HomeMy WebLinkAboutStaff Report 243-07City of Palo Alto
City Manager’s Report
TO:
FROM:
DATE:
SUBJECT:
HONORABLE CITY COUNCIL
CITY MANAGER DEPARTMENT: PUBLIC WORKS
JUNE 18, 2007 CMR:243:07
APPROVAL OF: FIRST AMENDED AND RESTATED CONTRACT
BETWEEN THE CITY OF PALO ALTO AND THE CITY OF
MOUNTAIN VIEW; THREE ENTERPRISE FUND CONTRACTS:
MCGUIRE & HESTER IN THE AMOUNT OF $15,950,279, URS
CORPORATION IN THE AMOUNT OF $1,093,218, AND AMENDMENT 2
TO RMC WATER & ENVIRONMENT CONTRACT C3151060 IN THE
AMOUNT OF $174,000, TOTALING $17,217,497; A STATE REVOLVING
FUND LOAN IN THE AMOUNT OF $9,000,000; ADOPTION OF A
RESOLUTION ADMINISTERING A CAPITAL RESERVE FUND IN
ACCORDANCE WITH THE STATE WATER RESOURCES CONTROL
BOARD’S REQUIREMENTS OF THE STATE REVOLVING FUND
LAON PROGRAM; AND A BUDGET AMENDMENT ORDINANCE OF
$4,137,300 FOR THE MOUNTAIN VIEW/MOFFETT AREA RECLAIMED
WATER PIPELINE PROJECT (CAPITAL IMPROVEMENT PROGRAM
PROJECT #WQ-04010)
9
RECOMMENDATIONS
Staff recommends that Council:
Authorize the City Manager or his designee to execute the attached First Amended and
Restated contract (Attachment A) between the City of Palo Alto and the City of Mountain
View for the Mountain View/Moffett area Reclaimed Water Pipeline project (project).
a. Authorize the City Manager or his designee to execute the attached contract (Attachment
B) with McGuire & Hester in the amount of $15,950,279 for the construction of the
Mountain View/Moffett Area Reclaimed Water Pipeline Project; and
b. Authorize the City Manager or his designee to negotiate and execute one or more change
orders to the contract with McGuire & Hester for related, additional but unforeseen work,
which may develop during the project, the total value of which shall not exceed
$1,595,000.
CMR:243:07 Page 1 of 9
a. Authorize the City Manager or his designee to execute the attached contract (Attachment
C) with URS Corporation in the amount of $1,093,218 for construction management
services for the project; and
b. Authorize the City Manager or his designee to negotiate and execute one or more change
orders to the contract with URS Corporation for related, additional services, which would
be needed and may include the following:
Nighttime and weekend inspection - The extent of nighttime and weekend work
will be determined as the construction progresses and the schedule firms up;
Specialized testing services; and
Expert witness
These services are not included in the basic scope of work, but are identified as additional
services to be performed as needed when authorized. The total value of additional
services shall not exceed $206,782:
Authorize the City Manager or his designee to execute Amendment 2 to RMC Water &
Environment (RMC) contract C3151060 in the amount of $174,000 for engineering
services during construction (SDC) of the project (Attachment D). The amended contract
amount, which includes the planning phase, would total-up to $1,974,000.
o a.Authorize the City Manager or his designee to negotiate and execute a State Revolving
Fund (SRF) loan in the amount of $9,000,000 with the State Water Resources Control
Board (SWRCB) for the construction of the project;
b. Direct staff to establish a local state match account (20 percent of project costs) and
deposit sufficient funds in the account to make payments to the contractors for the
project; and
c. Adopt the attached resolution (Attachment E) to administer a capital reserve fired in
accordance with the SRF loan requirements for future rehabilitation of the project.
Adopt the Budget Amendment Ordinance (BAO) in the amount of $4,137,300 to increase
the FY06-07 appropriation for CIP Project WQ-04010 and adjust project funding sources
(Attachment F).
The above action items are all related to, and represent the total package for the project.
BACKGROUND
The project is a joim project between the cities of Palo Alto and Mountain View to construct a
reclaimed water pipeline from the Palo Alto Regional Water Quality Control Plant (RWQCP) to
the Mountain View Shoreline community. The City of Palo Alto, as the owner and operator of
the RWQCP, is the lead agency for the project. The two cities have worked together on the
project since the fall of 2003, starting with the Project Facility Plan and Environmental Study
that was partially funded by a State grant. On January 10, 2005, Council approved the
Operational and Institutional Agreement with the City of Mountain View that delineates the
financial and operational responsibilities of the two cities for the project (CMR: 111:05). Project
design began in July 2005 when the SWRCB awarded a $3.8 million design and construction
grant for the project. In June 2006, the design was completed and the project was issued for bid
CIVIR:243:07 Page 2 of 9
in accordance with the State grant deadline. The bids received, however, were in the $26 million
range, considerably higher than the cities’ budget. The City rejected all bids and pursued a new
strategy to move forward with the project. The tasks under the new strategy as summarized
below are now complete:
Strategy Task 1 - Obtained an extension from the SWRCB for the grant
The SWRCB has extended the deadline for one-year and increased the grant to the maximum
$4 million per staff request. The new deadline to award a construction contract for the project is
August 31, 2007.
Strategy Task 2 - Acquired a SRF loan from the SWRCB to partially fund the project
On November 6, 2006, Council authorized the City Manager to file an application for a SRF loan
for the construction of the project (CMR:404:06). On May 22, 2007, the SWRCB committed to
approve a maximum $19 million SRF loan. The SWRCB will issue the loan for the exact loan
amount only upon City’s execution of a construction contract for the project and the final loan
document.
Strategy Task 3 - Performed value engineering and restructured the project
Staff of both cities worked with the consultant and completed the value engineering and re-
design. The goal of the re-design was to reduce the construction cost by $5 million. The new
design included several piping and design modifications. The new design has been approved by
the State.
Strategy Task 4 - Pursued additional grants
Staff applied for and obtained a second State grant of $972,800. The total of the two State grants
is $4,972,800. Staff has applied for, and is working with legislative representatives for a
retroactive Federal grant.
Strategy Task 5 - Amended the agreement between the two cities
The SWRCB approved the project for the SRF loan at the May 22, 2007 State Board
meeting. The amendment, a collective effort of Palo Alto and Mountain View staff, reflects
the conditions for the SRF loan and the new strategy. On June 12, 2007, Mountain View
City Council directed their City manager to execute the amendment. The amendment is one
of the topics of discussion in this report.
Strategy Task 6 - Re-bid in the spring of 2007
The project was issued for a re-bid in March 2007.
discussion in this report.
Results of the bid is one of the topics of
DISCUSSION
On June 12, 2007, The City of Mountain View approved the project. Final approval of the
project and the SRF loan must be issued by the City of Palo Alto as the lead agency and the
applicant for the SRF loan. Implementation of the project requires Council approval of the First
Amended contract, three related enterprise fund contracts, the SRF loan, and the BAO. Each of
the items is discussed below:
CMR:243:07 Page 3 of 9
in the contract. When construction starts, RMC, as the design firm, needs to provide SDC for
the project. The SDC tasks under amendment 2 include review of submittals, answer
technical questions from contractor~ review and provide justifications for contractor change
order requests, modify design if needed to conform to field conditions, and ensure the
delivery of the completed project in accordance with the contract documents.
The original RMC contract for the planning phase was $300,000. Amendment 1 added
$1,500,000 for the design services. Amendment 2 would increase the contract by $174,000
for the SDC tasks. The total amended contract for basic services would be $1,974,000.
Council had approved a change order authority of $150,000 for additional design services, of
which $68,000 was spent for the re-design. Hence, the total design, re-design, Value.
engineering, and SDC services for the project would total up to $1,742,000.
Approval of the SRF Loan Amount
Based on the actual bids received, there were insufficient funds budgeted for the project as
shown below. The SRF loan was needed to provide sufficient funding.
Project Costs & Existing Budget
Costs
Design & SDC $1,742,000
Construction w/contingency $17,545,300
Construction Management $1,300,000
Street Opening Fee $350,000
The cities’ budgeted amount came from several sources: the City of Mountain View
Shoreline community reserve, the Palo Alto Utilities Department Water Fund, the RWQCP
C/P, and the RWQCP reserve. Utilization of the zero-interest SRF loan would reduce the
amounts drawn from reserves in addition to making up the difference between the budgeted
amount and the project costs. On June 12, 2007, The City of Mountain View approved the
project and requested a SRF loan to fund $5 million of Mountain View’s share of the project.
The RWQCP partners, at the November 2006 meeting, agreed to utilize the SRF loan instead
of borrowing from the RWQCP reserve to cover its share of the project. The Palo Alto
Utilities Department also prefers to utilize the SRF loan to cover its share. Staff recommends
a SRF loan to fund $2.5 million of Palo Alto’s share of the project (Palo Alto Utilities
Department and the RWQCP). The SRF loan for both cities combined would fund $7.5
million of the project costs.
CMR:243:07 Page 6 of 9
o
The SRF loan program pays $0.833 on the dollar in order to recover its financing costs,
which is equivalent to approximately 1.8% APR for the zero interest loan. Hence, to fund
$7,5 million for the project, the actual SRF loan amount would be $9 million with the
financing costs amortized over the life of the loan. The SWRCB has committed to approve a
zero-interest SRF loan in an amount not to exceed $19 million for the project pending on
City’s execution of a construction contract and the loan document. The loan amount of $9
million is well below the maximum set by the SWRCB. The table below reflects the effect
of the financing charges of the SRF program. The SRF loan will be repaid in equal
installments over 20 years. As shown below, the cities of Palo Alto and Mountain View have
agreed to repay the loan based on each city’s proportionate share of the loan amount.
SRF Loan and Repayments
Palo Alto (incl. Mountain
Total RWQCP) Share View Share
Net Cost of Project to cities $15,964,500 $3,803,196 $12,161,304
City Fund.$8,464,500 $1,303,196 $7,161,304
Loan Funding Needed $7,500,000 $2,500,000 $5,000,000
SRF Loan Amount (incl, finance charge) $9,000,000 $3,000,000 $6,000,000
Annual Loan Payment
20 year term $450,000 $150,000 $300,000
Compare to a true zero-point, zero-fee,
zero-interest system, the annual payment $375,000 $125,000 $250,000
would have been:
As a condition of the zero-interest SRF loan, the SWRCB requires that the City provide
matching funds equal to 20% of the project costs (known as State Match Fund). The total
City fund of $8.46 million is more than sufficient to cover this requirement. The City is
required to establish a local State Match account and deposit sufficient funds in the account
to make contract payments. Once the local State Match Fund is expended, the project can
request loan monies. The SWRCB also requires the City Council to adopt a resolution to
establish a capital reserve fund to pay for future rehabilitation of the project. The SWRCB
has confirmed that the rate stabilization reserve already established by the cities of Palo Alto
can serve this purpose.
Adoption of the BAO
Based on the actual bids received and the availability of the SRF Loan, sufficient funds are
now available for the project. A BAO, however, is required to adjust project costs, reflect the
new SRF loan, and adjust the original sources of funding based on the loan. Final project
costs and the total project budget adjustments needed are shown below. Additional details
are discussed under the Resource Impact section of this CMR.
CMR:243:07 Page 7 of 9
Total Costs of Project
Prior Project Budget
Costs
$20,937,300
$16,800,000
RESOURCE IMPACT
The BAO increases the existing FY 2006-2007 appropriation for the CIP project WQ-04010
(Attachment F) from $16,800,000 to $20,937,300. The final sources of funding are as follow:
State grants
State Loan (Principal)
City of Palo Alto Water Fund and RWQCP
City of Mountain View
Total Funding
$4,972,800
$7;5OO,OOO
$1,303,196
$7,161,304
$20,937,300
In addition to raising the funding level for the project, the Ordinance adjusts prior funding
sources to recognize and reflect the SRF loan and other changes. Original project funding
sources are shown in Attachment G.
As the lead agency, the City of Palo Alto will budget and spend all funds. Through a separate
contract (Attachment A) between the cities of Palo Alto and Mountain View, financial
agreements and reimbursements between the entities are clarified and implemented. The SRF
loan (principal and charges) will be repaid based on an amortization period of 20 years and equal
annual payments (Palo Alto will pay $150,000 and Mountain View will pay $300,000 annually).
Finally, the BAO requests reallocating $1 million from the RWQCP Rate Stabilization Reserve
back to the Palo Alto Utilities Water Fund account, and increasing the FY 06-07 budget amount
for C1P project #WQ-04010 to reflect funding amounts and sources shown above.
The City of Palo Alto is responsible for approximately 35% of the RWQCP contribution to the
project. Hence, the total Palo Alto contribution (including Palo Alto Utilities) to the project is
approximately $1,962,500, which consists of approximately $437,500 in cash and $76,250 per
year of loan repayment for 20 years.
TIMELINE
Palo Alto Council decision on First Amended Contract
State approval of SRF loan
Mountain View Council decision on project
Palo Alto Council decision on project & award of contracts
Construction starts
Construction complete
Start-up
June 18, 2007
May 22, 2007
June 12, 2007
June 18, 2007
July 2007
December 2008
Summer 2009
CMR:243:07 Page 8 of 9
POLICY IMPLICATIONS
Recommendations of this staff report are consistent with City Council’s Sustainability Policy, by
joining with the City of Motmtain View to reduce waste, expanding the use of sustainable
resources, and expanding the water recycling program while achieving a sustainable budget.
ENVIRONMENTAL REVIEW
Council adopted a mitigated negative declaration.for the project in January 2004.
ATTACHMENTS
Attachmem A: First Amended and Restated Contract Between the City of Palo Alto and the
Attachment B:
Attachment B 1:
Attachment B2:
Attachment C:
Attachment C 1:
Attachment D:
Attachment E:
Attachment F:
Attachment G:
Attachment H:
City of Mountain View for the Mountain View/Moffett Area Reclaimed Water
Pipeline Project
Construction Contract with McGuire & Hester
Bid Summary
Certification of Nondiscrimination - McGuire & Hester
Contract with URS Corporation
Certification of Nondiscrimination - URS Corporation
Amendment 2 to Contract C3151060
Resolution
Budget Amendment Ordinance
Original CIP Funding Sources
CIP page for Project WQ-04010
Copies of the attachments to this CMR:243:07 may be viewed at the Public Works Department
counter located at 250 Hamilton Avenue, 6t~ Floor, Palo Alto or by contacting Daisy Stark at
650-329-2287.
PREPARED BY:
DEPARTMENT HEAD:
Daisy Stark, Senior Engineer RWQCP
Richard Wetzel, Manager .RW~CP
GLENN S. ROBERTS
Director of Public Works
CITY MANAGER APPROVAL:
SON
Assistant City Manager
CMR:243:07 Page 9 of 9
ATTACHMENT A
FIRST AMENDED AND RESTATED CONTRACT NO. C059999
BETWEEN THE CITY OF PALO ALTO AND~
THE CITY OF MOUNTAIN VIEW
This First Amended and Restated Contract No. C0599999 (the "Agreement") is
entered into as of , 2007, by and between the CITY OF PALO ALTO, a
chartered city and a municipal corporation of the State of California ("PALO ALTO"), and the
CITY OF MOUNTAIN VIEW, a chartered city arid a municipal corporation of the State of
California ("MOUNTAIN VIEW"). This Agreement amends and restates in its entirety that
certain Contract No. C059999 between PALO ALTO and MOUNTAIN VIEW dated as of
January 11, 2005.
