HomeMy WebLinkAbout1997-03-17 City Council (21)City of Palo Alto
City Manager’s Report 1
TO:
FROM:
HONORABLE CITY COUNCIL
CITY MANAGER DEPARTMENT:PUBLIC WORKS
AGENDA DATE: MARCH 17, 1997 CMR:176:97
SIfBJECT:APPROVAL OF CONSULTANT CONTRACT WITH
RESOURCE MANAGEMENT ASSOCIATES FORWATER
QUALITY MODELING
REQUEST
This is a request for approval of a consultant contract with Resource Management
Associates (RMA) in the amount of $96,320 for Water Quality Modeling.
RECOMMENDATIONS
Staff recommends that Council:
Approve and authorize the Mayor to execute the attached one-year consultant
contract with RMA in the amount of $96,320 to perform Water Quality Modeling.
Authorize the City Manager or her designee to negotiate and execute one or more
change orders to the consultant contract with RMA for related, additional but
unforeseen work which may develop during the project, the total value of which
change orders shall not exceed $14,000.
POLICY IMPLICATIONS
The approval of this contract is consistent with existing policies.
EXECUTIVE SUMMARY.
Mathematical modeling of the discharge from the Regional Water Quality Control Plant
(RWQCP) to San Francisco Bay is needed to determine the dilution which is achieved
adjacent to the Plant’s discharge point. The calculated dilution ratio will be presented to
State and Federal regulatory agencies as part of an application for a Bay discharge permit
renewal in 1998. Staff will be recommending proposed new discharge limits based.on the
dilution information and a number of other factors currently being investigated.
CMR:176:97 Page 1 of 3
The Finance Committee and the Policy and Services Committee decided not to review the
proposed Scope of Work for the consultant contract at their regular meetings on
December 3, 1996 and December 10, 1996, respectively. Staff sent a request for
proposals to eight firms and allowed five weeks for submittal of proposals with a due date
of January 21, 1997. Three firms responded. A higher response rate was not expected
because the type of modeling required is highly specialized and performed by very few
firms.
The proposals were reviewed by s~ff from Public Works and all three firms were
interviewed. RMA was selected for the following reasons:
RMA developed the finite difference model which is often used for San Francisco
Bay work and was proposed to be used by two of the three proposers.
The finite difference model is, mathematically, a more robust representation of
physical phenomena in the Bay. Its results are therefore less subject to criticism by
regulatory agencies, academicians and environmental advocacy organizations.
RMA recently used its model for two similar situations in San Francisco Bay with
a favorable review by regulatory agencies. The recent experience of the other two
firms was not as directly applicable.
FISCAL IMPACT
Funds are available in the FY 1996-97 Wastewater Treatment fund operating budget.
ENVIRONMENTAL ASSESSMENT
These services do not constitute a project for the purposes of the California Environmental
Quality Act.
CONFLICT OF INTEREST
Staff, with the concurrence of the City Attorney, has determined that the consultant is
exempt from complying with the f’mancial disclosure provisions of the City’s conflict of
interest code, because the consultant’s range of duties and services to be provided under
the contract are limited in scope or are primarily ministerial in nature.
ATTACHMENT
Agreement
PREPARED BY: Phil Bobel, Manager, Environmental Compliance Division
CMR:176:97 Page 2 of 3
DEPARTMENT HEAD REVIEW :_~/~ "~--~.
GLENN S. ROBERTS
Director of Public Works
CITY MANAGER APPROVAL:
EMING
City Manager
CMR:176:97 Page 3 of 3
CONTRACT NO.
BETWEEN THE CITY OF PALO ALTO AND
RESOURCE MANAGEMENT ASSOCIATES
FOR CONSULTING SERVICES
This Contract No.is entered into ,
by and between the CITY OF PALO ALTO, a chartered city and a
municipal corporation of the State of California ("CITY"), and
RESOURCE MANAGEMENT ASSOCIATES, a California corporation, located
at 4171 Suisun Valley Road, Suite C,Suisun,CA 94585
("CONSULTANT").
RECITALS:
WHEREAS, CITY desires certain professional consulting
services ("Services") and the preparation and delivery of, without
limitation, one or more sets of documents, drawings, maps, plans,
designs, data, calculations, surveys, specifications, schedules or
other writings ("Deliverables") (Services and Deliverables are,
collectively, the "Project"), as more fully described in Exhibit "~’;
and
WHEREAS, CITY desires to engage CONSULTANT, including its
employees,, if any, in providing the Services by reason of its
qualifications and experience in performing the Services, and
CONSULTANT has offered to complete the Project on the terms and in
the manner set forth herein;
NOW, THEREFORE, in consideration of the covenants, terms,
conditions, and provisions of this Contract, the parties agree:
SECTION i. TERM
i.i This Contract will commence on the date of its
execution by CITY, and will terminate upon the completion of the
Project, unless this Contract is earlier terminated by CITY. Upon
the receipt of CITY’s notice to proceed, CONSULTANT will commence
work on the initial and subsequent Project tasks in accordance with
the time schedule set forth in Exhibit "A". Time is of the essence
of this Contract. In the event that the Project is not completed
within the time required through any fault of CONSULTANT, CITY’s
~city manager will have the option of extending the time schedule
for any period of time. This provision will not preclude the
recovery of damages for delay caused by CONSULTANT.
SECTION 2.SCOPE OF PROJECT; CHANGES & CORRECTIONS
2.1 The scope of Services and Deliverables constituting
the Project will be performed, delivered or executed by CONSULTANT
under the phases of the Basic Services as described below.
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2.2 CITY may order substantial changes in the scope or
character of the Basic Services, the Deliverables, or the Project,
either decreasing or increasing the amount of work required of’
CONSULTANT. In the event that such changes are ordered, subject to
the approval of CITY’s City Council, as may be required, CONSULTANT
will be entitled to full compensation for all work performed prior
to CONSULTANT’s receipt of the notice of change and further will be
entitled to an extension of the time schedule. Any increase in
compensation for. substantial changes will be determined in
accordance with the provisions of this Contract. CITY will not be
liable for the cost or payment of any change in work, unless the
amount of additional compensation attributable to the change in
work is agreed to, in writing, by CITY before CONSULTANT commences
the performance of any such change in work.
2.3 Where the Project entails the drafting and
submission of Deliverables, for example,, construction plans,
drawings, and specifications, any and all errors, omissions, or
ambiguities in the Deliverables, which are discovered by CITY
before invitations to bid on a construction project (for which the
Deliverables are required) are distributed by CITY, will be
corrected by CONSULTANT at no cost to CITY, provided CITY gives
notice to CONSULTANT.
2.4 Any and all errors, omissions, or ambiguities in the
Deliverables, which are discovered by CITY after the construction
contract is awarded by CITY, will be performed by CONSULTANT, as
follows: (a) at no cost to. CITY. insofar as those Services,
including the Basic Services or the Additional Services, as
described below, or both, will result in minor or nonbeneficial
changes in the construction work required of the construction
CONSULTANT; or (b) at CITY’s cost insofar as those Services,
including the Basic Services or the Additional Services, or both,
will add a direct and substantial benefit to the construction work
required of the construction CONSULTANT. The project manager in
the reasonable exercise of his or her discretion will determine
whether the Basic ’Services or the Additional Services, or both,
will contribute minor or substantial benefit to the construction
work.
SECTION 3. QUALIFICATIONS, STATUS, AND DUTIES OF
CONSULTANT
3.1 CONSULTANT represents andwarrants that it has the
expertise and professional qualifications to furnish or cause to be
furnished the Services and Deliverables. CONSULTANT further
represents and warrants that the project director and every
individual, including any consultant (including CONSULTANTs),
charged with the performance of the Services are duly licensed or
certified by the State of~California, to the extent such licensing
or certification is required by law to perform the Services, and
that the Project will be executed by them or under their
supervision. CONSULTANT will furnish to CITY for approval, prior
to execution of this Contract, a list of all individuals and the
970227 s$’n 0071150
names of their employers or principals to be employed as
consultants.
3.2 In reliance on the representations and warranties
set forth in this Contract~ CITY hires CONSULTANT to execute, and
CONSULTANT covenants and agrees that it will execute or cause to be
executed, the Project.
