.09.103(a) & cited Bldg/Plumbing Codes
1. The plans shall specify the manufacturer details and installation details of all proposed GCDs. (CBC 1009.2)
2. GCD(s) shall be sized in accordance with the 2007 California Plumbing Code.
3. GCD(s) shall be installed with a minimum capacity of 500 gallons.
4. GCD sizing calculations shall be included on the plans. See a sizing calculation example below.
5. The size of all GCDs installed shall be equal to or larger than what is specified on the plans.
6. GCDs larger than 50 gallons (100 pounds) shall not be installed in food preparation and storage areas. Santa
Clara County Department of Environmental Health prefers GCDs to be installed outside. GCDs shall be installed
such that all access points or manholes are readily accessible for inspection, cleaning and removal of all contents.
GCDs located outdoors shall be installed in such a manner so as to exclude the entrance of surface and
stormwater. (CPC 1009.5)
7. All large, in-ground interceptors shall have a minimum of three manholes to allow visibility of each inlet piping,
baffle (divider) wall, baffle piping and outlet piping. The plans shall clearly indicate the number of proposed
manholes on the GCD. The Environmental Compliance Division of Public Works Department may authorize
variances which allow GCDs with less than three manholes due to manufacture available options or adequate
visibility.
8. Sample boxes shall be installed downstream of all GCDs.
9. All GCDs shall be fitted with relief vent(s). (CPC 1002.2 & 1004)
10. GCD(s) installed in vehicle traffic areas shall be rated and indicated on plans.
C. Drainage Fixture Requirements, PAMC Section 16.09.106(c) & cited Bldg/Plumbing Codes
1. To ensure all FSE drainage fixtures are connected to the correct drain lines, each drainage fixture shall be clearly
labeled on the plans. A list of all fixtures and their discharge connection, i.e. sanitary sewer or grease waste line,
shall be included on the plans.
2. A list indicating all connections to each proposed GCD shall be included on the plans. This can be incorporated
into the sizing calculation.
3. All grease generating drainage fixtures shall connect to a GCD. These include but are not limited to:
a. Pre-rinse (scullery) sinks (direct connection)
b. Three compartment sinks (pot sinks) (direct connection)
c. Drainage fixtures in dishwashing room except for dishwashers shall connect to a GCD (direct connection)
i. Examples: trough drains (small drains prior to entering a dishwasher), small drains on busing
counters adjacent to pre-rinse sinks or silverware soaking sinks
d. Floor drains in dishwashing area and kitchens
e. Prep sinks (indirect connection)
f. Mop (janitor) sinks
g. Outside areas designated for equipment washing shall be covered and any drains contained therein shall
connect to a GCD.
h. Drains in trash/recycling enclosures
i. Wok stoves, rotisserie ovens/broilers or other grease generating cooking equipment with drip lines
(indirect connection)
j. Kettles and tilt/braising pans and associated floor drains/sinks
Last Revised 5/7/09
Page 2 of 2
Drainage Fixture Requirements (continued)
4. The connection of any high temperature discharge lines and non-grease generating drainage fixtures to a GCD is
prohibited. The following shall not be connected to a GCD:
a. Dishwashers (direct connection)
b. Steamers (indirect connection)
c. Pasta cookers (indirect connection)
d. Hot lines from buffet counters and kitchens (indirect connection)
e. Hand sinks (direct connection)
f. Ice machine drip lines (indirect connection)
g. Soda machine drip lines (indirect connection)
h. Drainage lines in bar areas (indirect connection)
5. No garbage disposers (grinders) shall be installed in a FSE. (PAMC 16.09.103(e))
6. Plumbing lines shall not be installed above any cooking, food preparation and storage areas.
7. Each drainage fixture discharging into a GCD shall be individually trapped and vented. (CPC 1014.5)
D. Covered Dumpsters, Recycling and Tallow Bin Areas PAMC, 16.09.032b(16)
1. New buildings constructed to house FSEs shall include a covered area for all dumpsters, bins, carts or container
used for the collection of trash, recycling, food scraps and waste cooking fats, oils and grease (FOG) or tallow.
2. The area shall be designed and shown on plans to prevent water run-on to the area and runoff from the area.
3. Drains that are installed within the enclosure for recycle and waste bins, dumpsters and tallow bins serving FSEs
are optional. Any such drain installed shall be connected to a GCD.
4. If tallow is to be stored outside then an adequately sized, segregated space for a tallow bin shall be included in the
covered area.
E. Large Item Cleaning Sink, PAMC 16.09.032b(16)
FSEs shall have a sink or other area drain which is connected to a GCD and large enough for cleaning the largest
kitchen equipment such as floor mats, containers, carts, etc. Recommendation: Generally, sinks or cleaning areas
larger than a typical mop/janitor sink are more useful. F. GCD sizing criteria and an example of a GCD sizing calculation (2007 CPC) Sizing Criteria: GCD Sizing: Drain Fixtures DFUs Total DFUs GCD Volume (gallons) Pre-rinse sink 4 8 500 3 compartment sink 3 21 750 2 compartment sink 3 35 1,000 Prep sink 3 90 1,250 Mop/Janitorial sink 3 172 1,500 Floor drain 2 216 2,000 Floor sink 2
Example GCD
Sizing Calculation:
Note: • All resubmitted plans to Building Department which include FSE projects shall be resubmitted to Water Quality. • It is frequently to the FSE’s advantage to install the next size larger GCD to allow for more efficient grease discharge prevention and may allow for longer times between cleaning. There are many manufacturers of GCDs which are available in different shapes, sizes and materials (plastic, reinforced fiberglass, reinforced concrete and metal)
• The requirements will assist FSEs with FOG discharge prevention to the sanitary sewer and storm drain pollution prevention. The
FSE at all times shall comply with the Sewer Use Ordinance of the Palo Alto Municipal Code. The ordinances include
requirements for GCDs, GCD maintenance, drainage fixtures, record keeping and construction projects.
Quantity Drainage Fixture & Item Number DFUs Total
1 Pre-rinse sink, Item 1 4 4
1 3 compartment sink, Item 2 3 3
2 Prep sinks, Item 3 & Floor sink, Item 4 3 6
1 Mop sink, Item 5 3 3
1 Floor trough, Item 6 & tilt skillet, Item 7 2 2
1 Floor trough, Item 6 & steam kettle, Item 8 2 2
1 Floor sink, Item 4 & wok stove, Item 9 2 2
4 Floor drains 2 8
1,000 gallon GCD minimum sized Total: 30
I
I
Record No.____ Business Name _______________________________Ph. #______________ Fax ___________
Business Address _________________________________ Business Owner _____________________________
Contact Person/Title ________________________________________Email _____________________________
Seating Capacity_______ Meals/Peak Hour_______ Last Inspection _____________Inspection Date __________
Food Service
Establishment (FSE)
Priority Level
1) Problem FSE in hot
spot
2) Problem FSE
3) FSE in hot spot
4) FSE that has only had
minor issues in the past
5) FSE with potential to
generate FOG
6) FSE without significant
potential to generate
FOG
FSE Type
_____________________
Service Type
Single service
(Disposable)
Full service
Sit down
Take out
Primary Languages
English
Spanish
Chinese
Korean
Vietnamese
Other: _____________
GRD(s) Maintenance Log
Yes, available
Yes, can not locate
Offsite
No, do not have
Cleaning GRD(s)
Last cleaning
date:__________________
Frequency:
_______________ Week(s)
_______________ Month(s)
Other: ________________
Self
Contractor: __________
______________________
Ph.#: _________________
Additives: No Yes,
______________________
Lateral/Internal Cleaning
No Yes, Vendor:
______________________
Ph.#: _________________
Freq: _________________
Grease Removal Device(s)
(GRD)
None
Grease trap #___________
Grease interceptor # _____
Mechanical # ___________
_________________gallons
____________________lbs.
Dimensions:
L_____, W______, H_____
Opened & Appearance
______________________
Equipment to GRD(s)
Sink # _________________
3 comp. sink # __________
Mop sink # _____________
Dishwasher # ___________
Temperature__________
Floor drain #____________
Flow restrictor # _________
Other: _________________
BMP Posters Displayed
No
Yes, #______
Cooking Equipment
Grill #_________________
Fryer #________________
Oven #_________________
Stove # ________________
Wok # ________________
Rotisserie # ____________
Best Management
Practices (BMPs)
Drain screens, frequent
cleaning of screens
Disposal of food waste
to trash
Dry wipe: pots, pans,
dishes before washing
Safe procedure for
disposing of fats, oils &
grease (FOG)
Spill clean-up
Employee training
Grinder/Disposer
No
Yes, #______
Tallow Bin
No Yes, #____
Vendor: _______________
Ph.#: _________________
Freq: _________________
Condition
Good
Oil spilled
Lid not on correctly
Trash/Back Area
Covered/Enclosed
Uncovered
Dumpster(s)
Container(s)
Compactor(s)
Shared
Not shared
Good condition
Moderate condition
Bad
Leaking
Floor Mat Cleaning
Outside to ___________
______________________
Inside to ____________
______________________
Vendor: _______________
Ph.#:__________________
Exhaust Hood & Filter
Cleaning
Hoods ________________
Filters _________________
______________________
Vendor: _______________
Ph.#:__________________
Storm Drains #_________
Zinc-Free Floor Finish
No Yes,
______________________
BMP Posters Given
No
Yes, #_____
Language(s)____________
Comments: ___________________________________________________________________________________________
_____________________________________________________________________________________________________
_____________________________________________________________________________________________________
_____________________________________________________________________________________________________
Please fax, (650) 494-3531, or mail (above address) ___________________________________ by _________________.
_________________________________________________
Inspector’s Signature Date
Print Name _______________________________________
_________________________________________________
Facility Contact Signature Date
Print Name _______________________________________
Regional Water Quality Control Plant
2501 Embarcadero Way
Palo Alto, CA 94303 * (650) 329-2598
FOOD SERVICE FACILITY
INSPECTION SURVEY
THE SAN FRANCISCO BAY.
IT’S PART OF YOUR DAILY LIFE.
SO DON’T DISPOSE OF USED COOKING OIL OR
GREASE DOWN THE DRAIN.
We live, work and play in a watershed that
flows to the Bay.
When grease is poured down sinks, it can
solidify and cause sewer backups into
houses or onto streets. Raw sewage can
enter storm drains, creeks and the Bay, which
harms wildlife.
POUR COOKING GREASE OR SMALL AMOUNTS
OF OIL INTO A SEALED CONTAINER (solidified
with an absorbant such as used paper
towels for liquid cooking oil) and place in
the garbage.
Deep frying a turkey? Bring your leftover
frying oil to the Recycling Center, located at
the east end of Embarcadero Road across
from Byxbee Park. For more information,
call 650-329-2598 or visit our website.
The Regional Water Quality Control Plant is operated by the City of Palo Alto for the East Palo Alto Sanitary District, Los Altos, Los Altos Hills,
Mountain View, Palo Alto and Stanford.
Individuals with disabilities who require accommodations to access City facilities, services or programs, or who would like information on the
City's compliance with the Americans with Disabilities Act (ADA) of 1990, may contact the City’s ADA Coordinator at 650-329-2550 (voice)
or e-mail ada@cityofpaloalto.org Printed on recycled paper. 11/08
Element 8 Appendix
1. Wastewater Collection System Master Plan – Capacity Assessment:
Executive Summary
2. Wastewater Collection System Master Plan – Capacity Assessment
(on CD)
Executive Summary
This report summarizes the results and recommendations of the Wastewater Collection
System Master Plan Capacity Assessment prepared for the City of Palo Alto Utilities
Department. The report was prepared by MWH Americas, Inc. (MWH) under an
agreement with the City of Palo Alto (City).
The Capacity Assessment summarized in this report comprises one part of the City's
overall Wastewater Collection System Master Plan. The capacity assessment addresses
the hydraulic capability of the wastewater collection system to convey existing and future
flows, and identifies improvements to provide additional hydraulic capacity where
needed. The other aspect of the Master Plan is the Condition Assessment of the
collection system, which addresses the need for sewer system rehabilitation to reduce
infiltration/inflow, minimize maintenance requirements, and ensure the long-term
structural integrity of wastewater collection system facilities.
This report identifies and recommends the elimination of approximately $21 million
(2003 dollars) of capacity improvement (augmentation) projects originally recommended
in the City'S 1988 Wastewater Collection System Master Plan. The Wastewater
Collection (WWC) Capital hnprovement Program (CIP) projects will be refocused to
concentrate on system rehabilitation of existing sewers rather than capacity
augmentation. The proposed CIP budgets will be adjusted after the Fiscal Year 2005-06
budget cycle to reflect the differences in augmentation versus rehabilitation project costs.
Utilities Department staff anticipates the funding requests for the WWC CIP to be
reduced 20 to 25 percent for future ClPs.
PROJECT BACKGROUND
The City owns and operates an approximate 200-mile wastewater collection system that
serves residents and businesses within the City limits, and operates the Regional Water
Quality Control Plant (RWQCP) that also serves the Cities of Mountain View, Los Altos,
and East Palo Alto, the Town of Los Altos Hills, and Stanford University. Flows from
Stanford University and a portion of Los Altos Hills are also conveyed through the City's
collection system to the RWQCP. Figure 1 shows the planning area for the Wastewater
Collection Master Plan capacity assessment.
The City's previous collection system master planning efforts were completed during the
1980s. That work included a multi-phase InfiltrationlInflow (III) Study, as well as the
Wastewater Collection System Master Plan completed in 1988. The 1988 Master Plan
addressed the capacity of the trunk sewer system (primarily the lO-inch and larger pipes)
and identified $32 million in 1988 dollars (equivalent to approximately $42 million in
2003 dollars) of required capacity improvements. Based on the 1988 Master Plan
recommendations, the City constructed a number of new diversions to better distribute
MWH PAGE ES-1
N
t
3000 0 3000 6000
~ WH
D City/University Boundary
Street
D Portion of Los Altos Hills
Draining to Palo Alto
D Portion of Los Altos Hills
Draining to Los Altos
CITY OF PALO ALTO
COLLECTION SYSTEM MASTER PLAN
PLANNING AREA
FIGURE 1
Executive Summary
flow in the system, and completed construction of several trunk system capacity
improvement projects, including a major relief sewer in Amarillo Avenue. A partial
update of the Master Plan for the area of the system tributary to the Amarillo Relief
Sewer was conducted in 1997 in conjunction with the design of that project. As of the
start of this current Master Plan study, 10 of the 14 diversion projects and all or portions
of 8 of the 13 relief/replacement project priority groups identified in the original 1988
Master Plan (approximately 40 percent of the total dollar value of the recommended
projects) had been completed.
In the 1980s, the City also completed a comprehensive III Study to identify system
rehabilitation needs. The study was conducted in several phases over the period 1980
through 1987, and included extensive flow monitoring, testing, and inspection of sewers
throughout the City. At the time of these studies, it was estimated that over 40 percent of
the City's total annual flow was comprised of III, or extraneous groundwater and storm
water that enter the collection system via direct surface drainage connections or through
defects in sewer pipelines, manholes, and service laterals, primarily during wet weather.
Based on the recommendations of the III Study, the City has completed a substantial
amount of sewer rehabilitation, as well as various other projects designed to improve the
operation and structural condition of the system. The City's sewer rehabilitation program
is still continuing, with each year averaging about 25,000 feet of primarily smaller (6-
and 8-inch) diameter sewers and associated service laterals within the public right-of-way
being rehabilitated or replaced.
The capacity relief and rehabilitation projects, along with other operational improvements
and land use changes over the years, have altered system flows and hydraulics from 1988
Master Plan conditions. Thus, a comprehensive update to the Collection System Master
Plan was needed to effectively plan for future system improvements. This report
addresses the capacity assessment portion of the Master Plan update. In addition, the
City will conduct the condition assessment portion to complete the full update of the
Collection System Master Plan.
MASTER PLAN OBJECTIVES AND SCOPE
The objectives of this Master Plan capacity assessment were to update land use and flow
projections for the wastewater collection system, develop a new computer hydraulic
model that could be utilized to identify existing and future capacity deficiencies, and
develop needed improvement projects to alleviate the predicted deficiencies.
The scope of the study consisted of 12 tasks that are listed below:
• Task 1 -Data Review and Staff Interviews
• Task 2 -Flow Monitoring
• Task 3 -Development of Land Use Planning Criteria
• Task 4 -Model Database Development
• Task 5 -Flow and Hydraulic Criteria
MWH PAGE ES-2
Executive Summary
• Task 6 -Model Calibration and Flow Projections
• Task 7 -Capacity Analysis
• Task 8 -Project Development
• Task 9 -Capital Improvement Program
• Task 10 -Master Plan Report
• Task 11 -Model Training and Support
• Task 12 -Project Management
The Master Plan report presents detailed descriptions of the methodologies and results of
all of these tasks. The end product of the Master Plan is a list of prioritized capital
improvements and estimated costs, along with recommendations for project
implementation and related planning efforts to facilitate the future management,
operation, maintenance, and upgrade of the wastewater collection system. The hydraulic
model will also be provided to the City so that Utilities Department staff can update the
capacity analysis as changes occur in the system over time.
RECOMMENDED CAPITAL IMPROVEJ.\IIENTS
Based on the results of the Master Plan capacity analysis, eight locations were identified
for capacity improvements. Potential solutions were developed and tested using the
hydraulic model. Solutions considered included increasing pipe sizes or possibly
diverting flow to new sewers or other existing sewers with excess capacity. Relief or
replacement pipes were sized to handle the peak flows that would be expected for a 20-
year frequency rainfall event.
Table 1 presents the recommended capacity improvement projects, including estimated
costs and priorities. The locations of the projects are shown in Figure 2. Note that for
this Master Plan, the projects have been given designations starting with "100" (e.g., 101,
102, 103, etc.) to distinguish them from the 1988 Master Plan and City's current Capital
Improvement Program (CIP) project designations.
Three of the recommended projects in this Master Plan (projects 103, 104, and 105)
correspond to projects that were also identified in the 1988 Master Plan but not yet
completed. The other projects are needed primarily to address capacity deficiencies in
smaller diameter sewers that were not modeled in the previous Master Plan. One of these
projects, Project 101, is already being addressed as part of current CIP Project 15. The
total estimated capital cost of the recommended capacity improvement projects identified
in this Master Plan is approximately $4.3 million (2003 dollars).
The analyses conducted for this Master Plan indicate that many of the previously
identified capacity improvement projects that have not yet been constructed are no longer
necessary. The reason for this is likely the reductions in UI that have been achieved
through the City's sewer rehabilitation program, as well as more realistic and less
conservative projections of peak wet weather flows due to more current flow monitoring
data and use of a more accurate hydraulic model.
MWH PAGE ES-3
Executive Summary
TABLE 1
RECOMMENDED CAPACITY IMPROVEMENT PROJECTS
Project Priority Project Name Description/Location L gth Estimated en C"tal apl ID (a) (ft.) Cost ($)
101 A Seale Avenue Sewer Upsize existing 6-inch sewer in Seale 2,235 556,000
Replacement Ave. from Bryant St. to Middlefield
Rd. to 8-inch pipe (as part of current
CIP Project 15).
~-.'7t 102 A East Meadow Drive Upsize existing 8-inch sewer in E. 733 246,000 .. l
~ Sewer Replacement Meadow Dr. from Cowper St. to -J
Middlefield Rd. to 12-inch pipe
103 A Lorna Verde Ave. Replace existing IS-inch sewer in I,SOO 664,000
Sewer Replacement Lorna Verde Ave. from Lorna Verde
PI. to Louis Rd. with 18-inch pipe
104 C Arastradero Road Parallel existing 12-inch sewer in 3,12S 865,000
Relief Sewer Arastradero Rd. from Hillview Ave.
to Foothill Expwy. with 12-inch pipe
105 C Matadero Creek Parallel existing IS-inch sewer from 3,200 1,217,000
Relief Sewer Hillview Ave. and Foothill Expwy.
through V A Hospital property with
IS-inch pipe
106 B N. California Ave. Upsize existing 8-inch sewer in N. 1,460 499,000
Sewer Replacement California from Bellview Dr. to
Embarcadero Rd. with lO-inch pipe
107 B Louis Road at Replace existing 8-inch sewer in 227 68,000
E. Meadow Sewer Louis Rd. from Nathan Way to E.
Replacement Meadow Dr. with lO-inch pipe at
steeper slope
108 C Old Page Mill Road Replace two reaches of existing 12-6S0 202,000
Sewer Replacement inch sewer in Old Page Mill Rd. with
IS-inch pipe at uniform slope
Total 13,130 4,317,000
(a) Priority A -highest priority (predicted surcharge level more than 1 foot above pipe and less than 5 feet
below ground).
Priority B -lower priority (predicted surcharge level less than 1 foot above pipe or more than 5 feet
below ground).
Priority C -required only if flows from Los Altos Hills increase significantly in the future.
MWH PAGE ES-4
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o 2000 4000 Feet
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CITY OF PALO ALTO
COLLECTION SYSTEM MASTER PlAN
f
CAPACITY IMPROVEMENT
PROJECTS
FIGURE 2
Executive Summary
Table 2 lists the 1988 Master Plan projects and their respective status (completed,
eliminated, or still remaining to be completed as part of a current Master Plan project).
Overall, approximately 50 percent or over $21 million (2003 dollars) of the previously
identified capacity improvement projects will no longer be needed. It should be noted
that the cost of this Master Planning effort represents less than two percent of this total
savings from eliminated capital projects.
As indicated in Table 1, the eight capacity improvement projects recommended in this
Master Plan have been divided into three priority groups, designated A, B, and C. The
priorities reflect the relative need for the projects in terms of severity of existing capacity
deficiencies and projected future problems. The priority groups can be used as a
guideline for scheduling the recommended improvements. In most cases, the need for
and timing of the projects should be confirmed by project-specific flow monitoring prior
to project implementation. The alignment, sizes, and construction methods of
recommended projects should also be verified with detailed predesign analyses prior to
final design and construction.
ADDITIONAL MASTER PLAN RECOMMENDATIONS
As discussed in the introductory section of this Executive Summary, this Master Plan
Capacity Assessment should be considered only one part of an overall Master Plan for the
City's wastewater collection system. Additional efforts, including capital improvement
projects, will be needed to address the condition and maintenance of the sewer system.
Furthermore, potential new regulatory requirements, as discussed below, will require
additional measures to document that the City's collection system is being well managed,
operated, and maintained.
Pending Capacity, Management, Operation and Maintenance Requirements. In
early 2001, the U.S. Environmental Protection Agency issued a draft Proposed Rule
aimed at closer regulation of wastewater collection systems in order to minimize the
impacts of sanitary sewer overflows (SSOs) in sewer systems across the United States. A
key element of the draft Proposed Rule was new requirements for sewer system
owners/operators, including "satellite" collection systems tributary to regional
wastewater treatment plants, to develop and maintain a Capacity, Management,
Operation and Maintenance (CMOM) program to control and mitigate the impacts of
SSOs. More recently, some California Regional Water Quality Control Boards have
started to issue waste discharge requirements that contain many of the CMOM-related
provisions described in the EPA proposed rule. In California, these requirements have
been given the designation of "Sewer System Management Plans" (SSMPs). The San
Francisco Regional Board has recently adopted a resolution stating its intention to begin
implementation of SSMPs within the next year, with a draft timetable of about 36 months
after that time for completion of the SSMPs by collection system agencies.
MWH PAGE E5-5
Executive Summary
TABLE 2
STATUS OF PREVIOUS MASTER PLAN PROJECTS
Priority Estimated Estimated Projects Completed Projects
Group Capital Eliminated or Still Needed Eliminated
Cost ($) (a) Cost ($) (a)
1 2,234,000 All projects
2 4,791,000 2,683,000 San Antonio & Transport Ave. Easement near EI
Camino Real
Stanford Univ. (Lasuen St.) (c)
San Antonio Rd. & E. Charleston
"--' 3 4,934,000 All projects
4 1,987,000 All projects
5 2,290,000 All projects
6 2,493,000 All projects
7 1,556,000 All projects
8 2,187,000 1,465,000 Louis Rd. & Colorado Ave. All other projects
9 3,174,000 3,174,000 All projects
10 4,848,000 4,848,000 All projects
11 6,523,000 5,871,000 Lorna Verde Ave. & Louis Rd. (d) All other projects
12 2,822,000 2,822,000 All projects
l3 1,912,000 746,000 Easement nr. Matadero Creek (e) All other projects
Hillview Ave. & Miranda Ave. (e)
Arastradero nr. Old Adobe Rd. (f)
Arastradero & Foothill Expwy. (f)
Total 41,751,000 21,609,000
(a) Costs and projects as updated for 1997 Master Plan Update; costs updated to 2003 dollars based on
Engineering News Record Construction Cost Index.
(b) Projects eliminated on basis of capacity; some improvements may still be needed to address condition
issues.
(c) Project would be responsibility of Stanford University.
(d) Project 103
(e) Project 105
(t) Project 104
MWH PAGE ES-6
Executive Summary
The City has many of the programmatic elements in place to respond to new CMOM and
SSMP requirements, and many of the efforts and products of this Master Plan can be
applied to the development of CMOM program documentation. Listed below are
additional planning recommendations for the City to consider -some that pertain to
pending CMOM requirements, and some that make "good planning sense" for the City
moving forward.
Additional Planning Recommendations. Additional recommended programs or
activities that would aid in future planning as well as the development of the City's
CMOM program include the following:
• Sewer Maps and GIS. The City should continue to maintain up-to-date sewer
collection system maps in the City's GIS database.
• Closed-Circuit Television Inspection (CCTV) Program. The City is currently
planning for a long-term inspection program to assess the condition of all of the
sewers in the wastewater collection system. The City's proposed CCTV sewer
inspection program will identify sewer rehabilitation needs for the Condition
Assessment portion of the Master Plan, as well as help refine any CMOM-required
operation and maintenance programs.
• CCTV Data Management. In planning its CCTV inspection program, the City
should evaluate the most efficient and effective way of collecting, storing, and
utilizing the CCTV data, ideally as part of an overall computerized maintenance
management system (CMMS). Use of digital video technology should be considered
to facilitate storage and linking the data to other systems such as GIS. The City
should adopt a standardized set of observation codes so that recorded data can be
loaded into a database and used for condition ranking and rehabilitation assessment.
• Maintenance Management System. The City should review the effectiveness and
utilization of its CMMS to maximize its utility for the most cost-effective
management of the collection system as well as maintenance staff utilization,
rehabilitation project prioritization, and financial reporting. A carefully designed and
well-managed CMMS is a critical element of an effective asset management program.
• Permanent Flow Monitoring. It is recommended that the City upgrade and/or
relocate permanent flow meters as needed so that they will consistently provide.
accurate and reliable data. The meters should also be calibrated regularly. The City
should also continue to monitor flows at other key locations, particularly those areas
with predicted high III and locations where flows from Stanford University and the
Town of Los Altos Hills enter the City's collection system.
• Wet Weather Flow Monitoring. The City should conduct wet weather flow
monitoring after all currently recommended projects are implemented to verify the
effectiveness of the improvements to the collection system.
MWH PAGE ES-7
Executive Summary
• Coordination with Stanford. Additional coordination with Stanford University is
recommended to reconcile their growth plans with their capacity rights in the
RWQCP and potential capacity requirements in the collection system.
• Coordination with RWQCP. The City should coordinate with its RWQCP partners
to develop estimates of total flows to the wastewater treatment plan and in the
RWQCP's 72-inch interceptor, which conveys flows from several of the partner
cities, including Palo Alto.
• Manhole Inspection Program. A regular manhole inspection and assessment
program in conjunction with the sewer inspection program would help continue the
City's excellent track record for reducing III in the collection system;
• Smoke and Dye Testing. These techniques may be used selectively in areas with
suspected high III to identify additional rehabilitation or potential inflow removal
projects.
• Collection System Self~Audit. An on-going self-audit by Utilities Engineering and
Operations would help identify gaps in the City's collection system management,
operations, and maintenance practices as compared to potential CMOM requirements.
• Asset Management. The City should consider implementing an asset management
program, within which the planning efforts for the entire wastewater system
(collection and treatment), as well as other City-owned utilities, could be coordinated.
Consistent measurements and monitoring of capacity, condition, and performance of
all of the City's assets would facilitate prioritization and decision-making for
improved long-term planning of capital needs.
MWH PAGE ES-8
Element 9 Appendix
1. Annual SSO Report Template
City of Palo Alto Utilities Department
Water Gas Wastewater Division
Sanitary Sewer Overflows (SSO)
[Date] Annual Report
Introduction
The City of Palo Alto owns and operates approximately 202 miles of gravity flow
wastewater collection system pipeline that range from 6 to 72 inches in diameter. The
City also owns and operates the lower portion of approximately 18,000 lateral service
connections that serve residents and businesses within the City limits. The City’s
wastewater is treated by the Regional Water Quality Control Plant that is operated by the
City of Palo Alto in partnership with the City of Mountain View, City of Los Altos, East
Palo Alto Sanitary District, Town of Los Altos Hills and Stanford University.
Highlights
In [year] the Utilities Wastewater Collection System program continued with the
planning, operation and maintenance of the City’s collection system to reduce overflows,
protecting public health and the San Francisco Bay. During this period, over [number]
feet of sewer mainlines were cleaned, videoed, or replaced. In addition, the City spent
over [amount] in contracts with various firms for the maintenance and rehabilitation of its
collection system. A summary of [year] activities is provided in Table 1.
During the same period, the operation and crew responded to [number] sewer related
calls in which [number] were overflows. [number] of the overflows were due to the
sewer main blockages and [number] were due to the blockage of the lower laterals. In
Palo Alto, the City owns and maintains the lower portion of the laterals that extend from
the house line at the property line to the sewer main. The Field Service Representative
(FSR) continues to be the first responders to all sewer calls. Each FSR is trained to
assess the severity of each sewer call based on type of blockage or volume of overflow
and make decisions in the next level of response required. In case of an overflow, the
FSR will provide immediate protection of the storm water system by placing a rubber mat
on the catch basin or applying spill absorbent (Spill Shark) to dam the flow. In [year] the
FSR’s average response time to a sewer call was [number] minutes.
All field data are collected for data entry to an ICOMMM database and if needed, entry
to the State Water Resources’ database (CIWIQS). The operation crews are trained on
field data collection, proper documentation, and improved accuracy. In [year], the
ICOMMM database and the City GIS were fully utilized to generate follow up inspection
report and hydroflushing schedules. The City authorized contract services with
ICOMMM to update and improve the database. The new program will generate work
orders and various map based reports.
The City maintains a service contract with Roto Rooter Company. The contract provides
the City with additional coverage to respond to customers’ sewer calls. This service is
used on weekdays when the crew is busy with scheduled work. The City crew responds
to sewer calls as needed on evenings and weekends. In addition to the Roto Rooter
contract, the City maintains a service contract for sewer lateral replacement, cleanout
installations and spot repairs.
Table 1
Collection System Maintenance & Construction Activities
[year]
Activities Footage
Sewer Main Rehabs
Replace Laterals
CCTV & Line Cleaning
Service Calls
Manhole Replacement
Number and Size of Sanitary Sewer Overflows
There were [number] Sanitary Sewer Overflows (SSOs) for the [year] reporting period.
This number includes the overflows from city clean-outs and manholes. [overflow cause]
caused the majority of overflows. Approximately [number] % of the overflows occurred
[location]. Only [number] % of the overflows were caused by grease. As indicated in
Table 2, the size of the distribution of SSO (gallons) category has remained the same,
with approximately [number] % of SSOs being less than [number] gallons. The standby
and the maintenance crews are trained to report all SSOs regardless of their volume.
Table 2
Range of Overflows
[date range]
Number % of Total Size of
SSO
(gallons) [year] [year] [year] [year] [year] [year]
1,000 or
more
100 to 999
10 to 99
Less than
10
Total*
* These numbers include incidents of overflows from both manholes and clean-
outs.
Table 3
Volume of SSOs
Subject Volume (gallons)Percent of Total by Volume
Estimated SSO
Estimated volume that was
contained and returned to the
sewer or hauled away
Estimated volume of
wastewater that may have
reached surface water
Based on the operator’s reports, approximately [number] % of the total gallons of SSOs
were vacuumed and wither hauled away or discharged back into the sanitary sewer. Only
[number] % of the total gallons of SSOs that entered the storm drains could not be
recovered and may have reached the wet wells or the creeks.
Cause of SSOs
On our SSO reports for [year], the causes contributing to the SSO were documented. The
predominant causes of SSOs during this reporting period were [causes]. The causes of
[number] % of the blockages were unknown.
Table 4
Causes of SSOs
Number Percent of
Total Calls Cause of SSO
[year] [year] [year] [year]
Roots
Grease
Debris
Other (rags, paper)
Offset Joints
Unknown
Total Causes
Location of SSOs
The SSOs predominantly occurred in [location]. The majority of SSOs were a result of
[explanation]. The number of FOG related SSOs has decreased by [number] % over the
[year] values. The location of FOG related problems [explain distribution] between
residential and commercial areas. The areas of the collection system with high
occurrence of FOG related SSOs are flushed on a [duration] basis. The Operations and
Environmental Compliance Division (ECD) coordinate their resources to identify the
locations of the problems. If FOG is caused by a commercial facility, the ECD staff
conducts an inspection of the facility and if needed, a compliance directive will be issued.
All of the results are discussed art monthly operational meetings.
Status of Development of Sewer System Management Plan
[include status report]
Certification
I certify under penalty of law that this document and all attachments are prepared under
my direction or supervision in accordance with a system designed to assure that qualified
personnel properly gathered and evaluated the information submitted. Based on my
inquiries of the staff who managed the system, or those persons directly responsible for
gathering the information, the information submitted is, to the best of my knowledge and
belief, true, accurate, and complete. I am aware that there are significant penalties for
submitting false information, including the possibility of fine and imprisonment for
knowing violations.
Sincerely,
[City Official]
Element 10 Appendix
1. Annual SSMP Audit Report Form
City of Palo Alto
Sewer System Management Plan (SSMP)
[YEAR] Annual Audit Report
The purpose of the Annual SSMP Audit is to evaluate the effectiveness of the City
of Palo Alto’s (City’s) SSMP and to identify any needs for improvement. The
audit is submitted pursuant to the requirements included in the State Water
Resources Control Board Order No. 2006-0003-DWQ and San Francisco Bay
Regional Water Quality Control Board’s Sewer System Management Plan
Development Guide, July 2005. Information collected in the Annual Report of
Sanitary Sewer Overflows was used in preparing this audit and therefore the two
reports are intended to be submitted as one document.
Directions: Please check YES or NO for each question. If NO is answered for
any question, describe the updates/changes needed and the timeline to complete
those changes in the “Description of Scheduled Updates/Changes to the SSMP”
section on Page 5 of this form.
YES NO
ELEMENT 1 – GOALS
A. Are the goals stated in the SSMP still appropriate and accurate? □ □
ELEMENT 2 -- ORGANIZATION
A. Is the Public Works Services Key Staff Telephone List current? □ □
B. Is the Sanitary Sewer Overflow Responder Telephone List current? □ □
C. Is Figure 1 of the SSMP, entitled “City Organization Chart,” current? □ □
D. Are the position descriptions and accurate portrayal of staff
responsibilities? □ □
E. Is Table 2 of the SSMP, titled “Chain of Communication for Reporting
and Responding to SSOs,” accurate and up-to-date? □ □
ELEMENT 3 – LEGAL AUTHORITY
Does the SSMP contain excerpts from the current Redwood City Municipal Code
documenting the City’s legal authority to:
A. Prevent illicit discharges? □ □
B. Require proper design and construction of sewers and connections? □ □
C. Ensure access for maintenance, inspection, or repairs for portions of the
lateral owned or maintained by the City? □ □
D. Limit discharges of fats, oil and grease? □ □
City of Palo Alto SSMP Audit Form Page 1of 5
YES NO
E. Enforce any violation of its sewer ordinances? □ □
ELEMENT 4 – OPERATIONS AND MAINTENANCE
Collection System Maps
A. Does the SSMP reference the current process and procedures for
maintaining the City’s wastewater collection system maps? □ □
B. Are the City’s wastewater collection system maps complete, current, and
sufficiently detailed? □ □
Resources and Budget
C.
Does the City allocate sufficient funds for the effective operation,
maintenance and repair of the wastewater collection system and is the
current budget structure documented in the SSMP? □ □
Prioritized Preventive Maintenance
D. Does the SSMP describe current preventive maintenance activities and the
system for prioritizing the cleaning of sewer lines? □ □
E.
Based upon information in the Annual SSO Report, are the City’s
preventive maintenance activities sufficient and effective in minimizing
SSOs and blockages? □ □
Scheduled Inspections and Condition Assessments
F.
Is there an ongoing condition assessment program sufficient to develop a
capital improvement plan addressing the proper management and
protection of infrastructure assets? Are the current components of this
program documented in the SSMP?
□ □
Contingency Equipment and Replacement Inventory
G.
Does the SSMP list the major equipment currently used in the operation
and maintenance of the collection system and document the procedures of
inventory management? □ □
H. Are contingency equipment and replacement parts sufficient to respond to
emergencies and properly conduct regular maintenance? □ □
Training
I. Is the training calendar current? □ □
J. Does the SSMP document current training expectations and programs
within the City’s Wastewater Division? □ □
Outreach to Plumbers and Building Contractors
K. Does the SSMP document current outreach efforts to plumbers and
building contractors? □ □
City of Palo Alto SSMP Audit Form Page 2of 5
YES NO
ELEMENT 5 – DESIGN AND PERFORMANCE STANDARDS
A.