RECITALS:
A. PALO ALTO and MOUNTAIN VIEW and the CITY OF LOS ALTOS
are parties, ("RWQCP Partners") to a BASIC AGREEMENT BETWEEN THE CITY OF PALO
ALTO, THE CITY OF MOUNTAIN VIEW AND THE CITY OF LOS ALTOS FOR
ACQUISITION, CONSTRUCTION AND MAINTENANCE OF A JOINT SEWER SYSTEM
("Basic Agreement") for transmission, treatment and disposal of sewage, including the Palo Alto
Regional Water Quality Control Plant ("RWQCP"), executed on October 10, 1968 and as
amended from time to time.
B.Pursuant to the Basic Agreement, Palo Alto is the owner of the RWQCP
facilities and the Administrator of the Basic Agreement with the duty to maintain and operate the
RWQCP.
C.The Basic Agreement provides that each party has the fight to acquire at
its expense wastewater for reuse as required by the party, and that if amounts requested exceed
available supply, the supply shall be allocated in proportion to each party’s percentage of
wastewater input flow to the total plant flow.
D. The RWQCP is required to reduce pollutant and fresh water discharge to
San Francisco Bay. Water reclamation and reuse has been determined to be the most economical
method to meet this requirement, and the Regional Water Quality Control Board has approved
the RWQCP water reclamation program as the method to reduce discharges to the Bay.
Currently, there is a very limited market for recycled water. In order to meet the requirement to
reduce discharge to San Francisco Bay, the RWQCP must promote the use of recycled water by
improving public perception and developing markets for recycled water.
E.The RWQCP is the program manager for the RWQCP Water Reclamation
(Regional Program) covered under the California Regional Water Quality Control Board Order
#93-160, Adopted Water Reclamation Requirements for the RWQCP (the "Water Reuse
Permit," attached as Exhibit A), and in the past, the RWQCP has delivered recycled water to the
Mountain View Shoreline Golf Links, but service to the golf course was curtailed in 2001 due to
a damaged pipeline. The RWQCP currently distributes approximately 1 million gallons per day
of recycled water to the Palo Alto Golf Course and Greer Park. The Water Reuse Permit is
attached as Exhibit A to and made a part of this Agreement.
070613 syn 6050163 1
F.The RWQCP prepared and adopted the Water Reclamation Master Plan
(Brown and Caldwell, 1992). The Mountain View-Moffett Area Water Recycling Facility
Project ("PROJECT") is one of the five projects identified in the Water Reclamation Master
Plan.
G. The Project is more particularly described in the Regional Water
Recycling Facilities Planning Study ("Facilities Plan") prepared for the RWQCP by RMC Water
and Environment (RMC) in January 2004. The Facilities Plan identifies reuse sites located
outside of PALO ALTO and MOUNTAIN VIEW, including Moffet Field, Sunnyvale, East Palo
Alto and Stanford.
H. PALO ALTO and MOUNTAIN VIEW are mutually interested in
implementing the PROJECT to expand the use of recycled water from the RWQCP in the
Mountain View Shoreline Regional Park Community to provide a locally-controlled, drought-
proof alternative for landscape irrigation and other non-potable uses on the terms and conditions
set forth in this Agreement.
I.PALO ALTO and MOUNTAIN VIEW are working jointly to obtain a
State Revolving Fund ("SRF") loan for the design and construction of the Project with a zero
percent (0%) interest loan repayable over a 20-year period.
J.On November 6, 2006 the PALO ALTO City Council directed the City
Manager to file a Financial Assistance Application for a loan from the State Water Resources
Control Board ("SWRCB") in an amount not to exceed nineteen million dollars
($19,000,000.00) for the design and construction of the PROJECT. (Resolution No. 8407,
attached as Exhibit B). On November 14, 2006, the MOUNTAIN VIEW City Council similarly
authorized PALO ALTO to file for a Financial Assistance Application for a loan from the
SWRCB for the design and construction of the PROJECT (Resolution No. 17145, attached as
Exhibit C).
K. On May 22, 2007, the State Water Resources Control Board approved
PALO ALTO’s application for a SRF loan in an amount not to exceed nineteen million dollars
($19,000,000).
AGREEMENT
NOW, THEREFORE, in consideration of the covenants, terms, conditions, and
provisions of this Contract, the parties agree:
1.GENERAL
1.1 Proiect Narrative
The PROJECT shall be as described in the Facilities Plan that corresponds to the
State Water Resources Control Board Water Recycling Project No. 3212-010. Pursuant to the
California Environmental Quality Act a mitigated negative declaration for the PROJECT (SCH#
2003102161) was completed and adopted by the PALO ALTO City Council in January 2004
(Resolution No. 8391, attached as Exhibit D).
070613 syn 6050163 2
1.2 Scope of Agreement
This Agreement is intended to set forth the general terms and conditions for
implementation and operation of the PROJECT described in Section 1.1 of this Agreement, as
well as the financial obligations of each party with respect to design, construction, construction
management, state and federal grant, and repayment of the SRF loan.
1.3 Other Agreements Relevant to this PROJECT
(a) The parties’ August 2005 Agreement details the organization and
responsibilities of the project managers and project engineers working for each party during the
design and construction phase of the PROJECT (MV/Moffett Area Water Recycling Facility
Project Design-Construction Agreement Between the Cities of Palo Alto and Mountain View,
attached as Exhibit E).
(b) The June 23, 2003 Contract between PALO ALTO and RMC and the
May 9, 2005 amendment to that Contract detail the provision of professional design services for
the PROJECT (Contract No. C3151060 Between the City of Palo Alto and RMC, and
Amendment No. One to Contract No. C3151060 Between the City of Palo Alto and RMC Water
and Environment, attached as Exhibits F and G.)
1.4 Term and Renewal of Agreement
Unless earlier terminated as provided in section 9.3, the obligations and
responsibilities of the parties commenced on January 11, 2005 and shall be in force for thirty
(30) years or the life of the SRF loan, whichever is longer. Following the original Agreement
term, the Agreement term shall be automatically renewed on a year-by-year basis. Following the
original Agreement term, either party may terminate the agreement by notifying the remaining
party, of their intention at least ninety (90) calendar days before the date of the automatic
renewal.
2.CONSTRUCTION OF RECYCLED WATER FACILITIES
PALO ALTO, as the administrator of the RWQCP and the applicant for the State grant,
will administer the design and construction of the PROJECT in accordance with the most current
Title 22 and Title 17 of the California Code of Regulations at time of construction.
MOUNTAIN VIEW and PALO ALTO will work together and be responsible for the approval of
design and construction work in compliance with each city’s standards, and for certain design
and construction activities including monitoring and inspecting the construction and reviewing
submittals.
070613 syn 6050163 3
3.FINANCIAL PROVISIONS RELATED TO CONSTRUCTION OF RECYCLED
WATER FACILITIES
3.1 Obligations contingent on available funding.
PALO ALTO’s and MOUNTAIN VIEW’s obligation to make monetary contributions
and PALO ALTO’s obligation to administer design and construction are contingent on
availability of Chapter 7 grant funding and SRF loan funding from the SWRCB.
3.2 Allocation of Costs
Monetary contributions and allocations from each party for the design, construction,
construction management, State and Federal grants and SRF loan repayments for the PROJECT
shall be in accordance with the percentages and allocations set forth herein. Each party is
generally responsible for costs incurred in its own jurisdiction.
(a) Design Costs
Design of the PROJECT is in progress, pursuant to the Agreements between
PALO ALTO and RMC (attached as Exhibits F and G). PALO ALTO and MOUNTAIN VIEW
estimate that PROJECT design will cost approximately $1,750,000. To date, MOUNTAIN
VIEW has paid approximately $902,700 for its share of design costs. Costs for the design of the
Project have been and will continue to be allocated between PALO ALTO and MOUNTAIN
VIEW as follows:
PALO ALTO 33.06%
MOUNTAIN VIEW 66.94%
(b) Construction Costs
PALO ALTO and MOUNTAIN VIEW estimate that PROJECT construction will
cost approximately $17,600,000, including a 10% construction contingency..Allocations for
construction costs include both transmission and distribution pipelines as follows:
(i) Transmission
Costs of the backbone transmission pipeline (30" and 24" pipes as shown
in Exhibit H) shall include costs for the pipes, the associated accessories, creek crossings, road
crossings, trenching, testing, and the proportionate costs for mobilization, insurance, and bonds.
Backbone transmission pipeline costs shall be allocated as follows:
PALO ALTO 33.33%
MOUNTAIN VIEW 66.67%
(ii) Distribution
Costs of the distribution system shall include pipes less than 24", laterals,
and user connections within the city of MOUNTAIN VIEW. Distribution system costs shall
include the costs for the pipes, use site retrofits, customer connections, the associated
070613 syn 6050163 4
accessories, creek crossings, trenching, testing, and the proportionate costs for mobilization,
insurance and bonds. Distribution system costs shall be allocated as follows:
PALO ALTO 0%
MOUNTAIN VIEW 100%
(c) Construction Management Costs
PALO ALTO and MOUNTAIN VIEW estimate that PROJECT construction
management will cost approximately $1,300,000 including a contract contingency. Costs
associated with construction management shall be allocated in the same manner as construction
costs, described in section 3.2(b), above.
(d) State Revolving Fund (SRF) Loan Administration Fees and Charges
SRF loan ("loan") administration fees and charges will be allocated in proportion
to each city’s loan amount and the total amount requested from the SWRCB. Each city’s loan
obligations shall remain in place for the life of the loan.
3.3 Allocation of Grants
PALO ALTO and MOUNTAIN VIEW estimate that PROJECT will receive
approximately five million dollars ($5,000,000) in grant funding.
(a) Design, construction and construction management grants.
State and Federal grants designed specifically for design, construction or
construction management shall be applied proportionally based on the allocation of design costs
described in Section 3.2(a).
(b) State and Federal grant funding not designated to a specific project.
State and Federal grant funding not designated to a specific project phase will be
applied proportionately to the total costs of design, construction, and construction management
of the transmission pipeline and distribution system based on the contract prices for the tasks and
the terms of the grant contracts.
3.4 SRF Loan
(a) Establishment and Funding of Local Match Account
As required by the SWRCB, PALO ALTO has established a local match account
prior to the issuance of the SRF loan contract. (See Resolution No. 8690, attached as Exhibit I.)
This local match account shall be the account for the Project and the source of funds used to pay
Contractors in exchange for services associated with the PROJECT.
The total PROJECT cost is estimated to be approximately $21,000,000. PALO
ALTO will deposit a minimum of twenty percent (20%) of its share of the total estimated project
cost into PALO ALTO’s local match account within thirty (30) days from the execution of this
Amended Agreement and in accordance with SRF loan requirements. MOUNTAIN VIEW will
070613 syn 6050163
deposit a minimum of twenty percent (20%) of its share of the total estimated project cost into
PALO ALTO’s local match account by August 15, 2007.
(b) Administration and Funding of Local Match Account
PALO ALTO will administer the local match account and withdraw funds as
needed to pay the Contractor(s) in exchange for services associated with this PROJECT. PALO
ALTO will provide MOUNTAIN VIEW with a quarterly accounting of the funding levels of the
local match account. If funds in the local match account fall below five hundred thousand
dollars ($500,000) PALO ALTO will request funds in writing from MOUNTAIN VIEW based
on PROJECT cash flow requirements for the next sixty (60) days. Upon receipt of PALO
ALTO’s request, MOUNTAIN VIEW agrees to provide PALO ALTO with a mutually agreed
upon amount of funding within thirty (30) days.
PALO ALTO and MOUNTAIN VIEW mutually agree that within thirty (30) days
from receipt of MOUNTAIN VIEW’s local match contribution, PALO ALTO will place
MOUNTAIN VIEW’s local match funds into an interest bearing bank account. PALO ALTO
will apply any interest earned on this account as a credit on MOUNTAIN VIEW’s quarterly
RQWCP bill.
(c)SRF Loan Amount
(i) Based on the value of the construction bids received, PALO ALTO
and MOUNTAIN VIEW have mutually agreed that the total amount of funding requested from
the SWRCB is nineteen million dollars ($19 million). The SWRCB will issue the loan for the
exact loan amount upon PALO ALTO’s execution of a construction contract for the PROJECT.
(ii) PALO ALTO and MOUNTAIN VIEW anticipate borrowing nine
million dollars ($9 million) from the SWRCB. Seven million, five hundred thousand dollars
($7.5 million) is projected to be used for the PROEJCT. One million five hundred thousand
dollars ($1.5 million) represents the SWRCB’s charge to both cities for administering and
financing the loan.
(iii) Each city shall be responsible for its share of the SRF loan for the
life of the loan. Each city has read and understood the SWRCB’s SRF policy and requirements.
PALO ALTO, as the administrator of the RWQCP and the applicant for the SRF loan, will
administer the loan and agrees to the loan’s terms and conditions as stated in the SRF policy and
requirements.
(d) SRF Loan Repayment Process
PALO ALTO and MOUNTAIN VIEW agree to establish and maintain one or
more dedicated sources of revenue for the repayment of the loan.
The first annual loan repayment will be due to the SWRCB one year after
construction is completed. (See Section XX of the State Water Resources Control Board Policy
("SWRCB Policy") for Implementing the State Revolving Fund for Construction of Wastewater
Treatment Facilities, attached as Exhibit J.) RQWCP will send a loan repayment notice annually
to MOUNTAIN VIEW and MOUNTAIN VIEW will pay its portion of the SRF loan payment to
RQWCP within thirty (30) days of receipt of the loan repayment notice.
070613 syn 6050163 6
4. RECYCLED WATER PRICING
4.1 Cost to PALO ALTO and MOUNTAIN VIEW
The RWQCP is required to, and does treat the wastewater to the standard suitable for
reuse, and encourages the use of recycled water. In addition, the RWQCP discharge permit
requires delivery of recycled water to Shoreline Golf Links for reuse. The RWQCP has the
ability to provide the quantities of recycled water set forth in Section 8.2 at no additional cost to
the RWQCP Partners. Accordingly, PALO ALTO, as the operator of the RWQCP has agreed to
provide recycled water for reuse in the quantities set forth in section 8.2 to MOUNTAIN VIEW
and PALO ALTO at no cost.
4.2 Cost to Customers
MOUNTAIN VIEW and PALO ALTO agree that the rates charged to the end user should
provide an economic incentive to customers to use recycled water. Each city shall determine the
recycled water rates within its jurisdictional limits.
5.OPERATION and MAINTENANCE of FACILITIES
5.1 Facilities Within the RWQCP
PALO ALTO, as the owner-operator of the RWQCP, will operate and maintain the
treatment, operational storage and pumping facilities within the RWQCP’s site to produce a
minimum of 4 million gallons per day of recycled water treated to the most current standards of
Title 22 of the Califomia Code of Regulations.
5.2 Facilities Outside the RWQCP
MOUNTAIN VIEW and PALO ALTO will each operate and maintain the recycled water
delivery pipe and distribution system (up to the end user meter) within their jurisdictional limit at
their own cost in accordance with the Water Reuse Permit requirements.
6.OWNERSHIP and EXTENSION of FACILITIES
6.1 Ownership of Facilities Outside the RWQCP
MOUNTAIN VIEW and PALO ALTO shall retain sole ownership and control of
infrastructure constructed outside the RWQCP and within each City’s limits. The RWQCP
partners and other parties, including those identified in the Facilities Plan, that want to connect to
the pipeline shall consult with the RWQCP, MOUNTAIN VIEW and PALO ALTO.
6.2 Right to Sell Recycled Water
Subject to the provisions of subsections 6.1, 6.3, 6.4 and 6.5 of this Agreement,
MOUNTAIN VIEW and PALO ALTO maintain the right to sell recycled water, consistent with
State regulations and the Water Reuse Permit; within and outside their respective jurisdictional
limits provided they do not exceed their corresponding right to the use of wastewater products as
set forth in section 8.2 of this Agreement.