3.3 CONSULTANT will assign DONALD J. SMITH as the
project director to have supervisory responsibility for the
performance, progress, and execution of the Project. Mr. Smith
will also represent CONSULTANT during the day-to-day work on the
Project. If circumstances or conditions subsequent to the
execution of this Contract cause the substitution of the project
director or project coordinator for any reason, the appointment of
a substitute project director or substitute project coordinator¯
will be subject to the prior written approval of the project
manager.
3.4 CONSULTANT represents and warrants that it will:
3.4.1 Procure all permits and licenses, pay all
charges and fees, and give all notices which may be necessary and
incident to the due and lawful prosecution of the Project;
3.4.2 Keep itself fully informed of all existing and
future Federal, State of California, and local laws, ordinances,
regulations, orders, and decrees which may affect those engaged or
employed under this Contract and any~materials used in CONSULTANT’s
performance of the Services;
3.4.3 At all times observe and comply with, and cause
its employees and consultants, if any, who are assigned to the
performance of this Contract to observe and comply with, the laws,
ordinances, regulations, orders .and decrees mentioned above; and
3.4.4’ Will report immediately to the project manager,
in writing, any discrepancy or inconsistency it discovers in the
laws, ordinances, regulations, orders, and decrees mentioned above
in relation to the Deliverables.
3.5 Any Deliverables given to, or prepared or assembled
by, CONSULTANT or its consultants, if any, under this Contract will
become the property of CITY and will not be made available to any
individual or organization by CONSULTANT or its consultants, if
any, without the prior written approval of the city manager.
3.6 CONSULTANT will provide CITY with ten (i0) copies of
any documents which are a part of the Deliverables upon their
completion and acceptance by CITYo
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3.7 If CITY requests additional copies of any documents
which are a part of the Deliverables, CONSULTANT will provide such
additional copies and CITY will compensate CONSULTANT for its
duplicating costs.
3.8 CONSULTANT will be responsible for employing or
engaging all persons necessary to execute the Project. All
consultants of CONSULTANT will be deemed to be directly controlled
and supervised by CONSULTANT, which will be responsible for their
performance. If any employee or consultant of CONSULTANT fails or
refuses to carry out the provisions of this Contract~or appears to
be incompetent or to act in a disorderly or improper manner, the
employee or consultant will be discharged immediately from further
performance under this Contract on demand of the project manager.
3.9 In the execution of the Project, CONSULTANT and its
consultants, if any, will at all times be considered independent
contractors and not agents or employees of CITY.
3.10 CONSULTANT will perform- or obtain or cause to be
performed or obtained any and all of the following Additional
Services, not included under the Basic Services, if so authorized,
in writing, by CITY:
3.10.1 Providing services as an expert witness in
connection with any public hearing or meeting, arbitration
~ proceeding, or proceeding of a court of record;
3.10.2 Incurring traveland subsistence expenses for
CONSULTANT and its staff beyond those normally required under the
Basic Services;
3.10.3 Performing any other Additional Services that
may be agreed upon by the parties subsequent to the execution of
this Contract; and
3.10.4 Other Additional Services now or hereafter
described in an exhibit to this Contract.
3.11 CONSULTANT will be responsible for employing all
consultants deemed necessary, to assist CONSULTANT in the
performance of the Services. The appointment of consultants must
be approved, in advance, by CITY, in writing, and must remain
acceptable to CITY during the term of this Contract.
SECTION 4. DUTIES OF CITY
4.1 CITY will furnish or cause to be furnished the
services listed in Exhibit "A" and such information regarding, its
requirements applicable to the Project as may be reasonably
requested by CONSULTANT.
4.2 CITY will review and approve, as necessary, in a
timely manner the Deliverables and each phase of work performed by
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CONSULTANT. CITY’s estimated time of review and approval will be
furnished to CONSULTANT at the time of submission of each phase of
work. CONSULTANT acknowledges and understands that the
interrelated exchange of information among CITY’s various
departments makes it extremely difficult for CITY to firmly
establish the time of each review and approval task. CITY’s failure
to review and approve within the estimated time schedule will not
constitute a default under this Contract.
4.3 The city manager will represent CITY for all
purposes under this Contract. PHIL BOBEL is designated as the
project manager for the city manager. The project manager will
supervise the performance, progress, and execution of the Project.
4.4 If CITY observes or otherwise becomes aware of any
default in the performance of CONSULTANT, CITY will use reasonable
efforts to give written notice thereof to CONSULTANT in a timely
manner.
SECTION 5.COMPENSATION
5.1 CITY will compensate CONSULTANT for the following
services and work:
5.1.1 In consideration of the full performance of the
Basic Services, including any authorized reimbursable expenses,
CITY will pay CONSULTANT a fee not to exceed Ninety-Six Thousand
Three Hundred Twenty Dollars ($96,320)° The amount of compensation
will be calculated in accordance with the hourly rate schedule set
forth in Exhibit "B", on a time and materials basis, up to the
maximum amount set forth in this Section. The fees of the
consultants, who have direct contractual relationships with
CONSULTANT, will be approved, in advance, by CITY. CITY reserves
the right to refuse payment of such fees, if such prior approval is
not obtained by CONSULTANT.
5.1.2 The full payment of charges for extra work or
changes, or both, in the execution of the Project will be made,
provided such request for payment is initiated by CONSULTANT and
authorized, in writing, by the project manager. Payment will be
made within thirty (30) days of submission by CONSULTANT of a
statement, in triplicate, of itemized costs.covering such work or
changes, or both. Prior to commencing such extra work or changes,
or both, the parties will agree upon an estimated maximum cost for
such extrawork or changes. CONSULTANT will not be paid for extra
work or changes, including, without limitation, any design work or
change order preparation, which is made necessary on account of
CONSULTANT’s errors, omissions, or oversights.
5.1o3 Direct personnel expense of employees assigned
to the execution of the’Project by CONSULTANT will include only the
work of architects, engineers, designers, job captains,
draftspersons, specification writers and typists, in consultation,
research and design, work in producing drawings, specifications and
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other documents pertaining to the Project, and in services rendered
during construction at the site, to the extent such services are
expressly contemplated under this Contract. Included in the cost
of direct personnel expense of these employees are salaries and
mandatory and customary benefits such as statutory employee
benefits, insurance, sick leave, holidays and vacations, pensions
and similar benefits.
5.2 The schedule of payments will be made as follows:
5.2.1 Payment of the Basic Services will be made in
monthly progress payments in proportion to the quantum of services
performed, or in accordance with any other schedule of payment
mutually agreed upon by the parties, as set forth in Exhibit "B",
or within thirty (30) days of submission, in triplicate, of such
requests if a schedule of payment is not specified. Final payment
will be made by CITY after CONSULTANT has submitted all
Deliverables, including, without limitation, reports which have
been approved by the project manager.
5.2.2 Payment of the Additional Services will be
made in monthly progress payments for services rendered, within
thirty (30) days of submission, in triplicate, of such requests.
5.2.3 No deductions will be made from CONSULTANT’s
compensation on account of penalties, liquidated damages, or other
sums withheld by CITY from~payments to general contractors.
SECTION 6.ACCOUNTING, AUDITS, OWNERSHIP OF RECORDS
6.1 Records of the direct personnel expenses and
expenses incurred in connection with the performance of Basic
Services and Additional Services pertaining to the Project will be
prepared, maintained, and retained by CONSULTANT in accordance with
generally accepted accounting principles and will be made available
to CITY for auditing purposes at mutually convenient times during
the term of this Contract and for three (3) years following the
expiration or earlier termination of this Contract.
6.2 The originals of the Deliverables prepared by or
under the direction of CONSULTANT in the performance of this
Contract will become the property of CITY irrespective of whether
the Project is completed upon CITY’s payment of the amounts
required to be paid to CONSULTANT. These originals will be
delivered to CITY without additional compensation. CITY will have
the right to utilize any final and incomplete drawings, estimates,
specifications, and any other documents prepared hereunder by
CONSULTANT, but CONSULTANT disclaims any responsibility or
liability for any alterations or modifications of such documents.