Does the SSMP contain current design and construction standards for the
installation of new sanitary sewer systems, pump stations and other
appurtenances and for the rehabilitation and repair of existing sanitary
sewer systems?
□ □
B.
Does the SSMP document current procedures and standards for inspecting
and testing the installation of new sewers, pumps, and other
appurtenances and the rehabilitation and repair of existing sewer lines? □ □
ELEMENT 6 – OVERFLOW AND EMERGENCY RESPONSE PLAN
A.
Does the City’s Sanitary Sewer Overflow and Backup Response Plan
establish procedures for the emergency response, notification, and
reporting of sanitary sewer overflows (SSOs)? □ □
B.
Are Wastewater Division staff and contractor personnel appropriately
trained on the procedures of the Sanitary Sewer Overflow and Backup
Response Plan? □ □
C.
Considering performance indicator data in the Annual SSO Report, is the
Sanitary Sewer Overflow and Backup Response Plan effective in handling
SSOs in order to safeguard public health and the environment? □ □
ELEMENT 7 – FATS, OILS, AND GREASE (FOG) CONTROL PROGRAM
A. Does the Fats, Oils, and Grease (FOG) Control Program include efforts to
educate the public on the proper handling and disposal of FOG? □ □
B.
Does the City’s FOG Control Program identify sections of the collection
system subject to FOG blockages, establish a cleaning schedule and
address source control measures to minimize these blockages? □ □
C.
Are requirements for grease removal devices, best management practices
(BMP), record keeping and reporting established in the City’s FOG
Control Program? □ □
D. Does the City have sufficient legal authority to implement and enforce the
FOG Control Program? □ □
E. Is the current FOG program effective in minimizing blockages of sewer
lines resulting from discharges of FOG to the system □ □
ELEMENT 8 – SYSTEM EVALUATION AND CAPACITY ASSURANCE PLAN
A.
Does the Redwood City Sanitary Sewer Master Plan evaluate hydraulic
deficiencies in the system, establish sufficient design criteria and
recommend both short and long term capacity enhancement and
improvement projects?
□ □
B.
Does the City’s Capital Improvement Plan (CIP) establish a schedule of
approximate completion dates for both short and long-term improvements
and is the schedule reviewed and updated to reflect current budgetary
capabilities and activity accomplishment?
□ □
City of Palo Alto SSMP Audit Form Page 3of 5
YES NO
ELEMENT 9 – MONITORING, MEASUREMENT, AND PROGRAM
MODIFICATIONS
A. Does the SSMP accurately portray the methods of tracking and reporting
selected performance indicators? □ □
B. Is the City able to sufficiently evaluate the effectiveness of SSMP
elements based on relevant information? □ □
ELEMENT 10 – SSMP AUDITS
A.
Will the SSMP Audit be submitted with the SSO Annual Report to the
Regional Water Board by March 15th of the year following the end of the
calendar year being audited? □ □
ELEMENT 11 – COMMUNICATION PROGRAM
A.
Does the City effectively communicate with the public and other agencies
about the development and implementation of the SSMP and continue to
address any feedback? □ □
City of Palo Alto SSMP Audit Form Page 4of 5
Description of Scheduled Updates/Changes to the SSMP
Directions: For each NO answer, please describe the planned revision and indicate the
date the revision will be completed. Reference the SSMP element and question number
with each explanation.
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City of Palo Alto SSMP Audit Form Page 5of 5
TO: HONORABLE CITY COUNCIL
FROM: CITY MANAGER DEPARTMENT: PLANNING AND
COMMUNITY ENVIRONMENT
DATE: JULY 20, 2009 CMR: 316:09
REPORT TYPE: CONSENT
SUBJECT: Approval of a Final Map to Subdivide Three Lots into Separate
Parcels and Approval of Community Use Agreement at 3401, 3415,
3445 Alnla Street (Alma Plaza)
RECOMMENDATION
Staff recommends that the City Council approve the proposed Final Map for 3401, 3415, 3445
Alma Street (Alma Plaza) to subdivide the subject site into one mixed use lot, one smaller
commercial lot, 37 single family fee lots, private streets/common areas and a 9,694-sq. ft. public
park, and approve the related Community Room and Lease Agreement.
BACKGROUND
On January 26, 2009, the City Council approved the Tentative Map, as well as the Site and
Design Review component for Alma Plaza. City Council approved the Tentative Map with one
additional condition of approval specific to the Tentative Map:
"Prior to the recordation of a Final Map, the applicant shall record a Reciprocal
Easement and Maintenance Agreement (REA) covering the two commercial and
mixed use parcels (parcels A and B) to the satisfaction of the City Attorney.
The REA shall provide that the owner of the larger mixed use parcel will retain
the right to dictate the timing and extent of all common area repairs and
maintenance to the owner of the smaller parcel. The owner of the larger parcel
may require the smaller parcel owner to pay for its pro-rata share, such as
parking lot repairs, sweeping, and landscaping maintenance. The owner of the
larger parcel may also determine whether uses proposed for the smaller parcel
are acceptable. The owner of the larger parcel shall have the right to determine
the timing, design and extent of any remodel of the structure of the smaller
parcel."
A Planned Community Zoning (PC 4956) was approved for the subject site on May 14,2007.
The Planned Community approval controls the allowable land uses, developnlent intensity, and
parking requirenlents for the site, to include: a) an approximately two-story 50,511-sq. ft. mixed
CMR: 316:09 Page 1 of3
use building that consists of22,857 sq. ft. of commercial space (including 15,000 for a grocery
store), 14 second-floor below market rate (BMR) units, and 1,757 sq. ft. for a community room;
b) a smaller two-story 5,580-sq. ft. retail building; c) 37 single family residences; and d)
parkland. The Final Map would create parcels consisting of one commercial and residential
mixed use parcel, one smaller commercial parcel, a 9,694-sq. ft. public park, private streets and
37 single family residences.
DISCUSSION
The purpose of the final map is to subdivide the subject site (3401, 3415, 3445 Alma St.lAlma
Plaza) into one commercial and residential mixed use lot, one smaller commercial lot, 37 single
family fee lots, private streets/common areas and a 9,694-sq. ft. public park. The Final Map and
the Record of Land Use Action for the Tentative Map have been provided for the Council's
information. Staff of the Planning and Public Works Departments have reviewed the Final Map
(Attachment B) and have determined that it is consistent with the approved Tentative Map.
The map is consistent with the approved Tentative Map site layout, which was designed to meet
the requirements of Planned Community 4956. The map also satisfies all approval conditions for
the Tentative Map, including the preparation of a Subdivision Improvement Agreement, Park
Maintenance Agreement, Community Room Use Agreement, Reciprocal Easement and
Maintenance Agreement (REA) and BMR Agreement. The City Attorney, Public Works
Department and Community Services Department have reviewed the agreements and concur. A
copy of the Community Room Use Agreement is attached (Attachment A) for review and
approval as required by the map conditions. According to the State Subdivision Map Act, the
City Council must therefore approve the Final Map ifit complies with the approved Tentative
Map.
RESOURCE IMPACT
There is no direct impact on City resources associated with the action recommended in this staff
report. An assessment of the project's resource impacts was presented with the Site and Design
Review in January 2009.
POLICY IMPLICATIONS
No changes in the Comprehensive Plan or Zoning Ordinance are required for this project. The
Final Map complies with the Subdivision Map Act and the City's Subdivision Ordinance
provisions for Final Maps.
ENVIRONMENTAL REVIEW
A Mitigated Negative Declaration was approved on May 14,2007 by the City Council for the PC
Ordinance and subsequent applications, pursuant to the provisions of the California
Environmental Quality Act (CEQA). The slight modifications to the site layout do not entail any
additional impacts beyond those anticipated and addressed in the Mitigated Negative
Declaration. The density and intensity of the development has not increased. The access and
circulation of the project are substantially the same as the plans reviewed at the time.
CMR: 316:09 Page 2 of3
PREPARED BY:
DEPARTMENT HEAD:
CITY MANAGER APPROVAL:
ATTACHMENTS
A. Community Room Use Agreement
B. Final Map (Council members only)
COURTESY COPIES
McNellis Properties
James E. Baer, Premier Properties
Friends of Alma Plaza
Dr. Van Der Wilt
CMR: 316:09
ELENA LEE
Senior Planner
CURTIS WILLIAMS
Interim Director of Planning and Community
Environment
L~)a~ ~ j{ I ,f,r ~/.
JAMES ~ENE J}
City Man,ter i
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3437 ALMA PLAZA, PALO ALTO
COMMUNITY ROOM USE AGREEMENT
USE AGREEMENT SUMMARY
The infotmation contained in this "Use Agreement Summary" is incorporated into the tetms of the
attached Use Agreement.
1. PREMISES OWNER: Trestle Alma Plaza, LLC, a California limited liability company
("Owner")
2. PREMISES USER: City'ofPalo Alto ("City")
3. DATE OF USE AGREENIENT (for reference purposes only): July -' 2009
4. PREMISES (paragraph 2.1): An approximately 1,757 square foot condominium unit
located on the second floor of the mixed use building located at 3437 Alma Avenue,
Palo Alto, California, hereinafter referred to as the "Building," along with the non-
exclusive right to use the common areas as set forth in this Use Agreement.
5. TERM (paragraph 3): Fifty-nine (59) years.
COMMENCEMENT DATE: Upon issuance of occupancy petmits for the Premises
and the Building.
EXPIRATION DATE: The day before the Fifty-ninth (59th) anniversary of the
Commencement Date.
OPTIONS: None.
6. CONSIDERATION (paragraph 4.1): One Dollar ($1.00) payable on execution of
this Use Agreement
7. PERMITTED USE (paragraph 6.1): A class room and meeting room for the Palo Alto
Parks & Recreation department and related uses as petmitted under City of Palo Alto
Ordinance No.4956 during the Permitted Business Hours as set forth in Section 10 of
this Use Agreement Summary.
8. PERMITTED BUSINESS HOURS: Weekdays: between 8 a.m. in the morning and 1
p.m. in the afternoon and after 6:30p.m. in the evenings. Weekends: between 8 a.m. in
the morning and 11 a.m. in the morning and after 6:00p.m. in the evenings. The room
shall also be available for use weekdays between 1 p.m. and 4 p.m. only for limited use
by groups of not more than 20 people.
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9. ADDRESS FOR NOTICES (Paragraph 20):
OWNER:
CITY:
10. BROKERS: None.
Trestle Alma Plaza, LLC
c/o McNellis Partners LLC
419 Waverley Street
Palo Alto, CA 94301
City of Palo Alto
Real Property Division
250 Hamilton Avenue
Palo Alto, CA 94301
11. P ARKING SPACES (paragraph 2.2): Non-exclusive use of the surface parking spaces
serving the Building only during the Pennitted Business Hours and subject to the tenns
of this Use Agreement.
EXHIBITS
Exhibit A
ExhibitB
Exhibit C
OWNER:
Premises
Site Plan
Work Letter
Trestle Alma Plaza, LLC
a California limited liability company
By:
John E. McNellis, Manager
CITY:
CITY OF PALO ALTO, CALIFORNIA,
a chartered California municipal corporation
Approved as to form:
Asst. City Attorney
11
By: ______________________ __
City Manager
USE AGREEMENT
1. Parties. This Use Agreement is made and entered into as of the "Date of Use
Agreement", by and between "Ownernand "City", as those terms are defined in the "Use
Agreement Summary", which Use Agreement Summary is attached to the front of and incorporated
in and made part of this Use Agreement.
2. Premises, Parking and Common Areas.
2.1 Premises. Owner leases the Premises (as hereinafter defined) to City, and
City Use Agreements the Premises from Owner for the Term, and for the consideration set forth in
the Use Agreement Summary, and upon all of the conditions set forth herein and in the Use
Agreement Summary. The Premises consist of an approximately 1,757 square foot room, being a
separate condominium unit which is a portion of the second floor in the Building described in the
Use Agreement Summary located at 3437 Alma Avenue (the "Building") on that parcel of land
underlying the Building (the "Property"), and shown on the site plan attached as Exhibit A,
including rights to the Common Areas as hereinafter specified, but not including any rights to the
roof of the Building or the garage of the Building. The rentable area of the Premises is approximate,
and any increase or reduction in the actual square footage shall not alter the terms of this Use
Agreement. City acknowledges that Owner intends to create separate condominium units
consisting of the first floor retail area of the Building ("Retail Area"), the Premises and the
residential apartments on the second floor of the Building ("Residential Area"), as set forth in a
subdivision map, Condominium Declaration and related documents (the "Condo Documents").
Owner may designate the Premises with a separate legal address.
2.2 Vehicle Parking. City shall be entitled to use the parking spaces, on the
surface areas of those portions of the Common Areas designated by Owner for parking, on a non-
exclusive, unreserved and unassigned basis, but only during the Permitted Business Hours as set
forth in the Use Agreement Summary. City shall not permit or allow any vehicles that belong to
or are controlled by City or City's employees, suppliers, shippers, customers, or invitees to be
loaded, unloaded, or parked in areas other than those designated by Owner for such activities or
during any hours other than the Permitted Business Hours. Without limitation, City shall not use
any portion of the underground parking garage for any purpose. Owner shall have the right to
tow any vehicles parked in violation of this Use Agreement at City's cost.
2.3 Common Areas -Definition. The term "Common Areas" is defined as all
areas and facilities outside the Premises and within the Building and on the Property that are
provided and designated by the Owner in the Condo Documents or from time to time for the
general non-exclusive use of Owner, City and of other occupants of the Building and their
respective employees, suppliers, shippers, customers and invitees, and include the first floor
elevator lobby, surface parking areas on the Property, loading and unloading areas, trash areas,
roadways, sidewalks, walkways, parkways, driveways and landscaped areas. The Common
Areas specifically exclude the underground parking garage in the Building. The Common Areas
shall also include the Limited Common Areas that are designated in the Condo Documents for
the sole use of the Premises and the Residential Area.
2.4 Common Areas -City's Rights. Owner hereby grants to City, during the
1
term of this Use Agreement, the non-exclusive right to use, in common with others entitled to
such use, the Common Areas as they exist from time to time, subject to the terms hereof and the
terms of any rules, regulations and restrictions governing the use of the Building. Under no
circumstances shall the right herein granted to use the Common Areas be deemed to include the
right to store any property, tenlporarily or permanently, in the Common Areas. In the event that
any unauthorized storage shall occur then Owner shall have the right, without notice, in addition
to such other rights and remedies that it may have, to remove the property and charge the cost to
City, which cost shall be immediately payable upon demand by Owner.
2.5 Common Areas -Rules and Regulations. Owner or such other person(s)
as Owner may appoint shall have the exclusive control and management of the Common Areas
and shall have the right, from time to time, to establish, modify, amend and enforce reasonable
rules and regulations with respect thereto. City agrees to abide by and conform to all such rules
and regulations, and to cause its employees, suppliers, shippers, customers, and invitees to so
abide and conform. Owner shall not be responsible to City for the non-compliance with said
rules and regulations by other tenants or occupants of the Building.
3. Term. Subject to and upon the conditions set forth in this Use Agreement, the
term of this Use Agreement shall begin on the day Owner has substantially completed "Owner's
Work" as described in Exhibit C attached hereto and incorporated herein, and tendered
possession of the Premises to City (the "Commencement Date") and shall continue for the term
stated in the Use Agreement Summary, unless sooner terminated pursuant to this Use Agreement.
Owner shall not be liable for any damage to City caused by any delay by Owner in the delivery
of possession, and this Use Agreement shall not be void or voidable nor shall the City be relieved
of any obligation hereunder. Upon substantial completion of Owner's Work as provided in this
Use Agreement, Owner and City (and/or their representatives) shall conduct a walk through of
the entire Premises using diligence to specify any items remaining incomplete or improperly
performed. Owner and City within ten (10) days of their inspection shall prepare a "punch-list"
of incomplete or improperly performed items requiring further work or required to be redone,
and Owner shall cause such work to be performed within a reasonable time. Taking of
possession by City of all or any part of the Premises shall be conclusively deenled to establish
that the Premises have been accepted as being in accordance with this Use Agreement, and are in
good and satisfactory condition as of the date possession was so taken by City, except for such
"punch-list" items.
4. Consideration for Use.
4.1 Up Front Payment. On the Commencement Date, City shall pay to Owner
the Rent for the term of this Use Agreement as set forth in the Use Agreement Summary.
4.2 Operating Expenses. Except as provided in this Use Agreement, all costs
associated with the operation, replacement, repair and maintenance of the Building structure and
Common Area as required by this Use Agreement shall be paid by Owner without reimbursement
by City, unless such replacement, repair or maintenance is necessitated by City's breach of this
Use Agreement, negligence or wrongful acts or omissions, in which case City shall pay such
costs. Costs to operate, repair, replace and maintain the interior of the Premises in a neat, clean
and good order and condition and to supply utility and telephone service to the Premises shall be
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paid by City.
5. Security. Owner may retain the services of a private security firm fronl time to
time with respect to the Building, but shall have no obligation to do so. City shall be solely
responsible for maintaining security services for its Premises if City desires or requires such
services, and shall pronlptly notify Owner in writing of the nanle and contact number for all
private security personnel retain by City.
6. Use.
6.1 The Premises shall be used and occupied only for the purposes set
forth in the Use Agreement Summary during the Permitted Business Hours, and for no other
purpose. City shall not use nor permit the use of the Premises or the Common Areas in any
manner that will tend to create waste or a nuisance or shall tend to disturb other occupants of the
Building or adjacent premises. City shall not maintain any sign on or about the Premises visible
from outside the Premises without Owner's prior approval. City shall have no right or access to
the Building roof and shall make no penetrations of the Building roof. City shall not prepare or
serve any food or drink items within or about the Premises (except for prepackaged or precooked
snack items and beverages, such as cookies, muffins, pastries, bagels, coffee, soft drinks and
juice, and shall not serve alcoholic beverages of any kind. No smoking is permitted in the
Premises or the Building. No amplified music, microphone or other amplified sound is permitted
in or about the Premises or Building. City acknowledges that adjacent uses in the Building are
residential and retail, and City shall not use the Premises in such a way as to annoy or interfere
with the peaceful enjoyment of the other portions of the Building by the occupants thereof.
6.2 Compliance with Law. City shall, at City's expense, promptly comply
with all applicable statutes, ordinances, rules, regulations, orders, covenants and restrictions of
record, and requirements of any fire insurance underwriters or rating bureaus, now in effect or
which may hereafter come into effect, whether or not they reflect a change in policy from that
now existing, during the term, relating in any manner to the occupation or use by City of the
Premises, and shall comply with all requirements of the Condo Documents.
6.3 Condition of Premises. Except as oth.erwise provided in this Use
Agreement, City hereby accepts the Premises in their condition existing as of the
Commencement Date, subject to all applicable zoning, municipal, county and state laws,
ordinances and regulations governing and regulating the use of the Premises, and any covenants
or restrictions of record, and all matters disclosed thereby and by any exhibits attached hereto,
except latent structural defects not discoverable on reasonable inspection. City acknowledges
that neither Owner nor Owner's agent has made any representation or warranty as to the present
or future suitability of the Premises for the conduct of City's business.
6.4 Hazardous Materials. City shall not cause or permit to be
discharged into the plumbing or sewage system of the Building or onto the Premises, Building or
land underlying or adjacent to the Building, any hazardous, toxic, or radioactive substances or
materials, including, but not limited to, those materials identified in the Comprehensive
Environmental Response, Compensation and Liability Act of 1980, as amended 42 U.S.C.
Section 9601 et seq., the Hazardous Materials Transportation Act 49 U.S.C. Section 1801, et
3
seq., the Resource Conservation and Recovery Act, 42 U.S.C. Section 6901 et seq., Sections
25117 and 25316 of the California Health and Safety Code, and Section 66680 of Title 22 of the
California Administrative Code, Division 4, Chapter 30, and any new or additiona11aws or
ordinances regarding hazardous, dangerous, toxic or hamlfu1 materials or waste, all as nlay be
amended from time to time (collectively, "Toxic Materials"). City shall, at its sole expense,
comply with any and all rules, regulations, codes, ordinances, statutes, and other requirements of
lawful governmental authority respecting Toxic Materials, pollution, harmful chemicals and
other materials released by City or brought by City, or by its agents, employees or contractors,
onto or about the Premises and/or Building.
6.5 Signage. City shall not erect any signs on the Premises, Building or
Common Area, except that City may have a sign on the entry door to the Premises of a size and
type reasonably approved by Owner, and signage to help locate the Premises may be erected with
Owner's prior approval, which shall not be unreasonably withheld or delayed.
7. Maintenance, Repairs, Alterations and Common Area Services.
7.1 Owner's Obligations. Subject to the provisions of Paragraphs 6 (Use), 7.2
(City's Obligations) and 9 (Damage or Destruction) and except for damage caused by any
negligent or intentional act or omission of City, City's employees, suppliers, shippers, customers,
or invitees, in which event City shall repair the damage, Owner at Owner's expense, shall keep in
good condition and repair the foundations, exterior structural walls, and roof structure of the
Building (excluding the roof membrane), as well as the parking lots, walkways, driveways,
landscaping and utility installations of the Common Areas and all parts thereof. Owner shall not,
however, be obligated to paint the interior surface of any walls, nor shall Owner be required to
maintain, repair or replace windows, interior or exterior doors or plate glass of the Premises.
Owner shall have no obligation to make repairs under this Paragraph 7.1 until a reasonable time
after receipt of written notice from City of the need for such repairs. City expressly waives the
benefits of any statute now or hereafter in effect which would otherwise afford City the right to
make repairs at Owner's expense or to terminate this Use Agreement because of Owner's failure
to keep the Premises in good order, condition and repair, it being intended that the provisions of
this Use Agreement shall govern in such events. Owner shall not be liable for damages or loss of
any kind or nature by reason of Owner's failure to furnish any Common Area services when such
failure is caused by accident, breakage, repairs, strikes, lockout, or other labor disturbances or
disputes of any character, or by any other cause beyond the reasonable control of Owner.
7.2 City's Obligations.
(a) Subject to the provisions of Paragraphs 6 (Use) and 7.1 (Owner's
Obligations), City, at City's expense, shall keep in good order, condition and repair the Premises
and every part thereof including, without limiting the generality of the foregoing, all plumbing,
heating and ventilating systems, , electrical and lighting facilities and equipment within the
Premises, utility systems within the Premises, communications facilities in the Premises, fixtures,
interior walls and interior surfaces of exterior walls, floors, ceilings, windows, doors, plate glass,
and skylights located in the Premises. Owner City shall reimburse, upon demand, for the cost
thereof.
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(b) If City fails to perfonn City's obligations under this Paragraph 7.2
or under any other Paragraph of this Use Agreement, Owner may enter upon the Premises after
ten (10) days' prior written notice to City (except in the case of emergency, in which event no
notice shall be required), perform such obligations on City's behalf and put the Premises in good
,order, condition and repair, and the cost thereof together with interest thereon at the statutory
legal rate shall be due and payable as additional rent to Owner.
(c) On the last day of the term hereof, or on any sooner tennination,
City shall surrender the Prenlises to Owner in the same condition as received, ordinary wear and
tear excepted, clean and free of debris and personal property of City. City shall repair any
damage to the Premises occasioned by the installation or removal of City's trade fixtures,
alterations, furnishings and equipment. Notwithstanding anything to the contrary otherwise
stated in this Use Agreement, City shall leave the air lines, power panels, electrical distribution
systems, communications systems (other than telephones), lighting fixtures, space heaters, air
conditioning and plumbing on the Premises in good operating condition.
7.3 Alterations and Additions.
(a) City shall not, without Owner's prior written consent in Owner's
sole discretion, make any alterations, improvements, additions, or utility installations in, on or
about the Premises or the Building. Owner nlay require that City remove any or all pennitted
alterations, improvements, additions or utility installations at the expiration of the term, and
restore the Prenlises and the Building to their prior condition.
(b) City shall pay, when due, all claims for labor or materials furnished
or alleged to have been furnished to or for City at or for use in the Premises, which claims are or
may be secured by any mechanic's or materialmen's lien against the Premises, or the Building, or
any interest therein. City shall give Owner not less than ten (10) days' notice prior to the
commencement of any work in the Premises, and Owner shall have the right to post notices of
non-responsibility in or on the Premises or the Building as provided by law. If City shall, in
good faith, contest the validity of any such lien, claim or demand, then City shall, at its sole
expense defend itself and Owner against the same and shall pay and satisfy any such adverse
judgment that may be rendered thereon before the enforcement thereof against the Owner or the
Premises or the Building, upon the condition that if Owner shall require, City shall furnish to
Owner a surety bond satisfactory to Owner in an anlount equal to one and one-half times such
contested lien claim. In addition, Owner may require City to pay Owner's attorneys fees and
costs in participating in such action if Owner shall decide it is to Owner's best interest to do so.
(c) All alterations, improvements, additions and utility installations
(whether or not such utility installations constitute trade fixtures of City), which may be made on
the Premises, shall be performed in accordance with all governmental requirements, and shall
remain upon and be surrendered with the Premises at the expiration of the Use Agreement term,
unless Owner requires their removal. City's machinery and equipment, other than that which is
affixed to the Premises so that it cannot be removed without material damage to the Premises,
shall remain the property of City and may be removed by City subj ect to the provisions of
Paragraph 7.2.
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8. Insurance; Indemnity.
8.1 Liability Insurance -City. City shall, at City's expense, obtain and keep in
force during the term of this Use Agreement a policy of Combined Single Limit Bodily Injury
and Property Damage insurance insuring City and Owner against any liability arising out of the
use, occupancy or maintenance of the Premises and the Conunon Areas. Such insurance shall be
in an amount not less than $1,000,000 per occurrence. The policy shall insure performance by
City of the indenmity provisions of this Paragraph 8. The limits of said insurance shall not,
however, limit the liability of City hereunder.
8.2 Liability Insurance -Owner. Owner shall obtain and keep in force during
the term of this Use Agreement a policy of Combined Single Limit Bodily Injury and Property
Damag~ Insurance in form and amount as is required by Owner's lender who has a deed of trust
against the Building, insuring Owner against liabilities arising out of the ownership, use,
occupancy or maintenance of the Building and the Common Area and which may include rental
loss insurance, extended coverage, earthquake insurance or such other types of coverage as
Owner or Owner's lender deem appropriate.
8.3 Property Insurance. Owner may obtain such property insurance coverage
as Owner deems appropriate or necessary, or as may be required by Owner's lender( s) having a
lien against the Property or any portion thereof. Owner shall not insure City's personal property,
fixtures, equipment or City improvements. City shall insure the same with first party insurance
reasonably satisfactory to Owner.
8.4 Insurance Policies. Insurance required of City shall be in companies
holding a "General Policyholders Rating" of at least A minus, or such other rating as may be
required by a lender having a lien on the Premises, as set forth in the most current issue of "Best's
Insurance Guide." City shall not do or permit to be done anything which sqall invalidate the
insurance policies carried by Owner. City shall deliver to Owner copies of liability insurance
policies required of City within seven (7) days after the Commencement Date of this Use
Agreement. No such policy shall be cancelable or subject to reduction of coverage or other
modification except after thirty (30) days prior written notice to Owner. City shall, at least thirty
(30) days prior to the expiration of such policies, furnish Owner with renewals or "binders"
thereof.
8.5 Waiver of Subrogation. City and Owner each hereby reUse Agreement the
other, and waive their right of recovery against the other for loss or damage arising out of or
incident to the perils insured against which perils occur in, on or about the Premises, whether due
to the negligence of Owner or City or their agents, employees, contractors and/or invitees, up to
the amount of such insurance. City and Owner shall, upon obtaining the policies of insurance
required, give notice to the insurance carrier or carriers that the foregoing mutual waiver of
subrogation is contained in this Use Agreement.
8.6 Indemnity. City shall indemnify and hold harmless Owner from and
against any and all claims arising from City's use of the Premises, Building, Common Areas and
Property, or from the conduct of City's business or from any activity, work or things done,
permitted or suffered by City in or about the same, and shall further indemnify and hold harmless
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Owner from and against any and all claims arising from any breach or default in the performance
of any obligation on City's part to be performed under the terms of this Use Agreement, or arising
from any act or omission of City, or any of City's agents, contractors, or employees, and from and
against all costs, attorneys' fees, expenses and liabilities incurred in the defense of any such claim
or any action or proceeding brought thereon; and in case any action or proceeding be brought
against Owner by reason of any such claim, City upon notice fronl Owner shall defend the sanle
at City's expense by counsel reasonably satisfactory to Owner. City, as a material part of the
consideration to Owner, hereby assumes all risk of damage to property of City or injury to
persons, in, upon or about the Premises arising from any cause except Owner's gross active
negligence or willful misconduct,and City hereby waives all claims in respect thereof against
Owner.
8.7 Exemption of Owner from Liability. City hereby agrees that Owner shall
not be liable for injury to City's operations, business or any loss of income therefrom or for
damage to the goods, wares, merchandise or other property of City, City's employees, invitees,
customers, or any other person in the Premises, nor shall Owner be liable for injury to the person
of City, City's employees, agents or contractors, whether such damage or injury is caused by or
results from fire, steam, electricity, gas, water or rain, or from the breakage, leakage, obstruction
or other defects of pipes, sprinklers, wires, appliances, p1unlbing, air conditioning or lighting
fixtures, or from any other cause, whether said damage or injury results from conditions arising
upon the Premises, unless arising from Landlord's beach of this Agreement, willful misconduct
or negligence. Owner shall not be liable for any damages arising from any act or neglect of any
other tenant, occupant or user of the Building or any condominium unit therein.
8.8 Self Insurance. City may comply with any of its insurance obligations
hereunder in whole or in part by means of self-insurance. In the event of any such self-insurance,
self-insurance retention or deductible, City will provide at least ten (10) days' prior written notice
to Owner of its election to self insure along with the details of City's self insurance program, and
City will make available the same coverage, indemnity and proceeds under such self insurance as
would be available under the third party coverage required above in this Section 8.
9. Damage or Destruction.
9.1 Notice. City shall give immediate written notice to Owner of any damage
caused to the Premises by fire or other casualty.
9.2 Damage. In the event that the Premises shall be damaged or destroyed by
,fire or other casualty insured under Owner's insurance and Owner does not elect to terminate this
Use Agreement as hereinafter provided, Owner shall proceed with reasonable diligence and at its
sole cost and expense to rebuild and repair the Premises. If the Building shall (i) be destroyed or
substantially damaged by a casualty not covered by Owner's insurance; or (ii) be destroyed or
rendered untenantable to an extent in excess of fifty percent (50%) of the floor area by a casualty
covered by Owner's insurance; or (iii) be damaged to such extent that the remaining terms of this
Use Agreement and other Use Agreements of the Building are not sufficient to amortize the cost
of reconstruction, as determined by Owner in its discretion, then Owner may elect either to
terminate this Use Agreement as hereinafter provided or to proceed to rebuild and repair the
Premises and! or Building. Should Owner elect to terminate this Use Agreement, Owner shall
7
give written notice of such election to City within ninety (90) days after the occurrence of such
casualty. If Owner should elect not to tenninate this Use Agreement, Owner shall proceed with
reasonable diligence and at its sole cost and expense to rebuild and repair the Premises and/or
BUilding.
9.3 Limit to Rebuilding. Owner's obligation to rebuild and repair shall in any
event be limited to restoring the work originally perfonned at Owner's cost to substantially the
condition in which the same existed prior to the casualty, and shall be further limited to the
extent of the insurance proceeds available to Owner for such restoration.
9.4 Waiver. Owner and City waive the provisions of any statute which relate
to tennination of an agreement when leased property is destroyed and agree that such event shall
be governed by the tenns of this Use Agreement.
10. Real Property Taxes.
10.1 Pavment of Taxes. Owner shall pay any real property taxes applicable to
the Building and Common Area. City will cooperate with Owner to obtain exemptions from
property taxes due to City's status as a municipality and/or as a result of the Residential Area
being made up of affordable units, as may be available by law.
10.2 Personal Property Taxes. City shall pay prior to delinquency all taxes
assessed against and levied upon trade fixtures, furnishings, equipment and all other personal
property of City contained in the Premises or elsewhere. When possible, City shall cause said
trade fixtures, furnishings, equipment and all other personal property to be assessed and billed
separately from the real property of Owner. If any of City'S said personal property shall be
assessed with Owner's real property, City shall pay to Owner the taxes attributable to City within
ten (10) days after receipt of a written statement setting forth the taxes applicable to City's
property.
11. Utilities. City shall pay for all water, gas, heat, light, power, telephone, janitorial
and other utilities and services supplied to the Premises, together with any taxes thereon. Owner
may install a meter for the Premises for such utilities. If any such services are not separately
metered to the Premises, City shall pay a share of such charges on an equitable basis as
reasonably detennined by Owner and City taking into consideration the usage of such services by
the premises jointly served.
12. Assignment and Subletting. City shall not either voluntarily or by
operation of law (i) assign, transfer, encumber, mortgage, pledge or hypothecate this Use
Agreement or any interest herein, (ii) sublet the Premises, or any part thereof, or (iii) enter into a
license agreement or other arrangement whereby the ownership or use of the Use Agreementhold
estate herein is held or utilized by another party, without the prior written consent of Owner.
Any such act prohibited as aforesaid is a material breach under this Use Agreement.
Notwithstanding the above, the Premises may be made available for the exclusive use of persons
and groups consistent with city code and regulation requirements subject to the issuance of a
pennit by the City Director of Community Services and subject to the payment of fees therefor as
provided in the Palo Alto municipal fee schedule.
8
13. Default; Remedies.
13.1 Default. The occurrence of anyone or more of the following events shall
constitute a material default of this Use Agreement by City:
( a) The failure by City to make any payment of rent or any other
payment required to be made by City hereunder, as and when due where such failure shall
continue for a period of ten (10) days after written notice thereof from Owner to City.
(b) Except as otherwise provided in this Use Agreement, the failure by
City to observe or perform any of the covenants, conditions or provisions of this Use Agreement
to be observed or performed by City, other than described in Paragraph (a) above, where such
failure shall continue for a period of thirty (30) days after written notice hereof from Owner to
City; provided, however, that if the nature of City's non-compliance is reasonably subject to cure
and is such that more than thirty (30) days are reasonably required for its cure, then City shall not
be deemed to be in default if City commenced such sure within said thirty (30) day period and
thereafter diligently prosecutes such cure to completion. To the extent permitted by law, such
thirty (30) day notice shall constitute the sole and exclusive notice required to be given to City
under applicable Unlawful Detainer statutes.
13.2 Remedies. In the event of any such default by City, Owner may at any
time thereafter, with or without notice or demand and without limiting Owner in the exercise of
any right or remedy which Owner may have by reason of such default:
(a) Terminate City's right to possession of the Premises by any lawful
means, in which case this Use Agreement and the term hereof shall terminate and City shall
immediately surrender possession of the Premises to Owner. In such event Owner shall be
entitled to recover from City all damages incurred by Owner by reason of City's default
including, but not limited to, (i) the cost of recovering possession of the Prenlises; (ii) expenses
of reletting, including necessary renovation and alteration of the Premises, reasonable attorneys'
fees, and any real estate commission actually paid; (iii) the worth at the time of award determined
by the court having jurisdiction thereof of the amount of unpaid rent that had been earned for the
time prior to the termination; (iv) the worth at the time of the award of the amount by which the
unpaid rent that would have been earned after termination until the award exceeds the loss of rent
for the same period that City proves could have been reasonably avoided, and (v) the worth at the
tinle of the award by which the unpaid rent for the balance of the term after the time of such
award exceeds the amount of such rental loss for the same period that City proves could be
reasonably avoided. The "worth at the time of the award" as used in Paragraph 13.2(a)(iii) and
13.2(a)(iv) is to be computed by allowing interest at the highest legal rate under law. The "worth
at the time of the award" as referred to in Paragraph 13.2(a)(v) is to be computed by discounting
the amount at the discount rate of the Federal Reserve Bank of San Francisco plus one percent
(1%).
(b) Maintain City's right to possession in which case this Use
Agreement shall continue in effect whether or not City shall have vacated or abandoned the
Premises. In such event Owner shall be entitled to enforce all of Owner's rights and remedies
9
under this Use Agreement, including the right to recover the rent as it becomes due hereunder.
(c) Pursue any other remedy now or hereafter available to Owner
under the laws or judicial decisions of the state wherein the Premises are located. Unpaid
installments of rent and other unpaid monetary obligations of City under the terms of this Use
Agreement shall bear interest from the date due at the maximum rate then allowable by law.
13.3 Default by Owner. Owner shall not be in default unless Owner fails to
perfonn obligations required of Owner within thirty (30) days after written notice by City to
Owner specifying wherein Owner has failed to perfonn such obligation; provided, however, that
if the nature of Owner's obligation is such that more than thirty (30) days are required for
perfonnance then Owner shall not be in default if Owner commences perfonnance within such
thirty (30) day period and thereafter diligently prosecutes the same to completion.