070613 syn 6050163 7
6.3 Right to Transfer Water
(a) MOUNTAIN VIEW shall have the right to approve or disapprove water
transfers through infrastructure owned by MOUNTAIN VIEW to other entities for water reuse
sites not contemplated in the Facilities Plan. MOUNTAIN VIEW shall not have the right to
approve or disapprove water transfers to other entities for reuse sites that are described in the
Facilities Plan. MOUNTAIN VIEW reserves the right to secure reimbursement of operating and
capital expenses related to any water transfer through infrastructure owned by MOUNTAIN
VIEW.
(b) PALO ALTO shall have the fight to approve or disapprove water transfers
through infrastructure owned by PALO ALTO to other entities for reuse sites not contemplated
in the Facilities Plan. PALO ALTO shall not have the fight to approve or disapprove water
transfers to other entities for reuse sites that are described in the Facilities Plan. PALO ALTO
reserves the right to secure reimbursement of operating and capital expenses related to any water
transfer through infrastructure owned by PALO ALTO.
(c) PALO ALTO and MOUNTAIN VIEW agree that the RQWCP shall have
the right to approve or disapprove water transfers through its infrastructure to other entities for
reuse sites not contemplated in the Facilities Plan and that the RQWCP shall be entitled to
reimbursement of operating and capital expenses related to any water transfer other than to
PALO ALTO, MOUNTAIN VIEW or other parties to the Basic Agreement~
6.4 Rights of the RWQCP
(a) MOUNTAIN VIEW and PALO ALTO acknowledge and agree that the
PROJECT is a regional project structured to provide connectivity with other communities as
described in the Facility Plan and will work in good faith with the RWQCP to provide such
connections in the future.
(b) MOUNTAIN VIEW and PALO ALTO agree that nothing in this
Agreement shall limit the right of the RWQCP to expand its recycled water program area, its
water rights, and the right to allow connections to the main recycled water conveyance pipe
located in PALO ALTO, so long as the RWQCP’s ability to meet its recycled water delivery
obligations as specified in section 8.2 of this Agreement is not impacted.
(c) MOUNTAIN VIEW retains the right to approve all connections to
MOUNTAIN VIEW’s infrastructure except with respect to those connections required for reuse
sites identified in the Facility Plan. PALO ALTO retains the right to approve all connections to
PALO ALTO’s infrastructure except with respect to those connections required for reuse sites
identified in the Facility Plan. PALO ALTO will administer the RWQCP to develop provisions
to address future conditions of the water reuse program including timing and capacity to serve
demands.
6.5 Extension of FACILITY
(a) MOUNTAIN VIEW shall have the fight to expand the recycled water
infrastructure within MOUNTAIN VIEW’s jurisdictional limits, so long as MOUNTAIN VIEW
does not exceed its allocated recycled water supply. MOUNTAIN VIEW will consult in
070613 syn 6050163 8
advance with the RWQCP to ensure such extension does not conflict with any requirements of
the RWQCP’s operating or regulatory permits.
(b) PALO ALTO shall have the right to expand the recycled water
infrastructure within PALO ALTO’s jurisdictional limits, so long as PALO ALTO does not
exceed its allocated recycled water supply. PALO ALTO will consult in advance with the
RWQCP to ensure such extension does not conflict with any requirements of the RWQCP’s
operating or regulatory permits.
7.PERMIT COMPLIANCE
7.1 Compliance with Water Reuse Permit
PALO ALTO as the administrator of the RWQCP will be the lead agency in complying
with and maintaining the RWQCP Water Reuse Permit. However, MOUNTAIN VIEW and
PALO ALTO are responsible, where applicable, to comply with the requirements (including
monitoring, training and reporting) of the Water Reuse Permit and the Rules and Regulations of
the RWQCP Regional Water Reuse Program (attached hereto as Exhibit K). MOUNTAIN
VIEW and PALO ALTO will hold the end users responsible for the proper application and use of
recycled water. PALO ALTO and MOUNTAIN VIEW shall require all users to permit the
California State Water Quality Control Board or its authorized representative entry for inspection
within the parties’ respective jurisdiction as authorized by law.
7.2 Compliance with Title 22
MOUNTAIN VIEW and PALO ALTO will be responsible, within their respective city
limits, for assuring that cross-connections between potable water and recycled water systems
have not been created and that backflow prevention devices are in proper working order by
conducting or requiring customer testing, in accordance with the most current version of Title 22
of the California Code of Regulations.
7.3 Emergency Contacts
PALO ALTO shall maintain a list of emergency contacts and responsibilities with respect
to the recycled water system at the RWQCP. MOUNTAIN VIEW and PALO ALTO will
provide their emergency contact information to RWQCP for addition to the list. MOUNTAIN
VIEW and PALO ALTO are the initial responders to all emergencies relative to the recycled
water conveyance pipe and distribution system located within the jurisdictional limits of
MOUNTAIN VIEW and PALO ALTO, respectively. PALO ALTO on behalf of the RWQCP
agrees to assist upon request. RWQCP shall be reimbursed in a timely manner for the costs
incurred for emergency-response activities undertaken by RWQCP on behalf of MOUNTAIN
VIEW and PALO ALTO, which shall include the actual labor, material and equipment cost, plus
actual overhead costs,
070613 syn 6050163
8.RECYCLED WATER SERVICE PROVISIONS
8.1 Delivery Pressure
MOUNTAIN VIEW and PALO ALTO agree that the recycled water will be deli vered at
a minimum pressure of 65 pounds per square inch at the reuse site connection point as measured
at the customer’s meter.
8.2 Delivery Schedules
PALO ALTO as the RWQCP administrator shall make recycled water available to
MOUNTAIN VIEW on a demand basis, with a peak flow rate of up to 3 million gallons per day
(2,085 gallons per minute), and to PALO ALTO up to 1 million gallons per day (695 gallons per
minute). MOUNTAIN VIEW and PALO ALTO shall coordinate recycled water demand within
their jurisdiction as necessary and cooperate with the RWQCP in the operation for optimal
efficiency. The allocations contained in this section are consistent with the rights of the parties
to use wastewater products as set forth in the Basic Agreement.
8.3 ~
(a) PALO ALTO and MOUNTAIN VIEW have reviewed and agreed to the
water reuse sites and quantities described in the Facility Plan including reuse sites located
outside of their respective jurisdictions. A summary of the reuse sites and quantities is set forth
in the Recycled Water Market Assessment Summary attached as Exhibit L and made a part of
this Agreement. Each city will implement a plan to achieve the short-term usage for their
respective jurisdiction projected in the report, which indicates an initial quantity of recycled
water usage of 750 acre-feet per year, increasing over the next ensuing 5 years to !,480 acre-feet
per year.
(b) For RWQCP operating and planning purposes, MOUNTAIN VIEW and
PALO ALTO will cooperate to provide RWQCP with customer estimated monthly delivery
demand for recycled water for the ensuing year and such other information that MOUNTAIN
VIEW and PALO ALTO may have available to assist RWQCP in determining projects annual
deliveries for the next ensuing 5 years.
8.4 Reimbursement of Grant
If for any reason the State Water Resources Control Board requires reimbursement of all
or part of the grant, MOUNTAIN VIEW and PALO ALTO (including the RWQCP) will provide
a share of the reimbursement in proportion to each organization’s monetary contribution as set
forth in section 3 of this Agreement.
8.5 Metering and Measurement of Flows
Metering of each end user will be conducted bi-monthly by MOUNTAIN VIEW and
PALO ALTO. MOUNTAIN VIEW and PALO ALTO shall provide the RWQCP water use
information. The total of the end user metering will be used annually for reporting recycled
water usage to regulatory agencies and to the State Water Resources Control Board.
070613 syn 6050163 10
8.6 Level of Service
(a) MOUNTAIN VIEW and PALO ALTO understand and acknowledge that
the RWQCP is charged with the responsibilities to operate the wastewater treatment facilities.
Any right to the recycled water from the RWQCP shall be subordinate to the rights and
responsibilities of the RWQCP tothe wastewater treatment facilities. Any circumstance beyond
the RWQCP’s control that causes a reduction in the flow from the RWQCP may cause a
decrease in recycled water available to MOUNTAIN VIEW and PALO ALTO. MOUNTAIN
VIEW and PALO ALTO agree that in such an event they shall request the RWQCP to allocate
reduced flow between them in proportion to the allocation of recycled water supply between
participating agencies as set forth in section 8.2 of this Agreement.
(b) The RWQCP is required to treat wastewater to a quality where it can be
used for all purposes allowed for disinfected tertiary recycled water as specified in Title 22 of the
California Code of Regulations. Accordingly, all recycled water to be delivered from the
RWQCP to MOUNTAIN VIEW and PALO ALTO will be of such quality.
(c) MOUNTAIN VIEW and PALO ALTO recognize that there will be factors
beyond the control of the RWQCP that could cause operational difficulties at the RWQCP
resulting in the temporary production of recycled water that does not meet the requirements of
the Water Reuse Permit for the intended uses. In such cases, Palo Alto as the administrator of
the RWQCP shall temporarily suspend recycled water delivery. PALO ALTO as the
administrator of the RWQCP shall use its best efforts to re-establish the production of recycled
water of suitable quality and shall re-establish supply of the recycled water as soon as reasonably
possible.
9.MISCELLANEOUS PROVISIONS
9.1 Access to Public Right-of-Way
Both parties agree to provide access to the public right-of-way for purposes of
construction and construction management of the PROJECT. The parties shall use their best
efforts to enter into encroachment agreements as necessary for that purpose.
9.2 Construction Equipment
Both parties agree to make space available for the contractor(s) equipment during the
construction and construction management phases of the PROJECT,
9.3 Early Termination
(a) In the event that the state does not provide Chapter 7 grant and/or SRF
loan funding at the level anticipated by the parties, either party may elect to terminate this
Agreement by providing written notice of termination to the other party within ninety (90) days.
(b) In addition, if the lowest responsive and responsible bid for construction
of the PROJECT exceeds the construction budget established for the PROJECT and after
conferring the parties are unable to agree on new funding amounts or to locate other sources of
funds for the PROJECT, either party may elect to terminate this Agreement upon written notice
to the other.
070613 syn 6050163 11
(c) if, following execution of a construction and/or construction management
contract for the PROJECT, the estimated PROJECT costs increase and exceed the PROJECT
contingency, PALO ALTO shall notify MOUNTAIN VIEW promptly. Following notification of
the increased cost, PALO ALTO and MOUNTAIN VIEW shall meet in a timely manner to
discuss alternative funding sources and strategies for completion of the PROJECT. If the parties
are unable to agree on new funding amounts or to locate other sources of funding for the
PROJECT, then either Party shall have the right to terminate this Agreement upon ten days
notice to the other.
(d) In the case of a Force Majeure Event, PALO ALTO may terminate this
Agreement upon ten (10) days notice to MOUNTAIN VIEW. As used herein "Force Majeure
Event" means any matter or condition beyond the reasonable control of PALO ALTO, including
war, public emergency or calamity, fire, earthquake, extraordinary inclement weather, Acts of
God, strikes, labor disturbances or actions, civil disturbances or riots, litigation brought by third
parties against PALO ALTO, or any act of a superior governmental authority or court order,
which delays or prevents PALO ALTO from performing its obligation to administer construction
of the PROJECT under section 2 of this Agreement.
(e) MOUNTAIN VIEW and PALO ALTO shall remain responsible for
PROJECT costs and loans incurred, whether before or after termination of this Agreement, in
connection with termination of the PROJECT construction and/or construction management
contract, in the same proportion to each organization’s monetary contribution and loan amount as
set forth in section 3 of this Agreement.
9.4 Claims
Claims arising out of actions subject to this Agreement shall be administered by the city
with jurisdiction over the geographic area in which the claim arose.
9.5 Assignment
Neither party may assign or transfer any interest in this Agreement without the prior
written consent of the other.
9.6 Notices
All notices and other communications required or permitted to be given under this
Agreement shall be in writing and may be delivered by hand, by facsimile transmission with
verification of receipt, or by United States mail, postage prepaid and return receipt requested,
addressed to the respective parties as follows:
Public Works Department
Attn: Director of Public Works
City of Palo Alto
250 Hamilton Avenue, 6th Floor
Palo Alto, CA 94303
070613 syn 6050163 12
Public Works Department
Attn: Public Works Director
City of Mountain View
500 Castro Street
Mountain View, CA 94041
or to such other address as any party may designate by notice in accordance with this Section.
A copy of any notice of a legal nature, including, but not limited to any claims against
either party, its officers or employees shall also be served in the manner specified above to the
following addresses:
City Attorney
250 Hamilton Avenue, 8th Floor
Palo Alto, CA 94301
City Attorney
City of Mountain View
500 Castro Street
Mountain View, CA 94041
Notice shall be deemed effective on the date delivered or, if appropriate, on the date delivery is
refused.
9.7 Attorney’ s Fees
In the event either party breaches any of the terms, covenants or provisions of this
Agreement, and the other party commences litigation to enforce any provisions of this
Agre.ement, the cost of attorney’s fees and the attendant expenses will be payable to the
prevailing party by the non-prevailing party upon demand.
9,8 Successors and Assigns
The terms of this Agreement shall be binding and inure to the benefits of the parties
hereto and their successors and assigns.
9.9 Governing Law
The parties agree that the law governing this Agreement shall be that of the State of
California.
9.10 Venue
In the event that suit shall be brought by either party hereunder, the parties agree that trial
of such action shall be exclusively vested in a state court in the County of Santa Clara or, where
appropriate, in the United States District Court for the Northern District of California, San Jose,
California.
070613 syn 6050163 13
9.11 Headings
The headings of the sections and subsections of this Agreement are inserted for
convenience only. They do not constitute a part of this Agreement and shall not be used in its
construction.
9.12 Waiver
The waiver by any party to this Agreement of a breach of any provision of this
Agreement shall not be deemed a continuing waiver or a waiver of any subsequent breach of that
or any other provision of this Agreement.
9.13 Integration
This Agreement, including all Exhibits attached hereto, represents the entire
understanding of the parties as to those matters contained herein. No prior oral or written
understanding shall be of any force or effect with respect to those matters covered hereunder.
This Agreement may only be amended by written agreement executed by both parties.
9.14 Severabilitv
If any term, covenant, condition or provision of this Agreement, or the application thereof
to, any person or circumstance, shall to any extent be held by a court of competent jurisdiction to
be invalid, void or unenforceable, the remainder of the terms, covenants, conditions or provisions
of this Agreement, or the application thereof to any person or circumstance, shall remain in full
force and effect and shall in no way be affected, impaired or invalidated thereby.
1/
1/
11
/1
//
//
/I
//
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070613 syn 6050163 14
This Agreement,
between:
"PALO ALTO"
CITY OF PALO ALTO
made and entered into this __ day of __, 2007, by and
"MOUNTAIN VIEW"
CITY OF MOUNTAIN VIEW
City Manager City Manager
APPROVED AS TO FORM:APPROVED AS TO FORM:
Deputy City Attorney
Director of Administrative
Services
APPROVED:
City Attorney
Financial Approval:
APPROVED:
Glenn Roberts
Director of Public Works
Cathy R. Lazarus
Director of Public Works
EXHIB ITS:
Exhibit "A" -
Exhibit "B" -
Exhibit "C" -
Exhibit "D" -
Exhibit "E" -
Exhibit "F" -
Exhibit "G" -
Exhibit "H" -
Exhibit "I" -
Exhibit "J" -
070613 syn 6050163
Water Reuse Permit
Resolution No. 8407
Resolution No. 17145
Resolution No. 8391
MV/Moffett Area Water Recycling Facility Project Design-Construction
Agreement Between the Cities of Palo Alto and Mountain View
Contract No. C3151060 Between the City of Palo Alto and RMC Water
and Environment
Amendment No. One to Contract No. C3151060 Between the City of Palo
Alto and RMC Water and Environment
Backbone Transmission Pipeline
Resolution No. 8690
State Water Resources Control Board Policy for Implementing the State
Revolving Fund for Construction of Wastewater Treatment Facilities
Rules and Regulations of the RWQCB Regional Water Reuse Program
Recycled Water Market Assessment Summary
15
EXHIBIT "A"
CALIFORNIA REGIONAL WATER QUALITY CONTROL BOARD
SAN FRANCISCO BAY REGION
ORDER NO. 93-160
WATER RECLAMATION REQUIREMENTS FOR:
CITY OF PALO ALTO
PALO ALTO REGIONAL WATER QUALITY CONTROL PLANT
PALO ALTO
SANTA CLARA COUNTY
The California Regional Water Quality Control Board, San Francisco Bay RegiOn (hereinafter
called the Board), finds that:
The City of Palo Alto (hereinafter called Producer) operates a tertiary wastewater
treatment plant and water reclamation fadlity at 2501 Embarcadero Way, Palo Alto.