SECTION 7. INDEMNITY
7.1 CONSULTANT agrees to protect, indemnify, defend and
hold harmless CITY, its °Council members, officers, employees and
970227 syn 0071150
agents, from any and all demands, claims, or liability of any
nature, including death or injury to any person, property damage or
any other loss, caused by or arising out of CONSULTANT’s, its
officers’, agents’, consultants’ or employees’ negligent acts,
errors, or omissions, or willful misconduct, or conduct for which
applicable law may impose strict liability on CONSULTANT in the
performance of or failure to perform its obligations under this
Contract.
SECTION 8.WAIVERS
8.1 The waiver by either party of any breach or
violation of any covenant, term, condition or provision of this
Contract or of the provisions of any ordinance or law will not be
deemed to be a waiver of any such covenant, term, condition,
provision, ordinance, or law or of any subsequent breach or
violati.on of the same or of any other covenant, term, condition,
provision, ordinance or law. The subsequent, acceptance by either
party of any fee or other money which may become due hereunder will
not be deemed to be a waiver of any preceding breach or violation
by the other party of any covenant, term, condition or provision of
this Contract or of any applicable law or ordinance.
8.2 No payment, partial payment, acceptance, or partial
acceptance by CITY will operate as a waiver on the part of CITY of
any of its rights under this Contract°
SECTION 9.INSURANCE
9.1 CONSULTANT, at its sole cost and expense, will
obtainand maintain, in full force and effect during the term of
this Contract, the insurance coverage described in Exhibit "C",
insuring not only CONSULTANT and its consultants, if any, but also,
with the exception of workers’ compensation, employer’s liability
and professional liability insurance, naming CITY as an additional
insured concerning CONSULTANT’s performance under this Contract.
9.2 All insurance coverage required hereunder will be
provided through carriers with Best’s Key Rating Guide ratings of
A:X or higher which are admitted to transact insurance business in
¯ the State of California. Any and all consultants of CONSULTANT
retained to perform Services under this Contract will obtain and
maintain, in full ~ force and effect during the term of this
Contract, identical insurance coverage, naming CITY as an
additional insured under such policies as required above.
9.3 Certificates of such insurance, preferably on the
forms provided by CITY, will be filed with CITY concurrently with
the execution of this Contract. The certificates will be subject
to the approval of CITY’s risk manager and will contain an
endorsement stating that the insurance is primary coverage and will
not be canceled or altered by the insurer except after filing with
the CITY’s city clerk thirty (30) days’ prior written notice of such
cancellation or alteration, and that the City of Palo Alto is named
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as an additional insured except in policies of workers’
compensation, employer’s liability, and professional liability
insurance. Current certificates of such insurance will be kept on
file at all times during the term of this Contract with the city
clerk.
9.4 The procuring of such required policy or policies
of insurance will not be construed to limit CONSULTANT’s liability
hereunder nor to fulfill the indemnification provisions of this
Contract. Notwithstanding the policy or policies of insurance,
CONSULTANT will be obligated for the full and total amount of any
damage, injury, or loss caused by or directly arising as a result
of the Services performed under this Contract, including such
damage, injury, or loss arising after the Contract is terminated or
the term has expired.
SECTION i0.WORKERS’ COMPENSATION
i0.i CONSULTANT, by executing this Contract, certifies
that it is aware of the provisions of the Labor Code of the State
of California which require every employer to be insured against
liability for workers’ compensation or to undertake self-insurance
in accordance with the provisions of that Code, and certifies that
it will comply with such provisions, as applicable, before
commencing the performance of the Project.
PROJECT
SECTION ii TERMINATION OR SUSPENSION OF CONTRACT OR
ii.I The city manager may suspend the execution of the
Project, in whole or in part, or terminate this Contract, with or
without cause, by giving thirty (30) days’ prior written notice
thereof to CONSULTANT, or immediately after submission to CITY by
CONSULTANT of any completed item of Basic Services. Upon receipt
of such notice, CONSULTANT will immediately discontinue its
performance under this Contract.
11.2 CONSULTANT may terminate this Contract or suspend
its execution of the Project by giving thirty (30) days’~prior
written notice thereof to CITY, but only in the event of a
substantial failure of performance by CITY or in the event CITY
indefinitely withholds or withdraws its request for the initiation
or continuation of Basic Services or the executionof the Project.
11.3 Upon such suspension or termination by CITY,
CONSULTANT will be compensated for the Basic Services and
Additional Services performed and Deliverables received and
approved prior to receipt of written notice from CITY of such
suspension or abandonment, together with authorized additional and
reimbursable expenses then due. If the Project is resumed after it
has been suspended for more than 180 days, any change in
CONSULTANT’s compensation will be subject to renegotiation and, if
necessary, approval of CITY’s City Council. If this Contract is
suspended or terminated on account of a default by CONSULTANT, CITY
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will be obligated to compensate CONSULTANT only for that portion of
CONSULTANT’s services which are of direct and immediate benefit to
CITY, as such determination may be made by the city manager in the
reasonable exercise of her discretion.
11.4 In the event of termination of this Contract or
suspension of work on the Project by CITY where CONSULTANT is not
in default, CONSULTANT will receive compensation as follows:
11.4.1 For approved items of services, CONSULTANT will
be compensated for each item of service fully performed in the
.amounts authorized ~under this Contract.
11.4.2 For approved items of services on which a
notice to proceed is issued by CITY, but which are not fully
performed, CONSULTANT will be compensated for each item of service
in an amount which bears the same ratio to the total fee otherwise
payable for the performance of the service as the quantum of
service actually rendered bears to the services necessary for the
full performance of that item of service.
11.4.3 The total compensation payable under the
preceding paragraphs of this Section will not exceed the payment
specified under Section 5 for the respective items of service to be
furnished by CONSULTANT.
11.5 Upon such suspension or termination, CONSULTANT
will~ deliver to the city manager immediately any and all copies of
the Deliverables, whether or not completed, prepared by CONSULTANT
or its consultants, if any, or given to CONSULTANT or its
consultants, if any, in connection with this Contract° Such
materials will become the property of CITY.
11.6 The failure of CITY to agree with CONSULTANT’s
independent findings, conclusions, or recommendations, if the same
are called for under this Contract, on the basis of differences in
matters of judgment, will not be construed as a failure on the part
of CONSULTANT to fulfill its obligations under this Contract.
SECTION 12. ASSIGNMENT
12ol This Contract is for the personal services of
CONSULTANT, therefore, CONSULTANT will not assign, transfer,
convey, or otherwise dispose of this Contract or any right, title
or interest in or to the same or any part thereof without the prior
written consent of CITYo A consent to one assignment will not be
deemed to be a consent to any subsequent assignment. Any
assignment made without the approval of CITY will be void and, at
the option of the city manager, this Contract may be terminated°
This Contract will not be assignable by operation of law.
970227 syn 0071150
SECTION 13.NOTICES
13.1 All notices hereunder will be given, in writing,
and mailed, postage prepaid, by certified mail, addressed as
follows:
To CITY:Office of the City Clerk
City of Palo Alto
Post Office Box 10250
Palo Alto, CA 94303
To CONSULTANT: Attention of the project, director
at the address of CONSULTANT recited above
SECTION 14. CONFLICT OF INTEREST
14.1 In accepting this Contract, CONSULTANT covenants
that it presently has no interest, and will not acquire any
interest, direct or indirect, financial or otherwise, which would
conflict in any manner or degree with the performance ~of the
Services.
14.2 CONSULTANT further .covenants that, in the
performance of this Contract, it will not employ contractors or
persons having such an interest mentioned above. CONSULTANT
certifies that no one who has or will have any financial interest
under this Contract is an officer or employee of CITY; this
provision will be interpreted in accordance with the applicable
provisions of the Palo Alto Municipal Code and the Government Code
of the State of California.