14. Owner's Liability. The tenn "Owner" as used herein shall mean only the owner
or owners, at the time in question, of the fee title or a City's interest in a ground Use Agreement
of the portion of the Building underlying the Building. In the event of any transfer of such title or
interest, Owner herein named (and in case of any subsequent transfers than the grantor) shall be
relieved from and after the date of such transfer of all liability as respects Owner's obligations
thereafter to be perfonned, provided that the grantee agrees to assume Owner's obligations under
this Use Agreement. City agrees to look solely to Owner's estate and interest in the Building for
satisfaction of any right or remedy of City hereunder, and no other property or assets of Owner,
nor any partner, officer, shareholder, director or employee of Owner, shall be subject to any
claim, levy, execution, attachment or other enforcement procedure for satisfaction of any claim
of City under this Use Agreement, all of which are expressly waived by City.
15. Severability. The invalidity of any provision of this Use Agreement as detennined
by a court of competent jurisdiction, shall in no way affect the validity of any other provision
hereof.
16. Interest on Past Due Obligations. Except as expressly herein provided, any
amount due to Owner not paid when due shall bear interest at the legal rate then allowable by law
from the date due. Payment of such interest shall not excuse or cure any default by City under
this Use Agreement provided, however, that interest shall not be payable on late charges incurred
by City nor on any amounts upon which late charges are paid by City.
17. Time of Essence. Time is of the essence with respect to the obligations to be
perfomled under this Use Agreement.
18. Rent. All monetary obligations of City to Owner under the tenns of this Use
Agreement shall be deemed to be rent.
19. Incorporation of Prior Agreements; Amendments. This Use Agreement contains
all agreements of the parties with respect to any matter mentioned herein. No prior or
contemporaneous agreement or understanding pertaining to any such matter shall be effective.
This Use Agreement may be modified in writing only, signed by the parties at the time of the
modification.
10
20. Notices. Any notice required or pennitted to be given hereunder shall be in
writing and may be given by personal delivery or by certified mail, and if given personally or-by
mail, shall be deemed sufficiently given if addressed to City or to Owner at the address shown on
the Use Agreement Summary. Either party may be notice to the other specify a different address
for notice purposes except that upon City's taking possession of the Premises, the Premises shall
constitute City's address for notice purposes.
21. Waivers. No waiver by Owner or any provision hereof shall be deemed a waiver
of any other provision hereof or of any subsequent breach by City of the same or any other
provision. Owner's consent to, or approval of, any act shall not be deemed to render unnecessary
the obtaining of Owner's consent to or approval of any subsequent act by City. The acceptance of
rent hereunder by Owner shall not be a waiver of any preceding breach by City of any provision
hereof other than the failure of City to pay the particular rent so accepted, regardless of Owner's
knowledge of such preceding breach at the time of acceptance of such rent.
22. Recording. The parties shall record a memorandum of this Use Agreement in
fonn mutually agreed to between them.
23. Holding Over. If City, with Owner's consent, remains in possession of the
Premises or any part thereof after the expiration of the tenn hereof, such occupancy shall be a
tenancy from month to month upon the provisions of this Use Agreement pertaining to the
obligations of City at a rate of one hundred fifty percent (150%) of the fair market rental value of
the Premises, as detennined by Owner in its commercially reasonable discretion.
24. Cumulative Remedies. No remedy or election hereunder shall be deemed
exclusive but shall, wherever possible, be cumulative with all other remedies at law or in equity.
25. Binding Effect; Choice of Law. Subj ect to any provisions hereof restricting
assignment or subletting by City, this Use Agreement shall bind the parties, their personal
representatives, successors and assigns. This Use Agreement shall be governed by the laws of
the State of California and any litigation concerning this Use Agreement between the parties
hereto shall be initiated in the county in which the Building is located.
26. Subordination. This Use Agreement, at Owner's option, shall be subordinate to
any ground Use Agreement, mortgage, deed of trust, or any other hypothecation or security now
or hereafter placed upon the Building and to any and all advances made on the security thereof
and to all renewals, modifications, consolidations, replacements and extensions thereof. City
shall execute a Subordination and Attornment Agreement in such fonn as may be reasonably
requested by Owner or Owner's lender having or proposing to have security against the BUilding.
Notwithstanding such subordination, City's right to quiet possession of the Premises shall not be
disturbed if City is not in default and so long as City shall pay the rent and observe and perfonn
all of the provisions of this Use Agreement.
27. Attorneys' Fees. If either party brings an action to enforce the tenns hereof or
declare rights hereunder, the prevailing party in any such action, on trial or appeal, shall be
entitled to his reasonable attorneys' fees to be paid by the losing party as fixed by the court.
11
28. Owner's Access. Owner and Owner's agents shall have the right to enter the
Premises at reasonable times for the purpose of inspecting the same, showing the same to
prospective purchasers, lenders, or tenants, and making such alterations, repairs, inlprovements
or additions to the Premises or to the Building as Owner may deem necessary or desirable.
Owner may at any time place on or about the Premises or the Building any ordinary "For Sale"
signs and Owner may at any time during the last one hundred twenty (120) days of the term
hereofplace on or about the Premises any ordinary "For Lease" sigris. All activities of Owner
pursuant to this Paragraph shall be without abatement of rent, nor shall Owner have any liability
to City for the same.
29. Signs. City shall not place any sign upon the Premises or the Building without
Owner's prior written consent, except that City my install a sign on the front entry door to the
Premises at City's sole cost, of a size and type reasonably approved by Owner.
30. Merger. The voluntary or other surrender of this Use Agreement by City, or a
mutual cancellation thereof, or a termination by Owner, shall not work a merger, and shall, at the
option of Owner, terminate all or any existing subtenancies or may, at the option of Owner,
operate as an assignment to Owner of any or all of such subtenancies.
31. Quiet Possession. Upon City paying the rent for the Premises and observing and
performing all of the covenants, conditions and provisions on City's part to be observed and
performed hereunder, City shall have quiet possession of the Premises for the entire term hereof
subject to all of the provisions of this Use Agreement.
32. Authority. If City is an entity, each individual executing this Use Agreement on
behalf of such entity represents and warrants that he or she is duly authorized to execute and
deliver this Use Agreement on behalf of said entity.
33. Negotiated Agreement. City and Owner acknowledge that both have negotiated
this Use Agreement at arms length and have had the opportunity to consult legal counsel in
connection therewith. This Use Agreement shall not be construed for or against either party
hereto regardless of which party drafted this Use Agreement.
34. Exhibits. Attached hereto are Exhibits A through C which constitute a part of this
Use Agreement.
12
EXHIBIT A
PROPERTY LEGAL DESCRIPTION
1
EXHffiITB
SITE PLAN AND OUTLINE OF PREMISES
1
EXHIBIT C
WORK LETTER AGREEMENT
Date ---------------------
The City of Palo Alto, a municipal corporation (hereinafter called "City") and Trestle Alma
Plaza, LLC, a California Limited Liability Company (hereinafter called "Owner") are executing
simultaneously with this Work Letter Agreement a written Use Agreement ("Use Agreement") of
certain Premises in a newly constructed Building to be located at as 3437 Alma Avenue, Palo
Alto, California, to which Use Agreement this Work Letter Agreement may be attached. Said
Premises are described in the Use Agreement and are hereinafter called "the Premises."
Capitalized or other terms that are not specifically defined herein shall have the meaning set forth
in the Use Agreement.
To induce Owner and City to enter into the Use Agreenlent (which is hereby incorporated by
reference to the extent that the provisions thereof apply to this agreement) and in consideration of
the mutual covenants hereinafter contained, Owner and City mutually agree as follows:
1. OWNER'S PLANS AND SPECIFICATIONS:
Owner shall construct the base-building structure, core, roof and shell and the Common Areas
associated with the Building (collectively, the "Building Shell") in substantial conformity with
Owner's plans therefor as approved by the City of Palo Alto, at no cost to City. Owner shall also
construct the initial improvements in the Premises (the "Owner's Work") in substantial
conformity with the Plans (as defined below). Owner shall perform Owner's Work as set forth in
Paragraph 2 below. Owner shall submit the working plans and specifications for such work
("Plans") to City within one hundred eighty (180) days from Owner's obtaining a grocery store
for the retail portion of the Building as set forth in City of Palo Alto Ordinance No. 4956 for
City's approval, which shall not be unreasonably withheld or delayed. It is agreed that all
materials for Owner's Work will be building standard, and that Owner shall not be obligated to
use any upgraded or designer materials. City shall approve such Plans within five (5) business
days from receipt thereof and shall initial approved plans evidencing such approval, or specify in
reasonable detail City's reasons for disapproval. City's approval shall not be unreasonably
withheld or delayed. In the event of any delay in receiving City's final signed-off working Plans,
the scheduled Conlmencement Date set forth in the Use Agreement Summary shall remain the
same but, at Owner's sole option, the time period for making the Premises ready for occupancy
shall be extended by the length of such delay. At Owner's sole option, failure of City to
disapprove and specify reasons for disapproval within five (5) business days shall be deemed
City's approval of the Plans. Notwithstanding the foregoing, in the event City delays approval of
such Plans for forty-five (45) days or more, Owner shall have the right, in its sole discretion, to
terminate this Use Agreement upon delivery of written notice to City and pursue any and all
remedies of Owner hereunder and under the Use Agreement.
1
2. OWNER'S WORK AT OWNER'S COST AND EXPENSE:
Owner shall deliver the Premises in "Warm Vanilla Shell" condition, including two (2)
bathrooms and one (1) sink, by completing the following improvements at Owner's sole cost and
expense in accordance with the Plans approved in accordance with this Agreement, which
Owner's Work is more particularly described as follows:
(a) DOORS
A. Entry -one solid wood door.
B. Toilet Rooms -two 3'O"x 6'8" by 1 3/4" hollow core doors with
privacy lockset.
C. All doors shall have hardware as specified by Owner.
(b) WALLS AND PARTITIONS
A. Exterior walls wood frame & stucco.
B. Interior Area -all partition walls to be gyp board, taped, skim
coated, sanded smooth and painted white.
C. Toilet rooms -Marlite Wainscot on all walls over water-resistant
gyp board as required per code. All gyp board to be primed, sealed and painted white.
D. Demising Walls at Use Agreement lines to extend to roof framing
or deck at one side of wall.
(c) CEILING
A. Acoustic tile ceiling 2' x 4' white tee bar suspension. Grid and panels
both white.
(d) PLUMBING
A. Toilet Rooms per code in location specified by Owner with
provisions for handicapped as required. Toilet rooms to include the following:
Toilet paper holder
18" by 24" mirror
Paper towel dispenser for CROWN #755 single fold
Ceiling light/exhaust fan combination for ventilation
B. Owner shall pay basic sewer connection fees.
(e) LIGHTING
A. Main Premises-One recessed fixture.per 75 square feet of
Premises area.
B. Toilet rooms-combination ceiling light/exhaust fan.
C. Interior emergency lighting and exit lighting as required by code.
2
(f) ELECTRICAL
A. Main electrical panel to be located as shown on plans. 100 amp
main panel.
B. All wiring to main panel, i.e., HVAC, lighting and outlets, include
110 volt outlets 6" above finished floor level, 20 feet on center.
C. One Telephone outlet located as shown on plans.
(g) HVAC
A. Complete independent heating and forced air system at one ton per
350 square feet of building area.
(i) FLOOR FINISHES
A. Owner to provide a smooth concrete slab and linoleum flooring.
B. Toilet rooms -standard linoleum.
(1) SPRINKLERS
A. To the extent required by code, the Owner shall provide automatic
sprinkler system.
City shall reasonably cooperate to obtain necessary approvals in accordance with Owner's
approved Plans from the City of Palo Alto.
3. CONFLICTS:
ill the event of any conflicts between the terms of this Work Letter Agreement and the
Use Agreement, the terms of the Use Agreement shall govern and control. ill the event of any
dispute under this Work Letter Agreement, the dispute shall be subject to the provisions of the
Use Agreement relating to disputes under the Use Agreement, and the prevailing party shall be
entitled to its fees and costs therein in accordance with the provisions of the Use Agreement
entitled "Attorneys' Fees".
SIGNATURES ON NEXT PAGE
3
AGREED AND ACCEPTED:
TRESTLE ALMA PLAZA, LLC
By: __________________________ _
JOHN E. MCNELLIS, MANAGER
Date: -------------------------
THE CITY OF PLAO ALTO, a
municipal corporation
By: __________________________ _
Its: ----------------------------
Date: --------------------------
Attest:
Its: ---------------------------
4
CMR: 319:09 Page 1 of 8
TO: HONORABLE CITY COUNCIL
FROM: CITY MANAGER DEPARTMENT: ADMINISTRATIVE
SERVICES
DATE: JULY 20, 2009 CMR: 319:09
SUBJECT: Adoption of Resolution Calling a Special Election for November 3,
2009, for Submittal to the Qualified Electors of the City a Measure
Related to Business License Tax
EXECUTIVE SUMMARY
This severe economic crisis has placed additional financial burdens on the city as well as its
residents and businesses. A balanced budget will require a combination of significant
expenditure reductions and new and diverse revenue streams. One of the revenue initiatives
consistently suggested over the years has been a business tax, as Palo Alto is the only city in
Santa Clara County without such a tax. By diversifying the funding sources for the City’s general
fund, the establishment of a Business License Tax would help the City to fund and maintain
basic City services in this difficult financial climate.
As directed by Council, the proposed Business License Tax model is designed to net
approximately $3 million a year for the City’s general fund. After lengthy public review, the
proposed methodology has been changed from gross receipts to employee count. The employee
count methodology is cost-efficient to administer, imposes less recordkeeping and calculation
burdens on taxpayers, and requires that taxpayers disclose less financial information to the City
than alternative types of Business License Taxes. While an employee based methodology does
not have the same long term growth potential as a gross receipts tax, this method better addresses
privacy and administration concerns raised by the business community.
RECOMMENDATION
Staff recommends that the Council:
Adopt a resolution (Attachment A) submitting the proposed Business License Tax
Ordinance ballot measure to voters in the November 3, 2009 general municipal
election.
Designate up to four Council members to author the argument in favor of the
measure.
Authorize submittal of rebuttal arguments.
CMR: 319:09 Page 2 of 8
Approve the revised rate structure that includes an exemption for all non-profit
organizations.
BACKGROUND
On March 10, 2009, staff reported to the Finance Committee (Committee) regarding a proposed
Business License Tax Program (BLT) and revenue models. Staff’s proposal recommended a tax
structure based on gross receipts with a $35 minimum tax and maximum tax payment of
$20,000. Under staff’s original proposal, the estimated annual revenue to the General Fund was
projected to be approximately $4.4 million. During the lengthy public comment session the
business community expressed general opposition to the City’s proposal to tax businesses. As a
result of the discussions the Committee asked staff to increase outreach efforts to the business
community and residents. The Committee also asked staff to analyze several different BLT
models, including raising the minimum business license tax, lowering the classification tax rates
and raising the annual cap for most classifications. Additionally, staff was asked to consider
either an exemption limit or a flat rate for home based businesses, and to explain how the tax
would be applied to companies that conduct business activity both inside and outside Palo Alto.
In addition, the Committee requested further information regarding key issues such as the
feasibility of using payroll expense as the taxing methodology for the City’s business license tax
program, impacts of raising the minimum business license tax, and defining apportionment
policies for venture capitalists and research and development companies. Staff was scheduled to
return to the Committee on April 21, 2009 to present additional information; however, staff’s
presentation was delayed until June 2, 2009 due to on-going business community outreach.
On June 2, 2009, the Committee again discussed staff’s proposed Business License Tax program.
During the discussion, several new issues and approaches were raised by the Committee. The
Committee requested that staff return with supplemental information before the proposal was
forwarded to the City Council on June 22, 2009. Specifically, the Committee requested that staff
refine the Services classification, revise the classification tax rates, and provide additional
revenue models based on gross receipts. In addition, the Committee requested new revenue
models with the major classifications taxed on an employee count basis. The Committee
reached consensus on supporting the concept of a business license tax; however, they were
divided on the methodology (Employee Count vs. Gross Receipts). The Committee directed
staff to return to the Finance Committee on June 15 with more detailed analysis on both gross
receipts and employee based methodologies.
Consistent with the Committee’s directives staff presented revised taxing models and revenue
forecasts at the June 15 Committee meeting. Again, the Committee split between the two
methodologies and the matter was forwarded to the full Council for review with the following
changes to the model as directed by the Committee. Staff reduced the number of classifications
and provided revised outputs based on gross receipts and employee count. The revised structures
made a distinction in the former Services category between personal and business services. The
business services companies were consolidated with the Professional classification and personal
services companies with Retail and Hotel. In addition the Retail and Personal Services
classification was assigned a lower rate than Professional and Business Services. The BLT was
applied to all businesses, including home based businesses and a net revenue forecast of
approximately $3 million was achieved.
CMR: 319:09 Page 3 of 8
At the June 22 meeting, the Council voted 6-2 to move forward with an employee based tax that
would net approximately $3 million annually and with a delayed implementation date of July 1,
2010. In addition, if the BLT is approved by the voters, staff would revisit the Use & Occupancy
Fee which is a fee collected by the Planning Department. Staff will review and make a
recommendation on reducing or eliminating the fee in the 2010-2011 budget process and make it
effective as of July 1, 2010.
DISCUSSION
Staff’s Revised Revenue Forecast and Rate Structure
Consistent with direction given at the June 22 Council meeting staff is presenting a revised
revenue model. As discussed in the Tax Exemptions section of this report legal staff has
determined that all non-profit businesses are statutorily exempt from the business license tax.
Modifications were made to the model to eliminate all non profits including Palo Alto Medical
Foundation and Stanford University Medical Center from the revised revenue projections. In
addition, other refinements were made to the model to incorporate Council’s earlier direction to
streamline the business categories and provide a lower tax rate for Retail, Personal Services, and
Hotels. The Professional, Retail, and Wholesale and Manufacturing per employee rates went
from $88, $40, and $40 to $95, $34, and $34, respectively.
Table A below shows the updated revenue forecast and rate structure and Table B below
provides a comparison of Palo Alto’s structure to three other Peninsula cities which have
comparable tax structures.
Table A: Staff’s Revised Business Tax Model
Classification
Number of
Employees,
Units, or
Square
Footage
Base Cost
For First
Employee
or
Minimum
Tax
Business
Tax Rates
(Per
Employee,
Unit, or
Sq. Ft. BLT Cap
Estimated
Average
Tax
Payment
Estimated
Median
Tax
Payment
Estimated
Business
License Tax
Revenue
Professional, Bus. Services, and Misc. (Tax Per Employee)23,607 75$ 95$ 30,000$ 669$ 239$ 1,760,560$
Retail, Personal Services, and Hotels (Tax Per Employee)20,928 75 34 20,000 360 129 715,431
Wholesale and Manufacturing (Tax Per Employee)12,391 75 34 30,000 1,378 190 333,496
Sub-total 56,926 2,809,487$
Multi-Unit Rentals (1-3 units exempt) (Tax Per Unit) (2)2,907 75 25 30,000 23 n/a 65,408
Commercial Property (Tax Per Square Footage)16,423,176 75 0.030 30,000 n/a n/a 443,426
Gross (Estimated) Business License Tax Revenue 3,318,321$
Less: Ongoing (Estimated) Administrative Cost (257,628)$ (1)
Net (Estimated) Business License Tax Revenue 3,060,693$
1) First year (implementation) administrative cost estimate is $274,500 thereafter it's $257,628.
2) Source of number of Multi-Unit Rentals in Palo Alto is the Executive Director of California Apartment Association, Tri County Division who cited his
source as Real Facts (a data management service).
Summary of BLT Rates and Estimated Revenues
CMR: 319:09 Page 4 of 8
Table B: Comparison to Other Cities
Classifications
Palo Alto's Proposed
Median Tax Payment
(Per Employee Count)
Mountain
View Sunnyvale * Santa Clara **
Professional and Business Svcs. 239$ $30 $31 - $9,903 $15 - $500
Retail, Personal Services, Hotels, and Miscellaneous 129$ $30 - $100 $31 - $9,903 $15 - $500
Services N/A $30 $31 - $9,903 $15 - $500
Wholesale and Manufacture 190$ $30 $31 - $9,903 $15 - $500
Miscellaneous N/A $30 - $150 $31 - $9,903 $15 - $500
Mountain View has a true Flat Tax, while Sunnyvale and Santa Clara have an employee based structure.
This tax model comparison is not graphable due to the lack of available information regarding the comparison cities median flat tax.
Sunnyvale rates have increased during the process of writing this report. The new rates listed reflects their current FY2010 rates
Businesses in the former Services and Miscellaneous classifications for Palo Alto have been merged into Professional or Retail classifications.
Processing Fee
* Sunnyvale: $58 for new applicants or $24 for renewals in addition to Business License Tax
** Santa Clara: $45 annual for all businesses in addition to Business License Tax
Tax Exemptions
Following Council’s direction to draft an employee based tax legal staff performed additional
research on the ability to impose a business tax on 501(c) (3) non-profit organizations and
concluded that such organizations are exempt from business tax altogether, regardless of the
taxing methodology. This exemption is contained in Revenue & Taxation Code Section
7284.1(b) which states: “No charter … city…may impose any business license tax or business
license fee on any nonprofit organization that is exempt from [income] taxes by [Revenue &
Taxation Code] Section 23701d and is an organization described in Section 501 (c) (3) of the
Internal Revenue Code or the successor to that section.” To be consistent with the exemption
contained in State law, the revised ordinance exempts all 501(c) (3) organizations.
The proposed ordinance also contains a “catch all” exemption for any business that is exempt
from taxation by the Constitution or applicable federal or state laws. Common examples of this
would be banks which are exempt under Cal. Const. Art. 13, Section 27 and insurance
companies which are exempt under Cal. Const. Art. 13, Section 28.
Real Estate Brokers
The City has met with representatives of the real estate community to formulate a real estate
provision that is easily understood, equitable to both brokers and agents and simple to
administer. According to information supplied by the Silicon Valley Association of Realtors,
there are approximately 425 agents based in Palo Alto but more than a majority of those agents
are affiliated with 5 local brokerages. Under the proposed ordinance the Palo Alto based
brokerage firms would pay a tax for all of the brokers and agents affiliated with the local office.
If a broker/agent is included in the brokerage firm’s head count, the individual broker/agent
would not need to pay a separate tax. Independent brokers not affiliated with a firm, however,
would pay a tax for themselves and any employees they have. Standard apportionment rules
would apply to brokers performing business both inside and outside the City.
CMR: 319:09 Page 5 of 8
New Businesses
As an incentive to new businesses, in the first year of operation all new businesses will be
required to pay the minimum tax based on their classification. Payment of the minimum tax will
reduce business start up costs, while satisfying the BLT ordinance requirement that all businesses
have a business license to operate in the City of Palo Alto. During the first renewal cycle,
businesses will be required to pay the BLT based on the actual number of FTE equivalents
employed during the prior year. If a new business is only open for part of the previous calendar
year, their first renewal payment will be reduced as well. This phase in period for new
businesses ensures that the tax structure does not discourage new businesses from entering town,
while also ensuring that they pay an equitable amount.
FTE Equivalent
The City’s business tax proposal is based on a full time employee (FTE) equivalent of 2,080
hours per work year, rather than a straight headcount. For example, if a company has three part-
time employees whose total hours worked equals 2,080 this would represent one full time
employee for the purpose of calculating the business license tax payment. Using this
methodology puts the City of Palo Alto on an equal par with cities that have a lower tax rate but
use a strict head count.
Apportionment Guidelines
A draft apportionment administrative guideline is attached as Attachment B. Under this
proposed guideline, employees are classified as either city-based employees (i.e. an employee
who works at least 50 percent of his or her work hours within the City) and non City-based.
City-based employees can deduct 50 percent of any hours worked outside of the city. Non city-
based employees can deduct all hours worked outside of the city. The guideline also permits
businesses to submit an alternate apportionment method if justified. Alternative apportionment
request must be submitted to the Director of Administrative Services for review and approval.
Phased-In Implementation
Staff is recommending that Council approve a phased-in implementation schedule. Throughout
the business tax development process the business community has expressed concern with the
implementation of a new tax given the current economic conditions. Staff recommends delaying
collection until the first quarter (calendar year) of 2011 and that the first tax payment is at a
highly reduced rate of 50 percent of the proposed tax rate. This delayed implementation will
allow some time for the economy to improve. As illustrated below the first full year tax will
represent business activity from January 1, 2011 through December 31, 2011 and will be due and
payable no later than February 15, 2012.
CMR: 319:09 Page 6 of 8
Phased in Implementation Schedule
BLT Activity Tax Period
Covered
Tax Rate Due Date
Grace Period January 1, 2010 to
June 30, 2010
Tax waived N/A
1st Collection Date July 1, 2010 to
December 30, 2010
50% of the established
tax rate
January 1, 2011
2nd Collection Date January 1, 2011 to
December 31, 2011
100% of the established
tax rate
January 1, 2012
3rd Collection Date January 1, 2012 to
December 31, 2012
100% of the established
tax rate
January 1, 2013
ELECTION REQUIREMENTS
The business license tax ordinance must be approved by Palo Alto voters. The Palo Alto City
Council’s next opportunity to place a business license tax measure on the ballot is November 3,
2009. A general tax ballot measure must be submitted to the County of Santa Clara 88 days
(August 7, 2009) before the scheduled regional general election. If this deadline is not met, the
Council’s next opportunity to place a measure before the voters will be November 2011. If the
Council approves this Ordinance, staff will submit the Ordinance and other required materials to
the County to meet the November 2009 election deadlines.
RESOURCE IMPACT
Cost estimates are approximate and are based on staff’s cost models for implementation and
renewal. The estimated resource impact is summarized in the table below:
Revised Cost Estimates
Implementation Ongoing
Fixed Costs:
Staffing $174,000* $217,128
Variable Costs:
Forms, envelopes, software, hardware, etc. $90,500 $ 40,500
Contingency $ 10,000
Total: $274,500 $257,628
(*Implementation - staffing cost represents temporary staff. If the program is managed in-house staff
anticipates a staffing level of 2.5 FTE’s.)
Costs are preliminary and will be refined as the program progresses. In addition, if approved by
voters, staff will evaluate through a competitive process whether it is more cost efficient to have
a qualified firm or in-house staff implement and manage the City’s business tax program.
However, staff’s recommendation is that the enforcement component of the business tax
program should be administered in-house. The revised estimates reflect a change in the
CMR: 319:09 Page 7 of 8
enforcement process and job description. Staff reviewed the collection process and determined
that rather than staffing at a Code Enforcement level, staffing could be filled at an Accounting
Specialist classification. Under the revised process administrative citations will be issued under
the direction of the Revenue Collections Supervisor rather than by support staff, making this a
two-step process which will require additional processing time. The revived implementation
costs represent a savings of $116,000 over staff’s original estimate and on-going cost will be
reduced by approximately $73,000 annually.
The Business License Tax election costs are approximately $100,000 and will be covered by the
Budget Stabilization Reserve Fund. Staff will include the funding in the 2010 mid-year budget
or return to Council with a Budget Amendment Ordinance prior to the election, if needed.
POLICY IMPLICATIONS
The actions described in this report are consistent with Council’s direction provided at its March
20, 2007 meeting. If approved by the electorate, the Business License Tax Ordinance will require
that all businesses, except statutorily exempt businesses including non-profits, pay a tax to
operate a business in the City of Palo Alto.
ENVIRONMENTAL REVIEW
The actions described in this report do not constitute a project under section 21065 of the
California Environmental Quality Act.
ATTACHMENTS
Attachment A: Resolution Calling Special Election (Ordinance establishing Business
License Tax is attached)
Attachment B: Apportionment Guideline
Attachment C: Council Meeting Minutes, June 22, 2009
CMR: 319:09 Page 8 of 8
PREPARED BY:
JOYCE WHITE JOSIE STOKES
Senior Financial Analyst Senior Financial Analyst
______________________________________________________
TARUN NARAYAN
Senior Financial Analyst
APPROVED BY:
LALO PEREZ
Director, Administrative Services
CITY MANAGER APPROVAL:
JAMES KEENE
City Manager
base; and
ATTACHMENT A
NOT YET APPROVED
Resolution No --,---Resolution of the Council of the City of Palo Alto Calling a
Special Election for November 3, 2009 for Submittal to the
Qualified Electors of the City a Measure Related to a Business
License Tax
WHEREAS, the City's long term economic health is dependent on a diverse revenue
WHEREAS, The credit crisis, stock market plunge, sharp housing downturn, business
bankruptcies, unemployment increases, and eroding consumer confidence have led to
deteriorating revenue streams; and
WHEREAS, the nation is currently experiencing one of the most severe economic
downturns since the Great Depression which has led to unprecedented economic challenges for
all levels of government; and
WHEREAS, a sustainable City budget will require a combination of expenditure
reduction and new revenue sources; and
WHEREAS, the City desires to achieve a balanced overall tax responsibility between
residents and businesses in order to adequately fund basic City services; and
WHEREAS, the City of Palo Alto is one of a very few cities in California and the
only city in Santa Clara County that does not have a Business License Tax; and
WHEREAS, a Business License tax based primarily on the number of employees of a
business is cost-efl'ident to administer, imposes less recordkeeping and calculation burdens on
taxpayers, and requires that taxpayers disclose less financial information to the City than
alternative types of Business License Taxes; and
WHEREAS, the City has an infrastructure backlog estimated to be $307 Million for
the General Fund in the 2007-2027 project period; and
WHEREAS, a proposed Business License Tax is projected to yield $3 Million in
annual revenue to the General Fund; and
WHEREAS, by diversifying the funding sources for the City's general fund the
establishment of a Business License Tax would help the City to fund and maintain basic City
services; and
WHEREAS, a proposed ordinance, attached hereto and incorporated herein by
reference as Attachment "A" (the "Ordinance"), would implement a Business License Tax for
the City;
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NOT YET APPROVED
WHEREAS, by its Resolution No. 8930, the City Council called a general municipal
election for November 3, 2009 ("Election") and;
WHEREAS, pursuant to Government Code Section 53724 and Election Code Section
9222, the City Council desires to submit the Ordinance to the voters of the City at the Election.
NOW, THEREFORE, the Council of the City of Palo Alto does hereby RESOLVE
as follows: '
SECTION 1. Findings. The City Council finds and determines that each of the
findings set forth above are true and correct.
SECTION 2. General Tax Proposal. The City Council proposes to impose the general
tax set forth in the Ordinance and to present this proposal to the voters on November 3,
2009. The proposed type of tax, the rate of the tax, and the method of tax collection are as set
forth in the Ordinance.
SECTION 3. Special Election. The City Council hereby calls a special municipal
election on Tuesday, November 3, 2009. Pursuant to Elections Code Section 9222, the City
Council hereby submits the Ordinance to the voters at the Election and orders the following
question to be submitted to the voters at the Election:
Shall the Palo Alto Municipal Code be amended to establish YES
a business license tax in order to help maintain the City's
ability to fund basic City services? NO
This question requires the approval of a majority of those casting votes.
SECTION 4. Adoption of Measure. The measure tq be submitted to the voters is
attached to this Resolution as Exhibit A and incorporated herein by this reference.
SECTION 5. Notice of Election. Notice of the time and place of holding the election
is hereby given, and the City Clerk is authorized, instructed and directed to give further or
additional notice of the election, in time, form and manner as required by law.
SECTION 6. Impartial Analysis. Pursuant to California Elections Code Section 9280,
the City Council hereby directs the City Clerk to transmit a copy of the measure to the City
Attorney. The City Attorney shall prepare an impartial analysis of the measure, not to exceed
500 words in length, showing the effect of the measure on the existing law and the operation of
the measure, and transmit such impart~al analysis to the City Clerk on or before August 19,2009.
SECTION 7. Ballot Arguments. Pursuant to Elections Code Section 9286 ct. seq.,
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NOT YET ,APPROVED
August 12, 2009 at 5:30 p,m. shall be the deadline for submission of arguments in favor of, and
arguments against, any local measures on the ballot. If more than one argument for and/or
against is reeeived, the priorities established by Elections Code Section 9287 shall controL
SECTION 8. Rebuttal Arguments, The provisions of Elections Code Section 9285
shall control the submission of any rebuttal arguments. The deadline for filing rebuttal
arguments shall be August 19,2009 at 5:30 p,m.
SECTION 9, Consolidation Request. The Council of the City of Palo Alto requests
the governing body of any other political subdivision, or any officers otherwise authorized by
law, to partially or completely consolidate such elections and the City Council consents to such
consolidation.
SECTION 10, Request for County Services. Pursuant to Section 10002 of the
California Elections Code, the Council of the City of Palo Alto hereby requests the Board of
Supervisors of Santa Clara County to permit the Registrar of Voters to render services to the City
of Palo Alto relating to the conduct of Palo Alto's General Municipal and Special Elections
which are called to be held on Tuesday, November 3, 2009. The services shall be of the type
normally performed by the Registrar of Voters in assisting the clerks of municipalities in the
conduct of elections including, but not limited to, checking registrations, mailing ballots, hiring
election officers and arranging for polling places, receiving absentee voter ballot applications,
mailing and receiving absent voter ballots and opening and counting same, providing and
distributing election supplies, and furnishing voting machines.
SECTION II. Transmittal of Resolution, The City Clerk is hereby directed to submit
forthwith a certified copy of this resolution to the Santa Clara County Board of Supervisors and
to the Registrar of Voters,
1/
/I
1/
1/
1/
3
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NOT YET APPROVED
SECTION 12. Exemption from CEOA. The City Council finds that this resolution is
not a project under Section 21065 of the California Environmental Quality Act (CEQA).
INTRODUCED AND PASSED:
AYES:
NOES:
ABSENT:
ABSENTIONS:
ATTEST:
City Clerk
APPROVED AS TO FORM:
Senior Asst. City Attorney
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4
APPROVED:
-";-----------Mayor
City Manager
Director of Administrative
Services
EXHIBIT A
Ordinance No.
Ordinance Adding Chapter 4.61 to Title 4 ofthe Palo Alto
Municipal Code (Business Licenses and Regulations)
Establishing a Business License Tax
The People of the City of Palo Alto do ORDAIN as follows:
SECTION 1. Title 4 (Business Licenses and Regulations) of the Palo Alto
Municipal Code is amended by adding a new Chapter 4.61 (Business License Tax) to
read as follows:
Sections:
4.61.010
4.61.020
4.61.030
4.61.040
4.61.045
4.61.050
4.61.070
4.61.090
4.61.100
4.61.120
4.61.130
4.61.140
4.61.150
4.61.155
, 4.61.160
4.61.170
4.61.180
4.61.190
4.61.200
4.61.220
4.61.230
4.61.240
4.61.250
4.61.260
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Chapter 4.61
BUSINESS LICENSE TAX
Purpose
Definitions
Tax Payment Required
Calculation of Number of Employees
Delayed Implementation
Maximum License Tax
Inflation Adjustment
Exemptions
Application and Payment Provisions
License Tax Certificate Issuance
License Tax Certificate Renewals
License Tax Certificate Display
Examination of Books and Records
Business Information Confidential
Determination of Tax Classification
Failure to File or Pay
Penalties for Delinquency
Refunds
Administrator Authority
Constitutional Apportionment
Apportionment Guidelines and Other Regulations
Misrepresentation of Material Fact
Civil Debt
Remedies Cumulative
4.61.010 Purpose
This Chapter is enacted solely to raise revenue for general municipal purposes. It
is not intended to be regulatory. The payment of a License Tax, and its acceptance by the
City, and the issuance of a tax certificate to any Person shall not entitle the license holder
to carry on any Business unless he or she has also complied with all of the requirements
of this Code and all other applicable laws, nor shall it entitle the lieense holder to carryon
any Business in any building or on any premises designated in such tax certificate if such
building or premises is or are situated in a zone or location in which the conduct of such
Business is in violation of any law.
4.61.020 Definitions
The following words and phrases, whenever used in this Chapter, shall be
construed as hereafter set out, unless it shall bc apparent from the context that they have a
different meaning.
A. "Administrator" means the Director of Administrative Services or another
city officer or employee charged by the city manager with the administration of this
Chapter, and his or her designee.
B. "Business" includes professions, trades, and occupations and all and every
kind of calling whether or not carried on for profit. Where a Person subject to the tax
acquires a Business, unless that Business is a Newly Established Business, the Business
shall be deemed a continuation of the previous Business and all activities of the Business,
whether occurring before or after the acquisition, shall be considered in calculating the
amount of any tax due from the Person.
C. "City" shall mean the City of Palo Alto.
D. "Employee" shall mean each individual engaged in the operation or
conduct of a Business, including, but not limited to owners, corporate officers, partners,
independent contractors, and employees. Family members of an owner of a Business, or
of the Person conducting a business, shall be considered Employees for the purposes of
this definition to the extent they devote hours of labor to the operation or conduct of the
business. Notwithstanding the foregoing, an independent contractor engaged by a Person
in conneetion with a Business shall not be considered an Employee of that Person if both
of the following conditions are met:
(i) the contractor was a Licensee (or the Employee of a Licensee) at the time the
contractor provided services to the Person seeking to exclude the contractor from
trcatment as an Employee; and
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(ii) each hour of services provided by the contractor to the Person seeking to
exclude the contractor from treatment as an Employee is included by the contractor (or
his or her employer) in the basis for calculation of the License Tax paid to the City by the
contractor (or his or her employer).
E. "License Tax" means the tax imposed pursuant to Section 4.61.030 of this
Code.
F. "Licensee" means a Taxpayer who has been issued a License Tax
certificate pursuant to this Chapter.