The Producer submitted a Reclamation Master Plan dated April 1992 for the use of
reclaimed water throughout the service area of the Regional Water Quality Control
Plant (RWQCP).
2,The Producer proposes to divert approximately nine million gallons per day (9 mgd) of
tertiary-treated effluent from its Regional Water Quality Control Plant and to further
treat the effluent to acceptable levels at its reclamation facility for various reclaimed
water uses. Current and potential reclaimed water users and use areas have been
identified as listed below and shown in Figure 1 (attached). Users are not required to
limit the quantity of use to the estimated usage listed below. Other potential users
may be identified in the future and added to the following List.
Users Estimated Usage (mgd)
City Parks and Schools
Stanford University
Shoreline Golf Course
Sharon Heights Golf Course
Palo Alto Golf Course
Stanford Research Park
NASA Ames Research Center
Truck fill stations
Caltrans
Palo Alto Muni Service Center
2~5
1.6
1.2
1.0
0.8
0.5
0.5
0.5
0.2
0.2
o The Producer will permit specific reuse projects located within the areas listed in
Finding 2 of this Order by obtaining Reclaimed Water Use Agreements with individual
Users. The Producer will design and incrementally install reclaimed water transmission
facilities to serve these projects. Users will submit engineering reports for each
individual project to the Producer for approval. The Producer will maintain these
reports at its fadlity.
EXHIBIT "A"
The Producer will continue to investigate other potential reuse strategies such as
groundwater recharge, streamflow augmentation, and dual water supply for new.
construction. This will enable the Producer to move towards achieving a goal of
reusing the maximum possible amount of reclaimed water.
The production and uses of reclaimed water are currently permitted under Order No.
86-33, adopted by the Board on May 21, 1986, whiCh prescribes water redamarion
requirements for irrigation of the golf courses and parks in the ciries of PaloAlto.and
Mountain View. Up to two million gallon~ per day of tertiary-treated effluent was
diverted, and further treated to unrestricted use quality for use on the parks and golf
COUlees.
Board Order No. 91-042 provided "blanket" authorization for tanker-truck distribution
of reclaimed water and the expansion of existing fixed irrigation system projects
already subject to water reuse requirements. Reclaimed water distribution at the truck
fill stations operated by the Producer are currently permitted under Order No. 91-042~
This Order incorporates the requirements of Order No. 86-33 and Order No. 91-042,
and therefore supersedes both Orders.
California Water Code Section 13512 states that it is the intention of the legislature that
the State undertake all possible steps to encourage development of water reclamation
facilities so that reclaimed water may be made available to help meet the growing
water demands of the State.
Section 13523 provides that a regional board, after consulting with and receiving the
recommendations of the State Department of Health Services, and if it determines such
action to be necessary to protect the public health, safety, or welfare, shall prescribe
water reclamation requirements for water which is used or proposed to be used as
reclaimed water. The use of reclaimed water for the purposes specified in Finding 2,
could affect the public health, safety, or welfare, and requirements for those uses are,
therefore, necessary in accordance with the California Water Code.
In Section 13550, the Legislature defines the use of potable domestic water for the
irrigation of greenbelt areas, including but not limited to cemetaries, golf courses,
parks, and highway landscaped areas, as a waste or an unreasonable use of such water
within the meaning of Section 2 of Article X of the California Constitution when
suitable reclaimed water is available.
Section 13576(e) states that the use of reclaimed water has proven to be safe from a
public health standpoint and that the State Department of Health Services is updating
regulations for the use of reclaimed water.
This Order’s requirements conform with and implement the water reclamation criteria
of the State Department of Health Services (Title 22, Division 4, Chapter 3, Sections
60301-60355 of the California Code of Regulations [CCR]) to protect the public health,
safety, and welfare.
10.
11.
13.
The Board amended its Water Quality Control Plan for the San Frandsco Bay Basin
(Basin Plan) on September 16, 1992, and the State Water Resources Control Board (State
Board) approved it on April 27, 1993. The Basin Plan supports water reclamation and
further states that the disposal of wastewater to inland, estuarine, or coastal waters is
not considered a permanent wastewater disposal solution where the potential exists for
conservation and reclamation. The Basin Plan prescribes water quality objectives for
reclaimed water, as well as for ground and surface waters of Santa Clara County. The
Basin Plan identifies benefidal uses of the underlying groundwaters as:
o
o
o
Industrial service and process water supply
Municipal and domestic supply
Agricultural supply
The Basin Plan identifies benefidal uses of the surface waters of South San Francisco
Bay and its tributaries as :
@
®
®
®
o
o
o
Water contact recreation
Non-water contact recreation
Wildlife habitat
Preservation of rare and endangered species
Estuarine habitat
Fish migration
Fish spawning
Industrial service and process supply
Shellfish harvesting
Navigation
Commerdal and sport fishing
Effluent limitations of this Order are based on applicable CCR Title 22 regulations, the
Basin Plan, State Plans and polities, current plant performance, and best professional
jud. gement. The limitations are considered to be those attainable by best available
technology, in the judgment of the Board.
The proposed uses of reclaimed water will maintain and enhance natural resources,
and thus this Order is categorically exempt from the provisions of the California
Environmental Quality Act in accordance with Title 14, California Administrative Code,
Chapter 3, Section 15307.
The Board has notified the Users, Producer, and interested agendes and persons of its
intent to prescribe water reclamation requirements for the proposed discharges, and
has provided them with an opportunity for a public heating and to submit their
written views and recommendations.
14.The Board, at a public meeting, heard and considered all comments pertaining to these
proposed uses of reclaimed water.
IT IS HEREBY ORDERED, that the City of Palo Alto (Producer and User) and the Users who
have signed Reclaimed Water Use Agreements pursuant to this Order, in order to meet the
provisions contained in Division 7 of the California Water Code and regulations adopted
thereunder, shall comply with the following:
A.Reclaimed Water q)uali .ty Spedfications
Unrestricted Quality Reclaimed Water (2.2 MPN)
The Producer shall assure that reclaimed water used for industrial reuse,
irrigation in areas with a high probability of direct public contact as may occur
in portions of parks, playgrounds, schoolyards, golf courses that include
residential development with exposure to irrigation spray, and other areas
where the public has similar exposure, shall be an adequately oxidized,
coagulated, clarified, filtered, and disinfected water (as defined in CCR Title 22,
Division 4, Chapter 3, Sections 60301-60335) that meets the following quality
limits at all times:
a.CBOD (&day, 20~C)
b.Dissolved Oxygen
c.Dissolved Sulfide
d.Turbidity
Total coliform bacteria
20 mg/L daily maximum
10 mg/L monthly average
1.0 mg/L minimum
0.1 mg/L maximum
2 NTU maximum daily average operating
turbidity and not exceeding 5 NTU more
than five (5) percent of the time during any
2A-hour period.
At any point downstream of the
disinfection fadlities after adequate contact
with disinfectant, the median number of
total coliform organisms shall not exceed
2.2 MPN/100 mL as determined from the
bacteriological results of the last seven (7)
days for which andlyses have been
completed, and the number of total
coliform organisms shall not exceed ~.3
MPN/100 mL in any sample.
o Restricted Quality Reclaimed Water (23 MPN)
The Producer shall assure that reclaimed water to be used for irrigation of golf
courses, cemeteries, freeway landscapes, and landscapes in other areas where
the public has restricted access or exposure, shall at a minimum be an
adequately oxidized and disinfected water that meets the following quality
limits prior to delivery for any such use at all times:
CBOD .(5-day, 2(PC)20 mg/L daily maximmn
10 mg/L monthly average
4
Bo
o
Dissolved Oxygen
Dissolved Sulfide
1.0 mg/L minimum
0.1 mg/L maximum
do Total coliform bacteria At any point downstream of the
disinfection facilities after adequate contact
with disinfectant, the median number of
total coliform organisms shall not exceed 23
MPN/100 mL as determined from the
bacteriological results of the last seven (7)
days for which analyses have been
completed, and the number of total
coliform organisms shall not exceed 240
MPN/100 mL in any two consecutive
samples.
The Producer shall discontinue delivery of reclaimed water to Users during any
periodin which it has reason to believe that the limits for that use as spedfied
in A.1 or A.2 of this Order are not being met The delivery of reclaimed water
shall not be resumed until all conditions which caused the limits to be violated
have been corrected.
The State Department of Health Services is currently revising the Title 22
regulations for water reuse. When revised regulations are finalized, the
Executive Officer may authorize changes to the restricted and unrestricted
reclaimed water uses consistent with those regulations.
Prohibitions
The treatment, storage, distribution, or reuse of reclaimed water shall not create
a nuisance as defined in section 13050(m) of the California Water Code.
No reclaimed water used for irrigation shall be applied during periods of
rainfall or when soils are saturated such that runoff occurs.
No reclaimed water used for irrigation shall be allowed to escape to areas
outside the-~lesignated use areas by surface flow or by. airborne spray.
Reclaimed water shall not be applied to park, golf course, or landscape areas in
such a manner or at such times that may expose golfers, picnickers, or other
individuals, or that may cause picnic tables, and other food and drinking outlets
fo come into contact with airborne spray droplets.
No reclaimed water shall be discharged from the treatment facilities, irrigation
holding tanks, storage ponds, man-made marsh, or other containment, other
than for irrigation or industrial reuse in accordance with this Order or for
discharge to a munidpal sewage collection system.
Reclaimed water shall not be used as a domestic or animal water supply. There
shall be no cross-cormeUdons between the potable water supply and pipes
containing reclaimed water. Supplementing reclaimed water with water used
for domestc supply shall not be allowed except through an air-gap separation_
An air-gap or reduced pressure principle backflow device shall be provided at
all domestic water service cormections to reclaimed water use areas.
C.Provisions
Order No. 86-33 is hereby resdnded. This Order supersedes Order 91-042 for all
uses specified by that Order.
Reclaimed Water Use Agreements, obtained by the Producer with each User;
form the basis of permitted reclaimed water use by spedfic Users. Reclaimed
Water Use Agreements shall spedfy self-monitoring requirements for each User,
based on the attached self-monitoring program. If someone other than the User
is responsible for applying the reclaimed water (Distributor), e.g. a truck hauler,
then the User shall inform them of these requirements in a written agreement
or other suitable manner. A Distributor shall fill out a Redairned Water Release
Form when receiving reclaimed water from the Producer.
A copy of the Reclaimed Water Use Agreement and this Order must be
provided to the Users by the Producer. The Users and Distributors must have
these available at all times for inspection by Regional Board staff, the Producer,
or State/County Health Officers. The Distributors must also carry the
Reclaimed Water Release Form at all times.
o
The Producer shall comply with the self-monitoring program as adopted by the
Board and as may be amended by the Executive Officer. The Produceris
responsible for .ollecting reports from users. Users are responsible for
submitting on-site observation reports and use data to the Producer, who will
compile and file self-monitoring reports with the Regional Board.
The Producer will be responsible for ensuring that reclaimed water meets the
quality standards of this Order and for operation and maintenance of major
transport facilities and assodated appurtenances. Users will be responsible for
the application of reclaimed water on their respective use areas and assodated
operations and maintenance.
The Producer and Users shall maintain in good working Order and operate as
effidenfly as possible any facility or contro! system installed by the Producer or
Users to achieve compliance with the water reclamation requirements.
The Producer and Users shall provide employee training to assure proper
operation of reclamation fadlities,, worker protection, and compliance with this
Order.
o The Producer and Users shall assure that all above ground equipment,
including pumps, piping, storage reservoir, and valves, etc. which may at any
10.
time contain reclaimed water shall be adequately and dearly identified with
warning signs. The Producer and Users shall make all necessary provisions to
inform the public that the liquid being distributed is reclaimed water and is
m-flit for human consumption.
Reclamation facilities shall be operated in conformance with the California
Department of Health Service "Guidelines for Use of Reclaimed Wastewater for
Irrigation and Impoundment" and "Guidelines for Worker Protection_ at..
Reclamation Use Areas" and the American Water Works Assodation, California-
Nevada Section’s Guidelines for the Distribution oJ Non-potable Water.
The Producer and Users shall permit the Board or its authorized representative
in accordance with California Water Code Section 13267(c):
Entry upon premises where a regulated fadlity or activity is located or
conducted, or where records are kept under the conditions of the Order.
Do Access to and copy of any records that must be kept under the
conditions of this Order.
Inspection of any facility, equipment (including monitoring and control
equipment), practices, or operations regulated or required under this
Order.
To photograph, sample, and monitor for the purpose of assuring
compliance with this Order.
11.The Board wkll revise this Order periodically and may revise these requirements
when necessary.
I, Steven R. Ritchie, Executive Officer, do hereby certify the foregoing is a full, true, and
correct copy of an Order adopted by the California Regional Water Quality Control Board,
San Frandsco Bay Region, on i z,! ~_c’./"7"~..
..STEVEN R.
"EXECUTIVE OFFICER
Attachments:
B.
C.
D.
Figure 1 -- PARWQCP Water Reclamation Reuse Areas
DOHS Guidelines for Use of Reclaimed Wastewater for Irrigation and Impoundment
DOHS Guidelines for Worker Protection at Water Reclamation Use Areas
Self-Monitoring Program
LEGEND
RECLAIMED WATER
CONVEYANCE PIPELINE
STORAGE RESERVOIR
PUMPING STATION
NOTE:MAIN LINES ONLYARE
SHOWN. ADDITIONAL
LINES MAY BE NEEDED
TO SERVE SPECIFIC
SITES, B.g., STANFORD
RESEARCH PARK
N
SCALE IN FEET
NAP
!US 101 ~UNIVERSHY
2 PALO ALIO GOLF COURSE
4 ELEANOR PARK
~RINCONADAPARK COMPLEX
6 US 1OI ~ EMBARCADERO7US 101 ~ OREGONgGREER PARK
10 MUNI SERVICE CENTER
I1 PEERS PARK18BOULWARE PARK
19 STANFORD RESEARCH PARK20BAYLANDS ATHLETIC CENTER2!BOL PARK
22 VENTURA PARK23RDBLES PARK
25 TERMAN PARK
27 MITCHELL PARK
28 DON JESUS RAMOS PARK
REGIONAL
MOST FEASIBLE REUSE SITES
AIfltUAL USE,NAP ARBUAL U~E,3ITE BANE ACRE-FTIYR Ig Be.811E BANE ACBE-FT/YR
4
35514
52
44
635
5
5252g
21
83g
121
141
34
2g E. MEADOW CIRCLFJFABIAN WAY 3030US 101 ~ SAN A[~ONIO 43!US IO1 @RENGSTOREF 432SHORELINE GOLF LINKS 44037:~ENGSTORFF PARK 7038US 10t ~ SHORELINE 440US 101 @ MOFFET]441AMES RESEARCH CENTER &f~S MOFFETT 44D42McKELVEY BALL PARK 1543PIONEER MEMORIAL PARK 1244BUBB PARK 3D45CUESTA PARK 7150COOPER PARK 3153STANFORD UNIVERSITY 1,BOO54VETERANS ADMIN. I,~EDICAL CENTER 7055ALTA MESA MEMORIAL PARK 154356STEVENSON SCHOOL/PARK 4857CRITENDEN SCHOOL/PARK 1764EAGLE PARK 18
[::.:::::==============================
LOS
STATE OF CALIFORNIA DEPARTMENT OF HEALTH
GUIDELINES FOR USE OF RECLAIMED WATER FOR
IRRIGATION AND IMPOUNDMENTS
A. GENERAL
Reclaimed water shall meet the Regional Water Quality Control Board
requirements and the requirements specified in the Wastewater Reclamation
Criteria, established by the Sl:ate of California Department of He~l~.h for
heal th protection.