SECTION 15.NONDISCRIMINATION
15.1 As set forth in the Palo AltoMunicipal Code, no
discrimination will be made in the employment of persons under this
Contract because of the age, race, color, national origin,
ancestry, religion, disability, sexual preference or gender of such
person. If the value of this Contract is, or may be, five thousand
dollars ($5,000) or more, CONSULTANT agrees to meet all
requirements of the Palo Alto Municipal Code pertaining to
nondiscrimination in employment, including completing the requisite
form furnished by CITY and set forth in Exhibit "D"
15.2 CONSULTANT agrees that each contract for services
from independent providers, will contain a provision substantially
as follows:
"[Name of Provider] will provide CONSULTANT
with a certificate stating that [Name of
Provider] is currently in compliance with all
Federal and State of California laws covering
nondiscrimination in employment; that [Name of
Provider] will pursue an affirmative course of
action as required by the Affirmative Action
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Guidelines of the City of Palo Alto; and that
[Name of Provider] will not discriminate in
the employment of any person under this
contract because of the age, race, color,
national origin, ancestry, religion,
disability, sexual preference or gender of
such person. "
15.3 If CONSULTANT is found in violation of the
nondiscrimination provisions of the State of California Fair
Employment Practices Act or similar provisions of Federal law or
executive order in the performance of this Contract, it will be in
default of this Contract. Thereupon, CITY will have the power to
cancel or suspend this Contract, in whole or in part, or to deduct
the sum of twenty-five dollars ($25) for each person for each
calendar day during which such person was subjected to
discrimination, as damages for breach of contract, or both. Only
a finding of the State of California Fair Employment Practices
Commission or the equivalent federal agency or officer will
constitute evidence of a breach of this Contract.
15.4 If CONSULTANT is found in default of the
nondiscrimination provisions of this contract or the applicable
Affirmative Action Guidelines pertaining to this Contract,
CONSULTANT will be found in material breach of this Contract.
Thereupon, CITY will have the power to cancel or suspend this
Contract, in whole or in part, or to deduct from the amount payable
to CONSULTANT the sum of two hundred fifty dollars ($250) for each
calendar day during which CONSULTANT ~s not in compliance with this
provision as damages for breach of contract, or both.
SECTION 16. MISCELLANEOUS PROVISIONS
16.1 CONSULTANT represents and warrants that it has
knowledge of the requirements of the federal Americans with
Disabilities Act of 1990, and the Government Code and the Health
and Safety Code of the State of California, relating to access to
public buildings and accommodations for disabled persons, and
relating to facil±ties for- disabled persons. CONSULTANT will
comply with or ensure by its advice that compliance with such
provisions will be effected pursuant to the terms of this Contract°
16.2 Upon ~the agreement of the parties, any controversy
or claim arising out of or relating to this Contract may be settled
by arbitration in accordance with the Rules of the American
Arbitration Association, and judgment upon the award rendered by
the Arbitrators may be entered in any court having jurisdiction
thereof.
16.3 This Contract will be governed by the laws of the
State of California, excluding its conflicts of law.
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16.4 In the event that an action is brought, the parties
agree that trial of such action will be vested exclusively in the
state courts of California or in the United States District Court
for the Northern District of California in the County of Santa
Clara, State of California.
16.5 The prevailing party in any action brought to
enforce the terms of this Contract or arising out of this Contract
may recover its reasonable costs and attorneys’ fees expended in
connection with that action.
16.6 This document represents the entire and integrated
Contract between the parties and supersedes all prior negotiations,
representations, and contracts, either written or oral. This
document may be amended only by a written instrument, which is
signed by the parties.
16.7 All provisions of this Contract, whether covenants
or.conditions, will be deemed to be both covenants and conditions.
16.8 The covenants, terms, conditions and provisions of
this Contract~will apply to, and will bind, the heirs, successors,
executors, administrators, assignees, and consultants, as the case
may be, of the parties.
16.9 If a court of competent jurisdiction finds or rules
that any provision of this Contract or any amendment thereto is
void or unenforceable,~ the unaffected provisions of this Contract
and any amendments thereto will remain in full force and effect.
16.10 All exhibits referred to in this Contract and any
addenda, appendices, attachments, and schedules which, from time
to time, may be referred to in any duly executed amendment hereto
are by such reference incorporated in this Contract and will be
deemed to be a part of this Contract.
16.11 This Contract may be executed in any number of
counterparts, each of which will be an original, but all of which
together will constitute one and the same instrument.
16.12 This Contract is subject to the fiscal provisions
of the Charter of the City of Palo.Alto and the Palo Alto Municipal
Code. This Contract~will terminate without any penalty (a) at the
end of any fiscal year in the event that funds are not appropriated
for the following fiscal year, or (b) 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 16.12 will take precedence in the event of
a conflict with any other covenant, term, condition, or provision
of this Contract.
970227 syn 0071150
12
IN WITNESS WHEREOF, the parties hereto have by their duly
authorized representatives executed this Contract on the date first
above written.
ATTEST:CITY OF PALO ALTO
City Clerk
APPROVED AS TO FORM:
Mayor
Senior Asst. City Attorney
APPROVED:
Assistant City Manager
Director of Public Works
RESOURCE MANAGEMENT ASSOCIATES
By:
~
Its:
Taxpayer’s I.D. No.96-2267554
Deputy CityManager,
Administrative Services
Risk Manager
.Attachments:
EXHIBIT "A":
EXHIBIT "B":
EXHIBIT "C":
EXHIBIT "D":
SCOPE OF PROJECT & TIME SCHEDULE
RATE SCHEDULE
INSURANCE
NONDISCRIMINATION COMPLIANCE FORM
970227 syn 0071150
13
CERTIFICATE OF ACKNOWLEDGMENT
(Civil Code ~ 1189)
STATE OF California )
) ss.
COUNTY OF Solano )
On March 3,, 1997, before me, D. Phillips ,
a Notary Public in and for said County and State, personally
appeared Donald J. Smith , p ...... ~i~ knewr~-~e-me
or proved to me on the basis of satisfactory evidence to be the
person(s) whose name(s) ~are subscribed to the within instrument
and acknowledged to me that ~/she/they executed the same in
%~g/her/their authorized capacity(ies), and that by./her/their
nature(s) on the instrument the person(s), or the entity upon
behalf of which the person(s) acted, executed the instrument.
WITNESS my hand ~and official seal.
¯PHILLIPS
Comm #1001193
~YPUeLI; CALIFORNIA~
SOLANO (;OUNTYComm Expires Aug 28, !997
Signature of Notary ic
970227 syn 0071150
14
EXHIBIT "A"
REGIONAL WATER QUALITY CONTROL PLANT
MATHEMATICAL MODELING
SCOPE OF PROJECT & TIME SCHEDULE
Scope of Project
Consultant shall utilize a mathematical water quality model which is able to
realistically reproduce the discharge and dilution conditions. The requisite model
must be capable of:
ao
bo
Simulating the areas of the lower South San Francisco Bay as a two
dimensional depth averaged continuum in a dynamic time mode;
Accurately replicating the geometry of the South Bay, specifically the
channels and sloughs through the mudflats, areas of marsh, local creeks,
irregular shoreline, and bathymetry;
Co Representing the discharge area at a high level of spatial detail to accurately
represent the steep concentration gradients that occur at low tide and
minimize the possibility of numerical errors in the solution;
do Representing the complete San Francisco Bay system to best reproduce the
complex tidal currents of the South Bay and to evaluate cumulative effects
of RWQCP pollutant loadings with regard to all other sources; and
Simulating the shallow flow, exposure, and re-wetting ofmudflats and
marsh during the tidal cycle, and the transport of treated effluent over such
areas.
The model shall utilize numerical codes best suited to the complex geometric and
flow conditions described above. A two-dimensional depth-averaged variable grid
based continuum models for flow and water quality shall be employed.
The model must be capable of determining dilution and pollutant levels area wide
on an instantaneous, 24-hour average, and 96-hour average basis.
The modeling package should contain a Graphical Users Interface (GUI) to
facilitate presentation of model results to City personnel, consultants to the City,
regulatory agencies, and the interested public. The GUI program should be able to
show animations of effluent plumes and tidal currents, and be capable of extracting
profile and times series plots of dilution and pollutant concentrations.
SCOPE of PROJECT or SERVICES City of Palo Alto
Tasks
1.
2.
Review Available Data, Develop Modeling Scenarios, Prepare Emj_e_c.t
Work with City personnel and City’s consultants and determine the
appropriate hydrologic conditions and RWQCP discharge scenarios for the
dilution analysis. With the information provided by City personnel and
consultants, configure the model for the simulation of pollutant loading,
insuring all sources to the lower South Bay are included. At this time,
Copper is the only pollutant planned for analysis. Prepare a project work
plan and schedule consistent with Part C below.