O. "Newly Established Business" means a Business in which neither the
owner nor operator, nor any Person from whom the owner or operator acquired the
Business, engaged in during the immediately preceding calendar year. The following
shall not be considered a Newly Established Business:
1. A Business conducted at a new location whether within or outside the
City when the Business conducted and taxed at a previous location during the preceding
calendar year was discontinued at the same time, prior to, or within thirty days after
commencement of Business at the new location;
2. The Business engaged in during the current calendar year is the same
kind as that engaged in during the immediately preceding year, but not at the close
thereof;
3. The Business to be engaged in during the current calendar year, though
not the same kind of Business, is taxed under the same category as the Business engaged
in during, but not necessarily throughout, the immediately preceding calendar year.
Provided that the Administrator may, on written application by a Taxpayer, and after
considering all circumstances, find that a Business described in this paragraph is in fact
new and not a continuation of a Business engaged in during the immediately preceding
calendar year.
H. "Person" means and includes domestic or foreign corporation, firm,
association, syndicate, joint stock corporation, partnership, joint venture, club, business
or common law trust, society, estate, receiver, retirement plan, trustee individual or any
other group or combination of individuals acting as a unit.
L "Sworn Statement" means an affidavit or a declaration or certification
made under penalty of perjury under the laws ofthe State of California,
J. "Taxpayer" means a Person subject to a tax imposed by this Chapter.
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4.61.030 Tax Payment Requin,'tl
Except as otherwise provided in this Chapter, every Person who engages in
Business within the City, whether or not at a fixed place of business, shaH pay an annual
License Tax in an amount as provided in this section:
A, Professional or Business Services, Any Person who engages in the
Business of providing Professional or Business Services shall pay a License Tax of
$75,00 for the first Employee and $95,00 for each additional Employee, but not less than
$75.00 per year. For purposes of this Chapter, "Professional or Business Services" shall
mean any Business that consists of the practice of a profession or vocation that primarily
involves providing financial, business, educational or health care services. Such
professions or vocations specifically include, but are not limited to, the practices of
physicians, dentists, attorneys, accountants, general contractors, specialty subcontractors,
morticians, veterinarians, architects, engineers, teachers, pharmacists, opticians,
optometrists, chiropractors, and rcal estate brokers (other than real estate brokers counted
as Employees of an real estate brokerage pursuant to subdivision (G) of this section).
B. RetaiVHotel. Any Person who engages in a Business consisting mainly of
selling' goods, wares, or merchandise at retail and any Person who engages in a Business
consisting mainly of operating a hotel/motel shall pay a License tax of $75 .00 for the first
Employee and $34.00 for cach additional Employee, but not less than $75.00 per year
C, Personal Services. Any Person who engages in a Business (other than a
Professional or Business Services Business described in Paragraph A, above) consisting
mainly of providing services such as, but not limited to, grooming, gardening, automobile
repair or similar services shall pay a License Tax of $75.00 for the first Employee and
$34.00 for each additional Employee, but not less than $75.00 per year
D, Wholesale/Manufacturing. Any Person who engages in a Business
consisting mainly of wholesaling (carrying or selling goods, wares, or merchandise at
wholesale) or manufacturing (extracting natural resources, manufacturing, packing, or
processing any goods, wares, merchandise or produce) shall pay a License Tax of $75.00
for the first Employee and $34.00 for each additional Employee, but not less than $75.00
per year,
E. Multifamily Residential Rental. Any Person engaging in the Business of
renting or leasing four or more residential units in the City for tenancies of thirty or more
days shall pay a License Tax of $75.00 for the first residential unit above three units and
$25.00 for each subsequent residcntial unit, but not less than $75.00 per year, The record
owner of a propcrty that is rented or leased for such tenancies shall be presumed to be the
Person renting or leasing the property and liable for the tax due under this Section unless
that record owner demonstrates to the satisfaction of the Administrator that some other
Person is cngaged in the Busincss of renting or leasing a particular property, in which
case that other Person shall be liable for the tax due under tbis Section as to that property.
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F. Commercial Rental. Any Person who engages in the Business of leasing
all or part of parcels of land, buildings or structures of any kind (other than the rental of
residential units) shall pay a License Tax of .03 cents per square foot of leasable space,
but not less than $75.00 per year. For purposes of this Chapter "leasable space" shall
mean the area of all buildings and structures offered for leas.e (other than buildings and
structures used solely for residential purposes and parking-appurtenant to residential
uses).
G. Real Estate Brokerage. Any Person operating a real estate brokerage shall
pay a License Tax of $75.00 for the first Employee and $95.00 for each additional
Employee, but not less than $75.00 per year. For purposes of this Chapter, the
Employees of a real estate brokerage shall include, but not be limited to any contractor of
the brokerage who is licensed by the State of California as a real estate broker,
salesperson, or broker-associate and places his or her broker's license with the Real
Estate Brokerage (or an affiliated broker) as a prerequisite to brokering the purchase or
sale of real estate. Brokers, salespersons, and broker-associates who are treated as an
Employee of a Real Estate Brokerage pursuant to this paragraph shall not, as individuals,
be liable for a License Tax or be required to submit an application for a License Tax
certificate pursuant to this Chapter. The number of brokers, salespersons, or broker-
associates that are Employees of a brokerage shall be calculated pursuant to Section
4.61.040.
H. Miscellaneous. Any Person who engages in any Business other than a
Business specified in Paragraphs A through G shall pay a License tax of·$75.00 for the
first Employee and $95.00 for each additional Employee, but not less than $75.00 per
year.
4.61.040 Calculation of Number of Employees
For purposes of computing the License Tax due pursuant to Section 4.61.030, a Taxpayer
may calculate the number of Employees of a Business for a calendar year using any of
the following methods:
(i) Based on Hours. Dividing the total number of hours worked during the
calendar year in connection with the Business by all Employees by 2080. For
purposes of the calculation, the Taxpayer may choose to assume that the number
of hours worked by any specific Employee was 2080 hours during a calendar year
or 173 hours during a calendar month;
(ii) Monthly Average. Counting the total number of Employees engaged in the
operation of the Business during each calendar month of the calendar year (not
taking into account whether the Employee worked full-time or for only part of the
month), adding the results for each of the twelve months, and dividing by 12; or
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(iii) Cumulative. Counting the total number of Employees engaged in the
operation of the Business during the calendar year (not taking into account
whether the Employee worked full-time or for only part of the year).
4.61.045 Delayed Implementation
A. License Reguirement. All existing Businesses shall obtain their initial
License and pay the applicable tax by January I, 2010.
B. Reduced Rate for Calendar Year 20 I O. The tax rates applicable in
connection with the issuance of any License Tax certificate expiring on December 31,
2010 shall be one-half of the rates shown in this section. Furthermore, License Taxes due
in connection with the issuance of any such License Tax certificate for a Business shall
be calculated based on operations from July I, 2009 through December 31, 2009, as if the
Business had no operations or employees prior to July 1, 2009.
C. Reduced Employee Count for Calendar Year 2010. When computing the
License Tax due in connection with the issuance of any License Tax certificate expiring
on December 31, 2010, a Taxpayer using the methods set forth in 4.61.040 (i) or (ii) to
calculate number of Employees shall proceed as if the Business had no Employees from
January I, 2009 through June 30, 2009 and a Taxpayer using the method set forth in
4.61.040 (iii) to calculate number of Employees shall count only Employees engaged in
the Business subsequent to June 30, 2009 and shall multiply such count by 0.5.
4.61.050 Maximum License Tax
A. The maximum License Tax that any Taxpayer shall be required to pay
with respect to any year shall be $30,000. Notwithstanding the foregoing, the maximum
License Tax that any Taxpayer engaged in a RetaillHotel or Personal Services Business
shall be required to pay with respect to any year shall be $20,000.
B. A Taxpayer may elect to pay the maximum tax indicated in this Section
rather than paying the tax that would otherwise be due under this Chapter. In such event,
the Taxpayer need not report the number of Employees in the statement required by
Section 4.61.100.
4.61.070 Inflation Adjustment
A. By October 30th of each year, beginning 2011, the Administrator shall
adjust in the manner required by this Section each of the following tax rates or amounts,
and those adjusted rates or amounts shall be used in calculating taxes due in the following
calendar year:
(1) Each of the minimum tax amounts set forth in Section
4.61.030;
(2) Each of the fixed tax rates set forth in Section 4.61.030;
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(3) The maximum License Tax amount set forth in Section
4.61.050.
B. Each rate or amount shall be rounded to the nearest dollar for inflation by
mUltiplying the then effective rate of the annual increase in the Consumer Price Index for
All Urban Consumers, San Francisco Bay Area (or any successor to that index) ("CPI")
for the most recent 12 months for which data has been published when the adjustment is
calculated, except for the rate set forth in Section 4.61.030 (F) (Commercial Rental)
which shall be adjusted by the above stated CPI rate without rounding.
C. The Administrator shall publish the adjusted rates and amounts by
November 15th of each year, beginning in 2011, at least once in a newspaper of general
circulation within the City, or if there is none, a newspaper of general circulation in the
County.
D. The City Council may, by resolution, suspend the effectiveness of all or
part of one or more such adjustments for such period or periods as it may determine.
However, such suspension shall not be taken into account by the Administrator when
making the calculations required by this Section. The expiration or termination of any
such suspension shall not require voter approval, provided that the tax is not imposed on
any Person in an amount in excess of the inflation-adjusted rates or amounts authorized
by this Ordinance.
4.61.090 Exemptions
A. The requirement to pay a License Tax pursuant to Section 4.61.030 does
not apply to:
I. Constitutional Exemption. Any Person transacting or carrying on
any Business exempted by the Constitution or laws of the United States or of the State of
California from the License Tax, but such exemption shall only extend to such exempt
Business and not to any other Business in which such Person may engage;
2. Disabled Veteran. Any disabled veteran holding an honorable
discharge from a branch of the military service of the United States, if he or she is
physically unable to earn a livelihood by manual labor;
3. Non-Profit. Any organization certified by the Internal Revenue
Service as an exempt organization pursuant to Section 501(c)(3) of the United States
Internal Revenue Code;
4. Minor. Any individual under 18 years of age. However, a
Taxpayer, who is not themselves under 18 years of age, may not exclude from the
calculation of tax due Employees who are under 18 years of age.
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B. A Person elaiming an exemption under this section, in addition to filing
the written statement required by Section 4.61.100 of this Code, shall file a Sworn
Statement with the Administrator stating the facts upon which the exemption is claimed.
In the absence of a statement substantiating the claim, the Person is liable for the payment
of the License Tax required by Section4.6L030.
C. Upon proper showing contained in the Sworn Statement, the
Administrator shall issue a License Tax certificate to the Person claiming exemption
without payment to the City of the Lieense Tax otherwise required by Section 4.61.030.
D. The Administrator, after giving a Person receiving a lieense pursuant to
Paragraph C of this seetion notice and a reasonable opportunity for hearing, may revoke
such License Tax certificate upon receiving information that the licensee is not entitled to
the exemption elaimed.
4.61.100 Application and Payment Provisions
A. Each Person engaging in Business within the City, whether or not at a
fixed place of Business, shall file a "",ritten statement each year with the Administrator
upon forms provided by the Administrator indicating the business activity to be
conducted, the location of the Business, the officers or other principals of the Business,
the number of Employees, residential rental units or commercial leasable space used to
calculate the License Tax, the anlOunt of License Tax due for that period, and sufficient
information to allow computation of the License Tax due.
B. The statement required by Paragraph A of this section shall also include a
list of all contractors or subcontractors engaged by the Taxpayer to conduct business in
the City during the preceding year.
C. The Administrator shall not accept a statement unless accompanied by
payment of the License Tax due.
D. The License Tax with respect to each calendar year (other than the initial
calendar year of business operations) shall be due on January 1 of that year and shall be
delinquent on January 30 of that year. The amount of the License Tax due for a calendar
year shall be calculated based on Business operations actually conducted during the prior
calendar year.
E. Newly Established Businesses. The License Tax with respect to the initial
calendar year of operations of a Newly Established Business shall be due upon the
commencement of the operation of the business and shall be delinquent 30 days
thereafter. The tax due with respect to the initial calendar year of operations of a Newly
Established Business shall be the minimum tax set forth in Section 4.61.030 for the
applicable type of business. The License Tax due for the second calendar year and
subsequent years shall be based on the numbcr of Employees as calculated in Section
4.61.040.
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F. With respect to any License Tax the statement is due at the time the
License Tax is due.
4.61.120 License Tax Certificate Issuance
A. The Administrator shall issue a license tax certificate to each Taxpayer
who submits an application and pays the License Tax as required by Section 4.61.030 (or
submits a statement indicating that no License Tax is due, if such statement is accepted
by the Administrator pursuant to this Chapter). The certificate shall indicate the name of
the Business for which the License Tax is paid, the Person paying the License Tax, the
location of the Business, the type of Business for which the License Tax has been paid,
the period for which it has been paid and such other information as is deemed necessary
by the Administrator for the administration of the tax. Unless otherwise specified, all
License Tax certificates shall expire on December 31 of the year issued.
B. A License Tax certificate is not transferable, except that if the holder of a
License Tax certificate changes his or her place of Business he or she may apply to the
Administrator for a transfer of the License Tax certificate to the new location. The fee for
such a transfer application shall be established from time to time by resolution of the City
Council. A transfer application must be filed within 30 days of the establishment of a new
location.
C. No License Tax certificate shall be issued to any Person until any previous
indebtedness for taxes and fees imposed by this Chapter upon that Person, and with
respect to the Business for which the Person seeks a License Tax certificate, has been
paid.
D. A separate License Tax certificate is required for each branch or location
of a Business. Each License Tax certificate shall authorize the tax certificate holder to
transact and carryon only the Business stated therein at the location or in the manner
designated in such certificate; provided, however, a Business may obtain certificates for
separate locations either by submitting combined or separate applications for each
location.
4.61.130 License Tax Certificate Renewals
A. No renewal of a Business license shall be issued until payment in full of
all delinquent License Taxes, including accrued interest and applicable penalties thereon
is received by City.
B. It shall be the responsibility of each Business licensee to obtain and pay
for a renewal license regardless of whether or not such licensee has received a renewal
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notice from the City. Any failure to receive such notice shall not affect the applicability
of penalties for nonpayment or late payment set forth in this Section.
4.61.140 License Tax Certificate Display
A. Each Taxpayer shall display his or her License Tax celtificate as follows:
I. If the License Tax certificate is issued with respect to a Business
carried on at a fixed place, the Taxpayer shall post the lieense in a eonspieuous location
at that place;
2. If the License Tax certificate is issued with respect to a Business
that has no fixed place of Business, the Taxpayer shall keep the license upon his or her
person at all times while conducting Business;
B. The Administrator, code enforeement personnel, or any Person authorized
by the Administrator to do so shall have the authority to enter any place of Business taxed
under this Chapter at any reasonable time and demand exhibition of the License Tax
certificate issued with respect to that place of Business.
C. Any Person who willfully fails to exhibit a License Tax certificate in the
manner required by this seetion is guilty of a violation of this code punishable as a
violation of this Chapter punishable as a misdemeanor pursuant to Section 1.08.010 of
this Code.
4.61.150 Examination of Books and Records
A. Taxpayers shall maintain and preserve, for a period of at least four years
following the date the tax was due, such records as may be necessary to determine the
amount of thc tax due.
B. The Administrator is authorized to examine the books, papers and records
of any Person subject to this Chapter for the purpose of verifying the accuracy of any
return made or, if no return was made, to ascertain the License Tax due under this
Chapter. Every Person subject to this Chaptcr is directed and required to furnish to the
Administrator, the means, facilities and opportunity for making such examination and
investigations as are authorized by this section. The Administrator is authorized to
examine any Person, under oath, for the pU1pose of verifying the accuracy of any return
ruadc, or, if no return was ruade, to ascertain the license fee due under this Chapter, and
for this purpose may compel the production of books, papers and records and the
attendance of all persons before himlher, whether as parties or witnesses, whenever
he/she believes such persons have knowledge of such matters.
C. The refusal of such examination by any employer or Person subject or
presumed to be subject to the License Tax shall be deemed a violation of this Chapter.
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D. If upon examination of such records, the Administrator determines the tax
imposed by this Chapter has not been paid in full, the Administrator shall notify the
Taxpayer of the balance due, including any accrued penalties and interest. Such amount
shall be paid within thilty days after notiee is issued by the Administrator. If an
inspection revcals an underpayment of twenty-five dollars ($25.00) or less, the
Administrator need take no action to collect the underpayment.
E. If an inspection reveals an overpayment, the Administrator shall notify the
Taxpayer of the amount overpaid. Unless the Taxpayer requests a refund of the
overpayment within thirty days after notice is issued by the Administrator, the
overpayment shall be applied as a crcdit against the next annual tax due from that
Taxpaycr.
F. Nothing in this Section shall be construed to require the disclosure of
confidential information protected by doctor/patient, psychologist/patient, attorney/client
or other applicable privilege.
4.61.155 Business Information Confidential
Information concerning the business affairs, operations, or financial information
furnished or secured pursuant to the provisions of this Chapter shall be confidential, shall
not be subject to public inspection, and shall not be made available to anyone not charged
with the administration of this Chapter provided, however, the provisions of this Section
shall not be construed to prevent:
A. Disclosure to, or the examination of records and equipment by, another
city official, employee, or agent for the collection of taxes for the sole purpose of
administering or enforcing the provisions of this chapter or collecting the business taxes
imposed by the provisions of this chapter;
B. The disclosure of information to, or the examination of records by, federal
or state officials, or the tax officials of another city or county, if the reciprocal
arrangement exists, or to a grand jury or court of law upon a subpoena;
C. The disclosure of information and the results of examination or records or
palticular taxpayers, or relating to particular taxpayers, to a court of law for proceedings
brought to determine the existence of the amount of any business tax liability of such
particular taxpayers of the City;
D. The disclosure of the names and business address of persons to whom
business tax certificates have been issued and the general type and nature of their
business;
E. The disclosure of general statistics regarding business taxes collected or
business done in the city.
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F. Disclosures required by state or federal law or the order of any court with
jurisdiction over the City.
4.61.160 Determination of Tax Classification
A. If two or more activities of a single Taxpayer are taxable pursuant to
Section 4.61.030 at the same rate, the Taxpayer may calculate and report the tax due for
the aetivities as a group. If two or more activities are taxable, but at different tax rates, the
Taxpayer may calculate the tax for each activity separately or may elect to calculate the
tax for the activities as a group by applying the highest tax rate applicable to any activity
in the group.
B. The detenuination of the class of business in which an applicant for a tax
certificate is engaged for pm'j)oses of Section 4.61.030 shall be a ministerial task of the
Administrator. The Administrator may, at any time within one year after receiving a
statement pursuant to Section 4.61.100, correct the classification reported by a Taxpayer
and recalculate the tax due. The Administrator shall then treat the results of this
recalculation as the results of an audit.
C. In the event an applicant disagrees with the detetmination of the
Administrator as to the class of business in which the applicant is engaged, the applicant
may file an application for reclassification with the Administrator. This application shall
set forth with specificity the facts upon which it is based. Upon receipt of a
reclassification application, the Administrator shall review the matter and either affirm
the original classification or assign a new classification and shall notify the applicant in
writing of the decision, which shall be final.
D. The Administrator may refuse to accept an application for reclassification
from an applicant who has applied for reclassification within the previous twelve months
if the application fails to state material and relevant faets that were not and could not have
been presented in the previous reclassification application.
4.61.170 Failure to File or Pay
A. If a Person fails to file a required application or statement, fails to pay the
License Tax or fails to file a corrected statement within fifteen days of a demand by the
Administrator, the Administrator may determine the amOlmt of License Tax due, using
the information he or she is able to obtain.
B. When the Administrator makes a determination under paragraph A of this
Section, he or she shall give a notice of the amount of License Tax due by serving it
personally or by mail, postage prepaid, addressed to the Taxpayer at his or her last known
address.
C. Payment of the corrected tax shall be due within fifteen days of the service
or mailing of the notice pursuant to Paragraph B of this section.
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4.61.180 Penalties for Delinquency
A. Upon a taxpayer's failure to pay the entire tax when due, the
Administrator shall add a penalty in an amount specified by the City Council or ten
percent of the unpaid tax on the first day of eaeh month following the month the tax was
due, whichever is greater; provided, however, no penalty shall be assessed in excess of
fifty percent of the tax due. For the purposes of this Chapter, a payment made by mail
shall be deemed received on the date of a postmark on the envelope in whieh the payment
is received, or if payment is made by means other than U.S. Mail, payment shall be
deemed received on the date the payment is stamped "received" by the Administrator or
his or her designee.
B. On the first day of the month following the date on which the maximum
penalty provided for in Paragraph A has acerued, interest at the rate of one percent per
month shall begin to accrue. Interest shall acerue at this rate on the amount of the unpaid
tax, exclusive of penalties, for eaeh month or portion of a month until the tax is paid.
4.61.190 Refunds
No tax shall be refunded unless it is determined by the Administrator that it has
been paid in error, computed incorrectly, overpaid, or collected illegally. No refund shall
be made unless a written request is received by the Administrator within one year ofthe
payment of the tax.
4.61.200 Administrator Authority
The Administrator shall have the power, for good cause;
A.
B.
C.
D.
E.
4.61.220
To extend the time for filing any required Sworn Statement;
To waive any penalties which would otherwise have accrued;
To adjust the amount of the business tax due;
To make refunds or prorations of taxes paid;
To issue citations for violations of and otherwise enforce the
provision of this Chapter.
Constitutional Apportionment
A. If a Person believes that the License Tax, as applied to him or her, places
an undue burden on interstate commerce or violates the due process or equal protection
clauses of the United States or California Constitutions, he or she may apply to the
Administrator for an adjustment of the tax. Such adjustment shall be supported by a
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Sworn Statement setting forth the method of business and number of Employees and such
other information as the Administrator may consider necessary to consider the claim.
B. The Administrator shall review any application pursuant to paragraph A of
this section, and shall fix as the License Tax an amount that is reasonable,
nondiscriminatory and consistent with applicable law. The amount so fixed shall not
exceed the amount that would otherwise be due pursuant to this Chapter.
4.61.230 Apportionment Guidelines and Other RegUlations
The Administrator, in consultation with the City Attorney, and subject to the
approval of the City Manager, may:
A. Promulgate guidelines for the apportionment of the License Tax
for businesses which operate both inside and outside the City to assist taxpayers in
calculating the portion of their activities subject to the tax imposed by this Chapter; and,
B. Adopt any other rules or regulations necessary or desirable for the
enforcement of this Chapter. Any apportionment guidelines or rules or regulations for the
enforcement of this Chapter shall be effective only after they have been published in the
manner required for an ordinance of the City.
4.61.240 Misrepresentation of Material Fact
It is a violation of this Chapter punishable as a misdemeanor pursuant to Section
1.08.010 of this code to knowingly or intentionally misrepresent to any officer or
employee of the City any material fact, relative to any tax imposed under the provisions
of this Chapter.
4.61.250 Civil Debt
The amount of tax, fee, penalty, or interest imposed by the provisions of this
Chapter shall be deemed a debt to the City. An action to recover such debt may be
commenced in the name of the City in any court of competent jurisdiction.
4.61.260 Remedies Cumulative
The conviction and punishment of any Person for faillU'C to comply with the
provisions of this Chapter shall not relieve that Person from paying any tax, fee, penalty,
or interest due and unpaid at the time of sueh conviction, nor shall payment prevent
prosecution of a violation of any provision of this Chapter. All remedies shall be
cumulative, and the use of one or more remedies by the City to enforce this Chapter shall
not bar the use of any other remedy.
SECTION 2. Amendment or Repeal. The City Council may repeal Chapter
4.61 ofthe Palo Alto Municipal Code or amend that Chapter without a vote of the people
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090716 'YO 0130492
except that any amendment to Chapter 4.61 that increases the amount or rate of tax due
from any Person beyond the inflation-adjusted amounts and rates authorized by this
Ordinance may not take effect unless approved by a vote of the people.
SECTION 3. Severability. If any section, subsection, sentence, clause, phrase,
or portion of this Ordinance is for any reason held to be invalid or unenforceable by a
court of competent jurisdiction, the remaining portions of this Ordinance shall
nonetheless remain in full force and effect. The people hereby declare that they would
have adopted each section, subsection, sentence, clause, phrase, or portion of this
Ordinance, irrespective of the fact that anyone or more sections, subsections, sentences,
clauses, phrases, or portions of this Ordinance be declared invalid or unenforceable.
SECTION 4. Effective Date. This ordinance shall be effective immediately
upon adoption.
SECTION 5. Execution. The Mayor is hereby authorized to attest to the
adoption ofthis Ordinance by the voters of the City by signing where indicated below.
I hereby certify that the foregoing Ordinance was PASSED, APPROVED and
ADOPTED by the People of the City of Palo Alto voting on the 3rd day of November,
2009.
ATTEST:
City Clerk
APPROVED AS TO FORM:
Senior Asst. City Attorney
090716 syn 0130492
15
Mayor
APPROVED
City Manager
Director of Administrative
Services
ATTACHMENT B
CITY OF PALO ALTO
BUSINESS TAX APPORTIONMENT GUIDELINE (DRAFT)
July 14, 2009 Revision
Pursuant to the authority granted by Palo Alto Municipal Code ("PAMC") Section
4.61.230, the following Business Tax Apportionment Guideline ("Guideline") is
hereby adopted and determined to be desirable for the implementation and
enforcement of Chapter 4.61 (Business License Tax) of the PAMC. All defined
terms used in this Guideline shall have the meaning set forth in PAMC Section
4.61.020.
Overview: The purpose of this Guideline is to establish the procedures by
which: (a) Persons subject to the License Tax may request an apportionment of
the License Tax to reflect activities within the City, and (b) the City will review and
act on requests for apportionment of the License Tax.
The obligation to pay License Tax is defined by PAMC Chapter 4.61. PAMC
Section 4.61.220 generally provides that the obligation to pay business license
taxes is not intended to conflict with exemptions established by State or Federal
law. California Government Code Section 37101(b) provides, in pertinent part,
that if the City imposes a business license tax "upon a business operating both
within and outside the [City's] taxing jurisdiction, the City shall levy the tax so that
the measure of tax fairly reflects that proportion of the taxed activity actually
carried on within the City."
Procedure: A Taxpayer who is subject to a tax based on number of Employees
may request that the number of employees upon which its License Tax is based
be reduced by one or more apportionment factors (outlined below) so long as it
submits, along with the application and apportionment request, payment of the
license tax that it believes is due based on the claimed reduction.
A. Submission of Application
Any request for apportionment must be supported by documentation in the
taxpayer's possession establishing the facts set forth in the request. The request
must be submitted under penalty of perjury, and shall be subject to the
Examination of Books and Records procedures set forth in PAMC Section
4.61.150.
B. General Apportionment Rule
1. A Taxpayer may exclude from the total number of work hours counted for
purposes of Option (i) of PAMC Section 4.61.040:
(a) Any hours worked by an Employee (other than a City-Based
Employee) at a physical location outside of the City.
1
(b) 50% of any hours worked by a City-Based Employee at a physical
location outside of the City.
2. For purposes of Subdivision 1, above, an Employee is a City-Based
Employee during any calendar month in which:
(a) The Employee works at least 50% of his or her work hours for the
Business at a location within the City; or
(b) There is no one city (or county, with respect to work conducted in an
unincorporated area) in which the Employee performed at least 50% of
his or her work hours for the Business and the location at which the
employee's principal desk, office, locker,or timecard is located is within
the City.
The purpose of this apportionment rule is to allocate the tax fairly when work is
performed outside of the City but based inside of the City and when work is
neither performed nor based in the City.
C. Alternative Apportionment Rules
The Taxpayer may apply to the Administrator for modification of the general
apportionment rule as applied to his or her Business if he or she believes that the
tax calculated under the general apportionment rule would exceed the amount
permitted by law or if he or she believes that it is not practical to compute the tax
using the general rule using available business records. Such request shall be
submitted along with the request for apportionment and shall be accompanied by
a statement of facts setting forth the proposed alternative formula and supporting
its appropriateness at fairly apportioning Business activities.
D. Apportionment of Minimum Tax
Any Taxpayer who would, based upon the apportionment claimed pursuant to the
Guideline, be subject to a minimum tax set forth in Section 4.61.030 of the
PAMC, may apply along with their request for apportionment, for a reduction of
the minimum tax due from them. Such minimum tax reduction shall be
calculated by multiplying the minimum tax by the number of work hours excluded
by virtue of apportionment dividing the product by total unapportioned work
hours.
E. Decision by Administrator Final
The Administrator shall analyze the Taxpayer's request for apportionment and
shall determine that the requested reductions and any modifications to
percentages are appropriate in order to fairly apportion gross receipts to in-City
as opposed to out-of-City activities.
2
If the Administrator determines that the request for apportionment is not
supported by the Taxpayer's documentation, or is otherwise improper, the City
Collector shall so inform the Taxpayer in writing and shall inform the Taxpayer of
additional License Taxes due, together with interest and penalties thereon. Any
such determination by the Administrator shall be final.
3
1 06/22/09
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Special Meeting
June 22, 2009
REPORTS OF COMMITTEES AND COMMISSIONS
9. Finance Committee Recommendation to Direct Placement of Proposed
Business License Tax Measure on November 2009 Ballot.
City Manager, James Keene reviewed Council’s directives since 2007 and
their progress on the Business License Tax (BLT), its priority to preserve
General Fund services while also reducing the significant infrastructure
backlog. Impacts to the business community were considered. He noted
that if Council proceeded with the BLT, this was scheduled for the November
2009 ballot. The revenue from the BLT, if approved, cannot be used to
balance the newly adopted budget. It potentially provided a revenue stream
toward funding General Fund services and brought with it an increased
ability to deal with the infrastructure backlog for the City. No specific
identifications for the potential BLT funds have been made, however. Under
$2 million was estimated to remain in the City’s infrastructure reserve by the
end of 2010. He reiterated that he, his staff, and the Finance Committee
had been working on the BLT for a long period of time. He reviewed that the
deadline for action on the BLT for the November ballot included an ordinance
adoption by Council by July 20, 2009.
Administrative Services Director, Lao Perez reviewed with Council where the
process for the BLT began to where talks ended with the Finance Committee.
This included information on the consultant service which helped to review
the varied tax methodologies and also to determine the number of potential
businesses in the City. Data determined there were 9,000 businesses
existing in the City, and 2,500 businesses were identified from Sales Tax
2 06/22/09
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data in determining gross sales data which was then categorized by business
sectors. Revenue assessments and modeling were done to approximate
revenue generation. Information was obtained from Reference USA in
ascertaining the number of employees in the community. The cost of doing
business in Palo Alto was analyzed versus the costs in neighboring
communities. Ten meetings were held with members of the business
community between March and May of 2009 with significant feedback.
Comments from these meetings were reviewed. Meeting and discussion was
hosted by the Chamber of Commerce of Palo Alto in consideration of
alternative revenue generations. Three suggestions from the Chamber
meetings included: 1) Increasing the Utilities User Tax (UUT) to generate
approximately $3 million; 2) Increasing Sales Tax, for the generation of
approximately $4 million; and 3) Increasing the Documentary Transfer Tax
(DTT) to generate approximately $3 million. Discussion-only was held and
no action was taken.
Management Specialist, Sherilyn Tran spoke on the cost of doing business in
Palo Alto. Staff, by Finance Committee’s directive in March 2009, did an
analysis and cost comparison for doing business in Palo Alto versus
neighboring cities. Six cities were in the study: Sunnyvale, Mountain View,
Santa Clara, Redwood City, Menlo Park and San Mateo. Three cost areas
were studied: fees, taxes, and commercial property rental rates. The
current costs for doing business in Palo Alto were not significantly higher
than the comparison cities. The City’s fees and taxes are not significantly
higher than the other cities with the Transient Occupancy Tax (TOT), which
is 2 percent higher than the majority of the cities, while its UUT is in line
with Redwood City. Palo Alto is the only city in the comparison group which
does not currently have a BLT. Additional mandatory costs for doing
business in Palo Alto included development impact fees, planned check
reviews, and signage costs, which are conditional and dependent on the
business type and specific needs. All cities in the study have their own
mandatory conditional costs dependent on the specific needs of each
community. Water, gas and electrical cost comparisons for doing business
were studied. Utility user data from three businesses in the City were
compared to the rates for the comparison cities. Overall, Palo Alto
businesses pay less for utilities than the comparison cities. The cost of
commercial property rental comparisons for research and development
(R&D), retail, and office were reviewed, with Palo Alto coming in with one of
the highest rents when compared to the other cities. However, the City also
had the lowest vacancy rate for office space and the second lowest vacancy
rate for R&D space. The cost of doing business in Palo Alto, based on the
above study, brought Staff to the conclusion that doing business in the City
is not significantly higher than the neighboring cities in terms of city-
mandated costs.
3 06/22/09
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Mr. Perez summarized the Finance Committee’s actions spanning March
through the present time. Motions and directions from the Committee
included moving forward with the BLT recommendation to full Council with
an annual generated revenue of approximately net $3 million, with an
implementation date of July 1, 2010, and an option to delay the effective
date, with all businesses subject to the BLT with no exemptions other than
statutory exceptions for the first three units of a multi-unit rental class. The
cap was increased to $30,000 for all businesses other than retail which
remained at $20,000. Using the full-time equivalent (FTE) in order to
determine employee numbers was recommended. The Finance Committee
was evenly divided on the tax methodology between gross receipts and the
employee headcount methodologies. Direction was given to reduce the
business classifications and/or merge categories as one classification;
personal services and hotels was merged with retail while business services
merged with the professional classification. Guidance was given on
development of a wider tax rate distribution between professional and retail
classifications. Direction was given for the provision of additional revenue
models based on gross receipts and employee FTE count. Staff was asked
to evaluate alternative tax methodologies for multi-unit rental and
commercial property. Staff’s original recommendation was for gross receipts
with the direction to do per-unit rents for the multi-units and square footage
for the commercial property. He recapped the tax methodologies and tax
models which he and staff studied. After reviewing comments from the
business community and the Finance Committee on reducing the tax to $3
million in forecasted revenues, Staff reduced the tax by more than 50
percent in the business categories. He addressed the concerns over double-
taxation and pass-through from landlords to the tenants. He noted Staff
needed direction from Council on the type of tax methodology. An additional
directive was needed for the administration costs of the BLT program. The
issue still stood on whether or not to provide an exemption for nonprofits
under the employee tax methodology. He reviewed the administrative cost
approximations for implementing and enforcing the BLT. Staff decided to
start with temporary staffing for administration as well as implementation
and enforcement of the BLT to better assess staffing needs for the long-
term. Staff recommended beginning with 2.5 temporary staffing positions in
order to perform the varied functions which he reviewed. Variable costs
were noted for forms, envelopes and software. A $10,000 contingency was
requested in this regard. When the exact needs for administration of the
BLT were known, Staff would then return to Council for authorization to
convert any existing temporary positions to permanent status. The
estimated costs for this change-over went from the temporary
administrative cost estimates of $160,000 to $290,000 in permanent
administration. The rise in costs reflected the ability for these positions to
Deleted: headcount
4 06/22/09
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also provide code enforcement on the collection of the BLT when necessary.
Based on the review done by the consultants, as well as the history of
neighboring cities in California, it was noted that 80 percent of businesses
self-report and pay. Collection efforts were necessary for the remaining 20
percent of the businesses which did not report or pay. He reviewed their
suggested employee count and costs for administration of the BLT with that
of surrounding cities. Cities with and without enforcement costs for the tax
were included in their comparison. He stated Staff’s recommendations for
2.5 positions were comparable based on this information. He stressed that
starting the program on their proposed temporary basis with these 2.5
employees lent for an opportunity to adjust along the way to better fit the
long-term outlook for the tax and its enforcement. He stated any costs for
enforcement of non-registered and non-paying businesses was offset by the
recovery of these BLT revenues. He reviewed the duties of the 2.5
employees, which included community outreach and education on the BLT,
development and reporting of forms, instructional guidelines and letters of
introduction of the BLT as well as the creation of a database with existing
information with the goal to have an online system in the future. BLT
staffing would also process payments and mail BLT certifications, do
enforcement and prepare and submit the data required by the State. He
reviewed the necessary steps BLT staffing would follow in managing the
program. In closing his presentation, he noted Staff’s recommendations for
the BLT in following with the recommendations from the Finance Committee,
which included addressing the City’s infrastructure backlog. For that reason,
Staff recommended the gross receipts model. Staff was in agreement with
the $3 million net in revenue forecasted in the models. Staff asked for
direction on continuing to finalize the BLT ordinance for placement on the
ballot of November 2009, with a return to Council on July 20, 2009 with this
document.
Council Member Kishimoto asked, if 80 percent of the City’s businesses were
likely to comply with reporting and payment of the tax, what method was
proposed for auditing the remaining 20 percent.
Mr. Perez stated if a comparison of available data noted that a particular
business did not have a BLT, then followup, verification and enforcement
would ensue. A walk-through of the business district to review the addition
of new business was also suggested as a manner in which to audit the
situation. New utility account data for new business was an additional way
to track and contact new businesses that had not yet registered and paid
their BLT. Another trigger that may attract their attention is a large
business with significant revenue generation, who has submitted the
minimum BLT, may require further followup and verification. With the
suggested staffing level at a temporary start-up of 2.5 employees, full
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enforcement throughout the City was not planned. BLT staff’s duties were
dedicated to processing and administration of the program. During the non-
renewal cycle, BLT staff had the freedom to follow along with data
comparisons and follow through to catch up any unreported businesses.