The discharge should be confined to the area designated and approved for
disposal and reuse.
Maximum aEainable separation of reclaimed water lines and domestic
water lines should be practiced. Domestic and reclaimed water transmission
and distribution mains should conform to the "Separation and Cons[ruct~on
Criteria" (see attached).
The use area facilities must comply with the "Regulations Relatincj to
Cross-Connections " Title 17. Chapter V, SeCtions 7583-7622, inclusive,
California Administrative Code.
Plans and specifications of the existing and proposed reclaimed water
system and domestic water system shall be submitted to Slate and/or
local health agencies for review and approval.
4.Atl reclaimed water valves and outlets should be appropriately tagged to
warn the public and employees that the water is not safe for drinking or
direct contact.
5.All piping, valves, and outlets should be color-coded or otherwise marked
to differentiate reclaimed water from domestic or other water.
°"
a.Where feasible, differential piping materials should be used to faci irate
water system identification.
All reclaimed water valves, outlets, and sprinkler heads should be of a type
[hat can only be operated by authorized personnel.
a.Where hose bibbs are present on domestic and reclaimed water lines,
difie~ ential sizes should be established to preclude the interchange of
hoses.
Adequate means of notification should be provided to inform lhe public
that reclaimed water is being used. Such notification should include the
posting of conspic_uous warning signs with proper wordinr~ of sulficie~[ size
to be clearly read.
JAb! 2
A- 9 WATER
8.Adequate measuFes should be taken to prevent: the breeding of flies, mos-
quhos and other vectors of public health signii-icance during the. procc’ss
~euse.
g.Operation of the rise.area facilities should not create odors, slimes, or
unsightly deposits of sewage origin.
B. SPRAY IRRIGATION OF CROPS
1.Irrigation should be controlled to minimize ponding of wastewater and run-
off should be contained apd Droperly disposed.
2.Irrigation should be done so as to prevent contact by the public with the
spray~ material and precautions should be taken to insure that reclaimed
water will not be sprayed on walkways, passing vehicles, buildings, domestic
water facilities, or areas not under control of the u~r.
a. The ir~igat~ areas should be fencc~ where primary effluent is used.
b.Windblown spray from the irrigation area should not reach areas access-
sible to the public.
3.Irrigat~ areas mu~ be kept completely separated from domestic water wells
and resewoirs. A minimum of 500 feet should be provided.
4.Adequa~ time should be provided- between the last irrigation and
[o allow ~e crops and soil to dH-
a.Animals, esp~ialty milking animals, should not be allowed to graze
land irrigat~ with reclaim~ water until it is thorou£hly
5.~ere should be no subsequent planting of produce on lands irrigated with
prima~ effluent.
C.SURFACE IRRIGATION OF CROPS
1.Irrigation should be controlled to minimize ponding of wastewater and run-
off should be contained and properly disposed.
2.The F~ubt~c should be effectively excluded from contact with the reclaimed
water used for irrigation.
a. I--he irrigated, areas should be fenced where primary effluent is used.
3.Irrigated areas must be kept completely separated from domestic water
wells and reservo(rs. A minimum of 500 feet should be F~rov{ded.
4.Adequate time should be provided between the last irrigation and harvesting
.to allow the crops and soil to dFy.
a. Animals, especially milking animals, should not be allowed to graze on
.land irrigated with reclaimed water until it is thoroughly dry.
A-J0
5.There should be no subsequent planting of produce on lands irrigate~ with
primary effluent.
Adequate measures must-be taken to prevent any direct contact between
the edible portion of the crops and the reclaimed water.
D.LANDSCAPE IRRIGATION
1.Irrigation should be controlled to minimize ponding of wastewater and run-
off should be contained and properly disposed.
2,At golf courses, notices shou.ld be printed on score Cards stating, that re-
claimed" water is used, and all water hazards containing reclaimed water
should be posted with warning signs.
3.Tank trucks used for carrying or spraying reclaimed waLer should be al}pro-
priately identified to indicate such.
Irrigation should be done so as to prevent or minimize contact by the
public with the sprayed material and precautions should be taken to insure
[hat reclaimed water will not be sprayed on walkways, passing vehicles,
buitdings, picnic tables, domestic water facilities, or areas not under control
of the user.
Irrigation should be practiced during periods when the grounds will
have maximum opportunity [o dry before use by the public unless
provisions are made to exclude the public from areas during arid after
spraying with reclaimed water.
Windblown spray from [he irrigation area should not reach areas acces-
sible to the public.
Drinking water fountains should be protected from direct or windblown
reclaimed water spray.
S.Irricjated areas must be kept completely separated from domestic water wells
and reservoirs. A minimum of 500 feet should be provided.
E.IMPOUN DM EN-I:S
Runoff should be contained and properly disposed.
At restricted recreational impoundments and landscape impound~qen[s all
valves and outlets should be appropriately tagged to warn the public that
the water is nor, safe for drinkina or bathing.
At nonrestricted recreationa impoundments al valves and outlets should
be upp~op,’i~tely tagged to warn the public that the water is reclaimed from
sewa~je and is not safe fo~ drinking.
Adequaie measures should be taken to pre,~ent body contact activities,
such as ,,*,,adin_q or swimming, at restricted recreatio~al impoundmef~ts con-
taining reclaimed water.
Adequate measures should be taken to pre,~ent direct public contact with
~eclaimed water a~ landscape impoundments.
Restricted and nonrestricted recreational impoundments should be main-
tained under the continuous supervision of qualified personnel during
periods of use.
Impoundments containing reclaimed water must be kept completely sepa-
rated from domestic water wells and reservoirs. A minimum of 500 feet
should be provided.
A-12
STATE OF CALIFORNIA DEPARTMENT OF HEALTH
GUIDELINES FOIl WORKER PROTECTION
AT WATER RECLAMATION USE AREAS
1.Employee~ should be ~ade aware of the potential health ha2ards involved
with contacl: or ingestion of reclaimed waler.
2.Employees should be subjected to periodic medical examinations for in-
tes-tinal diseases and [o adequate immunization shots.
3.Adequate first aid kits should be available on location, and all cuts and
abrasions should be treated promptly to prevent infection. A doctor
should be consulted where infection "s likely.
4.Precautionary measures should be taken to minimize direct contact of
employees with reclaimed water.
a.Employees should not be subjected to reclaimed water sprays.
For work involving more than a casual contact with reclaimed water,
employees should be provided with protective clothing.
At crop irrigation sites, the crops and soil should be allowed to dry
before harvesting by employees.
Provisions should be made far a supply of safe drinking water for em-
ployees. Where bottled water is used for drinking purposes, the water
should be in contamination-proof containers and protected from con-
tact with reclaimed water or dust.
The water should be of a source approved by the local health
authority.
6.Toilet and washing facilities should be provided.
7.Precautions should be taken to avoid contamination of food taken to
areas irrigated with reclaimed water, and food should not be taken to
areas s~ill wet with reclaimed water.
Adequate means o{ notification should be provided to inform the em-
ployees that reclaimed water is being used. Such notification should
include the posting of conspicuous warning signs with proper wording of
sufficient size to be clearly read.
ao In some locations, especially at crop irrigation use areas, it is
advisable to have the signs in Spanish as well as English.
A-13.
’ " 2. ’:: ’lqq.,".-A [\! .. ,-, ....-:
WA~-ER QbAUTY
CONTROL PL&NT
10.
11.
All reclaimed water valves, outlets, and/or _--prinl,-.ler heads should be
appropriately tagged to warn e~,ployees that the water is not safe for
drinking or direct contact (di.rect contact is allow6d at ~on restricted
recreational impoundments}.
All piping, valves and outlets should be color-coded or otherwise mar~ed
to differentiate reclaimed water from domestic or other water.
.Where feasible, differential oiping~naterials should be used to facili-
tate water system identification.
All reclaimed water valves, outlets and sprinkler heads should be of a type
that can only be operated by authorized personnel.
Where hose bibbs are present on domestic and reclaimed water lines,
differential sizes should be established to preclude the interchange of
hoses.
A-14
C~IFORNIA REGIONAL WATER QUALITY CONTROL BOARD
SAN FRANCISCO BAY REGION
SELF-MONITORING PROGRAM
FOR
~ CITY OF PALO ALTO
PALO ALTO REGIONAL WATER QUALITY CONTROL PLANT
SANTA CLARA COUNTY
ORDER NO. 93-160
ao Letter of Transmittal: A letter transmitting self-monitoring reports
should accompany each report; Such a letter shall include a discussion
of requirement violations found during the reporting period, and actions
taken or planned for correcting noted violations, such as operation or
facility modifications. If the Producer has previously submitted a report
describing corrective actions and/or a time schedule for implementing
the corrective actions, reference to the previous correspondence will be
satisfactory.
The transmittal letter shall contain a statement by the Producer, or the
Producer’s authorized agent, under penalty of perjury, that to the best
of the signer’s knowledge the report is true, accurate, and complete.
Tabulations of the r~sults from each required analysig by Producer
specified in Table 1 (Attachment A) by date, time, type of sample, and
station.
Co A list of existing and new authorized reclaimed water Users, including
the name, location, and projected annual flow to be delivered.
do Tabulation of inspections and observations of reuse sites, including
User’s standard observations and random inspections by the Producer.
A summary of effluent violations related to water reclamation,
violations found during inspection of reuse sites, corrective actions
taken, and any changes to or revoking of User authorizations.
fo A summary of ground water.monitoring conducted in accordance with
provisions of the Environmental Impact Report completed for the
reclamation project.
go An update regarding developmentof the Reclamation Master Plan,
including planning, design, and construction of facilities, and
preparation of required reports and technical documents.
STANDARD OBSERVATIONS
Evidence of runoff.of reclaimed water from the site (show affected area on a
sketch, and estimate volume).
Odor of wastewater origin from irrigation site: If present, indicate apparent
source, characterization, direction of travel, and any public use areas or offsite
facilities affected by the odors.
2
Wo
VI.
Evidence of ponding of reclaimed water, and/or evidence of mosquitoes
breeding within the irrigation ai:ea due to. ponded water.
Warning signs properly posted to inform public that irrigation water is
reclaimed water, which is not safe for drinking:
Evidence of leaks or breaks in the irrigation system pipelines or tubing.
Evidence of plugged, broken, or otherwise faulty drip irr.igation system
emitters or spray irrigation sprinklers.
DESCRIPTION OF SAMPLING AND OBSERVATION STATIONS
RECLAIMED WATER
station
E-001
Description
Location at the Pato Alto Regional Water Quality Control
Plant where a representative sample of treatment plant
effluent being diverted for reclamation can be obtained
and total diverted flow can be measured.
LAND OBSERVATION STATIONS
Description
L-1 to L-n Locations at a sufficient number of points at reuse areas
in order to ensure compliance with water reclamation
requirements.
IMPOUNDMENT FACILITIES
Description
P-1 to P-n Locations at points along the periphery of each storage,
ornamental, golf course, or other pond or impoundment.
SCHEDULE OF SAMPLING. MEASUREMENTS. AND ANALYSIS
The self-monitoring program is applicable during the periods when reclaimed
water is in use. The Producer and Users are required to perform observations,
sampling, measurements, and analyses according to the schedule given in Table
1 (Attachment A).
3
The Producer shall require the Users to conduct a complete inspection of all
irrigation lines, sprinklers, and emitters at least once each year during the
dormant season. A~ report of the findings of these inspections, including
descriptions of any sign~_ ~cant repairs or modifications made to the distribution
systems, shall besubmitted in the annual report (due January 30 of each year).
I, Steven R. Ritchie, Executive Officer, hereby certify, that the foregoing Self-Monitoring
Program:
Has been developed in accordance with the procedure set forth in this Regional
Board’s Resolution No. 73-16 in order to obtain data and document compliance
with Water Reclamation Requirements established in Regional Board Order
No. 93-160.
Has been revised and ordered by the Executive Officer on June 20, 1995.
This Self-Monitoring Program supersedes the previous program and amends
the water reclamation requirements adopted by the Board on December 15,
1993.
May be reviewed at any time subsequent to the effective date upon written
notice from the Executive Officer or request from the Producer, and revisions
will be ordered by "the Executive Officer.
// STEVEN R. RITCHIE
.// EXECUTIVE OFFICER
Attachment: Table 1 - Schedule for Sampling, Measurements, and Analysis
File No. 2189.8103 (SMM)
4
ATTACHMENT A
TABLE 1
SCHEDULE FOR SAMPLING,. MEASUREMENTS, AND ANALYSIS
Palo Alto RWQCP - Water Reclamation Req’ts
SAMPLING STATIONS [I
TYPE OF SAMPLE I1 Grab
Flow Rate (gallons/day)]1
Total Coliform (MPN/100ml)1[ 3/W~
Turbidity (NTU),. [
Dissolved Oxygen (rag/l)I!
Dissolved Sulfides (mg/1) (if 3/W"2
DO < 1 mg/1)
,H (units)[I 3/W2
Chlorine Residual (mg/1)II
Applicable Standard Obser-
vations
E-1
C -24
3/Wz
Cont.
D
D2
All L
Obs.
Q~
A3
LEGEND FOR TABLE 1
Type of Sample
Grab = Instantaneous grab sample
C-24 = 24-hour composite sample
Com. -- Continous monitoring (recorder)
Obs. = Observation
Sampling Frequency
D = Daily
31W = Three times per week
W = Weekly
2/M = Twice per month
Q = Quarterly
A = Annual
All P
-Obs.
Q1
A3
1 Flow totals for each User will be compiled by the Producer on a quarterly basis.
Dally average flow will be calculated from these quarterly totals and reported for each
User in the Producer’s annual report.
When producing reclaimed water.
3 Observations that the Producer requires each User to complete when reclaimed
water is being used. The Producer will establish User self-monitoring requirements that
depend on the size and complexity of each site, as a condition of each User’s permit:
EXHIBIT "B"
RESOLUTION NO. 8407
RESOLUTION OF THE COUNCIL OF THE CITY OF PALO
ALTO AUTHORIZING THE CITY ~ANAGER TO FiLE
APPLICATION AND EXECUTE A GRANT AGREEMENT FOR A
GRANT IN ~AMOUNT NOT TO EXCEED $5 MILLION FROM
THE STATE WATER RESOURCES CONTROL BOARD ON
BEHALF OF THE CITY OF PALO ALTO REGIONAL WATER
QUALITY CONTROL PLANT (PARWQCP)FOR THE
CONSTRUCTION OF THE MOUNTAIN VIEW-
MOFFETT AREA WATER RECYCLING PROJECT
WHEREAS, the Safe, Clean, Reliable Water Supply Act
(1996 Bond Law) established a Water Recycling Subaccount for
!ow-interest loans for design and construction of water
recycling projects and for grants for facilities planning,
design and construction of recycling pro3ects; and
WHEREAS, the State Water Resources Control Board
established the Water Recycling Construction Program (WRCP) by
adoption of the Water Recycling Funding Guidelines (WRF
Guidelines) on April 17, 1997, which implemented provisions of
the 1996 Bond Law as well as other bond laws; and
WHEREAS, the Palo Alto Regional Water Quality Control
Plant (PA~WQCP) staff has reviewed the application, Plan of
Study, and other supporting information for the water recycling
project and has determined that the project complies with the
WRF Guidelines; and
WHEREAS, the PARWQCP operates a reclaimed water facility
and delivers reclaimed water to various reuse sites. The
existing pipeline from the PARWQCP to Shoreline has deteriorated
and is scheduled for replacement.. In anticipation of future
reuse opportunities in Mountain View, such as the future Moffett
facilities, the replacement pipe will be upsized; and
WHEREAS, the State Water Resources Control Board
presently has funding available to match 25% up to $5 million of
the cost of reclaimed water facilities construction project.