Develo~ Numerical Model Representation
Using available bathymetric information, develop a detailed model
representation of the lower South San Francisco Bay, in particular in the
area of the RWQCP discharge. The consultants model representation shall
include the greater San Francisco Bay system.
Hydrodynamics Model Calibration
Once the model system is developed, the consultant shall demonstrate that
the model reproduces the tidal currents and water surface elevations in the
lower South San Francisco Bay by comparison with available USGS current
meter and tidal stage data.
Water Quality Model Calibration - Dilution
The City of Palo Alto commissioned a tracer dye study in 1990 by
Woodward-Clyde Consultants in a previous RWQCP effluent dilution
analysis. Using the model, the consultant will reproduce the hydrologic and
tracer release conditions of the dye study. To the extent possible, the
¯ consultant will use the results of the study to validate and calibrate the
model.
Water Quali .ty Model Calibration - Dissolved Copper
The Regional Monitoring Program (RMP) dissolved copper data included
measurements at various locations in the South Bay. Using the model, the
consultant will simulate the condition of each of the 1994 and 1995 RMP
sampling events to assess the model’s capability for predicting observed
ambient dissolved copper concentrations..
SCOPE of PROJECT or SERVICES City of Palo Alto
ambient dissolved copper concentrations.
3_,Dilution Analysis
The City will provide the consultant with discharge scenarios for the
dilution analysis. The consultant will simulate the fate of a conservative
tracer released in the RWQCP effluent stream to determine the dilution
levels and area of dilution for the discharge water in the lower South San
Francisco Bay. The hydrodynamics of the simulation shall incorporate
entire 14-day and 28-day spring-neap tidal cycles to encompass the possible
worse case dilution conditions. The results will be processed to determine .
the dilution values and areas for a 1-hour, 24-hour, and 96-hour averaging
period.
4.Analysis of Dilution Zone Copper Levels
Using the estimated copper loadings for the RWQCP and other South Bay
dischargers, the consultant will perform numerical modeling to evaluate
copper levels in the dilution zone when the cumulative effects of all other
significant sources of copper are considered. The modeled time varying
copper values are to be processed to derive the 1-hour, 24-hour, and 96-
hour average concentrations of copper in the dilution zone. The
corresponding dilution zone is to bemapped, and the surface area and
corresponding water volume to be determined. Various runs will be
performed and the sensitivity of the outcome to key variables is to be
determined.
2.Schedule
CONSULTANT shall adhere to the following schedule:
2.
3.
4.
Submit Project Workplan and detailed schedule:
Complete Modeling:
Submit Draft Report-to City
Submit FinalReport to City..
March 15, 1997
July 1, 1997
August 1, 1997
October 1, 1997
EXHIBIT "B"
RATE SCHEDULE
FOR
RESOURCE MANAGEMENT ASSOCIATES
Principle Engineer
Senior Engineer
Associate Engineer
$110/hour
$80/hour
$66/hour
I:~PHIL~LETTERS1CONTRACTtWQMODEL2. WPD
PRODUCER
INSURED
ADAMS & PARKER
317 LENNON LANE
THIS CERTIFICATE IS ISSUED AS A MATTER OF
ONLY AND CONFERS NO RIGHTS UPON THE CERTIFI(
HOLDER. THIS CERTIFICATE DOES NOT AMEND, EXTEND OE
ALTER THE COVERAGE AFFORDED BY THE POLICES BELOW.
COMPANIES AFFORDING COVERAGE
WALNUT CREEK CA 94598
RESOURCE MGMT
4171 SUISUN VALLEY RD UNIT C
SUISUN CA 94585
COMPANYA THE’HARTFORD
COMPANYB
COMPANY
c
COMPANY
THIS IS TO CERTIFY’ THAT THE POUCIES OF INSURANCE USTED BELOW HAVE BEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICY PERIOD
INDICATED, NOTWITHSTANDING ANY REQUIREMENT, TERM OR CONDmON OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THIS
CERTIFICATE MAY BE ISSUED OR MAY PERTAIN, THE INSURANCE AFFORDED BY THE POUCIES DESCRIBED HEREIN IS SUBJECT TO All THE TERMS,
EXCLUSIONS AND CONDmONS OF SUCH POUCIES. UMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS.
CO POUCY EFFECR3VE POLICY EXPIRATION
LIR POLICY NUMBER DATE (MMiDD/YY)DATE (MM/DD/YY)LIMITS
.~57SBADS4065 7/01/96 7/01/97 2,000,00C
TYPE OF INSURANCE
GENERAL
~MERCIALGENERAL MABIMTY
CLAIMS MADE [] ,OCCUR
ER’S & CONTRACTOR S PROT
X ~Y A~O
ALL OWNED AUTOS
SCHEDULED AUTOS
X HIRED AUTOS
X NON-OWNED AUTOS
GARAGE LLABIUTY
ANY AUTO
~UMBRELLA FORM
OTHER THAN UMBRELLA FORM
WORKERS COMPEN.~AllON ANB
EMPLOYERS’ LIABILITY
THE PROPRIETOR/I I INCLPARTNERStEXECUTIVE
OFFK~ERS ARE:EXCL
Oll"IER
57SBADS4065 7/01/96 7101197
GENERAL AGGREGATE
PRODUCTS - COMP/OP AGG
PERSONAL & ADV INJURY
EACH OCCURRENCE
FIRE DAMAGE (Any one fire)
MED EXP (.~V o~ pemon)
$
$
$
$
$
$
COMBINED SINGLE UMIT
BODILY INJURY(P~ p~o~)
BODILY INJURY
(P~’ acck:l~tt)
PROPERTY DAMAGE
AUTO ONLY - EA ACCIDENT
OTHER THAN AUTO ONLY:
EACH ACCIBENT
AGGREGATE
EACH OCCURRENCE
AGGREGATE
I STATUTORY UMITS
EACH ACCIDENT
DISEASE - POLICY UMIT
DISEASE -EACH EMPLOYEE
1,000~00C
1,000~00C
300~00C
10{00C
$
$
$
DES~P110N OF OPE~A’~O~I.0CA’IIOH~VEHK~EG/~CU~ ITEM8
CERTIFICATE HOLDER IS NAMED AS ADDITIONAL INSURED.
CITY OF PALO ALTO
ATTN: PHIL BOBEL
250 HAMILTON AVENUE
PALO ALTO CA 94301
SHOULD .ANY OF TI~ ,ABOVE DE$CRI~.D POLICIF~ BE CANCELLED BEFORE THE
EXPIRATION DATE THEREOF, THE BSUING COMP,M~IY WK.L EI~q~)EAVOR TO MAIL
~ BAYS WRrI"T~N NOTICE TO ~ CER’rK:ICATE HOLDER NAMED TO THE LEFT,
BUT FAILURE TO MA~. 8UCfl NOTICE 8H~J.L ~MPOSE NO OBLIGIA’RO~I OR IJA~ltJTY
OF ANY KIHD UPON TH~ COMPANY, 1~8 AGENT8 OR REPRESENTATIVES.
AUTHORI2~D REPRESENTATW£
JohnParker Y
INITIATING PHASE OF THE
SANTA CLARA BASIN WATERSHED MANAGEMENT INITIATIVE
EXECUTIVE SUMMARY
The Santa Clara Basin Watershed Management Initiative (W!vII) recognizes that the most
effective environmental management, of the bay and its surrounding watershed comes out of
partnership and cooperation among diverse interests. The WMI formalizes a new approach to
watershed and bay protect!on that derives its strength from involvement of local government,
business, resource agencies, agriculture, public interest groups, and the public-at-large in
watershed planning from the earliest stages. This approach allows the community to develop its
own vision of watershed use and protection, which can be continued and improved long after a
focused planning effort is completed.
The highly urbanized Santa Clara Basin is one of the first targeted watersheds of the statewide
W!vii, specified by the San Francisco Bay Regional Water Quality Control .Board. The Santa
Clara Basin includes all waterways that drain into San Francisco Bay south of the narrows at the
Dumbarton Bridge, as well as the Santa Clara Valley Groundwater Basin. Most of the Santa
Clara Basin is located in Santa Clara County. The water quality, water supply, flood control,
water-related habitat, land use, and regulatory issues of the area are numerous and complex.