Vice Mayor Morton asked if the City had access to State information on sales
tax accounts and 1099 issuances, and if the BLT ordinance was in place.
Mr. Perez noted this was his understanding as well; once a BLT ordinance
was in effect, the City then had access to State data.
Council Member Kishimoto asked what kind of cross-checking and auditing
measures might take place under the employee headcount tax method.
Mr. Perez stated followup and cross-checking was along the same lines as he
had previously mentioned, although it was less clear on how they would do
this since there is less information available for comparison. Experience and
process, however, was the same as he had discussed previously with the
expectation going in that approximately 80 percent of the businesses were
likely to comply and follow through. Any available State data was also
available for cross-checking.
Council Member Kishimoto noted the State’s Employee Development
information was an access area as well if the ordinance passed.
Mr. Perez agreed, once the ordinance was in place, the City then had access
to this data.
Council Member Kishimoto asked what measures were taken in protecting
confidentiality regarding fee and tax information.
Cara Silver, Senior Assistant to the City Attorney noted the amount of taxes
paid by taxpayers was typically kept confidential. However, there was
distinction between taxes versus fees. Development fees and the like were
not confidential.
Vice Mayor Morton noted this was the same for the utility actions, which
were also not public information.
Ms. Silver stated similar rules governed sales tax and the like.
Mr. Perez added language had been worked into the ordinance which
clarified that the BLT staff was not privy to client and other privileged
information files.
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Council Member Kishimoto spoke to some concerns and questions she had
received from a community member, Herb Borock, with regard to the
presumed employee numbers for Stanford Hospital and Palo Alto Medical
Foundation (PAMF).
Mr. Perez stated it could not be ascertained from the information provided as
to whether or not the number of positions provided were FTEs or headcount.
The estimate of 5,000 was for FTE status, but headcount was higher. Staff
used conservative numbers at this point since they did not have the exact
data on headcount versus FTE.
Council Member Kishimoto asked if the determination of this was likely to be
clearer, after the ordinance passed, and once they had access to State
information.
Mr. Perez stated this was the likely case. They do not have access to this
information as of yet. He noted they were following the self-reporting rule of
thumb that employers follow through with this information. They can then
look at the data received from Reference USA in trying to cross-check and
discuss with the businesses on their numbers.
Council Member Kishimoto asked for clarification and any estimations on the
revenue caps.
Mr. Perez noted several issues arose in this area in that they do not know
how a company might apportion their employees. An exact number of
employees working within the City was necessary in this assessment as well
as their FTE status. Based on data they have already reviewed, Staff
noticed that 8-10 businesses would exceed the cap on the per-employee
basis and nearly the same would exceed with the gross receipts
methodology. Only one or two businesses were consistent in these findings
while the others different dependent on the tax methodology.
Council Member Kishimoto asked for clarification on why Staff recommended
the gross receipts methodology over employee headcount, other than the
apportionment being much easier.
Ms. Silver noted this was not stated in the Staff report, but this was actually
the opposite in that apportionment was easier for the employee headcount
methodology. Typically, employee headcount apportionment included the
number of employees physically present in Palo Alto, which were then
attributed to the City’s taxable activity. Those employed outside the City
were apportioned outside the City. She noted the language in Staff’s report
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may have been confusing, but the point remained that there were
apportionment issues with any type of methodology. However, staff
believed that the employee count methodology was easier to apportion than
the gross receipts methodology.
Council Member Kishimoto noted the proposed costs for administration of
the tax were $300,000 for both the employee headcount and gross receipts
methodology. She asked if this was a rough estimate of costs since it
appeared that the headcount methodology was easier in administration.
Mr. Perez stated the estimated costs were based on the assumption that
there were 9,000 businesses existing within the City and their activities. It
was estimated to take 15-20 minutes to process initial applications. It may
prove less staff was necessary, once the process was initiated and better
understood, which is why Staff had recommended the use of 2.5 employees
on a temporary staffing basis at lower cost while determining the need.
Council Member Kishimoto asked how much thought was given to
streamlining the administration of the BLT tax process for both the City and
the payee. If computerized as much as possible, she questioned whether it
was conceivable that the payee would spend no more than 5 minutes per
year, as well as the City spending no more than 5 minutes per year on each
application.
Mr. Perez stated it was difficult to assess or estimate the time and costs at
this point but administration of the BLT planned to reach the highest level of
efficiency. A meeting with a vendor who had implemented an online system
for the City of Houston was planned for the near future. Eight fields of
information were required by the State on BLT applications. Additional fields
may be added by the City as they assess the makeup of the BLT applications
and forms.
Vice Mayor Morton noted, when talking about these required fields, some
fields were as simple as the business name, address and phone.
Mr. Perez stated this was correct; most cities use a one-page form. The
form itself was not at any great expense. He had a sample for Council’s
review.
Council Member Kishimoto was interested in seeing a sample form. She
noted, even with those common fields, this was the same as the County
Assessor filing forms. Once an account was established, renewal every year
is less time consuming since many fields auto-filled at renewal time.
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Mr. Perez stated this was correct; fewer changes or new information existed
at renewal time. He noted the initial setup required more time with the
ongoing information gathering easier with some automatic notifications
going out to the businesses as a long-term goal and part of their scope
review. The more automated they became, a business had the ability to
sign on to the system at any time of the day.
Council Member Yeh stated that Staff’s information on the cost comparisons
for doing business in the City were helpful in this current discussion as well
as in future discussions. He asked how accurate their estimate was for the
presence of 9,000 businesses in the City. He asked what percentage of
businesses this potentially captured.
Mr. Perez stated it was difficult to answer this when considering the
businesses on the professional side. However, they were fairly confident in
their numbers for the retail businesses since a data set existed because of
the sales tax information. They know, for example, where they stand on
their estimates with regard to home-based businesses and any other
businesses which existed under their radar. He assured Council that Staff
had vetted out seven different data sets. The estimated number of
businesses in the City had originally been 20,000. However, after reviewing
the data and eliminating any duplications or businesses which had moved
out of the area, they had arrived at the 9,000 number. In comparing the
City to the area communities and their average number of businesses, they
were reasonably in line in their estimates.
Council Member Yeh asked about the process used in developing the
research data. If Staff mapped out an ideal process in which to develop all
of these estimates, would it be preferable to have a registry in place prior to
any analysis.
Mr. Perez stated there was no doubt that a registry, already in place,
provided a more confident set of numbers for potential tax revenues.
However, the consultant had advised Staff in that it took approximately
three years to establish a base of data upon the implementation of the BLT.
He reiterated that 80 percent of businesses self-report and this three-year
approximated start-up allows for the remaining 20 percent of the businesses
to get onboard.
Doug Jensen, Community Services, elaborated on how they had come up
with the 9,000 estimate for businesses within the City. He stated they had
used a database integration technology where multiple diverse databases
including sales tax, property tax, phone records, marketing directories, State
licensing and contractor files, along with any data source available were
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used. These data sources were then honed down to a valid Palo Alto
address. Anything within the databases was not physically within the City
were purged in order to come up with a business distributive subset which
came to 9,000 by estimate. He echoed Mr. Perez’s concern that a
percentage of accuracy was not feasible for that number at this point, but
the number had been carefully vetted. Professionally, he stated their
estimate of 9,000 was very close.
Council Member Yeh asked how other jurisdictions approached this in order
to develop their BLTs.
Mr. Jensen stated the cities, in their comparison study, had held a BLT
ordinance for many years and that this had been developed over time.
Costs of implementing a registry and enforcement of a voluntary registry still
involved holes or missing information.
Council Member Yeh asked for a description of the registry aspects within
some of the other jurisdictions. He questioned if there was any kind of cost
recovery associated and how fees were structured on the registry side. He
asked what other cities had done with any additional information they had
received in these registries.
Mr. Jensen noted cities using a registry-only on a voluntary basis had no
enforcement and routinely received information from 80 percent of their
businesses. Cities with a BLT ordinance in place for many years had more
accurate numbers with regard to their business community and the business
types.
Council Member Yeh asked if they had seen any specific usage of that data.
Mr. Jensen stated certain things were recommended, such as employee
headcounts, emergency contact information, alarm system information, and
public safety information.
Council Member Yeh stated the CMR included discussion over
implementation of the BLT and collections in the first quarter of 2011. He
noted three years was cited as an adequate timeframe to gather and build
an accurate business registry. He asked what steps were included in
assessing this information at the one-year point in a three-year process of
data accumulation to be sure they were moving towards a more precise
number.
Mr. Perez stated a registry database was assistive in reaching the more
accurate number of businesses in the City. He reiterated that 100 percent
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compliance was not expected. A dataset for home-based businesses would
arise in their ongoing establishment of the BLT.
Council Member Yeh stated the timing of the election process for the
proposed BLT was either November 2009 or November 2011. He asked if
collections were initiated in January 2011, and there was also an election in
November 2011, given what had been said with regard to the potential
benefits of additional provisions in estimating revenue, number and type of
businesses and their distribution throughout the City, how would Staff view
ramping up something if there were a vote in November 2011. He asked if
this was facilitated by having a business registry in place already, or not.
Mr. Perez stated the process was likely to establish more quickly with more
data and time to set up the tax process, itself, with the business registry
database in place by the time the election occurred in 2011.
Mr. Keene stated the value added by the business registry was related to the
yield of the total revenues the City received being totally accurate. The
focus was on the equity or impact of the individual business owner which
was separate from the yield to the City of the revenues from a BLT. He
noted another issue arose in whether or not the estimates of the average
per category or the median per category were accurate. Without the
business registry it was important to keep in mind the realm of the realistic
based upon all the factors that exist.
Mr. Perez reviewed with Council, in PowerPoint, a BLT application form used
by the City of Menlo Park. He noted copies of other cities’ forms existed as
well to provide Council with further examples.
Council Member Burt asked for clarification of the logistics if Council asked
them to return with two alternatives: 1) a form of the BLT, and 2) an
alternative real estate transfer tax type. He questioned whether Staff had
adequate time to return with these alternatives while also having time to
engage the public and gauge their opinions.
Mr. Keene stated this was predicated on whether or not Council directed
them on what they wanted to see in either case. Pending any results of any
survey data, the ordinances in either case would be in draft form.
Additionally, he asked Mr. Perez what additional things were possible other
than simply a survey mode or gear.
Mr. Perez noted the simple mode for public information and opinion included
the use of some phone-sampling along with public survey.
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Council Member Klein asked for clarification on the issue of business of
nonprofit and their place in the BLT ordinance.
Ms. Silver stated nonprofits were statutorily exempt from a gross receipts
tax but were not necessarily statutorily exempt from the employee-based
tax. If Council gave direction for implementation of an employee-based tax,
an issue under consideration was whether they also wanted to exempt the
nonprofits. Many or most ordinance exempted these nonprofits. Two large
nonprofits in Palo Alto, Stanford University Medical Center and PAMF, were
two of the City’s highest employee counts.
Mr. Keene added it was Council’s discretion to exclude nonprofits above a
certain size from this exemption.
Council Member Klein stated they were leaning toward the exclusion of the
largest nonprofits if he had understood materials and slides already
presented. If this were the case, he asked if the smaller nonprofits had been
included in the BLT calculations.
Mr. Perez stated these were included in the employee base dependent on the
information received from Reference USA.
Council Member Klein asked for an explanation of the rationale for including
the smaller nonprofits but excluding the larger nonprofits.
Mr. Perez stated their recommendation was to exclude any nonprofit that
had 100 FTEs or less, unless advised otherwise by Council.
Council Member Klein asked how they arrived at the threshold of 100 FTEs
or below.
Mr. Perez stated this was likely to include most of the smaller nonprofits.
Vice Mayor Morton asked if nonprofits could be excluded by activities as well
as by size, such as including medical nonprofits but exclusion of all others.
Ms. Silver stated they needed to research that issue since she had never
seen it done in the past.
Vice Mayor Morton addressed the sample BLT form presented by Staff by
example. He noted this was the initiation form and had lines for additional
years’ calculations. He asked for clarification of this.
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Mr. Perez stated he was not able to speak on the example form they had in
Powerpoint which was for the City of Menlo Park. He had not reviewed this
form personally. Staff had an example form from the City of Oakland,
however, where they have two forms; one form was for initiation and the
second form for an existing business. He noted they could look at either
option; one form with additional lines for additional years’ calculations, and
or the two-form system.
Vice Mayor Morton asked for clarification on the implementation period for
the BLT. He noted there was the struggle in the current year to fill the $10
million gap in the City’s budget. He questioned what the downfalls were in
implementing this tax later than July 1, 2010, since the first reporting period
was January or February of 2011.
Mr. Keene stated if the tax was not implemented before July 1, 2010, this
lent to impacts on the Fiscal Year 2011 budget, in the second year of the
City’s bi-annual budget process. An almost $3 million existing deficit was
projected in the tentative budget adoption. Addressing reductions was
necessary in the 2011 budget already. Potential uncertainties also existed in
relationship to the State’s budget, which may increase the estimated $3
million gap. Deficits beyond the $3 million level had significant City service
impacts. Reinvestments in the City’s infrastructure were also in a
compromised position, which was projected to be sitting at $1-1.6 million
remaining in the City’s infrastructure reserve at the end of 2011.
Vice Mayor Morton noted that there was two-fold importance in that the
Union needed to see that the community was contributing, while at the same
time the community needed to see that the Unions were contributing.
Council Member Espinosa asked why Staff has not come back with the
recommendation for a taskforce in studying the broader range of issues, and
also having a more transparent discussion about other tax alternatives.
Mr. Keene stated Staff was specifically responding to prior Council directives
which date back to 2007 when considering the BLT. While there had been
no taskforce, they have not been lacking in reaction, input, commentary and
alternative recommendations. He noted they were talking about taxation,
which was always a heated issue. In order for effective dialogue, it was
important to clearly define the new tax revenues they wished to proceed
with. Discussions with representatives of the business community were
fraught with opposition to the gross receipts tax methodology and the
employee basis was preferable. However, even in pushing forward on the
employee headcount methodology, there was no clear sense of support from
the business community.
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Mayor Drekmeier asked for clarification of the employee headcount
methodology in an instance where work is being done within the City by
hired contractors from within a business that exists outside the City.
Ms. Silver stated Council had the flexibility to define how an employee can or
will be taxed and also the definition of an employee within the ordinance.
Staff proposed that contractors which are a part of the primary aspect of a
business were considered as employees if they did the majority of their work
inside the City limits. This was distinguished from consultant-type
employees who rarely work within company and inside the City.
Mayor Drekmeier asked if a Motion was needed to clarify this or whether
they were voting on it as is.
Ms. Silver stated they wanted further direction and clarification on this.
Mayor Drekmeier stated one of the concerns over the gross receipts tax was
that it may penalize employee-heavy businesses such as restaurants that
operate on a margin. Many businesses were more opposed to gross receipts
versus the employee headcount methodology. He asked if there were any
businesses that were more opposed to the headcount methodologies than
the gross receipts method.
Mr. Perez stated no one had reported a better liking for the gross receipts
tax methodology in any of the meetings he had attended in the business
community.
Mr. Keene stated, even with the adjustment of the tax rate in order to result
in a yield in using the gross receipts tax, this did not necessarily translate
into a shift in opinions regarding the methodologies. He stated the gross
receipts tax also brought with it the concern over access to information for
any business.
Council took a break at 9:13 p.m. and returned at 9:18 p.m.
Lee Wieder, 637 Middlefield Road, was of the opinion that BLT based on the
gross receipts methodology was not the answer. He noted small and large
business community members that had met with Council Members Burt,
Klein and Schmidt were unanimously opposed to this tax methodology. He
stressed more time was necessary to clarify the complexities involved in
implementation of the BLT as well as exploration of other revenue avenues.
He suggested further exploration of the businesses in town and compilation
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of a business tax registry prior to further discussion of a gross receipts tax
methodology.
Matthew Stewart, 3325 Louis Road, spoke on the need for common sense
reformation in this time of economic downturn. He stated the gross receipts
tax was one example of a common sense reform. While the alternative
methodology of employee headcount was more expedient, he stressed
expediency was not to be confused with good policy. Gross receipts was the
best policy, and he was in support of this, citing his reasons for support.
Dr. Earl Whetstone, 744 Middlefield Road, a dentist within the City, spoke on
the gross receipts methodology and concerns he had over this with regard to
businesses such as his own practice. He stated the gross receipts
methodology was not reflective of his business. He noted the sizeable
amount in his business, which is written off every year due to insurance
issues and other un-collectables. This lent to potential billing for money he
never collected.
Dr. Susan Kaplan, 550 Hamilton Avenue #201, a licensed psychologist,
spoke on the flawed process on the creation of the BLT and the preferred
gross receipts methodology, if the ordinance passed. She concurred with
concerns and comments expressed by the Chamber of Commerce. She
believed further alternatives have not yet been fully explored and hoped
discussions would continue. She noted professionals held a strong
preference for the employee headcount methodology versus the gross
receipts method. She spoke on the continued concern over invasion of
privacy with the gross receipts method.
Jack Birnbaum, 3520 Greer Road, noted that the biggest challenge was not
whether the BLT should be a gross receipts methodology versus employee
headcount. He noted, more importantly, one does not raise costs and prices
during hard economic times. He noted that public employee benefits and
salaries far exceed those of 43 percent of the people in private industry. He
suggested further cuts could be made versus implementation of a BLT on an
already stressed business community.
Dr. Beth Rosenthal, PhD, 550 Hamilton, also a psychologist within the City
limits, waived her opportunity to speak since her points were well-made by
two earlier speakers, Dr. Kaplan and Lee Weider. She added, however, that
she was in support of Council Member Burt’s suggestion to do some polling
to understand where residents and the business community stood on the
issue.
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Joshua Howard, Executive Director for the California Apartment Association,
and the Tri-County Division, spoke as a representative of the multi-unit
housing industry in the City. He spoke on behalf of several rental property
owners in the City. They recognized the City’s need for additional revenues.
Their position on this, however, remained the same in that they opposed the
gross receipts tax but would not oppose a flat rate tax if this came forward.
Sherry Bijan, Palo Alto Downtown Business and Professional Association,
noted her personal stance as Executive Director of PAD/BPA was the strong
feeling that the business community has not been engaged in adequate
dialogue regarding the business licensing tax matter. They strongly
recommended the setup of a taskforce and further discussion. She also read
and submitted a letter from a venture capital business owner in the City.
Greg Osborn, 1450 Greenwood Avenue, stated behavior in the City’s
business community was likely to change with the implementation of a gross
receipts tax methodology. He stressed this was not the right time for such a
tax implementation and cited the already vacant storefronts in the City. He
questions what restraints would be in place if this type of tax methodology
were put in place.
Jeff Selzer, 171 University Avenue, spoke and represented Palo Alto Bicycles.
He noted his business was not going anywhere and was very much a part of
the City. However, he stressed that his business was incredibly civically
minded and wanted the City to succeed. He noted the gross receipts tax
was not the best option.
Robert Moss, 4010 Orme Street, stated the City was more than 30 years
overdue in instituting a Business License Tax. He stressed the City should
move forward on this and was in support of this. He noted reasons why this
tax was better off using the employee headcount method instead of gross
receipts. However, he felt a small gross receipts portion could also be added
in case this method was more effective for the future. He made suggestions
on the nonprofit exceptions as well.
Dennis Martin, 69 Lester Avenue, spoke in representation of National
Association of Industrial and Office Properties (NAIOP). NAIOP supported
Palo Alto Chamber of Commerce in supporting the gross receipt tax and the
establishment of a business registry with a nominal fee in order to engage in
comprehensive outreach and dialogue with the business community on the
needs and options of the BLT. He was in support of postponement of this
item for the November ballot.
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Paula Sandas, Palo Alto Chamber of Commerce, noted the Chamber was
against the gross receipts methodology and had continued their request for
the establishment of a Blue Ribbon Taskforce on the BLT and the institution
of a revenue-neutral business registry in order to get an accurate picture of
the number and type of businesses in the City.
Mayor Drekmeier asked if the Chamber had a position on the employee
headcount methodology or whether they stood neutral on this.
Ms. Sandas stated they stood neutral on this.
Mayor Drekmeier asked if it were safe to say that the Chamber felt the
employee headcount was the lesser of the two tax evils.
Ms. Sandas stated it was safe to say they felt it was the lesser of the two
evils when considering both methodologies.
William D. Ross, 2103 Amherst Street, was in opposition of Staff’s
recommendations and the implementation of a gross receipts BLT. He
supported the Chamber’s views on the matter and as articulated by previous
speakers. His opposition was also based on his 27 years experience with the
gross receipts methodology usage at the site of his second office in Los
Angeles, where he was audited three times in formal audit and six times
informally. He spoke to the inadequacies in confidentiality of client records
in his experience.
Robert Herriot, 2066 Byron Street, noted the City’s budget does not present
historical data, so there is no way to track whether the City is spending in a
sustainable manner. He hoped for rejection of the proposal for the BLT and
hoped that future budgets would bring along with them some historical facts
to support their changes. He spoke and gave examples of the pros and cons
of such a tax.
Herb Borock, P.O. Box 632, spoke on the two independent sources for the
number of employers in the City, the US Census Bureau and the
Employment Development Department. He noted an ordinance was not
needed to obtain aggregate data. He noted the varying ways this
information could be used in cross-checking and auditing. He discussed
apportionment issues, surveys of public opinion, and comparisons with other
cities all with regard to the BLT.
Adam Montgomery, 19400 Stevens Creek Blvd. #100, Cupertino, in
representation of the Silicon Valley Association of Realtors, spoke in support
of the comments made by Ms. Sandas on behalf of the Chamber of
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Commerce. He illustrated two additional points on the timing of the BLT and
the alternatives of such taxation.
John Halkmann, Palo Alto, spoke in opposition of the BLT. He noted the
income and gross receipt tax methodology was upsetting to the community.
He suggested looking into existing tax structures to increase tax revenues
for the City. He also suggested looking into volunteer contributions or a
voluntary tax acceleration in this regard.
MOTION: Council Member Barton moved, seconded by Council Member
Yeh, to direct Staff to create a revenue neutral business registry and a Blue
Ribbon Task Force Committee to create proposals for revenue development
and savings to potentially appear on 2011 ballot.
Council Member Barton noted there were several components related to this.
He was generally opposed to the tax whether it was a gross receipts or per
capita tax. He did not feel the timing was appropriate for the City to look at
such a tax. He felt additional savings potentials existed within their budget
over the next period of time. There was an opportunity to work with the
business community in looking for savings in process and potential for
revenue in ways that serve the City and business community in a win-win
situation. The current proposed tax was a win-lose situation and not the
proper route for the City to take at the present time. He was skeptical of
the cost of the business analysis presented by Staff and felt it did not cover
the extractions which came along with building permits and the time it takes
to secure and sign off on these permits in moving a business fully into the
City or expand a business. He believed further discussion and study was in
order.
Council Member Yeh was in support of the Motion in that he thought there
were other opportunities for the City to continue in their dialogue with the
business community. Once the tax is in place it is in place for good,
generally speaking, and he did not know any cases where a tax went off the
books at a later date. This merited more thought and discussion in getting
things right the first time. He spoke to the accuracy issues and making sure
that an adequate dataset is available to allow for correct predicted revenues
for any business-based licensing tax. Precision was important when working
on budget issues versus the potential budget deficits or surpluses.
Additionally, he asked if there were some kind of November 2011 vote, with
a registry in place, would these potential funds actually be collected in
January of 2012. If so, this lent to a one-year gap. He noted a registry in
place expedited the implementation of the tax and the usage of its funds.
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Mr. Perez stated this one-year gap assumption was correct if it was also
assumed that they would collect on the prior year’s data of the registry.
Businesses would pay the tax in January of 2012 on the prior year’s data in
keeping with Council Member Yeh’s comment and question.
Council Member Yeh noted a taskforce then allowed for the business
community and the City to determine what data was needed in order to
make sure they were collecting what was most appropriate. Whether they
collected by the gross receipts or employee headcount method, there was no
set form for what the business registry actually required. He stated data
empowered the City and the business community to work together in the
promotion of economic vitality.
Vice Mayor Morton noted November 2011 was the next time this item would
reach the ballot if it did not make the November 2009 general election
ballot.
Mr. Keene stated this was correct in that there was a two-year delay in
voting on this if it missed the November 2009 ballot; however, a business
registry implementation for cost recovery was possible prior to this.
Council Member Klein stated he was in opposition of the gross receipts tax
methodology. He wished that these items would be discussed together
because the Finance Committee, of which he was a member, had made a
mistake in separating the two items since methodology counted a great deal.
He did not support the gross receipts methodology and would speak on it
further if the Motion failed. He was not in support of the Motion. If they
could speed up the collection of the tax from January 1, 2012 from July 1,
2012, they would not be saving a year, but would be saving half a year. At
best, a two-year delay remained a delay of at least 18 months of revenue,
which was a loss to the City and increased the budget gap by $4.5 - 6
million. It was unacceptable to spend money on a Blue Ribbon Taskforce at
this time for this issue as it was fraught with problems and also delayed a
decision on the BLT. He noted this was an issue for the entire City and
merited outreach and discussion with both the entire community and not
just the business sector.
Council Member Espinosa did not agree that the development of the
taskforce was a delay tactic. He was not in support of the gross receipts
approach, but did support the Motion with the reasons for it already being
well stated. He added that the timing of the task was wrong in that the
current economic times and factors made it important to do everything
possible in ensuring every business in the community was successful. He
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noted further discussion and study was still warranted with regard to the
BLT.
Vice Mayor Morton noted that this issue had been debated for decades with
Palo Alto being one of the few cities in Northern California without a business
license tax. He did not believe that there was a big threat of businesses
leaving town due to the tax. He stressed what this potential revenue did for
existing services in the City as well as ramping up of these services and
building on the City’s infrastructure. He did not agree with deferment of
these potential revenues for up to two years while it was further assessed
and discussed.
Council Member Burt noted that the Finance Committee and Council had
struggled with the BLT issue for a considerable amount of time. He was
disappointed that this tax had not been implemented sooner. He did have
some concerns about moving forward in the current timeframe. There was
still a lack of good information though they had heard from a sizable
sampling of the business community. He noted Palo Alto Online contained
imprecise polling which has raised the question of whether the resident
community is in support of the BLT. He addressed the possibility of
increasing the Real Estate Transfer Tax. He stressed the need for additional
information and was disappointed that there was not majority support in
pursuing the option of an employee-based BLT and the real estate transfer
task to look at gauging this for community support. He agreed the City
faced economic difficulties and had already made sizable cuts in staffing and
asked employees to make sacrifices with similar or greater problems
possible in the next several years. The necessity existed to invest in the
infrastructure and to have some portion of the budget shortfalls come from
new revenue. He suggested a Substitute Motion which did not preclude the
potential to adopt the primary Motion already on the floor.
SUBSTITUTE MOTION: Council Member Burt moved, seconded by Council
Member Kishimoto, to direct Staff to come back in two to three weeks with a
gauge of public support for three alternatives; 1) Postpone the Business
License Tax until additional evaluation has been completed, 2) Evaluate
interest in real estate property tax based upon the gain of property value;
and 3) Gauge public support for employee headcount base Business License
Tax.
Council Member Burt stated his Substitute Motion held the best chance for
not stalling their discussions. It provided a better opportunity for a more
informed decision. Another area he hoped might receive further evaluation
for the employee headcount method of the BLT included a modification to
what was in the Staff’s report with regard to nonprofits and further
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gradations between professional and business services and those of retail
and personal services in the rate structure. His last thoughts were
comments and not binding components of his Substitute Motion.
Council Member Kishimoto asked for clarification on the estimated startup
and ongoing costs for a business registry. She asked if it was the same
$330,000 which had previously been discussed.
Mr. Perez stated it was this same $333,000. If this was done permanently,
Staff suggested using temporary staffing to ensure themselves of the
adequate amount of staffing and administrative costs.
Council Member Kishimoto asked if this meant they were basically taking the
gross receipts option off the table for discussion. Of the two choices, she
definitely favored the employee headcount in its stability and ease of
administration. Confidentiality issues did not come into play with the
employee headcount methodology. She understood from the need from the
business community there was a desire for better outreach, but in reading
through the detailed analysis she agreed with Councilmember Klein that the
structure proposed for the employee headcount approach with the BLT was
concise, straightforward and rational. She noted the frustration of both
businesses and the community at large, the system was biased against the
Council and community holding any control over personnel costs. The newly
passed budget included an increase in salaries and benefits each year at $5
million per year.
Mr. Perez stated this was not true for the salary portion of the budget.
Council Member Kishimoto asked if this was true of the benefit portion of the
newly adopted budget.
Mr. Perez stated this required a further look at the actual numbers in the
newly adopted budget.
Council Member Kishimoto stated she remembered this pretty distinctly as
being the case unless someone had information otherwise. As she recalled,
salaries and benefit increases were lumped together in the new budget, with
a year-to-year rise at $5 million per year.
Mr. Keene stated in looking at 2010 there was actually a reduction in salary
and benefits since there were basically no pay increases for the majority of
City employees. They had yet to receive an additional $3 million in revenues
and other compensation adjustments in order to balance the 2010 budget.
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Mr. Perez recalled there was $2.5 million in benefits that were not allocated
in 2009 but were reallocated for 2010 as part of the numbered increase.
Mayor Drekmeier, in Point of Order, noted Council Member Kishimoto was in
the midst of commenting on this while they awaited a firm answer to her
question. However, he stressed adherence to the Motion and Substitute
Motion on the table.
Council Member Kishimoto stated she had pointed this out due to the fact
the business and residential community desire more control over the budget
and salary negotiations. With regard to the Substitute Motion, and given the
disagreement which existed, this was the only way to move forward.
Mr. Perez directed Council to page 29 of the General Fund summary where
the increase from the 2008-2009 to the 2009-2010 budget was $2.7 million.
The 2010-2011 figures were at a $5.5 million increase, which included an
assumed 3 percent salary increases across all labor groups.
Mr. Keene noted the budget also included the approximate $3 million deficit.
Mayor Drekmeier stated he was not in support of the original Motion or the
Substitute Motion. He noted the problems for each with the Substitute
Motion providing little time for Staff to take its components. There was also
not time in one week to draft the ballot language needed for completion and
vote at the July 20th Council meeting. He agreed with Council Member Klein
that a Blue Ribbon Taskforce was not appropriate for the BLT issue. What
was appropriate was similar to what had been done with the plastic bag ban
wherein Council gave direction to Staff to explore the ban, the many
stakeholders were invited for discussion, input was considered, but Staff
then moved forward with the recommendation which they felt was most
compatible with Council direction. His sense was the business community
was willing to compromise even though the idea of a BLT is not their favorite
idea, and the employee headcount method was something they could live
with. He was willing to compromise some and support the employee
headcount methodology for the BLT as well. For the future, he suggested
they look for ways in which businesses that had been within the City for
many years carried their weight more fully. Commercial rentals also needed
further discussion since the City worked hard at making Palo Alto a desirable
location for business to which the landlords derive benefit. He looked
forward to more diversity among the businesses as well.
Council Member Yeh supported the intentions of the Substitute Motion. He
expressed concern, however, about the timeframe and if the Substitute
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Motion held a sufficient timeframe in terms of conducting a survey with also
a return to Council.
Mr. Keene repeated his earlier comment in that whatever Motion or
combination thereof came forward, Staff required explicit directives on the
components of the BLT in order to begin drafting the ordinance in readiness
for action. It was not a sequential action between doing polling and then
drafting of the ordinance but needed to be done concurrently. It was hard
for Staff to predict how effective a survey was when done in such a short
timeframe.
Vice Mayor Morton asked what they were asking the community, and how
specifically, since specific formulation of the question brought about a
specific expected answer. He reiterated he was against both the Motion and
the Substitute Motion because the City needed the BLT and shifting it back
to the individuals in the community made it the disproportion of the tax
burden even greater.
Council Member Klein agreed with Vice Mayor Morton’s comments and was in
opposition as well on the main Motion. He was also opposed to the
Substitute Motion because he did not have faith in the quality of information
they might receive in their polling they suggested with due consideration of
the short timeframe. Community education and careful drafting of the
questions was necessary to which adequate time for this did not exist. With
regard to timing, he stated any tax under discussion was scheduled to take
effect on July 1, 2010, with the Council’s ability to defer this task for a year
if need be at this time.
Council Member Barton was in opposition of the Substitute Motion but
appreciated the intent. He was worried, however, that the Substitute Motion
was precipitous and would not have the desired effects.
Council Member Burt clarified a second reading of the proposed ordinance
that was needed at the July 20, 2009 Council meeting. If not, he asked if
this could then be scheduled for the meeting on July 27, 2009. In this case,
they had a total of five weeks in order to proceed with the two functions of
the Substitute Motion of engaging the public and giving Staff adequate time
to compose the ordinance.
Mr. Keene stated there was no need for a second reading on a fiscal
ordinance. He stated there was a Council meeting on the July 27th and
asked the City Clerk if this was possible as an addition to the Agenda for that
meeting.
Deleted: 2
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Donna Grider, City Clerk, stated it was possible and the decision could be
made on July 27, 2009.
SUBSTITUTE MOTION FAILED: 2-6 Burt, Kishimoto, yes, Schmid absent
Council Member Yeh, prior to the vote on the original Motion, asked Staff for
clarification on whether a BLT is collected on an ongoing basis or a one-time
basis during any given calendar year.
Mr. Perez stated Staff had proposed a BLT collection on a one-time per year
basis.
Council Member Yeh asked if it was an 18-month loss, if they were on a 12-
month collection schedule which made it either January 2010, 2011 or 2012,
where the revenue ideally came in within the 30-day order and collections
period. He asked if this was a potential $4.5 - 6 million loss if the
anticipated revenue was approximately $3 million or was this just a $3
million loss.
Mr. Perez, in terms of the timeframe, stated the Finance Committee had
recommended the July 1, 2010 effective date with the collection in the
spring of 2011. If this went to the election of November 20, 2011, Council
Member Yeh’s question was whether or not it was possible to collect this in
the spring of 2012. He agreed with the City Attorney that this was possible
based on the returns of the prior year. Revenue received in the spring of
2012 was based on the collection amounts due from the calendar year of
2011.
Council Member Yeh clarified the impact, then, was not 1-1/2 years, but one
year’s worth of revenue since it was a one-time collection.
Mr. Perez stated, assuming that they were collecting on the full year in
January of 2012, this was correct.
Council Member Klein appreciated the correction but had also understood in
the Motion that the Blue Ribbon Taskforce was to also become involved in
the City’s expense considerations.
Council Member Barton stated this was not the intention of the Motion to
have the taskforce involved in the City’s expenditures. The Blue Ribbon
Taskforce was more specifically proposed to look at revenues while also
looking at potential savings through how businesses work, overall. The Blue
Ribbon Taskforce was there for discussion with the business community and
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the community on the whole in looking for ways and areas of potential
revenue gains as well as potential savings.
Council Member Klein noted he did not understand the potential savings.
Council Member Barton gave the example that if it took six months to get a
building permit, and a way was found to do it in three months for the same
fee, this was a savings to the City while still providing revenue.
Council Member Klein reiterated he did not understand how that worked
without the taskforce becoming more involved in the City’s budget
negotiations.
Council Member Barton stated certain budgetary components existed in any
possible discussions. However, he did not see it as a problem for the
taskforce, the business community and the community on the whole
participating in discussions looking at revenue enhancements and potential
cost savings as they relate to the business community.
Council Member Burt clarified the primary beneficiary of any efficiency gains
was the business community and not the City from a cost savings or revenue
standpoint. He noted permit streamlining, as the given example, was
something that the City needed to work on, but he felt this confused the
matter they were currently discussing. He did not feel it was accurate to
characterize this as a cost savings to the City if this process were
streamlined. It was more accurate to characterize it as a potential cost
savings to the businesses involved in the permit process. It was not
appropriate to include this type of discussion in the taskforce’s activities.
INCORPORATED INTO THE MOTION WITH THE CONSENT OF THE
MAKER AND SECONDER to remove from the Motion “and savings.”
Vice Mayor Morton asked a technical question with regard to the State and
Federal taxation process which cannot be retroactive. A vote in July of 2012
to implement the task did not mean collection was retroactive to the first six
months of that same year when the law was not in place. He stated this lent
to an 18-month delay versus a one-year delay, or may actually be two years
upon further consideration.
Ms. Silver stated it was helpful for Staff to have more time to research the
implementation of the BLT based on when it was voted in. However, one
way to implement the tax was to have the payment of the tax based on the
prospective earnings of a business by gross receipts and/or based on current
earnings.
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MOTION FAILED: 3-5 Barton, Espinosa, Yeh yes, Schmid absent
MOTION: Vice Mayor Morton moved to have a hybrid Business License Tax
that includes: 1) The Gross Receipts model for professional entities, and 2)
For all other businesses to use an employee headcount.
MOTION FAILED FOR LACK OF SECOND
Council Member Barton made the following Motion with clarifications and
additions noted by the Mayor as well as a noted inclusion of commercial
property taxation and square footage made by the City Attorney.