NOW, THEREFORE, the Council of the City of Palo Alto
does RESOLVE as follows:
SECTION i. That the City Manager or his designee is
hereby authorized and directed to sign and -file, for and on
behalf of the City of Palo Alto, a water recycling project
construction Grant Application for a grant from the State Water
040315 smOlOOlg2 EXHIBIT"B"
Resources Control Board in an amount not to emceed $5 million
for the construction of the Mountain View-Moffett Recycled Water
Project on behalf of the Palo Alto Regional Water Quality
Control Board (PARWQCP).
SECTION 2. That the City of Palo Alto hereby agrees and
further does authorize the City Manager or his designee to
certify that the City has and will comply with all applicable
state statutory and regulatory requirements related to any state
grant fnnds received.
SECTION 3. That the City Manager or his designee
hereby authorized to negotiate and execute on behalf of the City
a grant agreement and any amendments thereto or other documents
required in connection with the grant.
SECTION 4. That a mitigated negative declaration (MND)
was prepared in accordance with CEQA for the Project and adopted
by the City Council, Resolution Number 8391 on January 12, 2004.
INTRODUCED AND PASSED:March i, 2004
AYES:BEECHAM,BURCH,CORDELL,FREEMAN,KISHIMOTO,KLEIN-BERG,
MORTON,MOSSAR,OJAKIAN
NOES:
ABSENT:
ABSTENTIONS:
~T~EST :
City Clerk
APPROVED AS TO FORM:
St. Ass~. City Attorney
Mayor
AP]
Director of Public Works
DirectOrservlcesOf A~inistrative
9
12/06/2088 10:58 8508628879 PUBLIC SRVCS ADHIN PAGE 01
EXHIBIT "C"
crrY OF MOUNTAIN VIEW
RESOLUTION NO. 17145
SERIES 2006
Certified to be a True Copy of the Original
D~puty City .Clerk
A RF_~OLUTION AUTHORIZING THE CITY OF PALO ALTO TO SUBMIT AN
APPLICATION FOR A STATE WATER RESOURCES CONTROL BOARD
REVOLVING FUND LOAN ON BEHALF OF TH-E CITY OF MOUNTAIN VIEW FOR
THE RECYCLED WATER PROJECT
WHEREAS, on February 24, 2004, the City Coundl approved tl~e recycled water
project and appropriated $8,100,000 from the Shoreline Park Regional Commun~.ty
Fund; and
WHEREAS, on January 11, 2005, the City Council authorized the City Manager or
his designee to enter Lnto a recycled water p~oject operating agreement with the City of
Palo Alto; and
WHEREAS, the City supports the concept of wafer recyding to preserrce potable
water for domestic and Lndustrial uses; and
WHEREAS, ’the City desires to secure a low-cost source of construction finandng
and intends to finance a potion of project construction costs, with funds provided by
the State of Califorrfia, acting by and through the State Water Resotwces Control~B~,~r.d;
NOW, THEREFORE, BE IT RESOLVED that the City Co~e~
Mountain View:
1. Auth0dze~ the City of Palo Alto to ,complete, sign and file, for and on behalf
of th.e City of Mountain View, a Financial Assistance Application for a loan from the
State Water .Resources Control Bo’ard ~or the design and construction of the Palo
Alto/Mountain View Recorded Water Distribution System corts~rucfion; and
2. The City Co~ee~~t a joint application with the City of Palo
Alto for a Stat~ re~t~~’~~..t~), an interest rate of 0 percent repayable by tl4e
City of Palo Alto and the City of Mountain View over a 20~year period; and
3. The City Manager or his designee is hereby authorized to negotiate and
execute a loan/grant contract and any amendments or change orders.thereto and to
certify loan/grant disbursement on behalf of City of Mountain View; and
EXHIBIT "C"
12/08/2006 10:58 6509828079 PUBLIC SRVCS ADMIN PAGE
7. ...Loan reimbursements will be made from the Shoreline Regional Park
Com_rfiurdty Fund.
The foregoing Resolution was regularly introduced and adopted at a Special
Meeting o.f the City Council o~ the City of Mountain View, duly held on the 14~h day
November, 2006, by the following vote:
AYES:Councilmember~ Ka~perzak, Macias, Means,. Pea~, Perby and
Mayor Gatiotto
NOES:None
ABSENT:None
NOT VOTING:None
ATTEST:APPROVED:
ANGELITA M. SALVADOR
CITY CLERK MAYOR
GAH/~/RESO
761-11-14-06R-E^
I do hereby certiiry that the foregoing resolv.!ion was
passed and adopted by the Cii7 Council of the City.of
Mountain View at a Special Meeting held on the 14th day
of November, 2006, by the foregoing vote.
12/06/2006 10:58 65096280T9 PUBLIC SRVCS ADHIN PAGE 03
4. The City will comply with all applicable State and Federal statutory a~d
regulatory requirements related to axty Federal and State loan/grmats received,
including contribution of matc_hhng h~nds; and
5. The City Manager or his desigaee is hereby authorized to revise and.amend
the Recycled Wa~ter Operating Agreement bet’~veea the City of Mountain View and the
City of Palo Alto (Palo Alto. contract C059999) as necessary to co~aply w~th payment’
terms of the State revolving loan fund agreement;
6. The City agrees to submit repayment.to the City of Palo Alto for M~untain
View’s portion of any Share revolving fund loan payment with art L~te~est rate of
0 percent over a 20-yea~. period. Mountain View will reimburse to Balo Alto the
percentage of the payment specified i~ the Recycled Water Operath~g Agreement
betweer~ the City of Mountaia View and the City of Palo Alto (C059999, Sect-ton 10.1).
Payments w~l be made within 30 days of receivin.g an invoice from the City of Palo
Alto; and
EXHIBIT "D"
RESOLUTION NO. 8391
RESOLUTION OF THE COUNCIL OF THE CITY OF PALO
ALTO ADOPTING A MITIGATED NEGATIVE DECLARATION
FOR THE MOUNTAIN VIEW-MOFFETT AREA RECYCLED
WATER RECYCLING FACILITY PROJECT PURSUANT TO THE
CALIFORIqIA ENVIRONMENTAL QUALITY ACT
(03-D-07; 03-EIA-07)
WHEREAS, the Mountain View-Moffett Area Recycled Water
RecYcling Facility Project (~Project") would replace a
deteriorated recycled water pipeline to restore recycled water
service from the Palo Alto Water Quality control Plant to
Mountain View (Shoreline Area) and extend the pipeline to serve
up to 1,200 acre-feet per year of recycled water for landscape
irrigation in the Shoreline Area, the City of Mountain View
North of Highway i01 and the Moffett Field Area. The Project is
an expansion of the existing Regional Water Quality Control
Plant Water Reuse Program; and
WHEREAS, the City as the lead agency for the Project has
prepared a Mitigated Negative Declaration for hhe Project. A
Draft Mitigated Negative Declaration was released for a 30~day
public comment period on October 31, 2003. A public meeting to
hear public input on the Draft Mitigated Negative Declaratlon
was held on November 19, 2003; and
WHEREAS, the Mitigated Negative Declaration was prepared
pursuant to the California Environmental Quality .Act, Public
Resources Code section 21000 et seq. (~CEQA") and the State CEQA
Guidelines, California Code of Regulations, Title 14, section
15000 et seq. The Mitigated Negative Declaration including the
proj~ct description, environmental checklist form, mitigation
summary and monitoring and reporting plan, and appendices is
attached as Exhibit ~A" to this Resolution and by this reference
incorporated herein; and
WHEREAS, the City Council has reviewed and considered
the information contained in the Mitigated Negative Declaration,
including comments received and the responses to those comments;
and
WHEREAS, the Mitigated Negative Declaration was prepared
by the City and the city environmental consultants and reflects
their independent judgn~Lent and analysis. There is no
substantia! evidence on the basis of the record as a whole that
the Project will have a significant effect on the environment;
and
NOW, THEREFORE, the Council of the City of Palo Alto
does RESOLVE as follows:
SECTION i. Mitigation Monitoring and Reporting Plan.
The Mitigation Summary and Monitoring and Reporting Plan
included in the Mitigated Negative Declaration attached as
Exhibit A is hereby approved and adopted.
SECTION 2. Adoption. The City Council finds that the
Mitigated Negative Declaration has been completed in compliance
with CEQA and adopts and approves it. The City Council has
reviewed and considered the information contained in the
Mitigated Negative Declaration, staff reports, oral and written
testimony given at public meetings on the proposed Project and
all other matters deemed material and relevant before
considering the Project for approval.
SECTION 3. No Recirculation Required. iThe City Council
finds that no new significant information has been received that
requires recirculation of the Mitigated Negative Declaration.
INTRODUCED AND PASSED: January 12, 2004
AYES:BEECHAM, BURCH, CORDELL, FREEMAN, KISHIMOTO, KLEINBERG,
MORTON, MOSSAR, OJAKIAN
NOES:
ABSENT:
ABSTENTIONS:
hPPROVED AS TO .F.ORM: .
-~"- ~5~Ci ty At torney
Mayor
Director of Public Works
040129 sm 0100181 2
Design and Construction Agreement
MV/Moffett Area Recycled Water Facility EXHIBIT "E"
MV/MOFFETT AREA WATER RECYCLING FACILITY PROJECT
DESIGN-CONSTRUCTION AGREEMENT
BETWEEN
THE CITIES OF PALO ALTO AND MOUNTAIN VIEW
This Agreement supplements Section 1.2 of Contract #C059999 between the cities of Palo
Alto and Mountain View. It is intended to detail the obligations of each party during the
design and construction phase of the MV/Moffett Recycled Water Facility.
I TERMS
RWQCP
SWRCB
Project
Consultant
Contractor
Contract
Project Partners
The Palo Alto Regional Water Quality Control Plant
The State Water Resources Control Board
The Mountain View/Moffett Area Recycled Water Facility
Project, SWRCB project #3212-030
The consulting firm who performs the design and services during
construction of the Project
The contracting firm under contract for the construction of the
Project
The State Water Resources Control Board Water Recycling
Funding Program Contract, WRFP Project #3212-030
City of Mountain View and City of Palo Alto (represents the City
and the RWQCP)
II ORGANIZATION & RESPONSIBILITIES
A Design Phase
City of Mountain View
(Robert Kagiyama)
City of Palo Alto
(Romel Antonio)
Project Manager
RWQCP
(Daisy Stark)
I
Consultant
(R C)
-- SWRCB
The RWQCP shall assign a Project Manager to supervise and coordinate the design of the
Project in accordance with the Contract with the SWRCB. The Project Manager will
manage the Consultant design contract and will be the main point of contact and lead
person for the design phase. The City of Palo Alto and the City of Mountain View shall
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Design and Construction Agreement
MV/Moffett Area Recycled Water Facility
each assign a Project Engineer to assist the Project Manager with the design and
permitting of the Project. The Project Manager and the Project Engineers shall have
completed their training in the field of engineering, have sufficient experience in processing
projects through city departrnents, and whose normal responsibilities are in the
management, design, and construction of city infi-astructure projects.
A1.Responsibilities of Proiect Manager
The Project Manager is responsible for the overall progress and budget of
the Project. The Project Manager shall ensure that the work products meet
the SWRCB’s requirements and conform to the Facility Planning and
Enviromnental reports. The Project Managers’ duties shall include the
following:
1.Schedule: Review Consultant’s work schedule and Project Engineers’
permit milestone dates. Monitor work progress to ensure compliance
with milestones established in the contract with the SWRCB and the
Consultant.
2.Meetings: Conduct meetings with consultant, permit agencies, the
SWRCB, and project partner as required.
3.Liaison: Serve as the liaison with the SWRCB and the Consultant.
4.Submittals: Coordinate with the SWRCB on submittal requirements,
process submittals and ensure compliance with milestones established in
the contract with the SWRCB. Process, review, and track submittals
from consultant to ensure compliance with contract. Process and
monitor submittal review by reviewers to ensure that the review
process does not delay the design activities and that the allotted time for
reviews are followed (see Exhibit A of this Agreement).
5. Review of Work: Coordinate with Project Engineers on review
comments, expedite review cormnents and responses fi’om!to the
appropriate parties and agencies.
6. Payments:
a. Review progress reports and Consultant’s progress payment
requests; consult Project Engineer as necessary, and process
progress payment in accordance with the Contract document.
b. Prepare and forward progress reports and payment requests with
supporting documents to project partners and the SWRCB.
7.Reports:Review, organize, take actions as needed, and file project
reports.
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8.Permits: Coordinate with and obtain permits from other agencies
having jurisdiction.
Responsibilities of Project Engineers
The Project Engineer is responsible for ensuring that the Consultant!s work
products are in accordance with the requirements of the local authorities.
The Project Engineer shall also ensure that the Consultant’s deliverables
meet the requirements Of the Contract, and conform to the Facility Planning
and Environmental reports in consultation with the Project Manager The
Project Engineer shall confer with the Project Manager regarding his/her
actions. The Project Engineers’ duties shall be limited to within the city of
his/her jurisdiction and shall include the following:
1.Schedule: Review master schedule and milestone dates for the pe~nitting
process to ensure compliance with milestones established in the contract
with the SWRCB in consultation with the Project Manager. Monitor
schedule and ensure that the world progress meets the milestone dates.
2.Meetings: Attend meetings with Consultant, permit agencies, and
appropriate personnel and agencies as requested by the Project Manager.
3. Liaison:
a. Serve as the Project Manager’s liaison with the city. Assist in
obtaining from city additional details or information for the
design and construction of the Project.
b. Serve as the liaison with the community affected by the Project.
Issue public notices, schedule and conduct public meetings as
needed to facilitate the design of the Project. ’Notify Project
Manger in advance of public meetings and report to Project
Manager results of the meetings.
c. Serve as the liaison with the local permitting agency and local
authority having jurisdiction.
d. Assist the Consultant, as the city’s representative, on permit
activities within local jurisdiction.
4.Submittals: Establish and coordinate submittal requirements with the
Project Manager, process submittals and ensure compliance with
milestone dates. Process and monitor submittal review by reviewers
within local jurisdiction, including permit reviews, to ensure that the
review process does not delay the design activities, that the allotted
time for reviews are followed (see Exhibit A of this Agreement), and
that the process complies with milestones.
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B
Review of Work: Coordinate, review, and consolidate review comments
from within the city, .forward review comments to Project Manager,
review and discuss with project team as needed.
Construction Phase
City of Mountain View
(Chris Halvorsen)
City of Palo Alto
(Romeo Antonio)
Project Manager
RWQCP
(Daisy Stark)
Contractor PM
----q SWRCB
Consultant PM
(RMC)
Construction
supervisor
The RWQCP shall assign a Project Manager to .supervise and coordinate construction
activities in accordance with the contract with the SWRCB. The project Manager will
administer the construction contract and will be the main point of contact and lead person
for the construction phase to process construction project control documents (submittals,
RFIs, change orders, field orders, cost controls), monitor schedule, preparing
construction progress reports and processing progress payments. The City of Palo Alto
and the City of Mountain View shall each assign a Project Engineer to assist the Project
Manager with construction management, inspection, and acceptance of the Project. The
Project Manager and the Project Engineers shall have completed their training in the field
of engineering, have sufficient experience in handling public works or utilities projects with
the public and contractors, and whose normal responsibilities are in the design and
construction of city infrastructure projects.