These issues necessitate the development of an approach that allows for targeting priority
problems, incorporating stakeholder interests, and shifting resources among watershed issues as
they are either resolved or identified as priorities.
During the first meeting of stakeholders in June 1996, participants cooperatively drafted a
mission statement for the Santa Clar~i Basin WMI, as follows. "The goal of this Watershed
Management effort is an ongoing process of managing activities and natural processes of our
watershed in a practical manner which maximizes the benefits and minimizes the adverse impacts
on the environment for the benefit of the community and recognizes the quality of life and our
diversity. The process will provide an. encompassing and integrated plan, based on broad input,
with clear priorities and that will allow for adjustment and flexibility based on results and data."
The attached documents record the initiating phase of the Santa Clara Basin WMI. The
stakeholders that have gathered to participate in this effort represent a wide range of interests,
including but not limited to local government, the Santa Clara Valley Water District, business
and industry, land develoigment, environmental organizations, agriculture, and state and federal
regulatory agencies. With these diverse interests represented at monthly core group meetings,
and within subgroups working on specific topics with technical experts, the prospects for
comprehensive and effective watershed management are excellent.
With the completion of the initiating phase in October 1996, stakeholders in the Santa Clara
Basin are moving into.the.two,year planning phase. The productof this planning phase will be a
comprehensive watershed plan that incorporates stakeholder input and extensive outreach, which.
will guide watershed management activities into the next century as the Santa Clara Basin. WMI
moves into its implementation phase.
Documentation of.Initiating Phase of Santa Clara Basin
Watershed Management Initiative
September 30, 1996
The .Watershed Management Initiative for the San Francisco Bay Regional Water Quality
Control Board (RWQCB) specifies the Santa Clara Basin as one of itsfirst targeted watersheds.
The Santa Clara Basin includes all waterways that drain into San Francisco Bay south of the
narrows at the Dumbarton Bridge (Lower South Bay). Most of the Santa Clara Basin is located
in Santa Clara County. This report documents the steps of the Initiating Phase of the watershed
planning effort, which began in April 1996 and should be completed by the beginning of October
1996.. Subsequent to completion of the Initiating Phase, the watershed planning effort will move
into a one-and-a-half to two-year Planning Phase.
The Supersystem concept is a useful approach to the complex task of developing and
implementing public policy for watershed management. The concept was introduced by William
H. Cutler, Ph.D., systems engineer, who developed the idea for the San Franeisquito Creek
Coordinated Resource Management and Planning (CRMP) process. This concept recognizes that
the life cycle of such a planning effort goes through phases of maturity, which operate within the
context of the surrounding physical, economic, social, and political environment. The phases
are: 1) Getting Started (Initiating Phase); 2) Finding the Solution (Planning Phase); and 3) Doing
the Solution (Operating or Implementing Phase). Typical functions carried out during the
Initiating Phase ar.e listed below, along with discussions of how the watershed management
initiative efforts completed to da~e have performed these functions.
(1) Identify the Need
Throughout the nation, there is a growing consensus that many of the existing watershed
problems can best be addressed by a more integrated, basin-wide approach. Presently, most State
programs are focused on the National Pollution Discharge Elimination System (NPDES) permit
program, which has led to stringent control of point source discharges. Some watershed
problems have not been solved through this approach, ’ however, because not all pollution or
degradation of beneficial uses1 in a watershed occur due to point sources of pollution. The
watershed management approach expands the scope of water quality protection, and has fou~
major features: targeting priority problems, a high level of stakeholder involvement, integrated
solutions that make use of the expertise and authority of multiple agencies, and measuring
success through strategic monitoring and other data gathering. Stakeholders in the Santa Clara
~ Designated Beneficial Uses ofwaterbodies are defined in theFederal Regulations implementing the Clean
Water Act as those uses specified in water quality standards for each waterbody or segment whether or not they are
being attained [40 CFR 131.3(f)]. The California Water Code defines beneficial uses of waters of the state as
including, but not limited to; domestic, municipal, agricultural and industrial supply; power generation; recreation
(e.g., swimming, windsurfmg); aesthetic enjoyment; navigation; and preservation and enlaaneement of fish, wildlife,
endm~gered species, and other aquatic resources or preserves [Section 13050(f)].
Basin have identified a need to develop a watershed plan that will facilitate the implementation
of the watershed management approach in the area.
Many RWQCBs have supported watershed protection efforts through their Basin Planning and
nonpoint source programs for a number of years. In contrast, internal RWQCB coordination and
possible restructuring to support water quality protection on a watershed basis is only recently
being attempted. The San Francisco Bay RWQCB has targeted two watersheds, Napa River and
Santa Clara Basin, as pilot efforts to develop true watershed-based wat.er quality and habitat
protection programs. Lessons learned from these efforts, located in predominantly rural and
urban watersheds, respectively, will be used to implement continuing watershed management
throughout additional watersheds within the Region and State.
(2) Create a Working Problem Definition
During the first meeting of stakeholdersin June 1996, described below under section (8)i
participants cooperatively drafted a mission statement for the Watershed Management Initiative
in the Santa Clara Basin, as follows. "The goal of this Watershed Management effort is an
ongoing process of managing activities and natural processes of our watershed in a practical
manner which maximizes the benefits and minimizes the adverse impacts on the environment for
the benefit of the community and recognizes the quality of life and our diversity. The process
will provide an encompassing and integrated plan, based on broad input, with clear priorities and
that will allow for adjustment and flexibility based on results and data."
From a regulatory standpoint, Lower South Bay has beenlisted as an impaired waterbody~.
Concentrations of certain toxic pollutants exceed water quality criteria in this poorly flushed
portion of the bay, and aquatic and riparian habitats are in various states of degradation. Because
the waterbody is considered to be impaired, the. RWQCB has placed stringent limitations in the
permits of the POTW’s (publicly-owned.treatment works) or point soiarces, which have led to
some water quality improvements, but have also led to legal controversy. In the cases of some
pollutants, stringent limitations on the POTW’s could lead to substantial costs while not resulting
in significant improvements in the waterbody, because the majority of such pollutant~ comes
from other sources, such as urban runoff or air deposition. An .example of one of the
impediments to achieving the goal of the mission statement is the program-specific approach of
the RWQCB’s permitting program..
The water quality and habitat issues of the Santa Clara Basin are numerou~ and complex, and
necessitate the development of an approach that allows for targeting priority problems,
2 Section 304(1) of the Clean Water Act requires the listing of all waterbodies impacted by toxic pollutants
from point source discharges and the development of individual control strategies (ICS) for point sources discharging
to these waterbodies. In 1989-90, the U.S. EPA.accePted the NPDES permits for the three POTW’s and the SantaClara Valley Nonpoint Source Pollution Control Program as ICS to attain water quality objectives in San Francisco
Bay south of the Dumbarton Bridge (Lower South Bay).
incorporating stakeholder interests, and shifting resources among watershed issues as they are
either resolved or identified as priorities. The U.S. Environmental Protection Agency 0SPA),
State Water Resources Control Board (SWRCB), the San Francisco Bay RWQCB, and local
government entities all recognize a need to redefine the regulatory structure in order to allow
water quality and habitat problems to be solved at the watershed level rather than at the
individual waterbody or discharger level. Therefore, a more flexible approach would all’ow local
entities to develop pollutant control programs based on the most significant controllable sources,
and not just those that have permits with numeric limits.