MOTION: Council Member Barton moved, seconded by Council Member
Klein, to proceed with the Business License Tax based upon an employee
FTE count with Staff recommendation that: 1) Implementation date of July
1, 2010, 2) Include nonprofits with 100 or more employees, 3) Exempt
rentals of 3 units or less, and 4) Commercial property would be taxed at
$0.3 per square foot.
Mr. Keene clarified that, because they were using the same targeted yield,
the inclusion of the nonprofits resulted in a reduction of the fee charged to
the different categories. Benefit existed, then, for a number of businesses in
that regard.
Mr. Perez stressed the inclusion of multi-unit rentals and commercial
property. Discussions with the Finance Committee included directions for
Staff to return with these per-unit and square-footage components.
Council Member Barton stated his intention was towards Staff’s
recommendation for an exemption for three units or less.
Mr. Perez clarified there was a three units or less exemption included in
Staff’s proposal.
Council Member XXXXX asked for clarity on which option existed in the
Motion, the per-employee, unit-based or square-footage option.
Mr. Keene stated Staff’s recommendation was in connection with the per-
employee basis but there was an obvious and slightly different methodology
for the multi-units and the commercial properties.
Council Member Barton noted his understanding was that Staff had
recommended exemption of multi-unit rentals of three units or less. He
Formatted: Highlight
Deleted: ,
Deleted: seconded by Council Member ???,
Deleted: headcount
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asked then, what question remained in clarification of the Motion on the
floor.
Council Member Burt stated clarification was needed on the balance of
Staff’s recommendation in that multi-rental units above three were at $25
per unit while commercial property was at 3 cents per square foot.
Mr. Keene noted this was correct and was worded as such in the Staff
report.
Council Member Barton agreed to include this in the Motion. It was noted by
the Mayor that the seconder to the Motion had also accepted this.
Council Member Kishimoto suggested inclusion of some language regarding
the overlap which may occur in the occupancy tax. She asked for Staff’s
clarification of this issue prior to their return in July, or would they rather
this be made as a recommendation for Staff to include this in their return in
order to eliminate any duplications.
Mr. Perez stated that it could be done without a Motion and they would
definitely look at this. The question remained on what the impact was to the
Occupancy Fee schedule, if they moved forward on the BLT. Staff stated
they would look at combining efforts with possible reduction of the fee or the
potential elimination of the fee. They would look at all these issues and
respond to Council by the next meeting in July.
Council Member Kishimoto asked for clarification on the home-based
business issue. She asked how this affected, artists by example, who only
sold a few items of their work per year.
Ms. Silver recommended the importance of inclusion of some language which
clarified the exclusion of hobby- and art-type home-based businesses from
the Business License Tax.
INCORPORATED INTO MOTION WITH THE CONSENT OF THE MAKER
AND SECONDER to exclude hobby level businesses.
Vice Mayor Morton stated they may want to rethink this inclusion. He noted
the first question the IRS asks an artist during an audit is whether or not
they have a business license. This is the first criterion; if they do not have
this licensing they have a harder time proving they are a valid business. For
the $75 fee, he suggested everyone be included, which gives them a
defense since most artists and musicians, for example, have negative
income for multiple years. In order to defend this during an IRS audit they
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have to prove that they are doing business as an artist or musician by this
same example.
Council Member Kishimoto stated if they wanted to claim themselves as a
business via the IRS they also had the option to include themselves in the
business registry and by paying the BLT. If not, they had the choice of
going with the fact that they were excluded from the tax.
Council Member Yeh asked was it possible to incorporate in the Motion a way
to identify additional data within the business registry that may better help
the City discover ways to further help the business community.
Ms. Silver stated that a business registry component does not need to be
voted on by the voters; however, if that type of language is put into the
ballot measure, then Council could not change this without a vote of the
people.
Council Member Yeh stated it was not his intent that this be included in the
ballot measure language, but that it be part of the Motion.
INCORPORATED INTO THE MOTION WITH CONSENT OF THE MAKER
AND SECONDER to include a Business Registry to extract data to assist the
City with supporting the business community.
Council Member Burt reiterated that the five weeks they had left was ample
time for Staff to reach out to the community as well as gathering additional
information as to the where the community stood on the BLT issues. He felt
there was hesitation in the community towards the BLT and perhaps an
inclination to support a Real Estate Transfer Tax. However, without further
study of this, Council stood to make an uninformed decision on a very
important topic.
Vice Mayor Morton did not believe adequate calculations had been done thus
far on the impacts of the BLT, which he felt likely stood to hit smaller
businesses harder than the larger revenue business community. He did not
believe agreements would materialize with the Unions to adjust contractual
guaranteed increases unless it was proven that the community was also
willing to help in closing the Budget gap. He noted the BLT was not perfect,
but it stood to bring needed revenue for the City to move on with many
community services from youth to the senior level as well as art and
recreation.
Council Member Yeh stated in the City Manager’s Report there was also an
opening for Council’s discretion to delay implementation and this must be
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codified in the ordinance and approved by the voters. In follow-up of
Council Member’s Burt’s statements on the appropriateness of timing, he
noted the hope was that the economy would rebound by July 2010, with the
actual collection schedule of January 2011. He stated if the BLT were put
into place without any consideration as to where the economy stood in
January 2011 when collections were scheduled to occur, was there any
existing mechanism for Council to state this was detrimental to businesses
at that point.
Vice Mayor Morton asked if they had included this delay element within the
Motion since the money was needed now and not in two or three years. If
this delay element existed he would then vote against the BLT on that basis.
Mr. Perez stated the Motion included Staff’s recommendation on the
implementation date effective July 1, 2010, with collection in the spring of
2011.
Council Member Kishimoto reiterated the importance of streamlining
implementation and enforcement of the BLT for both the business
community and the taxpayers on the whole. She noted regret over the fact
that BLT revenues cannot be directed toward the City’s infrastructure,
specifically.
MOTION PASSED: MOTION PASSED: 6-2 Burt, Espinosa no, Schmid
absent
MOTION: Vice Mayor Morton moved, seconded by Mayor Drekmeier, that
contractors be considered employees for the Business License Tax.
Vice Mayor Morton noted most small businesses with employee contractors
have the Worker’s Compensation requirement of identifying these
contractors as employees particularly when the contractors are on-site. This
and other records provides an easy way for auditing in the rare instance
where this may be necessary.
Council Member Kishimoto asked if this was assumed, then, for contractors
who worked over 1,000 hours per year.
Vice Mayor Morton stated the contractor will generally have a billing rate
which is very easily calculated out to the number of hours.
Council Member Kishimoto asked if he was talking in terms of gardeners and
the like.
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Vice Mayor Morton noted gardeners and the like were personal services and
were not consultants. Homes were not businesses, which meant anyone
working in the home as a medical assistant, housekeeper or gardeners
would not be included.
He stated the homeowner was technically required to pay taxes on this but
he was not commenting on the number in national figures of people who do
not report this. He stated that even if you pay a person for work of this
type, you may be an employer of this person, but you are still not a
business.
Mayor Drekmeier reiterated this was on the basis of a FTE or a fraction
thereof.
Vice Mayor Morton agreed this was the case, otherwise there were too many
exemptions at all different levels.
Council Member Barton asked for clarification on the consultant status.
Ms. Silver clarified the proposed language included the distinction between
contractors/consultants working on the premises versus those doing discrete
activities off-site.
Council Member Barton reiterated this lent to looking at the 1099 employees
versus any reimbursable expenses.
Vice Mayor Morton noted that most dentists and other medical professions,
for retirement benefit purposes, had no true employees on site but made
use of contractors and subcontractors, which under the BLT per employee
headcount purposes would be considered as employees.
MOTION PASSED: 8-0 Schmid absent
Announcements
Council Member Yeh thanked the Human Relations Commissioner for
spearheading the World Music Day event which took place the weekend
prior. He asked Staff for an update on a utilities issue which had come to his
attention in the recent past.
Mr. Keene stated the issue had been resolved. Press releases and other
public information were pending as well as a written update to Council on
the problem and its conclusion.
30 06/22/09
MATERIALS RELATED TO AN ITEM ON THIS AGENDA SUBMITTED TO THE CITY COUNCIL AFTER
DISTRIBUTION OF THE AGENDA PACKET ARE AVAILABLE FOR PUBLIC INSPECTION IN THE CITY CLERK’S OFFICE AT PALO ALTO CITY HALL, 250 HAMILTON AVE. DURING NORMAL BUSINESS HOURS.
Mayor Drekmeier reiterated World Music Day was a great success for the
business community. He reminded colleagues of their UAC interviews the
following day at 6:00 p.m.
Council Member Klein noted a demonstration the weekend prior with regard
to current concerns in Iran. He voiced his support.
ADJOURNMENT: The meeting adjourned at 11:32 p.m.
TO: HONORABLE CITY COUNCIL
FROM: CITY MANAGER DEP ARTMENT: PUBLIC WORKS
DATE: JULY 20, 2009 CMR:321:09
REPORT TYPE: REPORTS OF OFFICIALS
SUBJECT: Recommendation to the San Francisquito Creek Joint Powers
Authority Regarding a Preferred· Alternative for an Initial Flood
Protection Project on San Francisquito Creek
EXECUTIVE SUlVIMARY
The San Francisquito Creek Joint Powers Authority's (JPA) comprehensive watershedwwide
flood control project will require several more years of study and design, as well as substantial
amounts of federal and local funding. In an effort to provide some tangible benefit in the near
future, the JPA has been pursuing the implementation of an Initial Flood Protection Project that
would provide incrementally improved flood protection to the communities in the watershed by
the end of the year 2012. The JPA retained engineering consultant Philip Williams & Associates
to assess the feasibility of two types of Initial Flood Protection Projects: 1) detaining storm
water runoff in the upper watershed in order to reduce flood flows in downstream reaches, and 2)
providing increased flow capacity in the reach of creek downstream of Highway 101.
As for upstream projects, the consultant identified three potential detention sites on Stanford
University land that could each provide a moderate reduction in the downstream flow rates
during a 1% (lOO-year)l flood event. Construction of a detention basin on any of these sites
would require resolution of several logistical challenges, including but not limited to high cost,
land acquisition, disposal of excavated soil, impacts to endangered and threatened species, and
impacts to archaeological resources. Staff recommends that the JP A defer further consideration
of the upstream detention alternatives at this time, but that the JP A and the City continue a
dialogue with Stanford University regarding potential acquisition of land for future detention
basin construction.
As for downstream projects, the consultant investigated flood protection alternatives for the
reach of San Francisquito Creek downstream of Highway 101 utilizing two basic design
approaches: 1) increasing the conveyarice capacity of the channel (widening the channel), and 2)
diverting a portion of the creek flow through the Palo Alto Municipal Golf Course. Staff
believes that the channel widening alternatives are superior to the Golf Course bypass channel
alternative due to their significantly lower cost and reduced impacts to the Golf Course. Staff
1 A 1% (lOO-year) flood event has a 1% chance of being equaled or exceeded in any given year. Over a very long
period of time, this event would occur an average of once per one hundred years.
CMR:321:09 Page 1 of7
recommends the following key issues be considered in evaluating project alternatives: level of
flood protection to be provided by the project; whether or not to include provision of levee
freeboard (a factor of safety by building the top of the levee higher than the expected water
surface) in the design; project cost; and the level of impact to the Palo Alto Municipal Golf
Course. Based on these factors, staff recommends that that Council recommend channel
widening downstream of Highway 101 as the preferred alternative for the San Francisquito
Creek JPA's Initial Flood Protection Project.
RECOMMENDATION
Staff recommends that Council 1) review the upstream and downstream project alternatives and
recommend the downstream flood protection alternatives for the San Francisquito Creek Joint
Powers Authority'S (JPA) Initial Flood Protection Project, and 2) if the downstream project
alternatives are preferred, recommend channel widening downstream of Highway 101 as the
preferred downstream alternative for the JPA's Initial Flood Protection Project and direct Mayor
Drekmeier to advocate for this alternative as Palo Alto's representative to the JPA Board of
Directors.
BACKGROUND
In April 1999, the cities of Palo Alto, Menlo Park, and East Palo Alto, the Santa Clara Valley
Water District, and the San Mateo County Flood Control District formed the JPA in order to
cooperatively pursue a flood damage reduction and ecosystem restoration project for San
Francisquito Creek. Due to the substantial cost and complexity of a comprehensive watershed-
wide flood control solution for the creek, the JP A has partnered with the U.S. Army Corps of
Engineers (Corps) on a General Investigation (GI) project to plan and implement the
improvements. The GI project will require several more years of study and design, as well as
substantial amounts of federal and local funding. In an effort to provide some tangible benefit in
the near future, the JP A has been pursuing the implementation of an Initial Flood Protection
Project that would provide incrementally improved flood protection to the communities in the
watershed by the end of2012. This initial project would be eligible for future credit towards the
JPA's required local contribution towards the cost of the ultimate GI project and would not
negatively impact the costlbenefit analysis that will be performed by the Corps to determine
whether the federal government will participate in the construction of the GI project.
The JP A retained engineering consultant Philip Williams & Associates to assess the feasibility of
several Initial Flood Protection Project alternatives for San Francisquito Creek. Specifically, the
consultant was asked to study the feasibility of two types of potential projects: 1) detaining
storm water runoff in the upper watershed in order to reduce flood flows in downstream reaches,
and 2) providing increased flow capacity in the reach of creek downstream of Highway 101. The
consultant presented preliminary findings to the JP A Board at the May 28, 2009 meeting
(Attachment A). This presentation was the beginning of a two-month process of outreach and
discussion with governing bodies of the JP A member agencies, neighborhood groups, and the
community at-large regarding potential Initial Flood Protection Projects to be implemented by
the JP A. JP A Executive Director Len Materman presented the consultant's preliminary findings
to Council at a study session on June 8th, with particular emphasis on potential impacts to City
of Palo Alto residents, businesses and City-owned properties. Mr. Materman also made a
presentation to the members of the Crescent Park Neighborhood Association (CPNA) and the
CMR:321:09 Page 2 of7
Duveneck/St. Francis Neighborhood Association at the CPNA)s annual meeting on June 23rd•
The consultanf s San Francisquito Creek Flood Reduction Alternatives Analysis Report will be
finalized on July 17th, and copies will be provided to Council members at places at the July 20th
Council meeting. IP A staff will be asking the JP A Board to authorize the issuance of a Request
for Proposals for design and environmental review consultant services for a specific Initial Flood
Protection Project at the JPA Board meeting on July 23, 2009.
DISCUSSION
JPA member agencies have assigned staff members to participate on a JPA Management Team
that provides advice and guidance to the JPA Executive Director on creek-related matters.
Public Works Department staff representing Palo Alto on the Management Team have taken an
active role in reviewing the report prepared by Philip Williams & Associates to assess the
feasibility of various Initial Flood Protection Project alternatives and in the discussion of the pros
and cons of each alternative. Public Works staff has also met with Planning, Community
Services, and Administrative Services representatives to solicit their input and concerns. Staff's
findings and recommendations regarding the JPA's Initial Flood Protection Project and the Philip
Williams & Associates report are summarized below.
Upstream Detention Alternatives
One potential approach to reducing the flood risk along San Francisquito Creek is to detain water
in the upper watershed and release it in a controlled manner that will reduce peak flows in the
lower reaches of the creek. Due to the large amount of open land required for a detention basin,
the only areas available for detention are upstream of Junipero Serra Boulevard, which is much
less densely developed than the lower watershed. Philip Williams & Associates explored
opportunities for detention that could significantly reduce downstream peak flow rates. Initially,
they sought detention sites that could provide enough flow reduction to allow the then less
than 1 %. flow (the amount of runoff statistically estimated to have a 1 % chance of occurring in
any given year -now estimated to be 9200 cubic feet per second) to pass safely beneath the
Middlefield Road bridge, the most upstream bottleneck along the creek. Achieving this level of
detention would allow 1 % flood protection to be achieved in the future for the entire watershed
without the need to replace the Middlefield Road bridge. Ultimately, this goal was found to be
infeasible, and a lower flow reduction target was adopted for detention alternatives. The
consultant identified three potential detention sites that could each provide between 7 and 14
percent reduction in the downstream flow rates during a 1 % flood event and could provide 20
percent flow reduction if all three detention basins were constructed. All three of the potential
detention basin sites are located on land owned by Stanford University (see site map, Attachment
B). Construction of each of the basins is estimated to cost between $20 million and $30 million,
excluding land acquisition and substantial soil disposal costs. Construction of a detention basin
on any of these sites would require resolution of several logistical challenges, including but not
limited to land acquisition, disposal of excavated soil, impacts to endangered and threatened
species, and impacts to archaeological resources.
Staff believes that upstream detention may eventually be a component of the long-term,
comprehensive flood protection plan for San Francisquito Creek, but that it is not a feasible
approach for the IPA's Initial Flood Protection Project. It is unreasonable to expect that the IPA
would be able to generate adequate fmancial resources and overcome the logistical challenges
Page 3
required to implement an upstream detention project in the timeframe envisioned for the Initial
Flood Protection Project. Therefore, staff recommends that the JP A defer further consideration
of the upstream detention alternatives at this time. It is also recommended, however, that the
JP A and the City continue a dialogue with Stanford University regarding potential land
acquisition opportunities in order to preserve the possibility of utilizing upstream detention as a
flood protection strategy for future project phases.
Downstream Channel Improvement Alternatives
In order to pursue alternatives that reduce flood risk by augmenting the flow capacity of San
Francisquito Creek, it is necessary to implement such improvements in a manner that will not
increase the flood risk to others. This constraint necessitates the approach of beginning the creek
capacity improvements at the mouth of the creek and working systematically upstream from that
point. If the lowermost reach of the creek is improved to safely convey larger flows, it will
provide increased flood protection to adjacent residents and businesses without negative impacts
to upstream properties. For the reasons previously cited, the JPA asked Philip Williams &
Associates to investigate flood protection alternatives for the reach of San Francisquito Creek
downstream of Highway 101. The consultant considered two basic design approaches: 1)
increasing the conveyance capacity of the channel (widening the channel), and 2) diverting a
portion of the creek flow through the Palo Alto Municipal Golf Course. Both options are based
on the premise that the JPA will continue to work cooperatively with Caltrans to increase the
flow capacity of the Highway 101 and frontage road bridges over San Francisquito Creek as part
of the California Department of Transportation (Caltrans) structural upgrade project for these
bridges.
Philip Williams & Associates developed three flood protection alternatives for the downstream
reach of San Francisquito Creek (see Attachments C, D, and E respectively). Each of the
alternatives includes the removal of the northern creek levee between the Friendship Bridge and
the mouth of the creek, allowing creek waters to flow out directly into the Faber Tract during
high flow events. Removal of this levee will create additional marsh habitat and increase the
flow capacity of the creek by allowing the creek to equalize with the San Francisco Bay tide
level at the Friendship Bridge instead of having to build up enough depth to push the water out to
its current mouth downstream of the Palo Alto Airport. The alternatives also share as a common
project element, the removal of excess built-up sediment within the existing creek channel down
to mean tide level. Alternatives 1 and 2 are variations on the theme of widening the channel to
allow increased flow capacity. Alternative 3 provides increased conveyance by creating a bypass
channel through the Palo Alto Municipal Golf Course. Creek flow will overflow into the bypass
channel during extreme flood events. The bypass channel will be sized so that the combined
capacity of the existing creek and the bypass channel will safely convey the 1 % flow.
Construction of the bypass channel would require substantial reconfiguration of the Golf Course
due to its large footprint. Construction of Alternatives 1 and 2 are expected to cost under $10
million, while Alternative 3 is estimated to cost nearly $50 million, not including the cost of
reconfiguring much of the Golf Course.
Staff believes that the downstream channel widening alternatives are clearly superior to the Golf
Course bypass channel alternative. The bypass channel alternative is estimated to cost
approximately five times as much as the widening alternative, even without considering the
CMR:321:09 Page 4
substantial costs involved in redesigning and reconstructing a large portion of the Golf Course
and the revenue that would be lost while the course is closed during the construction period.
Furthermore, there are no substantial flood control advantages to the bypass channel alternative
as compared to the widening alternative. Therefore, staff recommends that Council focus on
downstream Alternatives 1 and 2 as the preferred alternatives for the JPA's Initial Flood
Protection Project.
As previously described, Alternatives 1 and 2 both involve the widening of the existing creek
channel between Highway 101 and the Friendship Bridge. The primary differences between
these two alternatives are the level of flood protection provided and impact to the Palo Alto
Municipal Golf Course. Under Alternative 1, the creek reach downstream of Highway 101
would be able to convey the 1 % flood event out to the Bay, but with the water level up to the top
ofthe levees. Since the Federal Emergency Management Agency (FEMA) requires levees to be
designed with adequate freeboard (additional levee height above the expected water level) in
order to consider them for certification, this alternative would not be sufficient to meet FEMA
standards that would allow for elimination of mandatory flood insurance requirements.
Alternative 2 includes a wider creek section that would provide adequate flow conveyance
capacity for the 1 % flood event and would satisfy the FEMA levee freeboard requirements.
Thus, although the flood insurance requirement for residents and businesses in the downstream
reach could not be eliminated until the tidal levees are also improved, Alternative 2 would lay
the groundwork for future relief from mandatory flood insurance. Alternative 1 would require
the widening of San Francisquito Creek along the western edge of the Golf Course. Moving the
levee closer to the Golf Course may require some course realignment or protective fencing,
although the specific impacts and mitigation measures would not be determined until the design
phase. Alternative 2 includes even more encroachment into the western edge of the Golf Course
and also widens the creek substantially at the Friendship Bridge, completely eliminating the
northwestern comer of the course. The exact impacts on the layout of the Golf Course and the
resultant costs are unknown at this time and would be determined during the project design.
Th £; 11 e 0 owmg matrIX summanzes th h d'ff; e major actors t at 1 erentIate Al ternatlves 1 d 2 an
Factor ALTERNATIVE 1 ALTERNATIVE 2
Flood protection Provides channel capacity for Provides channel capacity for
1 % flood event with no 1 % flood event with freeboard
freeboard (margin of safety)
Floodplain mapping/flood Removal of properties from Lays groundwork for
insurance the FEMA floodplain and removing properties from the
elimination of mandatory FEMA floodplain and
flood insurance purchase eliminating mandatory flood
requirement would require insurance purchase
additional future channel requirement without further
improvements channel improvements
Impacts to west edge of Golf Channel widening results in Channel widening results in
Course minor encroachment into Golf more encroachment into Golf
Course Course, possibly necessitating
redesign of some golf holes
CMR:321:09 Page 5 of7
Factor ALTERNATIVE 1 ALTERNATIVE 2 I
Impacts to northwest corner of Corner still usable as part of Corner converted to marsh and •
Golf Course Golf Course; subject to unusable as Golf Course;
inundation once every seven subject to multiple inundations
years each year
Impacts to Baylands Athletic No encroachment into Channel widening encroaches
Center Baylands Athletic Center into Baylands Athletic Center
overflow parking lot
Habitat value Net increase in marsh habitat Greater increase in marsh
habitat
Cost $8 million $8.5 million
In assessing the best option, staff recommends that Council consider the following key issues:
level of flood protection to be provided by the project; whether or not to include provision of
levee freeboard in the design; project cost; and the level of impacts to the Palo Alto Municipal
Golf Course. Based on these factors, staff recommends that that Council recommend channel
widening downstream of Highway 101 as the preferred alternative for the San Francisquito
Creek lP A's Initial Flood Protection Project and direct Mayor Drekmeier to advocate for this
alternative as Palo Alto's representative to the lPA Board of Directors.
RESOURCE IMPACT
Palo Alto will be an active participant in the design and environmental review process for the
lPA's Initial Flood Protection Project and will contribute staff time as an in-kind service.
However, the City is not being asked to make a financial contribution to the project at this time.
It is estimated that up to 0.1 FTE of staff time may be required to support this activity. The
Santa Clara Valley Water District (District) is providing funding for the project on behalf of the
Santa Clara County portion of the San Francisquito Creek watershed, including the City of Palo
Alto. It is appropriate that the District provide full project funding for the Santa Clara County
portion of the watershed, since the District has primary responsibility for flood control in the
county. The District funds are generated by benefit assessments and special taxes collected from
residents and businesses in Palo Alto and throughout the county for flood control purposes.
POLICY IMPLICATIONS
Council approval of a preferred Initial Flood Protection Project is consistent with the following
Comprehensive Plan policies and programs:
Policy N-9: Avoid fencing, piping, and channelization of creeks when flood control and
public safety can be achieved through measures that preserve the natural
environment and habitat of the creek.
. Policy N-lO: Work with the Santa Clara Valley Water District and other relevant regional
agencies to enhance riparian corridors and provide adequate flood control by use
of low impact restoration strategies.
Policy N-11: Preserve the integrity of riparian corridors.
Page 6
ENVIRONMENTAL REVIEW
The JPA will be the lead agency under the California Environmental Quality Act (CEQA).
Environmental review of the proposed JP A Initial Flood Protection Project will be conducted by
the JP A during the project design. The environmental review process will involve significant
input from local residents, businesses, and stakeholders. Due to the federal involvement in the
project, the process will be conducted in accordance with the requirements of both CEQA and
the federal National Environmental Policy Act (NEPA).
ATTACHMENTS
Attachment A: Philip Williams & Associates May 28 PowerPoint presentation to JP A Board
Attachment B: Map of potential upstream detention basin sites
Attachment C: Downstream Alternative 1 site plan
Attachment D: Downstream Alternative 2 site plan
Attachment E: Downstream Alternative 3 site plan
PREPARED BY:
JdETERESI
DEPARTMENT HEAD:
~?igi1 . 4 ... -----
GLENN s. ROBER8i
Director of Public Works
CITY MANAGER APPROVAL: JA)1~?'KEENE / .<' l··'
oi1# Manager
(po'-,l
cc: Len Materman, San Francisquito Creek Joint Powers Authority
Chris Elias, Santa Clara Valley Water District
Alvin James, City of East Palo Alto
Jean McCown, Stanford University
Norman Beamer, Crescent Park Neighborhood Assn.
Karen White, DuvenecklSt. Francis Neighborhood Assn.
CMR:321:09 Page 7
May 28, 2009 PW A
Christie Beeman
c.beeman@pwa-ltd.com
Jeff Haltiner
j.haltiner@pwa-ltd.com
San Francisquito Creek
Flood Reduction
Alternatives Analysis
May 28, 2009 PW A
Presentation Outline
• Introduction
• Downstream project
–Criteria
–Alternatives
• Discussion
• Upstream project
–Criteria
–Alternatives
• Discussion
May 28, 2009 PW A
Downstream Project Criteria
•Hydraulic performance in 100-year event
–Contain Q100 throughout the project reach
•Compatibility with potential future
project(s) that might:
–Deliver Q100 to the project reach and/or
–Reduce peak flows delivered to this reach
•Minimize impact to infrastructure
•Net habitat/ecology benefit
May 28, 2009 PW A
Downstream Project Reach
May 28, 2009 PW A
Project Alternative Components
• Widen channel
– Increases channel capacity
• Create bypass channel through Golf Course
– Increases conveyance capacity
– Removes water from main channel
• Remove levee between the channel and
Faber Tract portion of Baylands Preserve
– Allows water to spill into Faber Tract
– Flood flows meet Bay tide level sooner
May 28, 2009 PW A
Project Alternative Components
• Increase channel capacity
– Terrace lowering
– Levee setback
– Floodwall
May 28, 2009 PW A
Alternative 1
May 28, 2009 PW A
Alternative 2
May 28, 2009 PW A
Alternative 3
May 28, 2009 PW A
May 28, 2009 PW A May 28, 2009 PW A
Historical Ecology
May 28, 2009 PW A
Ecological Opportunities and Constraints
•Existing floodplain terrace habitat is degraded -
dominated by invasive wetland and upland weeds
•Excavation of these terraces could restore high quality tidal wetlands within the creek channel
•Existing, marginal freshwater wetlands adjacent to
the golf course may be impacted by levee setback
•Removing northern levee adjacent to Faber Tract portion of the Baylands Preserve could:
–restore historic connectivity btw Creek & Baylands
–increase tidal circulation & drainage complexity
–replace degraded upland habitat with tidal wetland
May 28, 2009 PW A
Hydraulic modeling approach
•HEC RAS model provided by the Corps
•PWA tested the alternatives using three
flood scenarios:
–Model calibration event (4,010 cfs) ~Q8
–Feb 98 event (7,200 cfs) ~Q45
–Q100 (9,400 cfs)
•Model not calibrated for Q100
–No “existing conditions” Q100 run provided
–PWA modified model geometry to evaluate
project alternative performance for Q100
May 28, 2009 PW A
Hydraulic modeling results – February 2000 event
May 28, 2009 PW A
Hydraulic modeling results – February 1998 event
May 28, 2009 PW A
Hydraulic modeling results – Q100
May 28, 2009 PW A
Q100
Feb
1998Feb2000
Spring
High Tide
May 28, 2009 PW A
Q100 Feb 1998Feb 2000
Spring High Tide
May 28, 2009 PW A
Comparison of Modeling Results
•All three alternatives perform well at Q8 relative to
existing conditions
•All three alternatives contain Feb 98 event
•For Q100 water levels:
–Alt 1 may not contain Q100 at Hwy 101
–Alt 2 provides the greatest reduction at Hwy 101
(~1 foot below existing levee tops)
–Alt 3 provides greatest reduction along golf course but not necessarily at Hwy 101
•Design-level analysis required to determine performance relative to FEMA standards
–FEMA typically requires 3 feet of freeboard above the Q100 water surface profile
May 28, 2009 PW A
Opinion of Probable Construction Costs
ALT 1 ALT 2 ALT 3
Cut cy 131,000 142,000 140,000
Fill cy 108,000 112,000 830,000
Net (cut-fill) cy (23,000) (30,000) 690,000
Excavation $20/cy $ 2,620,000 $ 2,840,000 $ 2,800,000
Grading/Levees $20/cy $ 2,160,000 $ 2,240,000 $ 16,600,000
Flood Wall Const. $333/lf $ 654,000 $ 654,000 $ 654,000
subtotal $ 5,434,000 $ 5,734,000 $ 20,054,000
Fill Import $20/cy $ 13,800,000
Fill Disposal $10/cy $ 230,000 $ 300,000
subtotal $ 5,664,000 $ 6,034,000 $ 33,854,000
Contingency 30% $ 1,699,000 $ 1,810,000 $ 10,156,000
Escalation (2011) 10% $ 566,000 $ 603,000 $ 3,385,000
total $ 7,929,000 $ 8,447,000 $ 47,395,000
• Construction cost estimate based on estimate of unit costs and quantities provided for comparison purposes
• Costs associated with land acquisition, design, permitting, monitoring, maintenance etc. not estimated May 28, 2009 PW A
Downstream Project Discussion
May 28, 2009 PW A
Detention Site Screening Methodology
•Identify flood reduction screening criterion– Minimum 10% reduction in Q100 peak flow at Middlefield Road
– Q100 = ~9,200 cfs
– 10% reduction = ~8,300 cfs– Middlefield capacity = ~6,700 cfs or 27% reduction in Q100
•Evaluate watershed position relative to flood reduction target – Identify locations in the watershed that could meet the flood reduction target.
•Estimate required facility volume – Estimate minimum storage volume needed to meet the flood reduction target.
•Screen out unfeasible areas – Use spatial analysis to screen out unsuitable areas: heavily developed; too far from stream channels; or topographically unable to accommodate the required storage volume.
•Focus site-specific investigation in remaining zone– Identify opportunities for flood detention within the remaining zone.
•Evaluate potential facility locations – Model identified locations to evaluate facility performance and flood reduction potential. Estimate construction quantities and costs for comparison among sites.
May 28, 2009 PW A
Target = 10% reductionTarget = 27% reduction
May 28, 2009 PW A May 28, 2009 PW A
Existing Facilities
•Lake Lagunita
– Existing storage capacity of approximately 360 acre-feet
– Receives runoff from surrounding watershed during large events (fills)– Current diversions pumps 4 cfs; required diversion ~1,100 cfs– 1,100 cfs requires approximately eight 72-inch pipelines– Diversion location approximately 3,000 linear feet from the Lake
– Not viable for flood detention
•Felt Lake
– Existing storage capacity of approximately 1,000 acre-feet
– Diversion situation similar to Lake Lagunita
– Not viable for flood detention
•Searsville Reservoir
– Design storage capacity approximately 1,000 acre-feet
– Sedimentation has reduced capacity by about 90%
– Sediment removal could restore some or all of the storage
• However, significant logistical challenges: dewatering, transportation, etc.– If the dam were removed, this location could provide off-line storage– Not viable as an early implementation project
May 28, 2009 PW A May 28, 2009 PW A
Alternative 1
May 28, 2009 PW A
Alternative 2
May 28, 2009 PW A
Alternative 2
May 28, 2009 PW A
Alternative 3
May 28, 2009 PW A
Comparison of Upstream Alternatives
Alternative DetentionVolume Reduction in Q100 at Middlefield Rd
acre-feet approximate %
Alternative 1 180 up to 7%
Alternative 2 440 up to 14%
Alternative 3 170 up to 7%
Combined 790 up to 20%
May 28, 2009 PW A
Opinion of Probable Construction Costs
Alternative Cut
Volume
Fill
Volume Opinion of probable Construction Cost*
Detention
Volume
Relative
Cost
cy cy $ acre-feet $/acre-ft
Alternative 1 1,310,000 70,000 $27,600,000 180 $153,000
Alternative 2 1,040,000 10,000 $21,000,000 440 $48,000
Alternative 3 950,000 100 $19,000,000 170 $112,000
TOTAL 3,300,000 80,100 $67,600,000 790 $ 86,000
•Cost estimate provided for comparison purposes based on unit cost for earth work of $20/cy
•Transportation and disposal costs not included
•Costs associated with land acquisition,design,permitting,monitoring,maintenance etc. not estimated
May 28, 2009 PW A
Upstream Project Discussion
May 28, 2009 PW A
Christie Beeman
c.beeman@pwa-ltd.com
Jeff Haltiner
j.haltiner@pwa-ltd.com
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San Francisquito Creek Flood Reduction Alternatives Analysis
figure 2
Alternative 1 Conceptual Layout
PWA Ref# - 1965.00
G:\1965_SanFrancisquito\MXDs
±0 750 1,500375
Feet
Friendship Bridge
Palo Alto
Golf Course
Faber Tract
SF Bay
Highway 101
Cross Sections
Levee Lowering
Overflow Bypass Bridge Access
Levee Top
Levee Footprint
Overflow Bypass Terrace
Marshplain Terrace
Overflow Bypass Terrace
RAA T
E
C
D
B
F
A
San Francisquito Creek Flood Reduction Alternatives Analysis
figure 3
Alternative 2 Conceptual Layout
PWA Ref# - 1965.00
G:\1965_SanFrancisquito\MXDs
±0 750 1,500375
Feet
Friendship Bridge
Palo Alto
Golf Course
Faber Tract
SF Bay
Highway 101
Cross Sections
Levee Lowering
Levee Top
Levee Footprint
Marshplain Terrace
Marshland Terrace Bypass
RAA TTT
B
E
D
F
A
C
San Francisquito Creek Flood Reduction Alternatives Analysis
figure 4
Alternative 3 Conceptual Layout
PWA Ref# - 1965.00
G:\1965_SanFrancisquito\MXDs
±0 750 1,500375
Feet
Friendship Bridge
Faber Tract
SF Bay
Highway 101
Cross Sections
Levee Lowering
Water Feature Thalweg
Levee Top
Levee Footprint
Marshplain Terrace
RAADD
TO: HONORABLE CITY COUNCIL
FROM: CITY MANAGER
!
DEPARTMENT: City Manager's Office
DATE: JULY 20, 2009 CMR: 322:09
REPORT TYPE: COUNCIL MATTERS
SUBJECT: High Speed Rail
RECOMMENDATION
This report is for information only and no action is required.
BACKGROUND
Since passage of Proposition lA in November last year, the High Speed Rail Authority (HSR)
has initiated environmental and engineering studies for implementation of the system statewide.
The HSR consulting team began scoping the Environmental Impact Report for the San Jose to
San Francisco segment. Soon after the scoping sessions began, Mayor Peter Drekmeier
appointed Councilmember's Kishimoto, Barton and Burt to the Ad Hoc High Speed Rail
Committee.
The City Council High Speed Rail Ad Hoc Committee was formed and designated by the City
Council to represent the City in public at meetings with community groups and stakeholders,
when speaking to other public agencies, and when providing written correspondence or
testimony in advocating for legislation related to high speed rail. On May 18, the City of Palo
Alto adopted the guiding principles listed in Attachment A in order to guide the Ad Hoc
Committee to ensure consistency with existing City Council positions and policies.
The Ad Hoc Committee has focused much of its efforts on working with other peninsula
communities who are potentially impacted by high speed rail as well as on the numerous
legislation activities related to High Speed Rail. A draft Memorandum of Dnderstanding (MOD),
forming the Peninsula Cities Coalition (PCC), was prepared and distributed to Peninsula and has
been ratified by five cities.
DISCUSSION
Page 1 of4
The Peninsula Cities Coalition MOU has been ratified by five cities including Palo Alto, Menlo
Park, Belmont, Burlingame and Atherton and is now considered a recognized entity and,
therefore, subject to Brown Act requirements, including posting of agendas and providing the
public with an opportunity to comment. Subsequent to ratification of the MOU by the five
member PCC cities, Y oriko Kishimoto was appointed the Chair and Rich Cline Vice Chair for
the PCC meetings. Meetings will be held bi-weekly and will focus much of its efforts on
working with the other peninsula communities who are potentially impacted by high speed rail.