B1.Responsibilities of Proiect Manazer
The Project Manager shall observe the guidelines set forth in section III of
this Agreement and shall be responsible for the overall progress and budget
of the Project. The Project Managers’ duties shall include the following:
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1.Schedule: Monitor and enforce the progress schedule, schedule of
submittals, and schedule of value.
2.Meetings: Conduct meetings with contractor, consultant, permit
agencies, the SWRCB, as required.
3. Liaison: Serve as the liaison with the SWRCB, project partners, and the
Contractor.
4. Submittals: Process, review, and track submittals, making sure that the
review process does not delay the construction activities and that the
allotted time for reviews are followed (see Exhibit A of this
Agreement).
5. Review of Work, Rejection of Defective Work, Inspection and Tests:
a. Conduct periodic on-site inspection of the Work, or as requested
by the Project Engineer.
b. In consultation with the Project Engineer, Consultant, and
Contractor, review any Work that is deemed unsatisfactory,
faulty, or defective or does not conform to the Contract
documents, or has been damaged;’ review recommendations and
issue directives on corrective measures.
c. Review reports and make sure that tests, equipment and system
start-ups, operations and maintenance training are conducted in
accordance with the Contract documents.
d.Accompany visiting inspectors representing public or other
agencies having jurisdiction over the Project.
6.Interpretation of Contract Documents: review the Consultant’s report
on clarifications and interpretations of the Contract documents, in
consultation with the project engineer; issue final clarifications and
interpretations to the Contractor, and circulate final clarifications and
interpretations to the Project Engineers, consultant, and appropriate
personnel.
7.Payments:
a. Review progress reports and Contractor’s progress payment
requests; consult Project Engineer as necessary, and process
progress payment in accordance with the Contract document.
b. Prepare and forward payment requests with supporting
documents to project partners and the SWRCB.
8. Modifications:
a. Review the Project Engineer’s report and recommendations on
modifications.
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B2.
b. Evaluate and prepare change orders, obtain approvals and process
change orders as described in Section III of this Agreement.
c. Circulate change order to the Project Engineer, consultant, and
appropriate personnel.
9. Reports:
a. Review, organize, take actions as needed, and file project reports
from the Project Engineers, contractor, and consultant.
b. Prepare monthly stares report to city of Mountain View, city of
Palo Alto, and the SWRCB.
10.Completion: Prepare punch list and coordinate with Contractor and the
Project Engineer to complete punch list items; execute closeout of
project in conformance with the General Condition of the Contract upon
receipt of acceptance from the-Project Engineers.
Responsibilities of Proiect Engineers
The Project Engineers shall observe the guidelines set forth in section III of
this Agreement and shall be responsible for ensuring that the Contractor’s
work is performed in accordance with the requirements of the Drawings and
Contract Specifications. The Project Engineer shall confer with the Project
Manager regarding his/her actions. The Project Engineers’ duties shall be
limited to within the city of his/her jurisdiction and shall include file
following:
o
Schedule: Review the progress schedule, schedule of submittals,
schedule of value and advise the Project Manager concerning
acceptability.
Meetings: Attend meetings with contractor, consultant, permit agencies,
etc, as requested by the Project Manager.
Liaison:
a. Serve as the Project Manager’s liaison with the city. Assist in
obtaining from city additional details or information when
required for proper execution of the Project.
b. Serve as the liaison with the community affected by the Project.
Issue public notices, schedule and conduct public meetings as
needed to facilitate the execution of the Project. Notify Project
Manger in advance of public meetings and report to Project
Manager results of the meetings.
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4.Submittals: Review submittals within the allocated time noted in
Exhibit A of this Agreement. Track submittals and construction
activities.
5. Review of Work, Rejection of Defective Work, Inspection and Tests:
a. Conduct on-site obselwations of the Work in progress and assist
the Project Manager in determining if the Work is in general
proceeding in accordance with the Contract documents.
b. Report to the Project Manager whenever he/she believes that
any Work is unsatisfactory, faulty, or defective or does not
conform to the Contract documents, or has been damaged; and
advise the Project Manager of the corrective measures.
c. Verify that tests, equipment and system start-ups, operations
and maintenance training are conducted in accordance with the
Contract documents; observe, record, and report the appropriate
details to the Project Manager.
d, Accompany visiting inspectors representing public or other
agencies having jurisdiction over the Project, record and report
the results of these inspections to the Project Manager.
6.Interpretation of Contract Documents~ Report to the Project Manager
when clarifications and interpretations of the Contract documents are
needed and coordinate with the construction supervisor clarifications
and interpretations as issued by the Project Manager.
7.Modifications:
a. Consider and evaluate field suggestions for modifications and
report with recommendations to the Project Manager.
b. Assist Project Manager with drafting and evaluations of change
orders.
c. Coordinate with construction supervisor decisions as issued by
the Project Manager.
8. Reports:
a. Furnish the Project Manager periodic reports of progress of the
Work.
b. Consult with Project Manager in advance of scheduled public
meetings, major tests, inspections or start of important phases of
the Work, and report the results of such meetings and tests.
c. Report immediately to the Project Manager and city upon
occurrence of any accident.
9.Completion: Conduct final inspection within 5 working days upon
Contractor’s request for final inspection, prepare and provide the Proj ect
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completed or corrected, and make recommendations to
Manager concerning acceptance within 5 working
Contractor’s notification that work has been completed.
10. Limitations of Authority: The Project Engineer
a.
Manager a final punchlist of items to be completed or con’ected within 7
working days upon Contractor’s request for inspection. Observe and
report to Project Manager that all items on final punchlist have been
the Project
days upon
bo
Co
Shall not authorize deviation frolI1 the Contract docmnents or
substitution of materials or equipment, except when it is critical
to give the Contractor in~nediate direction in order to prevent
proj ect delays or to ensure the health and safety of the Contractor
or the public. In which case, the Project Engineer shall issue a
field order in accordance with the Section "Field Order" of this
Agreement. In any case, the Field Order should not be used to
authorize changes that will have large impacts on the Contract
Price or the Contract Time. Report iImnediately to the Project
Manager all field orders.
Shall not advise on, issue directions relative to, or assume control
over any aspects of the means, methods, techniques, procedures
of construction unless such advice or directions are specifically
required by the Contract docmnents.
Shall not advise on, issue directions regarding, or assume control
over safety precautions and programs in connection with the
Work.
Shall not authorize use of the Project in part or in whole.
III GUIDELINES
A.Review and process submittals
All parties to this A~eement understand that the Project is under an extremely tight
schedule, and that delay in the project completion may cause the lost of the State grant. All
parties agree to facilitate and expedite permit and miscellaneous document reviews.
The types and number of copies of each submittal the Consultant/Contractor is required to
submit and the period allowed for submittal review by the City will be stated in the contract
documents. The Project Engineer shall coordinate and monitor the progress of submittal
review within his/her city to make sure that the specified time period for submittal review is
not exceeded (see Exhibit A). Prior to returning the submittal with review con’m’lents to the
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Project Manager, the Project Engineer shall screen, Check, and consolidate the review
comments to avoid any contradictions, conflicts, or redundancies. As much as practicable,
COlmnents shall be forwarded to the Project Manager in electronic format to facilitate the
process.
It should be noted that the City does not "approve" the Contractor’s submittals. Rather they
shall be returned to the Contractor with one of the following notations:
Reviewed, no exceptions taken
Reviewed, exceptions noted
Rejected
Following review, the Project Manager shall an’ange to have copies of submittals
distributed to the Consultant, the Contractor, the Project Engineer, and the project file. The
Project Manager, or designee, shall maintain a record of submittalg throughout the project,
including date of submittal and date of response.
B.Process Contractor Requests for Ini~onnation (RFI)
During construction, the Contractor may submit Requests for Information (RFI) to the City
asking for clarification of the Drawings and Contract Specifications or direction on how to
proceed with an unexpected condition. Upon receipt of the RFI’s, the Project Engineer
shall forward them to the appropriate reviewer with a deadline for response. It is important
to respond to RFI’s in a timely mariner. The Project Engineer shall coordinate and monitor
the progress of the RFI within his/her city departments to make sure that the specified time
period for response is not exceeded (see Exhibit A).
The response to an RFI shall typically be a clarification of infollnation already contained in
the existing Contract Specifications and Drawings. The Project Engineer shall make sure
that the reviewers understand that responses to RFI’s should not be used to make changes
or improvements to the Contract, and that the Contract carmot be changed through a
response to an RFI. Prior to forwarding the response to the Project Manager, the Project
Engineer shall review and check the response. In some cases, however, an RFI raises new
issues that may result in the need for a change in the Contract documents. If changes are
required, the Project Engineer shall notify the Project Manager immediately. The Project
Manager shall review the changes, obtain the necessary approval(s), and negotiate a Change
Order.
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The Project Manager or designee shall maintain a record of RFI’s and responses tl-n-oughout
the project, including date of submittal and date of response. Project Manager shall
distribute copies of RFrs to the Consultant, the Contractor, the Project Engineer, and the
project file.
C.Prepare and maintain construction records and reports
The following is a list of the principal types of construction records and reports that the
Project Engineer should maintain on the Project:
C1.Construction Field Reports: The Project Engineer or designee shall
complete field reports, containing a description of the status of work in
progress, new work started, manpower and equipment at the site, weather,
and visitors to the site. If no work was performed, a report shall still be
filed, stating "no work" and citing the reason for the work stoppage.
C2.Telephone Calls: The Project Engineer shall make sure that all significant
telephone calls made or received are logged. The log should include the
identities of the parties who participated.in the call and a brief description of
the nature of the call.
C3.Tests of Materials: The daily construction report should include a record of
material samples submitted to a laboratory for testing and tests performed at
the site.
C4.Report of Contractor’s Accident: Accidents and personal injuries may result
in complicated litigation in connection with workers’ compensation or
damage actions. The Project Engineer shall prepare a complete report,
including photographs whenever possible, after any construction-related
accident.
C5.Non-Conformance Report: The Project Engineer shall document all
incidents of non-conformance with the Contract Specifications and
Drawings.
C6.Photo Documentation: The Project Engineer shall document the various
stages of the project by taking photos or videos of the jobsite before the start
Of the project, periodically during construction, and upon completion of the
Work.
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Maintaining accurate records and reports is a very important function of the Project
Engineer. These records shall be available for review by the Project Manager and
the representatives from the SWRCB upon request. These records shall be
forwarded to the Project Manager at the end of the Project, and may be used for the
following purposes:
¯To provide time and material accountability, including quantities for
progress payanents and extra work.
To document actions and decisions of the Project Engineer,
Contractor or Project Manager.
To establish project status and site conditions in the event of an
accident or liability claim.
¯To resolve disputes regarding the Contract Time.
¯To prepare responses to inquiries and complaints.
¯To serve as evidence in legal actions.
D. Process Changes to the Contract
Change Orders amend the Contract and document the agreement between the City and
Contractor on changes to the Work. The Project Manager shall issue a Change Order for
any change to the Contract Price, Contract Time, or Contract Work after the PW Director
for the jurisdiction the work is located has signed off. A Change Order also provides a
method for maintaining an accurate record of the Work to be performed and a history of
cost changes. In order to streamline the contract administration process during
construction, a separate Change Order does not have to be written for each individual
change to the Work. Instead, changes can be accumulated for up to thirty days and
combined into a single Change Order.
D1.Field Order
The Field Order is used to authorize changes to the Work when it is critical
to give the Contractor immediate direction in order to prevent project delays
or to ensure the health and safety of the Contractor or the public. The Field
Order should not be used to authorize changes that will have large impacts
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on the Contract Price (>$5000) or the Contract Time. The Field Order shall
be issued using the standard form, which includes blanks for a description of
the changes to the Work, the estimated impacts on the Contract Price and
Contract Time, and authorization signatures. If the exact amount of the
change to the Contract Price cannot be determined at the time the Field
Order is issued (e.g. time and materials work, increase in contract quantity at
fixed unit price, etc.) a not-to-exceed cost dollar figure shall be specified.
The information on the Field Order can be either handwritten or typed. In
urgent cases, where the critical work would exceed $5000 in cost, the Project
Engineer shall consult with the Project Manager prior to issuing the field
order. The Project Engineer shall forward all field orders to the Project
Manager immediately. The Project Manager shall follow up all Field Orders
with a Change Order within a reasonable period of time as agn’eed with the
Contractor.
D2. Change Order
The Project Manager shall process change orders that officially amends the
Contract and incorporates specified changes into the Work. The Project
Manager shall consolidate all field orders into a change order on at least a
monthly basis. The Project Manager shall review the justifications, project
budgets, provide recommendations and obtain approvals as discussed below.
D3.Proiect Manager’s evaluation of proposed changes to the Work
In order to provide adequate justification and documentation for any
changes to the Work, the Project Engineer shall prepare a brief written
evaluation of the proposed changes. The evaluation shall include any
relevant background information pertaining to the recommended change,
justification for the change, an assessment of the additional cost and/or
time extension. The Project Manager shall review the Project Engineer’s
evaluation, negotiate with the Contractor, make recommendations, prepare
a comparison of the status of the Work vs. the amount of remaining
contingent authority, and obtain the appropriate authorization(s) to process
the change order.
D4.Authorization signatures
All changes shall be reviewed by the Project Engineer and the Project
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Manager; and agreed upon by the Contractor prior to submitting for
approval. The table below summarizes the requirements for pre-approvals
and approval signature requirements.
DOCUMENT
TYPE
Field Order
< $5K
$5K- $10K
> $10K
Change Order
<$5K
$5K- $10K
>$1 OK
REQUIRED? :. i REQUIRED SIGNATURES
Yes
Yes
PM
PM & RWQCP Manager
PM, RWQCP Manager & P.A. PW Director
PM & RWQCP Manager
PM & RWQCP Manager
Yes
Yes
Yes PM, RWQCP Manager & P.A. PW Director
?M - Project Manager
P.A. PW Director - City of Palo Alto Public Works Director
Pre-Approval - PW Director for jurisdiction the workis located.
This Agreement, made and entered into this
between:
day 2005, by and
Glenn S. Roberts
Director of Public Works
CITY OF MOUNTAIN VIEW
Exhibits:
Exhibit "A" - Document Review Time Allotment
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Exhibit A
Document Review Time Allotment
.Design review set
Technical Memorandum
Bid Document
Contract Submittals
RFIs
Test Reports
Change orders
7 working days
7 working days
7 working days
7 working days
10 working dayg total
(2 weeks)
10 working days total
10 working days total
7 working days total
7 working days total
7 working days total
7 working days total
PM Review&.
Processing
N,A,
N,A,
N,A,
3 working days
3 working days
3 working days
3 wor.king days
* Consultant, city of Mountain View, and city of Palo Alto reviews shall be concurrent.
PE - Project Engineer
PM - Project Manager
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EXHIBIT "’F"
This Contract No.~:-~l_t¢~.~is entered into
by and between the CITY OF PALO ALTO, a chartered city and a
municipal corpora<ion of the State Of California ("CITY"), and
RAINES, MELTON & CARELLA, INC., a California corporation, located
at 2290 North First Street, Suite 204,San Jose,CA 95131
( "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, calculationsr surveys, specifications, schedules or
other writings ("Deliverables") (Services and Deliverables are,
collectively, the "Project")-, as more fully described in Exhibit
"A"; and
WHEREAS, CITY desires to engage CONSULTANT, inqlUding its
employees, if any, in prov½ding the Services by reason of its
qualifications and experience in performing the Services, and
coNSULTANT has offeredto complete the Project on the terms and.in
the manner set forth herein, including in. accordance with the nerms
and conditions of the State Water Resource Contro! Board Grant
Contract No. 02-719-55C-0.