(3) Define the Planning Area: Geographical Boundaries and Major Features
The Watershed Management Initiative of the RWQCB identifies the Santa ClaraBasin as a target
watershed in the San Francisco Bay Region, for reasonsdescribed above. Most of the Basin is
located in Santa Clara County, which is a convenient starting point for coordinating stakeholder
interests and institutional activities. At organized stakeholder meetings, described below, the
participants have determined that in the beginning the geographical boundary of the planning.
effort will be areas of the county that drain to Lower South Bay (Attachment 1 - Map of Plann~.ng
Area). At some yet to be determined point during the Planning Phase, these boundaries will be
extended to the areas of Alameda and San Mateo Counties that drain to Lower South Bay. With
the exception of small groundwater cleanups, there are no point Source dischargers in these
adjacent areas, and extension of watershed planning into these areas is not expected tO be in
conflict with nonpoint source pollution control and habitat protection activities already in
progress. During the early stage of the Planning Phase, every opportunity to communicate or
coordinate with Alameda and San Mateo County entities will be used,’including but riot limited
to the San Francisquito Creek CRMP, AlamedaCountywide Clean Water Program, and the San
Mateo County Stormwater Pollution Prevention Program2 " ’
The Planning Area also includes the entirety of the largest gi:oundwater basin3 in ttie San
Francisco Bay Region, the Santa Clara Valley and Coyote Creek Groundwater Basin.
(4) Identify Cognizant Jurisdictions and Significant Private Parties
As RWQCB staff commenced the Watershed Management Initiative in April 1996, agencies mad
significant organizations were identified and a working list of interested parties was. made and
updated as necessary. RWQCB staffand other interested parties contacted various stakeholders
by telephone to inform them of the upcoming watershedplanning effort. The stakeholder !ist is
being updated on a continuous basis by a subgroup of the watershed c.ore group, which is
described below under section (8), and is included in Attachment 3.
3 Where groundwater occurs in-a saturated geologic-unit that contains sufficient permeable thickness to
yield significant quantities of water to wells and springs, it can be defined as an aquifer. A groundwater basin is
defined as a hydrogeologic unit containing one large aquifer or several connected and interrelated aquifers.
3’
(5) Gather the Key People;
(6) Gather Information Resources Needed for Getting Started (characteristics of the
planning area, issues, concerns and positions of significant parties);
(7) Perform an Initial Stakeholder Survey
The Santa Clara Basin is located south of Lower South Bay, bounded by the Diablo Mountains
on the east, the Santa Cruz Mountains on the southwest, and the Coyote Valley on the southeastl
The planning area has a population of approximately 1.3 million, and is mostly urbanized, with
some agricultural uses in the rural upper watershed areas. The Santa Clara Valley is also known
as Silicon Valley, due to the preponderance of computer-related light industry in the northern
portion of the valley.
From April to June 1996, RWQCB staff held meetings with different groups of stakeholders to
gather input on key interests from these groups. RWQCB staffmet with the point source
dischargers, members of the Santa Clara Valley Nonpoint Source Pollution Control Program,
representatives from environmental and community organizations, representatives from business
and industry, and the Santa Clara Valley Water District. During these meetings, staff
documented goal statements from individuals, which were latercompiled and org~ized into"
categories. RWQCB staff contacted representatives from various resource agencies, including
California Dept. ofFish and Game, U.S. Fish and Wildlife Se .rvi.ce, and the National Marine
Fisheries Service, to document their key interests. RWQCB staff intends to continue to directly
meet with representatives of the EPA, land development community, transportation agencie.~ and
other interest groups. In order to implement a stakeholder-driven process, these key interests will
be used to guide development of a.workplan during the Planning Phase.
(8) Create an Initial Organization for the Initiating Phase
On June 11, 1996, an ad-hoc group of representatives from most of the different groups of
stakeholders met for the frrst time, with the intent of commencing the Watershed Management
Initiative for the.Santa Clara Basin. This ad-hoc group, later coined the "watershed core group,"
now meets on the first Thursday of each month in the Lower South Bay area, and has met four
times to date. T,wo issues surfaced at the first meeting as being necessary to establish the initial
organization: (1) development of a mission or goal statement for the watershed planning effort, .
and (2) a more formal establishment of the planning structure, the planning process, and a.
timeline for the initiative. At the meeting, the mission statement was drafted, and several
individuals representing the various stakeholder interests volunteered to participate in a
subgroup, known as the "process/structure/timeline subgroup," or process subgroup.
The process subgroup meets twice a month and develops recommendations for the Core group
with regard to (1) meeting guidelines (ground rules and administration), (2) the static structure
of the core group and stakeholder representation, (3) the dynamic process of addressing
stakeholder interests and-the formation-of committees and expert panels to address technical
issues, and (4) reasonable timelines for various activities and the overall watershed plan. The
4
subgroup is made up of two representatives from the Santa Clara Valley Water District, and one
representative each from the RWQCB, the environmental organizations, the business and
industrial community, and the cities of Palo Alto, Sunnyvale, and San Jose. The representatives
from the cities embody both the point sour.ce and nonpoint source perspectives.
(9) Set Up the Process Plan and Schedule for the Rest of the Initiating Phase
The Initiating Phase was originally estimated to requird approximately 3 to 4 months, as the
process and structure of the Watershed Management Initiative for the Santa Clara Basin are
developed, and stakeholder concerns about the process and structure are addressed. The
functions of the Initiating Phase will be completed by October 1996.
(10) Establish Credibility and Representation with the Concerned Jurisdictions and
Constituents
A goal of the process of contacting and setting up meetings with various groups of stakeholders
was to establish representation .with a comprehensive spectrum of concerned parties. Another
goal was to survey various stakeholders and use the information to guide the activities of the
Planning Phase. The information from the surveys is still being organized into categories for the
purpose of providing guidance during the Planning Phase. Credibility will be established with
stakeholders if it is demonstrated that their input has been used to help guide planning efforts..
The monthly meetings and other efforts at communication during the Initiating Phase have gone
a long way toward establishing the credibility of the Watershed Management Initiative. Just as
the list of stakeholders is updated on a continuous’basis, as discussed under Section (4), above,
the process of credibility development is ongoing and a function of communication and
’coordination efforts.
(11). Design the Processes to be Used during the Planning Phase which Follows
For the past three months, the process subgroup has been seRing up a system of structure and
process for the Watershed Management Initiative in the Santa Clara Basin. The structure, viewed
as the relatively static element of the system, centers around representation of the full.spee .trum
of stakeholder interests at the.monthly watershed core group meetings. A diagram depicting’the
concept of this structure is.included as Attachment 2. Individuals participating at the core group
meetings take the responsibility of representing various interests at the meeting, and are .~
responsible for communicating meeting discussions and action items with the stakeholder group
they represent.
The process of watershed planning is the dynamic aspect 0fthe system. Issues addresse’d are
based on the input and interests of the stakeholders. When decisions must be made on a
particular issue during planning or implementation, the issue is agendized for discussion and
action at the monthly core group meeting, where all stakeholder interests are represented. First, a
subgroup is formed around a certain issue (members can be voluntary or nominated), consisting
of members of the core group and technical experts on the issue to develop a recommendation for
the core group. When the recommendation is developed, the subgroup brings it to the core group
at the monthly meeting.
Consensus4 is sought among the core group When the subgroup develops a recommendation for
any type of action. The process subgroup agreed that at the time consensus cannot be reached,
then a mechanism ofi’esolution would be determined. This is to maintain momentum and
recognize that consensus has been achieved thus far. When consensus cannot be reached, a
mechanism for resolution will be employed, such as (1) off-line discussion, (2) formation of a
subgroup, or (3) professional mediation or facilitation.
(12) Identify Needed Process Facilitators, Analysts, and Domain Experts
The process subgroup recommended to the core group that a pr6fessi0nal facilitator be brought
into the monthly meetings when the Planning Phase is initiated. For the Initiating Phase, it was
proposed that qualified representatives from the City of San Jose chair and facilitate the
meetings. The core group accepted these recommendations. Experts on process have
participated in the process subgroup meetings and have helped in the fine tuning of
recommendations to be brought before the core group. It is envisioned that technical experts and
analysts will be brought into the process as their expertise are required for specific topics. A
preliminary list of technical experts has been developed and is included in the expanded list of "
stakeholders (Attachment 3).
According to the process being developed, subgroups of the core group are formed On a
voluntary basis around key issues that arise from the interests of the Stakeholders. The members
of the subgroup are responsible for assembling the technical experts on the specific issue,
coordinating their efforts, and bringing recommendations back to the core group for approval and
integration into the watershed plan. Subgroups employ team-building techniques where
appropriate. ’ "
(13) Assemble the Planning Phase and Initiate its Operation
The process subgroup, in developing process and structure recommendations for the watershed
core group, has been in effect assembling the Planning Phase. When consensus is reached at the
monthly core group meeting on the process and structure recommendations, it will be appropriate
to initiate the Planning Phase. It is anticipated that the operation of the Planning Phase may
commence by the core group meeting of October 3, 1996.