The PCC has also begun to engage various community groups organized around the potential
impacts of high speed rail to coordinate local, statewide and national legislation.
PCC representatives from each city are as follows: Palo Alto: Y oriko Kishimoto; Atherton: Jerry
Carlsen; Menlo Park: Rich Cline; Burlingame: Jerry Deal; Belmont: Christine Wozniak.
Legislative Update
Attached (Attachment B) is a legislative summary of the numerous bills pending on HSR issues.
Staff and members of the Ad Hoc Committee have been in communication with Senator Joe
Simitian's office to discuss possible legislative actions to ensure HSR is compatible with the
Peninsula's built environment.
Staff has continued to receive support of volunteer resources from the Californians Advocating
Responsible Rail Design (CARRD) that have provided comprehensive legislative summaries.
Staff will continue to post these periodic updates on its High Speed Rail website as they become
available. The most notable bills currently under consideration that could affect the Palo Alto
HSR corridor are described below.
Bill AB 289
This bill is sponsored by the California High Speed Rail Authority (CHSRA) and is a two year
bill to extend the Current CEQA exemption for grade separations to include the HSR. This bill
seeks to exempt from environmental review, under the California Environmental Quality Act
(CEQA), railroad grade separation construction projects. Railroad grade separations are major
construction projects that have potential for significant Community impacts.
Community activists have urged legislators to defeat this bill because of the significant
community impacts it could have. Because many existing grade separations are in urbanized
areas, grade separations have the potential to dramatically degrade the local environment.
CEQA provides for full public disclosure of potential impacts prior to decisions on major
projects. This opportunity would be lost if AB 289 would become law. At a minimum, the bill
should be amended to ensure that the CEQA exemption would only apply to grade separations
utilizing the existing footprint.
AB 153
The bill exempts the California High Speed Rail Authority (CHSRA) from certain requirements
related to eminent domain, giving CHSRA greater autonomy when acquiring rights-of-way.
Community Outreach
Page 2 of4
The PCC is sponsoring an all day event "teach-in" scheduled for Septembers 12, 2009 at a
location to be detennined. Caltrain experts will be available to answer any technical questions
that may come up. The "teach in" will provide training in urban design and planning concepts to
the public. Caltrain, acting in its capacity as the project manager of the HSR project will provide
funding and expertise for the session.
An Urban Design and Planning Workshop is scheduled for October 3 and 4. This workshop will
be open to the public and staffed with design professionals and organizers from the broader
design community who have agreed to volunteer their time to participate in this event in order to
minimize costs. This two-day event will be similar to a design charrette. On the first day of the
workshop, there will a briefing by design professionals, brainstonning and interviewing sessions
for all participants and an opportunity to fonn teams to work on design concepts. On the second
day of the workshop, a team of national experts will present conceptual urban design plans at the
end of the 2-day session.
High Speed Rail Environmental Document (EIR)
The California High Speed Rail Authority (HSRA) has released the Draft Scoping Report for the
San Jose to San Francisco section of the High-Speed Train system on their website at
http://www.cahighspeedraiJ.ca.gov/images/chsr/20090626113405 DraftSFtoSJScopingReport.pdf. A
summary of the report is included in Attachment C and includes a comment summary of Palo
Alto's submitted comments and identifies what section in the EISIEIS the City's comments will
be addressed. The entire scoping report includes 950 comments that were received from various
agencies, organizations and individuals.
Some of the key themes from these comments include:
1. Protection of the environment in the Peninsula
2. Interest in alignments and station alternatives
3. Connectivity and coordination with other transportation facilities
4. Alternative Technologies/systems
5. Project Funding/Cost
6. Land use and property acquisition
7. Interest in learning more about the project through the public outreach process
8. Support for the project
9. Opposition to the project
10. Project Description
These are some of the issues that will be considered by the HSRA project team as they initiate
the alternatives analysis, technical evaluations and preparation of the draft environmental
document that is expected to be released for public comment in late 2010. CalTrain staff will be
discussing the draft scoping report with the PCC on July 1 ih and it is anticipated that the Ad
Hoc Committee members attending that meeting will update the full Council at the July 220d
Council meeting. The next milestones for the EIRIEIS are:
Draft EIRIEIS -First quarter of 2011
Final EIRIEIS -End of 20 11
Page 3 of4
RESOURCE IMPACT
Staff will be returning to Council on August 3 with a BAO for budget to augment funding for the
Teach-In, the Urban Design and Planning Workshop and to provide funding to hire a tunneling
consultant to assist with a peer review of the alternatives proposed by the HSRA. Staff will
provide another update to Council in October to report on the results of the outreach efforts.
PREPARED BY: ~~: /STEVJl: SILE
Deputy City Manager
CITY MANAGER APPROVAL:
ATTACHMENTS
A. Guiding Principles
B. CARRD High Speed Rail Legislation
C. High Speed Rail Draft Scoping Report Summary
Page 4 of4
Attachment A
Guiding Principals
• The City recognizes that High Speed Rail, if done correctly, has the potential to minimize
adverse impacts and be beneficial to the community.
• While acknowledging that the current direction for the San Jose to San Francisco High
Speed Train project is to use the Caltrain right-of-way as the high speed rail corridor
between San Jose and San Francisco, the City is open to and could support alternative
alignments.
• The Ad Hoc Committee will be guided by the City of Palo Alto Scoping Comments for
the California High Speed Rail Authority'S San Francisco to San Jose High Speed Train
(HST) Environmental Impact Report/Environmental Impact Statement (EIRlEIS).
• The City supports Cal train electrification and improved commuter rail services between
San Francisco and San Jose. The City is supportive of operating conditions along the
Caltrain right-of-way that would be conducive to a high speed rail intercity connection in
San Jose, with improved Caltrain commuter rail service between San Jose and San
Francisco.
• The City is supportive of exploring creative urban design and use of context-sensitive
solutions that consider community values in collaborative community-sensitive solutions
for the high speed rail project.
• The Ad Hoc Committee shall provide regular reports to the Council on the activities of
the Peninsula cities Consortium.
• The Ad Hoc Committee will meet regularly with community leaders and stakeholders to
inform and involve the larger Palo Alto community in the planning, review, oversight and
decision-making for the San Francisco to San Jose HST project.
I
I
I
I
I
I
I
I
I
I
I
I
CAIRRI Californians Advocating
Responsible Rail Design
Attachment B
Rail Legisl
This legislative update is provided by Rita Wespi of CARRO. To receive an electronic version with active hyperlinks
send email torwespi@mathmatinee.com. Next update: 7/16/09.
Bill numbers are hyperlinked to their doc set; links in the Description column are of particular interest; votes are linked; times are linked to video.
Links to Budget Subcommittee Hearings and CHSRA Board Meetings are in the Committee Info tables on Page 2.
Passed Assembly: A8 153, AB 282. AB 289, AB 338, AB 733. Passed Senate: S8 391, SB 455. SB 476, SB 555. SB 686. 5B 734. 5B 783.
Noteworthy changes: S8 391, 5B 455. SB 474, SB 555, SB 734, SB 783, AB 282, AB 338, AS m all passed committee.
Hearings postponed for AB 153, AB 289.
Senate Bills
Bill Author Hearing Description StatUS/Update
5B 391 Uu, July 8 Requires Caltrans to address trans. planning policy 4/21 Trans: do pass (7-4)
Lowenthal 9:00 & process; relates to sustainable communities 4/27 Env Qual: do pass (5-2)
strategy. Does not specifically include HSR. CPUC 5/18 Sen Appr: pass @:2)
Analysis 7/2008. Amended 5/4. Appr Anal 5/18. Sen 6/1 Senate: (23-15); Asm 1st read.
Anal 5/20. Asm Trans Anal 6/30. AsmAppr Anal 7/7. 6/29 Asm Trans: !2:2).
7/8 to Asm Appr suspense.
i SB409 Ducheny Creates Dept. of Railroads, transferring all rail 4/14 Trans Com: placed on hold,
functions from Caltrans to new dept; also moves rail waiting for CA Research Bureau's
safety from CPUC to rail dept. . CPUC Report) study due 5/1. Projected 5/15.
Amend 5/21. 6/9 Sen Trans: (10-0J
SB455 Lowenthal July 15 Gov appointed members of CHSRA are subject to 4/21 Sen Trans: do pass (10-1) &
1:30 advice/consent of Senate. Affects acquiring & re-refer to Appr.
insuring property, adds CHSRA to exemptions 4/28 May 4 hearing canceled at
Caltrans benefits from, including property request of author.
acquisition. like Caltrans, they'd be exempt from 5/26 Appr: pass (9-4)
DGS, SPWB and DOF body of law. on 4/16. 6/2 Senate: (32-5); Asm 1st read.
Trans Anal 4/16. Appr Anal 5/26. Sen Anal 5/28. 6/29 Asm Trans: (10-4).
Asm Trans Anal 6/26.
Committee
Assembly
Appropriations
Senate
Appropriations
Assembly
Appropriations
•
5B474 Ducheny July 7 Pilot trans programs: PubliC-Private Partnership, 6/9 & 6/16 & 6/29: Testimony Senate I 1:30 design-build, streamlining CEQA. 6/3. Trans taken; hearing postponed. Appropriations
Anal 6/25. Amend 7/7. 7/7 5en Trans: (2::Ql
SB476 Correa ~ Prohibits taking action against an agency for 4/23 re-referred to Env Qual Com Assembly
postpone noncompliance with CEQA unless complaints were 4/27 Env Qual: do pass (6-0) re-Natural
by com. presented prior to close of public comment period. refer to Appropriations Resources
Amend 4/23 -significantly alters intent. Env Qual 5/11 Senate: (36-0) ; Asm 1st read.
Anal 4/23 by Simitian. Amend 4/30. Sen Anal 5/4.
SB 526 A Requires the operation of at least 1 Amtrak train on 4/28 Sen Trans: pass /10-01 Senate
San Joaquin (Altamont) route that terminates in SF. 5/1 Sen Appr: (13-0) Appropriations
Trans Com Analysis added 4/23. Appr Analysis 5/29. 5/11 placed on Appr suspense file.
5B 555 Kehoe Revises Eminent Domain Law to prohibit person 4/21 Senate Jud Com: (3-2). Assembly
from acquiring conservation easement by eminent 6/2 Senate: (22-14). Judiciary
domain unless specified procedures are followed. 6/30 Assembly Judicial (7-3). Committee
Allows current holder to state objections. Jud Anal
4/20. Amend 5/12. SenAnal 5/20. Amend 5/21. Anal
5/22. Anal 5/26. Amend 6/24 rewritten. Anal 6/29.
SB686 DeSaulnier Adds to the CEQA process. 4/20 Env Qual Com: pass (7-0) Assembly
•
Env. Qual. Com Anal (b~ Simitian! 4/19. Senate Anal 4/27 Senate: (36-0); Asm 1st read. Natural
Consent 4/22. Senate Anal 3rd Read 4/23. Resources
5B 734 Lowenthal July 8 Allocates funds for various projects including grade 4/28 Sen Trans: pass (10-0) Assembly
~;QQ separation, freight, etc. 5/18 Senate: (36-0); Appropriations
Trans Com Anal~sis added 4/23. Sen Analysis 5/12. 6/30 Asm Trans: (13-0) to consent.
Amend 6/22. Asm Trans Anal 6/26. Asm Appr 7/7. 7/8 Asm Appr: (15-0)
SB 783 Ashburn July 15 Establishes additional requirements for CHSRA 4/28 Sen Trans: pass (10-0) Assembly
1:30 business plan. Trans Anal 4/23. Amend on 4/30 5/26 Sen Appr: pass /12-1) Appropriations
removes bond contingency. Appr Anal 5/26. Amend 6/1 Senate: (38-0).
5/28 extends bus plan date by 2 years. Sen Anal 6/29 Asm Trans (12-0).
5/29. Asm Trans Anal 6/19. Amend 6/23. Asm Trans
Anal 6/26. Amend 7/2. Asm Trans Anal 7/7.
Assembly Bills
Bill Author Hearing Description Status/Update Committee
AB 153 Ma Exempts CHSRA from certain contingencies related 3/23 Trans Com: pass (9-3) & to Jud. Senate Trans
to eminent domain, giving them greater autonomy 4/14Jud Com: pass (7-2) & to Appr.
when acquiring rights-of-way. Allows hiring legal 4/29 Appr: do pass (11-5).
staff. Jud Anal 4/13. Trans Anal 3/20. Appr Anal 5/11 Asm: (53-16); Sen 1st read.
4/28. Asm Anal 5/8. Sen Trans Anal 6/18. Hearing
postponed by committee 6/23, 7/2.
I AB 282 AsmTrans July7 Variety oftrans concerns; includes placing $250M 4/20 Trans: pass t!l;:Q) & to consent Senate Trans
Committee J;)..Q into fund for grade separations, allocation is to be 4/29 Appr: pass (16-0) & to cons cal.
made in consultation & coordination with HSRA. 5/11 Asm: ; Sen 1st read.
TransAnaI4/17. AQprAnaI4/28. Amend 6/30. 7/7 Sen Trans: (10-0)
AB289 Galgiani Exempts high-speed grade separation projects 4/15 re-referred to Trans Com Senate Env
from having to meet CEQA. 4/27 Trans: do pass to floor (13-0) Qual.
Amend 4/14. Trans Anal 4/24. Asm Anal 4/27. 5/18 Assembly: (72·3); Sen 1st read.
AB338 Ma July 8 Increases definition of transit village from }II to Yz 4/2 Com on Local Gov: do pass (4-2) Senate local
9._~?Q mile of main entrance of a transit station. Affects & re-referred to Appr Com. Gov.
affordable housing, density, funding ofTODs. 4/22 Appr Com: do pass (11-5)
Authorizes city or county to make infrastructure 4/27 Second reading.
improvements without voter approval. Requires 5/11 Third read, amend, resubmit.
local govs to use at least 20% of tax increment of 6/1 Asm Floor: pass (48-31)
certain bond funds for affordable housing. local 6/2 Senate first read.
Gov Anal 3/31. ApQr Analysis 4/21. Asm Analysis 7/8 Sen Local Gov: pass (3-2)
4/29. Amend 5/11. Asm Anal 5/13. ~ 6/25.
Sen LocGov Anal 7/2.
AB 733 Galgiani July 7 Authorizes CHSRA to allow job creations as a factor 4/20 Trans: pass (13-0) & to Appr. Senate Trans
I 1:30 when awarding contracts. Trans Com Analysis 4/29 Appr: pass (16-0).
4/17. Appr Com Analysis 4/28. Asm Analysis 5/8. 5/13 Assembly (73-0); Sen 1st read.
7/7 Sen Trans: pass (9-1)
AB928 Blakeslee Requires CHSRA to develop an earthquake early 4/30 to Rules for assignment Assembly
warning system. Amend 4/27.
AB 1375 Galgiani Repeal and reenact CHST Act in Public Utilities 4/27 Trans: do pass (9-4) & refer to Asm
Code. Creates new Dept. of Rail. Similar to SB 409. Appr. Com. Appropriations
Trans Com Analysis 4/24.
Select Committee Info:
Senate (no. members) Hearings Chair Vice Chair Hearings of interest (non-bill items)
Approgriations (13) Mon 11:00 Kehoe Cox i
BUQget& Fiscal Review (40) Thurs 8:00 Ducheny Dutton
Budget Sub N02 Resources, Thurs 9:30 Simitian . April 30: CHSRA -agenda; mp3 audio (CHSRA 01:40:00); outcomes. I
Env, Eners'l. Trans (3) May 14: CHSRA -agenda; m!)3 audio. i
Environmental Q,ualit'l (7) 1/3 Mon 1:30 Simitian Runner
Judiciarv (5) Tues 1:00 Corbett Harman
Rules (5) Wed 1:30 Steinberg Aanestad
Transportation & Housing (11) Tues 1:30 Lowenthal . Huff March 17: CHSRA -agenda; video.
Assembly:
A[;!!)ro[;!riations (17) Wed 9:00 De Leon Nielsen
Budget (27) Wed, on call Evans Niello
Budget NoS Tech, Trans (5) Wed 4:00 Blumenfield April 29: CHSRA -agenda.doc
Judiciary (10) Tues 9:00 Feuer Tran
Natural. Resources Skinner Gilmore
~(11) Mon, on call Lieu Blakeslee
TransQortation (14) Mon 1:30 Eng Jeffries
Joint Legislative Audit (13) Monthly Huber Ashburn May 27: Video (01:14:00) audit CHSRA after Fed Stirn Appl. (10-0)
CHSRA Board Meetings Monthly Kopp Florez May 4: audio; board [;!acket (select "2009 Meetings").
June 4:.ill!Q!Q; video; board (;!acket. July 2: audio; board packet.
This legislative update is provided by Rita Wespi of CARRO Californians Advocating Responsible Rail Design.
To receive an electronic version with active hyperlinks send email to[wespi@mathmatinee.com. Next update: 7/16/09.
Attachment C
CALIFORNIA
HIGH-SPEED TRAIN
DRAFT Seeping R~pert
for the
San Jose to San Francisco
High-Speed Train
Project-Level EIRjEIS
June 2009
._ .. ,.....LIFORNIA
California High-Speed Rail Authority
u.S. Department of Transportation
Federal Railroad Administration
DRAFT Scoping Report
for the
San Jose to San Francisco
High-Speed Train
Project-Level EIRjEIS
June 2009
Prepared for:
California High-Speed Rail Authority
and
U.S. Department of Transportation
Federal Railroad Administration
Prepared by:
HNTB Corporation
1330 Broadway, Suite 1630
Oakland, CA 94612
San Jose to San Francisco High-Speed Train
Project EIRjEIS
TABLE OF CONTENTS
Draft Scoping Report
SUMMARy .......................................................................................................................... 5-1
Major Issues ........................................................................................................................... 5-4
1.0 INTRODUCTION ............................................................................. , ............................ 1
1.1 Descriptions of the Project .................................................................................. 1
1.2 San Jose to San Francisco Section Alternatives ...................................................... 1
1.3 Process of Scoping ............................................................................................. 2
1.4 Notification of EIS/EIR Scoping ............................................................................ 3
1.5 Scoping Activities ............................................................................................... 3
2.0 PUBUe AND AGENCY INVOLVEMENT DURING SeOPING PERIOD ................................. 6
2.1 Summary of Scoping Activities ............................................................................. 6
2.2 Summary of Noticed Scoping Meetings ................................................................. 6
2.3 Briefings to Interested Parties .............................................................................. 7
2.4 Summary of Other Public Involvement Activities .................................................... 7
3.0 SeOPING SUMMARY OF ISSUES ................................................................................... 9
3.1 Summary of Written Public Scoping Comments ..................................................... 9
Topic 1 Protection of the Environment ............................................................... 9
Topic 2 Alignment and Station Alternatives ........................................................ 10
Topic 3 Connectivity and Coordination with Other Transportation Facilities ........... 10
TopiC 4 Alternative Technologies ...................................................................... 10
Topic 5 Project Funding/Cost. ........................................................................... 10
Topic 6 Land Use and Property Acquisition ........................................................ 10
Topic 7 Public Outreach ................................................................................... 10
Topic 8 Support for the Project. ........................................................................ l0
Topic 9 Opposition to the Project ...................................................................... l0
Topic 10 Project Description .............................................................................. 10
3.2 Summary of Written Public Scoping Comments from Public Agencies ..................... 11
3.3 Summary of Written Public Scoping Comments from Organizations ....................... .48
3.4 Summary of Written Public Scoping Comments from Individuals ............................ 61
3.5 Summary of Verbal Public Scoping Comments ...................................................... 71
4.0 NEXT STEPS IN THE EIR/EIS PROCESS ..................................................................... 74
5.0 PRE PARERS ....................................................... : ....................................................... 75
Page i
San Jose to San Francisco High-Speed Train
Project EIR/EIS Draft Scoping Report
LIST OF TABLES
Table 1A: Scoping Meeting Dates, Times and Locations ........................................................... 4
Table 1B: Scoping Meeting Attendees .................................................................................... 4
Table 2A: Project Information Meeting Dates, Times and Locations .......................................... 8
Table 2B: Project Information Meeting Attendees .................................................................... 8
Table 3.1.1: Summary of Written Public Scoping Comments (Agencies) ................................... 12
Table 3.1.2: Summary of Written Public Scoping Comments (Organizations) ............................ 49
Table 3.1.3: Summary of Written Public Scoping Comments (Individuals) ................................ 62
Table 3.2: Summary of Verbal Public Scoping Comments ........................................................ 72
LIST OF FIGURES
Figure 1A: Study Area (Northern Segment) ........................................................................ S-2
Figure 1B: Study Area (Southern Segment) ........................................................................ S-3
ApPENDICES
APPENDIX A
APPENDIX B
APPENDIX C
APPENDIX D
APPENDIX E
APPENDIX F
APPENDIX G
APPENDIX H
APPENDIX I
APPENDIX]
APPENDIX K
APPENDIX L
APPEI\IDIX 1"1
APPENDIX N
APPENDIX 0
APPENDIX P
APPENDIX Q
APPEI\lDIX R
APPENDIX S
APPENDIXT
Notice of Preparation (CEQA)
Notice of Intent (NEPA)
Scoping Meeting Announcement
Scoping Distribution Lists
Newspaper Notices and Media Advisory
Scoping Meeting Attendance Lists
Scoping Meeting Handout Materials and Presentation
Scoping Comment Recognition Terms (H-1), Source Index (H-2), Content
Index (H-3), EIRjEIS Section Code Index (H-4)
Written Public Scoping Comments
Written Agency Scoping Comments
Written Organization Scoping Comments
Record of Verbal Comments
Scoping Meeting Photos
Scoping Meeting Display Boards
Project Information Meeting Announcements
Project Information Meeting Distribution Lists
Project Information Meeting Attendance Lists
Project Information Meeting Handout l"1aterials and Presentation
Project Information Meeting Media Advisory
Project Information Meeting Photos
Page ii
San Jose to San Francisco High-Speed Train
Project EIR/EIS
SUMMARY
Draft Scoping Report
In August 2005, the California High-Speed Rail Authority (Authority) and the Federal Railroad
Administration (FRA) completed a Program Environmental Impact Report/Environmental Impact
Statement (EIR/EIS) as the first-phase of a tiered environmental review process for the proposed
California High-Speed Train (HST) system. The Authority and the FRA completed a second
program EIRjEIS in July 2008 to identify a preferred alignment for the Bay Area to Central Valley
section of the HST system. As part of the HST Alternative selected for further analYSiS, the
Authority and FRA defined a corridor between San Francisco and San Jose along the San
Francisco Peninsula connecting to a corridor through the Pacheco Pass via Henry Miller road,
between San Jose and the Central Valley. The San Francisco to San Jose HST Project EIR/EIS
will describe Site-speCific alignment alternatives and station locations along the Caltrain right-of-
way for the section between San Francisco and San Jose (see Figures lA and lB).
The Authority encourages broad participation during EIR/EIS scoping and review of the draft
environmental documents. Comments and suggestions are invited from all interested agencies
and the public to insure the full range of issues related to the proposed action are addressed,
including all reasonable alternatives. In particular, the Authority is interested in determining
where there are areas of environmental sensitivity and where there could be a potential for
significant impacts from the HST project.
Pre-scoping public outreach activities were initiated in December 2008, including the
development of project information materials, establishment of a project information telephone
line, early engagement with interested parties, and media communications. On December 22,
2008, a Notice of Preparation (NOP) announcing the preparation of the EIR was distributed to the
State Clearinghouse; elected officials (federal, regional, local), and federal, state, and local
agencies, including and planning and community development directors (in San Francisco, San
Mateo and Santa Clara counties). A Notice of Intent (NOl) announcing the preparation of the EIS
was published in the Federal Register on December 29,2008. A revised NOP was transmitted to
the State of California, Governor's Office of Planning and Research (Sate Clearinghouse and
Planning Unit) on January 8, 2009 to clarify that the end of the comment period was March 6,
2009.
On February 17, 2009 the Authority extended the comment period to April 6, 2009 (an additional
30 days), based on a request from the City of Palo Alto, CA.
In response to the NOP/NOl, public agencies with jurisdiction over aspects of the proposed
project or resources that could be affected by the project were requested to advise the Authority
and the FRA of the applicable permit and environmental review requirements of each agency,
and the scope and content of the environmental information that is germane to the agency's
statutory responsibilities in connection with the proposed project. Public scoping meetings were
scheduled as an important component of the scoping process for both the State and federal
environmental review.
During the scoping period, three public scoping meetings were held between January 22 and
January 29, 2009, with a total of 382 people attending the three meetings. In addition, a
number of briefings and project information meetings were held. As a result, the Authority and
FRA received a total of 955 communications in the form of comment letters, comment cards,
emails, and oral testimony at the meetings. Collectively, these communications represent
thousands of individual comments, suggestions, and ideas about the proposed project and the
environmental document. Major issues identified as a result of scoping are listed below.
S-l
San Jose to San Francisco High-Speed Train
Project EIR/EIS
Prefe/"l'OO HST Station
Potential HST Station
0' Caltrain station
Proposed High Speed Train '!II'''''''' San Francisco to San Jose
o U 31 1...1 --,ti"'!ill:::es;:-----J1 N
Draft Seoping Report
FIGURE1A
California High Speed Train
San Fll1Incisao to Sail Jose HST Project -Northern Segment
FIGURE lA: STUDY AREA -NORTHERN SEGMENT
5-2
San Jose to San Francisco High-Speed Train
Project EIRjEIS
• Preferred HST Station o Potential HST Station
o Caltra.ln Station
Proposed High Speed Rail "'''·llf,'''·'· San francis{;o to San Jose
Draft Scoping Report
;~.: .. w,;:_ . .".\:.
FIGURE 1B
California High Speed Train
Soo Frarniisco to San Jose HST project-Soufhern SelJ!lllmf
FIGURE 1B: STUDY AREA -SoUTHERN SEGMENT
5-3
San Jose to San Francisco High-Speed Train
Project EIR/EIS
MAJOR ISSUES
Topic 1: Protection of the Environment
Draft Scoping Report
Major Issues Raised: Comprehensively evaluate the effects of HST construction and operation on
all aspects of the physical and socioeconomic environment, with particular emphasis on land
acquisition, displacement, and property values; community character and quality of life, noise
and vibration, air quality and climate change, safety and security, biological resources, historical
and cultural resources, and transportation.
Topic 2: Alignment and Station Alternatives
Major Issues Raised: Consider a full range of alternatives, including alternatives that do not
follow the proposed caltrain right-of-way; vertical alignments, including tunnel, trench, at-grade,
and aerial configurations with an emphasis on investigating underground alignments through
residential areas; and station locations and design.
TopiC 3: Connectivity and Coordination with Other Transportation Facilities
Major Issues Raised: Design the HST system to integrate with the existing airports and transit
systems, particularly the proposed electrification of the Caltrain service, station improvements,
and grade separations; coordinate installation of HST service with existing freight operations
within the same right-of-way; coordinate station planning with local communities and sensitivity
to existing transit stations, including the San Francisco Transbay Transit Center, the Millbrae
BARTjCaltrain intermodal station, and the San Jose Diridon Station.
Topic 4: Alternative Technologies
Major Issues Raised: Consider halting the HST in San Jose and having passengers transfer to the
existing Caltrain express trains, which are proposed to be electrified, or rely on other existing
transit systems, including buses and BART.
Topic 5: Project Funding/Cost
Major Issues Raised: Present the full costs of constructing and operating the project, including
the burden on taxpayers or local municipalities; describe the costs related to social impacts,
reduced property values, and land acquisition; if alignment is underground, consider opportunity
to sell air rights above the right-of-way.
Topic 6: Land Use and Property Acquisition
Major Issues Raised: Report the extent of land acquisition and the Authority's policy on use of
eminent domain; describe how property owners would be compensated; estimate the fiscal
effects from loss of property tax revenues; present the antiCipated reduction in property values.
Topic 7: Public Outreach
Major Issues Raised: Improve the method, quality, and frequency of communications with the
public; seek and allow for public input on the EIR/EIS process and the development of
alternatives; promote and Implement a transparent decision-making process with ample public
involvement.
TopicS: Support for the Project
Major Issues Raised: Some individuals considered construction of a HST system long overdue;
some agencies and organizations supported the general concept of HSTs; some organizations and
indiViduals supported specific aspects of the project, including undergrounding of tracks in
residential neighborhoods or through historiC downtown areas.
•........... '.""= ... "'« '<'_'oL.
'ALlFCFfNIA . ---....... -~
S-4
San Jose to San Francisco High-Speed Train
Project EIR/EIS
Topic 9: Opposition to the Project
Draft Scoping Report
Major Issues Raised: Some organizations and individuals opposed the general concept of HSTs;
some organizations and individuals opposed the HST alignment along the Peninsula; some
organizations and individuals opposed the HST on the basis that the cost would outweigh the
benefits.
Topic 10: Project Description
Major Issues Raised: Accommodate bicycles and freight on the HST; investigate and coordinate
construction phasing, especially with right-of-way being used for passenger and freight service;
explore opportunities to operate two tracks in the right-of-way, rather than the four tracks
proposed; discuss Union Pacific Railroad's position on use of the right-of-way; fix errors in maps
and text; use understandable terminology.
S-5
San Jose to San Francisco High-Speed Train
Project EIRjEIS
1.0 INTRODUCTION
Draft Scoping Report
This report provides an overview of the written and formally documented verbal comments (in
the form of transcriptions) received during the scoping process for the Project Environmental
Impact Report/Environmental Impact Statement (EIR/EIS) for the section of the California High-
Speed Train (HST) system between San Francisco and San Jose. The purpose of this report is to
summarize agency and public comments, issues, and concerns identified during the scoping
process. The report will be used to help the California High-Speed Rail Authority (Authority) and
the Federal Railroad Administration (FRA) to determine the appropriate scope for the EIR/EIS.
1.1 DESCRIPTION OF PROJECT
The Program EIR/EIS defined a corridor between San Francisco and San Jose along the San
Francisco Peninsula, and through the Pacheco Pass via Henry Miller road, between San Jose and
the Central Valley. The San Jose to San Francisco HST Project EIR/EIS will describe
environmental impacts associated with alternative alignments and preferred/potential stations
within this corridor as part of the next phase of the environmental review process.
This and other project EIR/EISs will address sections of the statewide HST system, describe site-
specific environmental impactsl identify specific mitigation measures to address those impacts,
and incorporate design practices to avoid and minimize potential adverse environmental impacts.
1.2 SAN lOSE TO SAN FRANCISCO SECTION ALTERNATIVES
As described in the NOI/NOP, the San Jose to San Francisco HST Project EIR/EIS will consider a
No Action or No Project Alternative and a HST Alternative for the San Jose to San Francisco
corridor. These alternatives are briefly described below.
No Action Alternative
The No Action Alternative (No Project or No Build) represents the conditions in the corridor as it
existed in 2007, and as it would exist based on programmed and funded improvements to the
intercity transportation system and other reasonably foreseeable projects through 20351 taking
into account the following sources of information: State Transportation Improvement Program
(STIP), Regional Transportation Plans (RTPs) for all modes of travel, airport plans, intercity
passenger rail plans, city and county plans.
HST Alternatives
The Authority proposes to construct, operate and maintain an electric-powered steel-wheel-on-
steel-rail HST system, about 800 miles long, capable of operating speeds of 220 miles per hour
(mph) on mostly dedicated, fully graded-separated tracks, with state-of-the-art safety, signaling,
and automated train control systems. The San Jose to San Francisco HST corridor selected by
the Authority and FRA follows the Caltrain right-of-way from San Jose to San Francisco. The
HST would operate in this area at speeds no greater than 125 mph and would share tracks with
Caltrain express commuter trains. Further engineering studies to be undertaken as part of this
EIR/EIS process will examine and refine alignments in the Caltrain right-of-way. The entire
alignment would be grade separated.
The preferred station in the City of San Francisco is the Transbay Transit Center; in the City of
Millbrae, the existing Millbrae BART/caltrain Station; and in the City of San Jose, the Intermodal
Diridon Station. These locations were selected by the Authority and FRA through the Bay Area
to Central Valley HST Final Program EIR/EIS considering the project purpose and need, and the
program objectives. Potential station locations in the City of Redwood City at the existing
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Caltrain Station near downtown or in the City of Palo Alto at the existing Caltrain Station near
downtown will also be evaluated in this project EIR/EIS. Alternative station sites at or near the
selected station locations may be identified and evaluated in this Project EIR/EIS.
In addition to alignment and station options, the EIR/EIS will evaluate different techniques for
accomplishing the roadway grade separations needed to ensure public safety. These techniques
include (1) depressing the street to pass under the rail line; (2) elevating the street to pass over
the rail line; and (3) leaving the street' as-is and constructing rail line improvements to pass over
or under the local street. In addition, alternative sites for right-of-way maintenance, train
storage facilities and a train service and inspection facility will be evaluated in the San Jose to
San Francisco HST project area.
1.3 PROCESS OF SCOPING
"Scoping" is one of the first steps in the environmental review process that assists with
determining the focus and content of an EIR/EIS. Seoping is also intended to inform and
educate the public and public agencies about the project, the potential range of actions,
. alternatives, environmental effects, the overall schedule for the environmental review process,
mitigation measures to be analyzed in the EIR/EIS, and is a means of providing input to the
Authority and the FRA.
Scoping also provides opportunities for the public, affected agencies, and other interested parties
to express their concerns about the project. Scoping is not conducted to resolve differences
concerning the merits of a project or to anticipate the ultimate decision on a proposal. The
intent of the scoping process is to involve the agencies and the public in defining the major
issues to be analyzed in the EIR/EIS.
The objectives of the San Jose to San Francisco HST Project EIR/EIS scoping process include:
• Informing the agencies and interested members of the public about the proposed San Jose
to San Francisco HST project, including NEPA and CEQA requirements.
• Identifying concerns and issues regarding environmental topiCS.
• Identifying concerns and issues regarding alignments and preferred/potential station
locations in the San Jose to San Francisco corridor to be analyzed in the Project EIR/EIS.
• Identifying mitigation measures or approaches to avoid or minimize impacts; these measures
and approaches may be examined further in the Project EIR/EIS.
• Informing and engaging public, agency and other interested parties in communities along
the San Jose to San Francisco corridor.
• Developing a mailing list to provide interested parties an opportunity to review the Project
EIR/EIS.
Details related to the scoping process and
the input gathered during the scoping
period are documented in this report.
Scoping is a specific activity within the
Project EIR/EIS process, but public
involvement activities continue
throughout the entire Project EIR/EIS
process. These activities encourage
ongoing input and the recognition of
public and agency issues and concerns
related to the Project EIR/EIS throughout
the environmental analysis process.
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During the scoping process, agencies and interested members of the public presented questions
and identified concerns related to the San Jose to San Francisco HST project section. Comments
provided during the scoping process will assist the Authority and FRA in their review and
evaluation of alternatives.
1.4 NOTIFICATION OF EIS/EIR SCOPING
In December 2008, the Authority issued a Notice of Preparation (NOP) and the Federal Railroad
Administration issued a Notice of Intent (NO!) for a Project EIR/EIS for the San Jose to San
Francisco section of the HST system (the NOP is included in Appendix A and the NOP in
Appendix B). Recipients included the State Clearinghouse, elected officials, agencies and
planning/community development directors (along the project corridor and in Sacramento).
Publication of the NOP/NO! initiated the state environmental review process under the California
Environmental Quality Act (CEQA) and the federal environmental review process under the
National Environmental Policy Act (NEPA), respectively. The NOP and NO! described the purpose
and need of the project, the project limits, alternatives for consideration, noted the importance
of agency input, highlighted potential environmental impacts, and identified a key contact person
for additional information regarding the project, as well as the dates and locations of the scoping
meetings. The documents also indicated the end of the public comment period for the San Jose
to San Francisco HST EIR/EIS as March 6, 2009. On February 2009, the City of Palo Alto
requested an extension of the comment period. Based on this request, extensive community
interest in the project and the interest also expressed by other Peninsula cities, the Authority
extended the comment period an additional 30 days, making the new close of comment period
April 6, 2009.
1.5 SCOPING ACTIVITIES
The scoping meetings for the San Francisco and San Jose HST Project EIR/EIS were conducted
in January 2009. There were three noticed agency and public scoping meetings held in the San
Jose to San Francisco project corridor (Table lA, page 4). The seoping meetings drew over 382
partiCipants (Table lB, page 4). The geographical extent and complexity of the proposed HST
project led to scoping meetings being held in each of the three counties comprising the project
corridor-San Francisco, San Mateo and Santa Clara. At each meeting location, two sessions
were held, the first from 3:00 to 5:00 pm and the second from 6:00 to 8:00 pm. Each session
included an open house followed by a presentation.
Materials provided during the scoping meetings included exhibits and handouts distributed at the
meetings and specific documents (noted below) distributed through the Authority's website
(www.cahighspeedrail.ca.gov). A full list of scoping related documents are included in the
report's Appendices A through T (see the list on Page ii).