Issues that remain to be discussed during the early stages of the Planning Phase include the
4 The clef’tuition of, consensus: each participant agrees with the group decision, orat least agrees to support
the group decision.
6
important administration needs and issues, and the program management function for the
watershed planning effort. The process subgroup has identified a need for program management
and supporting resources to keep efforts on track and on schedule. Another item to be
accomplished is to define the commitment of resources of various stakeholders. With a target
date of July 1998 for the watershed plan document, the schedule is aggressive, and necessitates
careful management.
Attachments:
(1)Map of Planning Area
(2)Conceptual Diagram of Watershed Planning Structure
(3)Expanded Stakeholder List
7
~ E
Santa Clara Basin Watershed Planning
REV 2
9/23/96
10/3196
ORGANIZATIONAL DIAGRAM
EXPLANATIONS & DEFINITIONS
Ao
Bo
"Core Groul~"
The Core Group receives input from others and makes decisions about the process
and content of the Santa Clara Basin Watershed Management Initiative and the
Watershed Management Plan (the "Plan") being developed through the Initiative.
Subsequent to development of the Plan, more formal agreement on the Plan by
individual agencies and groups would be obtained; a process facilitated by full
involvement of agencies and groups during the planning process.
A key function of Core Group members is to serve as liaison with Stakeholder
Groups. Core Group .members may be assigned to keep one or more Stakeholder
Groups informed of the progress and products of the Initiative and to carry input back
to the Core Group and the Issue~Specific Subgroups. Core Group members would
also serve on Issue-Specific Subgroups.
Current members of the Core Group are listed on the document "Santa Clara Valley
Watershed Plan-Core Group-Initiating Phase (8/30/96)". This list has been developed
to insure adequate representation of Stakeholder Groups, but the list will be adjusted
over time as necessary as the stakeholder list is adjusted and as interests change.
Stakeholders. are all individuals or groups who ha,)e an interest in or will in some way
be affected by a watershed management effort. They include those who will benefit
from improved.water quality, as well as those who will pay for land management or
other changes. Farmers, environmental organizations, government agencies,
businesses, developers, and recreational users are examples of stakeholders.
The current list of Stakeholders is attached. The list is dynamic and will be changed
when new stakeholders are identified or currently listed stakeholders request to be
removed from the list.
The principal function of stakeholders is to represent their interests and make their
needs clear in whatever groups they participate in. At a minimum they can obtain
information ,,,and provide input through a Stakeholder Group (e.g., "LocalGovernment ). Tl~ey may als0 elect or be invited to participate in Issue-Specific
Subgroups, .and may be.-ask~’dto-partieipate inflae Core Group. In all of these groups
input will be sought on scoping, work planning, and drafts of the Plan and its
components. Following adoption of the Plan by the Core Group, Stakeholders will
be asked to endorse the Plan.
Organizational Diagram
Explanations & Definitions
Page 2
10/3/96
"I_~ue-Specific Subgx_o_u~"
The Core Group will establish Subgroups as necessary to conduct work and prepare
the Plan. Subgroups are working groups with a specific task to complete.
Participants can be members of the Core Groups, members of Stakeholder Groups,
and Technical Experts (see "E" below). The Issue-Specific Subgroups formed to date
are shown on the Organizational Diagram. Examples include a Process Subgroup to
help define the way in which the initiative will be managed, and the Modeling
Subgroup which will develop water quality model(s) to be used in the planning
exercise.
Stakeholders are encouraged to attend Issue Specific Subgroup meetings. When new
Subgroups are established (at a Core Group Meeting) those present can indicate
interest and sign up for Subgroups. Other Stakeholders learn of new Subgroups and
meeting times and places from the Core group minutes and can also attend. An initial
chair of a new subgroup is designated by the Core Group chair. At the first meeting
of the new Subgroup the Subgroup selects a "permanent" chair and insures that the
Subgroup does not b~come too big or too small.
Stakeholders may indicate their interest in being "active" on a Subgroup, or "passive".
Action items from meetings will be distributed to active members ahead of meeting
minutes to insure prompt follow-up. Passive members receive only meeting minutes.
"General Public’!
The "General Public" refers to people who are not well represented by any of the
identified stakeholder groups and who live in the Santa Clara Basin. An outreach
effort will be needed to seek input through newsletters, public meetings, and/or
similar mechanisms.
"Technical Experts"
Experts that are not affected by the watershed planning effort but can provide
valuable input and advice. This includes members of watershed efforts .in other
geographical areas, consultants, universities, etc.
The Technical Experts used in the process are not a fixed panel of persons; but rather
a dynamic group, with new people continually brought into the process as the need
arises. Both the Core Group and Issue Specific Subgroups search out technical
experts when needed.
Interactions
Stakeholder Groups ~ Core
Core Group members are assigned to keep one (or more) stakeholder groups up to
date and to carry input back to .the Core Group. In most cases the interaction will
occur through existing organizations and ongoing meetings. For example, it is
Organizational Diagram
Explanations & Definitions
Page 3
10/3/96
anticipated that the Core Group members from the business community will keep
their constituency apprised through the Chamber of Commerce and other business
organizations. Newsletters and meetings of those organizations will be utilized. In
many cases Stakeholders are not suff cienfly organized to rely solely on such existing
mechanisms. In those cases, Core Group members will hold special meetings from
time to time. It will also be necessary, for the Core Groups to insure distribution of
key materials directly to certain stakeholders. Such mechanisms will be established
during the Planning Phase. It will.also be necessary to establish an outreach program
for individuals not connected to any stakeholder group, yet who would be affected by
the Plan. [This function wil! be considered along with other"Project Management"
functions by the Process Subgroup in the immediate future.]
Issue-Specific Sub_m’oups ~ Core Groups
Issue-Specific Subgroups will prepare products and Plan components and send those
items to the Core Group for approval. The Core Group establishe~; Subgroups,
assigns initial members .and approves work products. The Core Group insures that
work products are made available to all Stakeholder Groups at appropriate points in
the process; thereby keeping stakeholders informed and seeking input.
*municipalities, counties
*elected/appointed officials
Sub Set: Special Districts:
schools
Santa Clara Valley Water District
etc.
Associations:
Association of Bay Area Governments
*Individuals / commercial institutions
*Chambers
*Santa Clara Valley Manufacturers Group
Utilities:
* Pacific Gas & Electric
* Pacific Bell
* water,cempany
* retailers
* cable TV
League of Women Voters, Lions, Rotary, Moose, Elks, etc.
Neighborhood Associations
Communities for a Better Environment, CLEAN South Bay, Audubon
Friends of (..organizations)
Adopt-a (organizations)
Native American Groups
Historical/Archeological Groups
Garden Clubs
*Taxpayer’s Association
*Jarvis / Gann group
*Landowner’s group/Association
Cal Trans
Santa Clara Valley Transportation Authority
* CalTrain
* BART
* SAMTRANS
* Dumbarton Express
* Bicycles
* Pedestrians
* MTC
*Farming
*Ranching
* Forest Products
* Wine
* Flowers
* Associations:
Cattlemen
Horsemen
Farm Bureau
Vintner Trade Group
*Home Builder’s Association
*Developers
*Financial institutions
*NAIOP
Regulatory:
* Regional Water Quality Control Board & SWRCB
* US Environmental Protection Agency
* Bay Area Air Quality Management District/California Air Resources Board
* Corp of Engineers
* Department of Pesticide Regulation
* Department of Toxic Substance Control
* Cal E.PA/Dept of Health Services Office of Env Health Hazard Assessm6nt
Resource Agencies
* California Department of Fish and Game
* Fish and Wildlife
* NRCS
* NMFS
* NOAA
* Special Districts
*open space
* RCDs
* United States Geological Survey
* byp0thetical examples:
*modeling
*Process
* GIS/Mapping
* finance
*interests
*monitoring
Definition:Experts that are not affected by the watershed planning effort
but can provide valuable input and advice.
Examples:
* Members of watershed efforts in other geographic areas.
* Consultants
* Universities
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