These materials included the following:
• Scoping Meeting Handout Materials: agenda/meeting guide, fact sheet, comment sheets -
posted to Authority website (Appendix G)
• Power point Presentation -posted on Authority website (Appendix G)
• Scoping Meeting Announcement -posted to Authority website (Appendix C)
• Program EIR/EIS for the proposed high-speed train project (Volumes 1, Volume II Response
to comments, Volume III Appendices, 3.4 Noise and Vibration and 3.9 AestheticS and Visual
Resources Vibration (website)
• 14 Display Boards (Appendix N)
• Media AdviSOry -posted to Authority website (Appendix E)
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Table 1A: Scoping Meeting Dates, Locations and Times
Date City Location! Address Meeting Times
SamTrans Auditorium
1/22/2009 San Carlos 1250 San Carlos Avenue 3:00-8:00 p.m.
San Carlos, CA
San Francisco State University
1/27/2009 San Francisco 835 Market Street, 6th Floor, 3:00-8:00 p.m. Rooms 637 & 674
San Francisco CA
Santa Clara Convention Center
1/29/2009 Santa Clara 5001 Great America Parkway, Great 3:00-8:00 p.m.
I
America Meeting Rooms 1&2
Santa Clara
Table 1B: Scoping Meeting Attendees -San Francisco to San Jose Section
Meeting )
Location Federal State Local Organization Individual Total
County
San 0 1 6 18 40 65 Francisco
San Mateo 2 1 64 23 76 166
Santa Clara 0 3 23 23 102 151
Total 2 5 93 64 218 382
As attendees registered at the meetings, they were provided with an information package which
included an agenda/meeting guide, fact sheet and comment sheet. Registration table staff
provided directions on the meeting format to orient attendees, and asked that they remember to
document comments on the forms provided. A court reporter was also available at each meeting
to offiCially document verbal testimony provided by interested attendees (Appendix L).
The meetings began with a one-hour open house session, where Authority, staff and consultants
were available to respond to questions and discuss informational materials being distributed or
shown on display boards around the room. The displays covered pertinent topics such as
environmental issues, engineering plan drawings, system maps, aerial maps of project corridor
cities, and how to comment during scoping. Following the open house portion of the meeting,
power point presentations (two, 3D-minute presentations at each meeting) were provided to
attendees. The Authority staff and Regional Team representatives welcomed attendees,
presented an overview of the project, and responded to questions posed by meeting participants.
Written and officially documented verbal comments (transcribed by a court reporter) are
included and summarized in this report (see Section 3.4). Written comments which were
provided by mail and e-mail are also included. A total of 955 communications in the form of
comment letters, comment cards, emails, and oral testimony were received during the scoping
comment period. This included:
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• 58 commenter's provided written comments during the three scoping meetings,
• 194 comment letters were mailed or faxed,
• 665 com menter's provided written comments in e-mails,
• 17 speakers provided oral testimony to a court reporter present at the meetings, and
• 21 commenter's provided comments at project information meetings held in Millbrae, Palo
Alto and Redwood City.
Copies of the comment cards, letters, verbal comments and e-mails are provided in Appendix
I (public comments), Appendix J (agency comments), Appendix K (organization comments)
and Appendix L (verbal comments).
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2.0 PUBLIC AND AGENCY INVOLVEMENT DURING SCOPING PERIOD
2.1 SUMMARY OF SCOPING ACTIVITIES
Notice of scoping meetings was mailed to a comprehensive list of various federal{ State and local
agencies/ elected officials/ community members{ businesses/ environmental
leaders/organizations and other interested parties between January and March 2009. There
were three noticed agency and public scoping meetings/ held in San Francisco/ San Mateo and
Santa Clara counties. Scoping activities included public outreach measures (i.e./ project
information line/ dedicated geographically specific website information)/ the identification of key
concerns/ development of key messages to address issues/ media outreach activities/ and
proactive information sharing efforts as described below:
• 16,459 public meeting notices were sent to property owners adjacent to the caltrain ROW
and to property owners within a SOO-foot radius of the proposed stations.
• 809 informational mailings (including NOP packages) about the seoping meetings were
distributed to local, state and federal elected offiCials, planning directorst community
development directorst business leaders; community reSidents, community-based
organizations{ environmental groups, labor organizations/ transportation advocacy groups,
home owners associations/ and other interested parties.
• the email-only version of the public meeting notice was sent to 89 indiViduals, based on
past meeting attendance and other requests for information.
• Display and legal ads were placed in 12 major market/daily, community and ethnic papers
within the project corridor publicizing the upcoming scoping meetings. These papers
included the San Francisco Chronicle (display/legal ads), San Francisco Bayview, Sing Tao
DailYl San Mateo County Times (display/legal ads)t San Jose Mercury News (display/legal
ads){ Palo Alto Daily News/ Redwood City Newst San Mateo Daily Newsl Burlingame Newst
Rose Garden ReSident, Sunnyvale Sun, and EI Observador.
• Media advisories were distributed to 79 local televisiont radio and newspapers regarding
the planned seoping meetings.
• Press kits were prepared for and distributed to media representatives attending each
seoping meeting (which included meeting materialst project fact sheets, and media
advisory).
• Planning Directors/Community Development Directors were asked to place additional
copies of the notice in a high-traffic public locations to inform citizens about upcoming
scoping meetings.
• Information was also provided on the Authority's website at: www.cahighspeedrail.gov.
2.2 SUMMARY OF NOTICED SCOPING MEETINGS
As shown in Table 1A (page 4), the three scoping meetings were designed to provide the public
and public agencies with the opportunity to receive project informationt provide access to key
project staff to facilitate interactive dialoguet and respond to inquiries.
A number of overall themes related to HST were raised at the public scoping meetings. The
themes qre reflected in the topiCS listed in Section 3.0 of this report and/ although emphasis on
each topic varied{ the topics generally were conSistent from meeting to meeting/ with the
exception of geographic-specific details related to individual communities (neighborhoodst
intersectionst buildings/ physical features). Key EIRjEIS themes addressed at the scoping
meetings ranged from analyzing potential environmental effects of a project to examining project
alternatives that could mitigate those effects. Analysis of alternatives to the proposed project
was prominently requested including improvements to Caltrain, busest and BART as an
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Project EIR/EIS Draft Seoping Report
alternative to HST; consideration of all alignment alternatives at an equal level of detail,
including alternative routes not through San Francisco Peninsula (Altamont Pass, 1-280, 1-101
etc.) and tunnel, trench, at-grade, elevated, and combination configurations; and underground
configurations through a majority of the Peninsula, particularly reSidential areas. Property
acquisition, reduction in property values, eminent domain, takings, community impacts from
elevated structures including the introduction of physical barriers, the division of communities,
and the loss of quality of life were the next most common themes. Concerns for all potential
impacts to the environment formed the third overall theme of environmental protection.
2.3 BRIEFINGS TO INTERESTED PARTIES
Briefings with city offiCials, community based organizations, business groups, local agencies,
labor organizations and enVironmental groups were conducted prior to the initiation of scoping
activities.
This setting provided early opportunities to provide information about the project, to meet with
project managers and team staff, to share concerns and to be better prepared to partiCipate in
the environmental review process.
Below is a list of briefings that occurred during the pre-scoping phase of the project:
12/17/2008
12/18/2008
1/7/2009
1/9/2009
1/12/2009
1/12/2009
1/13/2009
1/13/2009
1/13/2009
1/14/2009
1/14/2009
1/14/2009
1/16/2009
1/16/2009
Belmont/San Carlos/Redwood City and County of San Mateo (combined
meeting)
City of San Jose
Menlo Park/Atherton (combined meeting)
South San Francisco, San Bruno, Brisbane (combined meeting)
City of Santa Clara
Delmas Park Neighborhood Action Committee (San Jose)
Silicon Valley Leadership Group
Sierra Club Loma Prieta Chapter
San Mateo Building Trades Council, SAMCEDA(combined meeting)
San Francisco Labor Council, San Francisco Building Trades Council (combined
meeting)
Southeast Community Facility Commission, Bayview Hunters Point Land Use and
Transportation Committee -Project Area Committee (combined meeting)
City of Sunnyvale
San Jose Chamber, San Jose Downtown ASSOCiation, San Jose Convention and
Visitors Bureau (combined meeting)
City of Palo Alto
2.4 SUMMARY OF OTHER PUBLIC INVOLVEMENT ACTIVITIES
Project Information Meetings
In addition to the three county-specific scoping meetings held in January 2009, there were three
project information meetings held in the preferred and potential station cities of Millbrae,
Redwood City and Palo Alto between February and March 2009. These meetings provided
additional outreach, and opportunities to discuss concerns and focus on the three
cities/communities identified for preferred and potential stations (dates, times and locations of
meetings is shown in Table 2A).
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a e : rOje norma Ion ee mgs T bl 2A P . ct I f t' M t" D ates L t' oca Jonsan Jmes
Oate Location! Address Meeting Time
2/25/2009
Chetcuti Community Room
450 Poplar Avenue 7:00 9:00 pm
Millbrae, CA
2/26/2009 IlIIitchell Park Community Center (Main Hall) 7:00 -9:00 p.m. 3800 Middlefield Road
Palo Alto, CA
Veteran's Memorial Senior Center (Redwood
3/4/2009 Room) 7:00 -9:00 p.m.
1455 IlIIadison Avenue
Redwood City, CA
These meetings were noticed (Appendix 0) and targeted Bay Area media received an advisory
(Appendix S). This section describes key issues and concerns raised during the San Jose to San
Francisco High-Speed Train (HST) project level Environmental Impact Report/Environmental
Impact Statement (EIR/EIS) project information meetings conducted in winter 2009. There were
various concerns brought forth during these meetings related to the environmental process/ such
as alternatives, ridership, air quality, biological resources and wetlands, growth/ and cumulative
impacts. Appendix H-2/ the Scoping Comment Source Index notes which agencies/ organizations
and individuals provided comments at scoping and project information meetings. Appendix H
(H-3), Summary of Scoping Comments by Recognition Term (Content Index), lists the ten
general topics/ identifies the speCific issues raised by commenters (the recognition terms)/ and
provides an index of which communication contained comments on each issue.
Table 2B (below) notes the attendance at the Millbrae/ Palo Alto and Millbrae meetings. Detailed
attendance information for all three meetings can be found in Appendix Q.
Table 2B: Project Information Meetings I Attendees
Millbrae Palo Alto Redwood Total
•
2/26 2/27 City
3/4
Federal Elected 0 0 0 0
Agency 0 0 0 0
state Elected 0 1 0 1
Agency 0 2 0 2
Regionall Elected 2 3 4 9
Local Agency 5 0 8 13
. Organization 6 21 7 35
Individual 16 195 80 291
Total 29 223 99 351
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San Jose to San Francisco High-Speed Train
Draft
3.0 SeOPING SUMMARY OF ISSUES
3.1 SUMMARY OF WRITTEN PUBLIC SCOPING COMMENTS
l'line hundred fifty five letters, written comments cards, faxes, emails, and oral testimonies were
received during the scoping period. Following a review of the individual comments, suggestions,
ideas, and recommendations contained in these different communications, they were organized
into ten general topics, or subject areas, in order to summarize the issues and concerns raised
during the scoping period. These general topics include:
• Protection of the Environment -encompassing comments concerned with. facets of the
physical and socioeconomic environments
• Alignment and Station Alternatives -encompassing comments that suggest variations to
the HST route, vertical profile, or station locations
• Connectivity and Coordination with Other Transportation Facilities encompassing
comments that address connections to transit systems, airports, and existing or proposed
intermodal facilities
• Alternative Technologies -encompassing comments that suggest conSideration of
methods of providing high speed, intercity travel service
• Project Funding/Cost -encompassing comments that concern the project costs and the
means to pay for the capital and operating costs of the system
• Land Use and Property Acquisition -encompassing comments that address land
valuations, land acquisition, and compensation to property owners whose land may be
acquired or whose residence or business may be relocated
• Public Outreach -encompassing comments primarily on the need for adequate
notification and maintaining a high level of public involvement
• Support for the Project -encompassing comments that generally favor the proposed HST
project
• Opposition to the Project encompassiing comments that generally are unfavorable to
the proposed HST project
• Project Description -encompassing comments concerning the planning, deSign, and
operations of the proposed HST project
In order to better capture the gist of the comments received, most of these broad topics were
further refined into subtopics. For example, comments that were classified as "Protection of the
Environmentll were further delineated into comments on aesthetics, air pollution, cultural
resources, wetlands, community character, hazards, etc. A summary of the major issues from
each general topic is provided below.
Topic 1: Protection ofthe Environment
Major Issues Raised: Evaluate the effects of construction and operation of the HSTs
comprehensively on all aspects of the physical and socioeconomic enVironment, with particular
emphasis on land acquisition, displacement, and property values; community character and
quality of life, noise and vibration, air quality and climate change, safety and security, biological
resources, historical and cultural resources, and transportation.
Topic 2: Alignment and Station Alternatives
Major Issues Raised: Consider a full range of alternatives, including alternatives that do not
follow the proposed caltrain right-of-way; vertical alignments, including tunnel, trench, at-grade,
and aerial configurations with an emphasis on investigating underground alignments through
residential areas; and station locations and design.
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San Jose to San Francisco High-Speed Train
Draft <";,..r.'C'I;nn
Topic 3: Connectivity and Coordination with Other Transportation Facilities
Major Issues Raised: Design the HST system to integrate with the existing airports and transit
systems, particularly the proposed electrification of the Caltrain service, station improvements,
and grade separations; coordinate installation of HST service with existing freight operations
within the same right-of-way; coordinate station planning with local communities and sensitivity
to existing transit stations, including the San Francisco Transbay Transit Center, the Millbrae
BART/Caltrain intermodal station, and the San Jose Diridon Station.
Topic 4: Alternative Technologies
Major Issues Raised: Consider halting the HST in San Jose and having passengers transfer to the
existing Caltrain express trains, which are proposed to be electrified, or rely on other existing
transit systems, including buses and BART.
Topic 5: Project Funding/Cost
Major IsSues Raised: Present the full costs of constructing and operating the project, including
the burden on taxpayers or local municipalities; describe the costs related to SOCial impacts,
reduced property values, and land acquisition; if alignment is underground, consider opportunity
to sell air rights above the right-of-way.
TOpic 6: Land Use and Property Acquisition
Major Issues Raised: Report the extent of land acquisition and the Authority's policy on use of
eminent domain; describe how property owners would be compensated; estimate the fiscal
effects from loss of property tax revenues; present the anticipated reduction in property values.
Topic 7: Public Outreach
Major Issues Raised: Improve the method, quality, and frequency of communications with the
public; seek and allow for public input on the EIR/EIS process and the development of
alternatives; promote and implement a transparent decision-making process with ample public
involvement.
Topic 8: Support for the Project
Major Issues Raised: Some individuals considered construction of a HST system long overdue;
some agencies and organizations supported the general concept of HSTs; some organizations
and individuals supported specific aspects of the project, including undergrounding of tracks in
residential neighborhoods or through historic downtown areas.
Topic 9: Opposition to the Project
Major Issues Raised: Some organizations and individuals opposed the general concept of HSTs;
some organizations and individuals opposed the HST alignment along the Peninsula; some
organizations and individuals opposed the HST on the basis that the cost would outweigh the
benefits.
Topic 10: Project Description
Major Issues Raised: Accommodate bicycles and freight on the HST; investigate and coordinate
construction phaSing, especially with right-of-way being used for passenger and freight service;
explore opportunities to operate two tracks in the right-of-way, rather than the four tracks
proposed; discuss Union Pacific Railroad's position on use of the right-of-way; fix errors in maps
and text; use understandable terminology.
In addition to highlighting the content of the comments (as described by the ten general topics
above), it is useful to understand if there are different concerns or issues that are specific to a
particular entity; that is, public agencies, organizations, or individuals. Accordingly, the following
sections summarize scoping comments based on the source of the comments.
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3.2 SUMMARY OF WRITTEN PUBLIC SCOPING COMMENTS FROM PUBLIC AGENCIES
Written scoping comments were received from federal! state! and local governmental agencies.
Table 3.1.1 identifies the 43 letters! emails! and other forms of written correspondence received
from public agencies! summarizes their comment! and indicates in which section of the EIRjEIS
those comments would likely be addressed. The communication received from each agency is
reproduced in Appendix J.
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Table 3.1.1: Summary of Written Public Scoping Comments (Agencies)
~:0:.:ii"""""
t..IFORNIA ,. ~._~ __ -ili~'
Charleston.
• 2003 Palo Alto Bicycle Transportation Plan evaluate impacts on plans proposals for
circulation at the Caltrain tracks.
• Aesthetics -address:
Impacts to aesthetics resulting from the expanded ROWand any necessary berms,
sound walls, or fencing.
Appearance of overhead electrical power supply (wires, poles, insulations).
Removal or trimming of protected trees and vegetation, consistent with the City's
Tree Technical Manual Tree Value Replacement Standard.
• Grade separation and Expanded ROW -address impacts to aesthetiCS, biological
• Traffic & circulation -evaluate traffic impacts to streets around and leading to PA
School and other schools that would be affected during HSR construction.
• Traffic & circulation -evaluate impacts of any proposed closures of existing at-grade
crOSSings.
• Traffic & circulation -evaluate impacts to existing bike path that runs through Caltrain
ROW east of PAHS
• Traffic & Circulation -identify costs of transportation mode shift related to changes to
the school commute corridors network.
• Traffic & circulation -address temporary school busing, as necessary, during
construction.
• and operation including changes
• Hazards -evaluate the following safety impacts and scenarios:
derailment for elevated or at-grade tracks
,.
pedestrians crOSSing ROW
explosion or release (both accidental and terroristic) of hazardous materials from
train crashes in the following situations
• elevated
• at-grade
conflicts between passenger and freight trains
construction
EMF.
resources and to Native American
3.3 -Noise and Vibration
3.6 -Biological Resources and
Wetlands
3.15 AesthetiCS and Visual Quality
3.1 Transportation
3.18 -Construction Impacts
3.2 -Air Quality
2.0 -Alternatives
3.1-Transportation
3.9 -Hazardous Wastes and
Materials
3.10 -Safety and Security
3.18 -Construction Impacts
3.16 -Cultural Resources
Page 40
San Jose to San Francisco High-Speed Train
Project EIR/EIS Draft Scoping Report
Table 3.1.1: Summary of Written Public Scoping Comments (Agencies)
City of Palo Alto
Office of the Mayor and
City Council
April 1, 2009
~~~-.
.,..... '. UFORNtA
~--"""~~'
• Recreation and open space -evaluate impacts to City parks and recreation facilities.
• Property values -identify impacts to property values due to increase noise and
vibration, train frequency, and aesthetics. Consider tunnel option to reduce these
impacts.
• Significance Criteria -use City of Palo Alto criteria of significance for determination of
impacts within the Oty.
• Traffic and CIrculation -adhere to existing transportation related policies in the
Comprehensive Plan.
• Alternative alignments -evaluate the following options to the same level of detail as the
proposed HSR:
Elevated
At grade
Trench
Tunnel
Termination in San Jose and transfer to Caltrain, induding possibility for reduced
number of tracks in the Caltrain corridor
HSR running at Baby Bullet speeds from San Jose to San Francisco (with and
without mid-peninsula station in either Redwood City or Palo Alto)
Running HSR underground in the Alma Street ROW while maintaining Caltrain
service in JPB ROW
HSR alignment along Highway 101 corridor
Any/all alternative(s) that would reduce the need for additional ROW
Any/all alternative(s) that would reduce the number of tracks to less than four
Alternative that does not retain freight within the Caltrain ROW between San Jose
and San Francisco
HSR to restore at-qrade crossinQs at existinQ undercrossinQs at
3.11 -SOCioeconomics, Communities
and Environmental Justice
lI_h""tirc and
N/ A, but see California High-Speed
Train Coordination Plan -San Jose
3.1 -Transportation
2.0 -Alternatives
Page 41
San Jose to San Francisco High~Speed Train
Project EIR/EIS Draft Scoping Report
Table 3.1.1: Summary of Written Public Scoping Comments (Agencies)
~ . .;;i''''''
}~
, " LIFORlIllA , ~~~-.,...,~,
• Upgrade existing system -Based on an alternative that would terminate the HSR line in
san Jose, evaluate the capacity of Caltrain to transfer patrons from San Jose to further
destinations (including Palo Alto).
• Trains -evaluate the frequency, capacity and speed of the connecting service from San
• Traffic & Circulation -analyze impacts to Circulation, safety and emergency response of
the potential closure of four existing at-grade crossings.
• Traffic & circulation -analyze impacts to City streets during construction, specifically
detours or closures.
• Traffic & circulation -analyze impacts to access and providers at VTA transit center at
PA station.
• Station location -identify impacts resulting from the location of an HSR station in Palo
Alto, independent of the HSR alignment. Include impacts of increased traffic and
parking demand at the station.
• Traffic & circulation -analyze impacts to bicycle/pedestrian trail that runs along the
railroad tracks, some of which is located within the caltrain ROW.
• Traffic & circulation -evaluate pedestrian/bicycle grade separations at the railroad per
2003 PA Bicycle Transportation Plan.
• Traffic & circulation -identify impacts on implementation of 2002 PA Intermodal Transit
Center Plan.
• Safety -evaluate impacts to public safety, such as derailment, crashes, pedestrian
conflicts, and during construction, due to high-speed trains in close proximity to
residences and Dublic facilities.
• Aesthetics -evaluate impacts to aesthetics due to the elevated structure (including
underpasses and overpasses), noise and retaining walls, shade/shadow, existing and
proposed vegetation/landscaping, graffiti. Complete visual modeling for each alternative
of the nrmlimrlh>
• Noise -use the City's significance criteria to determine potential impacts to nOise.
• Noise -determine noise levels for each alternative (elevated, at grade, underground) for
the combined operation of caltrain, HSR and Union Pacific.
• Noise -evaluate impacts from train homs; assume for baseline conditions that all horns
have already been eliminated and that Caltrain has been electrified.
•
2.0 Alternatives
3.1 -Transportation
3.0 -Affected EnVironment,
Environmental Consequences, and
Mitigation Strategies
3.1 -Transportation
3.0 -Affected EnVironments,
Environmental Consequences and
Mitigation Strategies
3.1 -.
3.1 -Transportation
3.10 -Safety and Security
3.15 ~ AesthetiCS and Visual Quality
3.3 ~ Noise and Vibration
Page 42
San Jose to San Francisco High-Speed Train
Project EIRjEIS Draft Scoping Report
Table 3.1.1: Summary of Written Public Scoping Comments (Agencies)
~ ~~~~
• Biological resources -evaluate impact to migratory birds, existing aquifersl and
groundwater areas.
• Natural disaster -analyze impacts due to natural disaster (earthquake or flooding).
• Utilities -identify impacts of relocation of all utilities (City and otherwise) within and
crossing the ROW.
• Utilities -identify impacts to the proposed underground 8-hour water supply reservoir at
• Hazardous materials -evaluate impacts from known toxic plumes including the plume at
the Oregon Expressway railroad underpass.
• Air Quality -evaluate impacts to air quality during construction, and during operation
due to an increase in trains and the location of a station in Palo Alto.
• Trees -evaluate alternatives that would preserve the EI Palo Alto redwood tree that is
listed as a historic/cultural resource,
• Trees -evaluate impacts due to the removal or trimming of protected trees and
vegetation that currently screens the Caltrain ROW, consistent with the City's Tree
Technical Manual Tree
• Hydrology -evaluate impacts on San Francisquito Creek, Adobe Creek, Barron Creek,
and Matadero Creek with regard to riparian habitat and creek flows and stability.
3.6 -Biological Resources and
Wetlands
3.7 -HvdroloQV and Water Resources
3.7 -Hydrology and Water Resources
3.8 -Geology, Soill and Geologic
Resources
3.5 -Public Utilities & Energy
3.18 -Construction Impacts
3.9 -Hazardous Wastes and
Materials
3.2 -Air Quality
3.18 -Construction I
3.6 -Biological Resources &
Wetlands
3.16-Cultural Resources
3.6 -Biological Resources and
Wetlands
3.7 -HvdroloQV and Water Resources
Page 43
San Jose to San Francisco High-Speed Train
Project BRIEIS Draft Scoping Report
Table 3.1.1: Summary of Written Public §COping Comments (Agencies)
•
,.,,;'4, ..
".t." . A. L.lFORNtA.
' ~ ....... ---.. ~
• Historic resources -evaluate impacts to the following resources (listed and
Southern Pacific Railroad Bridge
Southern Pacific Railroad Depot (University Avenue Caltrain Depot)
"Hostess House"
University Avenue Underpass
Embarcadero Underpass
Mariposa Avenue component of the "Southgate" historic district
3905 Park Boulevard
Significant mid-twentieth century modern properties near the HSR ROW
Greenmeadow neighborhood.
• Historic resources -identify alternatives that would reduce potential impacts to the
resources identified above.
• Historic resources -evaluate change in historic context to the Caltrain depot even if it is
not moved or directly impacted.
• Cultural resources -identify impacts to Native American archaeological sites located
M:::.bti",rn Creek.
• Recreation -evaluate impacts on City parks and recreational facilities.
• Recreation opportunities -with tunnel alternative, evaluate potential to have linear park
along the length of the ROW. .
•
• Greenhouse gases -analyze emissions of greenhouse gases during construction and
operation, including potential alternatives (elevated, at grade, underground).
• Greenhouse gases -document the reauction in greenhouse gases that has been made
4.0 -Section 4(f) and Section 6(f)
Evaluations
. Station
Land Use
3.2 -Air Quality
Page 44
San Jose to San Francisco High-Speed Train
Project EIR/EIS Draft Scoping Report
Table 3.1.1: Summary of Written Public Scoping Comments (Agencies)
~/;> ... ~. ,<,,' .
. LlFORNI,A
" ~~--.-.~'
• Community separation -identify how the potential alternatives (elevated, at grade,
underground) could divide. or connect the. community.
Land use -evaluate the impacts from land use development and parking surrounding
the HSR facilities.
Land use -based on an underground alternative, evaluate potential for development
rights (and sale) and potential impacts of that development.
• Land use -evaluate the impacts of the potential for high intensity land use development
around the station, including economic benefits (from new business and air right
developments).
• Land use/urban design -provide alternative design solutions with extensive urban
measures.
Property values -evaluate property values due to changes in noise, vibration, daily train
operations, aesthetics, and circulation.
• Eminent domain -evaluate the full economic cost of eminent domain.
Local businesses -evaluate economic impacts to local business districts (during
construction and nnprrttinn)
-evaluate potential funding mechanism from sale of air rights over an
nd rail alternative.
• Scoping report -provide draft Scoping Review report including alignments and
alternatives conSidered, and allow City to participate in final outcome of that report.
• Interim Status Report -create an Interim Status Report, provided to the City and to
include:
Ridership forecasts for HSR and Caltrain
Feasibility of HSR station locations
Number of tracks and ROW widths through PA
Eminent domain requirements for each alternative (elevated, at grade,
underground)
Construction details and phasing.
Regular meetings -meet with the City monthly to exchange information and provide
3.11 -Socioeconomics, Communities
and Environmental Justice
3.12 -Local Growth, Station
Planning, and Land Use
3.15 -Aesthetics and Visual Quality
3.11 -Socioeconomics, Communities
and Environmental Justice
2.0 -Alternatives
N/ A, but see california High-Speed
Train Coordination Plan -San Jose
to San Francisco Section
Page 45
San Jose to San Francisco High-Speed Train
Project EIR/EIS Draft Scoping Report
Table 3.1.1: Summary of Written Public Scoping Comments (Agencies)
city of Palo Alto
Office of the Mayor and
City Council
March 4, 2009
(encompassed fully in
subsequent April 1,
2009 letter)
City of Palo Alto
Office of the Mayor and
City Council
March 27, 2009
Town of Atherton,
California
Parks and Recreation
Commission
April 10, 2009
~ ... <','.,. .i:_--, <*' ( _ ... }:!!~~!:l
• Requests that urban design be as high a priority as engineering considerations.
• Requests collaborative team to develop urban design alternatives to include in the
EIR/EIS.
a Protect walkable, bikeable communities.
a Ensure that portions of the Town are not separated, physically or visually! from each
other.
• Keep local road crossings open.
• Evaluate at-grade, above-grade, and below-grade trench and tunnel options.
• Wants collaborative team (HSRA, caltrain, and HNTB) to develop project alternatives to
address all local concerns during scoping period.
• Maintain and improve the existing Caltrain Baby Bullet and local service.
a
a Scoping process -appreciates the participation and interaction up to this point and
wants to continue the process as an engaged participant.
• Process update -wants to be involved well before the Draft EIR/EIR would be
circulated. Wants to receive a draft of the Scoping Report and participate in its
preparation prior to finalization.
• Regular community meetings -supports HSR staff willingness to continue the meetings
• Park -acknowledge impacts to Holbrook-Palmer Park, a public recreation area as well as
cultural/historic resource, due to the widening of tracks and aSSOCiated infrastructure
needs, induding the installation of sounds walls.
a Historic resources -acknowledge impacts to historic/cultural resources within Holbrook-
Palmer Park and the Atherton station historic area due to chanaes to the J'llinnm",nt
• NOise/Aesthetics -cover proposed trenching, thereby reducing noise and visual
resources impacts and enhancing safety and community separation.
Mitigation measures -evaluate potential additional impacts that result from proposed
mitigation measures.
2.0 -Alternatives
3 .1-Transportation
3.12 -Local Growth, Station Planning
and Land Use
3.15 -Aesthetics and Visual Quality
N/A, but see California High-Speed
Train Coordination Plan -San Jose
to San Francisco Section
3.16 -Cultural Resources
4.0 -Section 4(f) and Section 6(f)
Evaluations
2.0 -Alternatives
3.3 -Noise and Vibration
3.11 -Socioeconomics, Communities
and Environmental Justice
3.0 -Affected EnVironment,
Environmental Consequences and
Page 46
San Jose to San Francisco High-Speed Train
Project BRIEIS Draft Scoping Report
Table 3.1.1: Summary of Written Public Scoping Comments (Agencies)
> ~!;~:,j~.(i!:~ll~f,:>j?: .~_i;.l$Q8.lliwi;i;{5i,m"" '~li:~~~'!%4;;;;i;:t(:S(~xrJlj(N;):~Sf~. ~;::2;IEI!~'8'T;):elW' .lS'I~CTt·t)NS~~~
Town of Atherton,
California
Office of the Mayor
March 18, 2009
~ ~.'-.!!~~l'!!!!
• Property taking -opposes the use of eminent domain to take a portion of Holbrook-2.0 -Alternatives
Palmer Park for the HSR. Suggests use of alternative (aerial, elevated fill, trench, 3.16 -Cultural Resources
underground, tunnel) to reduce the need for this taking. 4.0 -Section 4(f) and Section 6(f)
Evaluations
• Aesthetics -requests that urban design be as high a priority as engineering
considerations.
• Aesthetics -requests collaborative team to develop urban design alternatives to include
in the EIR/EIS.
• Traffic & circulation -protect walkable, bikeable communities.
• Community separation -ensure that portions of the Town are not separated, physically
or visually, from each other.
• Grade crossings -keep local road crossings open.
• Alternative design -evaluate at-grade, above-grade, and below-grade trench and tunnel
options.
• Alternative design -wants collaborative team (HSRA, Caltrain, and HNll3) to develop
project alternatives to address all local concerns during scoping period.
• Upgrade existing services -maintain and improve the existing caltrain Baby Bullet and
local service.
• Coordination with existing services -integrate HSR and caltrain :>t::rvi
2.0 -Alternatives
3.1 -Transportation
3.11 -Socioeconomics, Communities
and Environmental Justice
3.12 -Local Growth, Station
Planning, and Land Use
3.15 -Aesthetics and Visual Quality
Page 47
247 La Cuesta Drive
Portola Valley, CA 94028
(650) 854-0540 fax (650) 854-9702 smobile (650) 619':'5500
sherrylund@aol.com
TO:
FROM:
DATE:
RE:
The Honorable City Council
City of Palo Alto
Sherry Lund
July 16,2009
Proposed Evaluation Criteria for City Auditor
Attached is a draft of evaluation criteria for the City Auditor position. This draft was
developed with the involvement and input of Lynda Brouchoud. We drew on the City
Charter and City Municipal Code, both of which specifically outline the Auditor's
mandated role and accountabilities. Other parts of the draft reflect elements of good
leadership practice.
At the Monday, July 20 Council meeting, I will be asking for your comments, edits and
approval of this proposed criteria and evaluation form.
Thank you for your assistance and best regards,
Sherry Lund
Principal
City Auditor Performance Evaluation -City of Palo Alto
Employee: Lynda Brouchoud September 18, 2008 -June 30, 2009
Council Member:
Note: Continue hard copy comments on back or attach pages, if needed.
Exceeds Meets Needs
Out-Expecta-Expecta-Improve-Unsatis-
standing tlons tlons ment factory
1. 2008·2009 Accomplishments Against
Goals-from work plan and, if applicable,
previous Council goals.
Comments:
2. Audit Products and Re orts
The City Auditor:
• Produces credible and objective audit reports that provide useful information to
City leaders.
• Conducts audits that focus on improving the effectiveness, efficiency and economy
of City d!lpartments, programs, services, and activities (within audit scope).
• Conducts revenue monitoring activities and other audits to help safeguard City
assets (e.g., through fully and correctly capturing revenue).
• Establishes and updates audit processes and procedures in accordance with
Government Auditing Standards.
• Coordinates annual external financial audit with an independent public accounting .
firm selected by the City Council.
• Prepares and Issues annual report on the status of recommendations made in
completed audits.
• Maintains independence to ensure credibility and promote accountability.
Comments:
DRAFT Page 2
City Auditor Performance Evaluation -City of Palo Alto
echnical Competence and
rofesslonal Develo ment
The City Auditor:
• Demonstrates a command of her field of expertise and knowledge of Government
Auditing Standards.
• Engages in continuing professional education (CPE) activities to keep abreast of
new developments in her field, to continue to build skills, and to maintain required
credentials.
Comments (continue hard copy comments on back or on next page):
I 4. Council Relationship
The City Auditor:
Out-
standing
Exceeds
Expecta-
tions
Meets
Expecta-
tions
Needs
Improve-Unsatis-
ment factory
• Keeps Council members appropriately Informed of key auditor Issues on a timely
basis.
• Assures Council has access to Information when they need it.
• Demonstrate$ the ability to listen to performance feedback and translate that
feedback Into action.
• Is respectful, yet forthright In Interacting with Council.
Comments:
Please list any specific Improvement(s) that the City Auditor can make to strengthen her
relationship with Council.
DRAFT Page 3
City Auditor Performance Evaluation -City of Palo Alto
Needs
Out-
standing
Exceeds
expecta-
tions
Meets
Expecta-
tions
Improve-Unsatis-
ment factory
I 5. Public Relationship
The City Auditor:
• Is available and accessible to the public.
• Makes audit reports and other related Items accessible· to the public.
• Is a good representative of the City.
Comments:
6. Leadership (as a Department
Director
The City Auditor:
• Generally exercises sound judgment.
• Models good leadership with her sta" and in her role as a department dlreotor.
• Promotes the Office of the City Auditor's mission throughout the organization (to
promote honest, efficient, e"ective and fully accountable city government through
audits and examinations of any city department, program, service or activity).
• Promotes performance measurement and assessment through the Service E"orts
& Accomplishments Report.
• Makes herself available to City management to address requests for operational,
performance, or fiscal audits and reviews.
• Is able to balance day-to-day demands while also developing the strategic
direction of the City Auditor's Office.
Comments:
DRAFT Page 4
City Auditor Performance Evaluation -City of Palo Alto
Meets Needs
Out-
standing
Exceeds
Expecta-
tions
Expecta-Improve-Unsatis-
I 7. Talent Management
tlons . ment factory
The City Auditor:
• Attends to the creation and maintenance of a positive work environment within the
City Auditor's office (e.g., through regular communication, an environment of
openness, and good teamwork).
• Demonstrates the ability to recruit and manage high quality, diverse staff.
• Demonstrates the ability to retain high performers within limits of control (e.g.,
within the confines of pay scales, Job proximity and family/personal factors that
can lead to employee turnover).
• Engages in personnel issues appropriately (e.g., doesn't micromanage, but also
intervenes when the situation demands attention.)
• Works with employees to clarify expectations and goals and holds staff
accountable.
• Encourages high performance and continuous improvement among staff.
• Coaches staff members and assures that employees are engaging in professional
continuing education.
• Demonstrates good interpersonal skills.
Comments:
DRAFT Page 5
City Auditor Performance Evaluation -City of Palo Alto
I 7. Overall Strengths:
Comments:
I 8. Overall Areas for Development/Improvement:
Comments:
I 9. Overall Rating (Circle/highlight one)
Outstanding
5
DRAFT
Exceeds
Expectations
4
Meets
Expectations
3
Needs
Improvement
2
Unsatisfactory
1
Page 6
City Auditor Performance Evaluation -City of Palo Alto
"
110. Suggested City Auditor developmental goals for 2009-2010 -list these below
Comments:
I 11. CITY AUDITOR COMMENTS (may continue on back or add pages as needed):
5Ign8<l,-::-::-_______________________ _
Maror Date
5Ign8<l,~~~~~..."....-___,,_-~---------~~ ____ _
Chair, CAO Review Committee Date
5Ign8<l,:::-:-:---:---::-:-:--____________________ _
City Auditor Date
Signature does not indicate agreement with review comments. Signature acknowledges that
review discussion of comments and ratings took place on date above and that employee has
received a copy of evaluation comments.
DRAFT Page 7