NOW, THEREFORE, in consideration of the. covenants, terms,
conditions, and provislons of this Contract, the parties agree:
SECTIOH 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 C~TY.- Upon
execution of thi} Agreement, CONSULTANT shall prepare a schedule
detailing the critical path and timeline for each task as described
in Exhibit "A" for .acceptance by CITY. Upon acceptance of the
schedule, the CITY shall issue a notice to proceed to CONSULTANT
and CONSULTANT shall commence work on the Project tasks in
accordance with the schedule and as described 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
030616 sdl O]O0093
EXHIBIT "F"
the rime schedule for any period of L_me This prov~sxon 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 ("Basic Services") will be performed, delivered or
executed by CONSULTANT in accordance with the schedule and the
requirements of Exhibit "A".
2.2 CITY may order substantial changes in the scope or
character of the Project, either decreasing or increasing the
amount of work required of CONSULTANT. In the event that such
change~ are ordered, sub:ect 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 notbe 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
w<±ting, by CITY before CONSULTANT commences the performance of any
such change in work.
2.3 Where the Projec< 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 ro 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
~eliverables, which are discovered by CITY after the construction
contract is awarded by CITY, will be performed By CONSULTANT, as
follows: (a) ar 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
contractor; 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 contractor. 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.
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SECTION 3.
CONSULTANT
QUALIFICATIONS,STATUS,AND DUTIES OF
3.1 CONSULTANT represents and warrants that it has the
expertise and professionalqualifications 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 (or contractors), charged With
the performance of the Services are duly lic}nsed 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 Projecz will be executed by them or under their, supervisi.on.
CONSULTANT will furnish to CITY for approval, prior to execution of
this Contract, a list of all individuals and the 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 TOM RICHARDSON as the project
director ro have supervisory responsibility for the performance,
progress, and execution of the Project and as the project
coordinazor who will 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 Projecz;
3.4.2 Keep itself fully informed of all existing and
future Federal, State of Cali{ornia, 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 emp!oyees and consultants, if any, who are assmg~ed to the
performance of this Contract to observe and comply with, the laws,
ordinances, regulations, orders and decrees mentioned above; and
030616 sdl 0100083
3.4.4 Will reporz immediately to the pro~ect manager,
in writing, any discrepancy or inconslszensy 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 w±ll
become the property of CITY and will not be made avai~lable 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 twenty (20) copies
of any documents which are a part of the Deliverables upon their
completion and acceptance by CITY.
3.7 If CITY requests additional copies of any documents
which are a part of the Oeliverables, 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 ~o carry ou~ the provlsions of this Contract or appears to
be incompetent or zo 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 <ravel and 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
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3.10.4 Other Additional Services no~7 or hereafter
described in Exhibit "A" ~o 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 approvedr ±n 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 informatlon 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
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
inZerrelated 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 approv9 within the estimated time schedule
will not constitute a default under this Contract.
4.3 The city managem will represent CITY for all
purposes under this Contract. DAISY STARK 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 @bserves or ozherwise becomes aware of any
default in the performance of CONSULTANT, CITY will use reasonable
efforts to give written notice thereof ro CONSULTANT in a timely
manner.
SECTION 5. COMPENSATION
5.1 CITY will compensate CONSULTANT for the followin~
services and work:
5.1.1 In consideration of the full performance of the
Basic Services-, including any authorized reimbursable expensesr
CITY will pay CONSULTANT a fee not to exceed Three Hundred Thousand
Dollars ($300,000). The amount of compensation will be calculated
in accordance with the schedule set forth in Exhibit "B~’, on a lump
sum per task basis, up to the maximum amount set forth in this
Section. The fees of the consultants, who have direct contractual
030616 sdl 0100083
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 CITY, through its project manager, may
authorize CONSULTANT to perform Additional Services in an amount
not to exceed Thirty Thousand Dollars ($30,000). Prior to
commencing such Additional Services the parties will agree in
writing upon an estimated maximum cost for such Additional
Services.. Compensation for Additiona~ Services shall be made
based on the hourly rare schedule set forth in Exhibit "B" or on a
lump sum basis. The rare schedule may be updated by CONSULTANT only
once each calendar year, and the rate schedules will not become
effective for purposes of this Contract, unless and until
CONSULTANT gives CITY thirty (30) days’ .prior written notice of the
effective date of any revised rate schedule.
5.1.~3 CONSULTANT will not be paid for extra work or
changes, inciudingr without limitation, any desmgn work or change
order preparation, which is made necessary on account of
CONSULTANT’s errors, omissions, or oversights.
5.2 The schedule of payments will be made as follows:
5.2.1 Pa}~ent for Basic Services will be made in
monthly progress payments in proportion.to the quantum of servlces
performed, or in accordance with any other schedule of payment
mutually agreed upon by the parties, as set forth in Exhibit
or within thirty (30] days of submission, in triplicate, of such
requests if a schedule of payment is not specified. CITY will make
final, payment after CONSULTANT has submitted all Deliverables,
including, without limitation, reports which have been approved by
the project manager.-
5.2.~2 Payment for properly authorized 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 prmnciples and will be made available
030616 scil 0100083
ro CITY for auditing purposes at mutually convenient times during
the term of this Contrac< and for three (3) years followinc 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
Contrac< will become~the property of CITY irrespective of whether
the Projec~ 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 doctuments 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 uo protect, indemnify,, defend and
hold harmless CITY, its Council members, officers, employees and
agents, from any and all demands, claims, or liab±lity 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 ~his Contract~or
of the provisions of any ordinance or law will not be deemed to be
a waiver of any such covenant, term, condition, jrovislon,
ordinance, or law or of any subsequent breach or violat.ion of the
same or of any other covenant, term, condition, provislon,
ordinance or law. The subsequent acceptance by either party of any
fee or other money that may bec6me due hereunder will not be deemed
to be a waiver of any precedingbreach 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 payraent, acceptance, or partial
acceptance by CITY will operate as a waiver on the parr of CITY of
any of its rights under this Contract.
SECTION 9.INSURANCE
9.1 CONSULTANT, at its s01e cost and expense, will
obtain and maintain, in full force and effect during the term of
030616 sdl 0100083
this Contract, the insurance coverage described in Exhibit "C",
insuring not only CONSULTANT and its consultantsr if any, but also,
with the exception of workers’ compensation, employer’s liability
and professlonal 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 wiLh Best’s Key Rating Guide ratings of
A:VII 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 !nsured 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 certificazes wi~l be sub3ecr
ro 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 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 <he term of this Contract with the city
clerk.
9.4 The procuring of Such required policy or policies
of ~nsurance will nor 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, in3ury, or loss c{aused 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 selfLinsurance
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.
030616 sO1 0100083
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 recelpt
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 glving 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 zhe. initiation
or continuation of Basic Services or the execution of 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 no<ice 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 zermlnated on account of a default by CONSULTANT, CITY
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 C0n[ract or
suspension of work on the Project by CITY where CONSULTANT is not
in default, CONSULTANT will receive compensazion as follows:
11.4.1 For approved items of services, CONSULTANT will
be compensated for each item of servime 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, b~t 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 quanzum 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 zo 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 nor completed, prepared by CONSULTANT or
its consultants, if any, or given to CONSULTANT or its consultants,
if any, zn 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
12.1 This Contracz is for the personal services of
CONSULTANT, therefore, CONSULTANT will not asszgn, transfer,
conveyr or otherwise dispose of this C0ntracr or any right, title
or interes< in or to the same or any part thereof without the prior
written consent Of CITY. 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.
SECTION 13. NOTICES
13.i All notices hereunder will be given, in writing,
and mailed, postage prepaid, by certified mail, addressed as
fol!ows:
To CITY:Office of the City Clerk
Cizy of Palo Alto
Post Office Box 10250
Palo Alto, CA 94303
To : RWQCP :Attn: Daisy Stark
RWQCP
2501 Embarcadero Way
Palo Alto, Ca 94303
To CONSULTANT: Attention: Tom Richardson
RAINES, MELTON & CARELLA, INC.
2290 North First Street, Suite 204
San Jose, CA 95131
030616 sdl 0100083
10
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 indirectr financial or otherwise, which would
conflict in any manner or degree with the performance of the
Services.
14.2 CONSULTANT further covenants thatr 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; thls
provision will be interpreted in accordance with the applicable
provisions of the Palo Alto Municipal Code and the Government Code
of the Stare of California.
SECTION 15.NONDISCRIMINATION
15.1 As set forth in the Palo Alto Municipal Code, no
discrimlnation will bemade in the employment of persons under this
Contract because of the age, race, color, national origin,
ancestry, religion, disability, sexmai 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 co
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 substa~tially
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 Californla laws covering
prevailing wages and nondiscrimination in
employment; 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 provislons of the State of Californla Fair
Employment Practices Act or smmilar provisions of .Federal law or
executive order in the performance, of this Contract, it will be in
1!
default of this Contract. Thereupon, CITY will have the power to
cancel or suspend this Contract, in whole or mn part, or to deduct
the sum of twenty-five dollars ($25) for each person for each
calendar day during which such p~rson was subjected to
discrimination, as damages for breach of contract, or both. Only a
finding of the State of Californla Fair Employment Practices
Commission or the equivalent federal agency or-officer will
constitute evmdence of a breach of this Contract.
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 facilities 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 Conzract.
16.2 Upon the agreement of the parties, any controvemsy
or claim arising out of or relating to this Contract may be settled
by arbitrazlon in accordance with the Rules of the American
Arbitration Association, and judgment upon the award rendered by
the Arbitrators may be entered in any courr hav2ng jurisdiction
thereof.
16.3 This Contract will be governed by the laws of the
State of California, excluding its conflicts of law.
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 Unitea States District Court
for the Northern District of CalifQrnia 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 partmes and supersedes all prior negotiations,
represenzations~ 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 Contractr whether covenants
or conditions, wil! be deemed to be both covenants and conditions.
12
030616 sdl 0100083
16.8 The covenants, zerms, conditions and provlsions of
thi~ Contract will apply to, and will bind, the heirs, successors,
executors, administrators, assignees, and consultants, as the case
may be, of the partles.
16.9 If a courz 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, azzachments, 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 zhis Contract.
16.1.1 This Contract may be executed in any number of
counterparzs, 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.
II
II
II
II
II
II
II
II
II
13
030616 sdl 0100083
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 Mayor
APPROVED AS TO FORM:
Assistant City Attorney
APPROVED:
Assistant City Manager
Director of Administrative
Services
RAINES, MELTON & CARELLA,
INC., a corporation
Name:
Title:
By:
Director of Public Works
Name:
Title:
Insurance Review
Attachments:
EXHIBIT "A":
EXHIBIT "B":
EXHIBIT "C"-
EXHIBIT "D":
Taxpayer Identification No.
(Compliance with Corp, Code § 313 is
required if the entity on whose behalf
this conzract is signed is a corporation.
In the alternative, a certified corporate
resolution attesting to the signatory
authority of the individuals signing in
their respective capacities is acceptable)
SCOPE OF PROJECT &TIME SCHEDULE
RATE SCHEDULE
INSURANCE
NONDISCRIMINATION COMPLIANCE FORM
030616 sdl 0100083
CERTIFICATE OF ACKNOW’LED6~4ENT
(Civil Code § 1189)
STATE
On @ ~, 200~ before me, the undersigned, a
said County and State, personally appeared
~ , personal~
me-or proved to me on the basis of satisfactory evidence to be the
person(s) whose name(s) is/are subscribed co the within instrument
and acknowledged to me that he!she/they executed the same in
his/her/their authorized capacity(ies), and zhat by his/her/their
signature(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
/ !f~Noiar~ ~ublic
15
030616 sdl 0100083
CERTIFICATE OF ACEIqOWLEDG~ENT
(Civil Code ~ 1189)
COUNTY .)
On I~ , 20~, before me, the undersigned, a
No for said County and State, personally appeared
~", p~z~ui~=~Z knO~TIT-TTO
~ proved to me on the basis of satisfactory evidence to be the
person(s) whose name(s) is/are subscribed to the within instrument
and acknowledged to me that he/she/they executed the same in
/is/her/their authorized capacity(ies), and that by his/her/their
signature(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
SHERRY BENN
~ornrnis~ion # 1304252~F,~ ~
Not~ Public - Califomi~
Cemm. ~Ir~s Jun 8, 2~5
~ eai~4.
Signatu[e of No.tary Public
030616 sd] 0100083
16
EXHIBIT "G"
AMENDMENT NO. ONE TO CONTRACT NO. C3151060
BETWEEN THE CITY OF PALO ALTO AND
RMC WATER AND ENVIRONMENT
(FORMERLY KNOWN AS RAINES, MELTON & CARELLA, INC.)
This Amendment No. One to Contract No. C3151060
(Contract) is entered into ~ ~. ~OO~ , by and between
the City of Palo Alto, a chartered ]citJ and a municipal corporation
of the State of California (~CITY"), and RMC Water and Environment
(formerly known as Raines, Melton & Carella, Inc.), a California
corporation, located at 2001 N. Main Street, Suite 400, Walnut
Creek, CA 94596 ("CONSULTANT").
RECITALS:
WHEREAS, the Contract was entered into between ~the
parties for the provision of professional services described in
contracn no. C3151060 ("the Project"); and
WHEREAS, the contract was originally made with "Raines,
Melton & Carella, Inc.", which subsequently changed its name to
"RMC Water and Environment"; and
WHEREAS, the parties wish to amend the Contract to
reflect CONSULTANT’s name change, extend zhe term, add additional
scope of work including the design and services during construction
of the Pro3ect, consistent with the zerms of this amendment and as
outlined in the Request for Proposal Number 1510601s Scope of Work
section entitled "Subsequent Consultant Services", and increase the
compensation; and
WHEREAS, CONSULTANT shall perform the work in accordance
with the terms and conditions of the State Water Resources Control
Board Water Recycling Funding Program Guidelines and the State
Grant Project #3212-030 contract with the CITY.
NOW, THEREFORE, in consideration of the covenants, terms,
conditions, and provisions of this Amendment No. One, the parties
agree:
follows:
SECTION i.Section i is hereby amended to read as
"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 execution of this
Agreement, CONSULTANT shall prepare a schedule
detailing the critical path and timeline for each
050503 sm 0100359 EXHIBIT "G"
task as described in Exhibits "A~ and ~A-I" for
acceptance by CITY. Upon accepnance of the
schedule, the CITY shall issue a notice to proceed
to CONSULTANT and CONSULTANT shall commence work on
the Project tasks in accordance with the schedule
and as described in Exhibits ~A" and "A-I". Time
~s of the essence of this Contracn. In the event
that the Project is not completed within the time
required through any fault of CONSULTANT, CITY’s
~ity 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.Section 2.1 is amended to read as follows:
’~2.1 The scope of Services and Deliverables
constituting the Project (~"Basic Services~) will be
performed, delivered or executed by CONSULTANT in
accordance with the schedule and the requirements of
Exhibit ~’A~ and Exhibit ~’A-I ....
SECTION 3. Section 5 is amended to read as follows:
"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 non to exceed One Million Eight Hundred
Thousand Dollars ($1,800,000.00). The amount of
compensation will be calculated in accordance with
the schedule set forth in Exhibits "B" and "B-I",
on a lump sum per task basis, up to the maximum
amounn 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
¯ s non obtained by CONSULTANT.
5.1.2 CITY, through it’s project manager, may
authorize CONSULTANT to perform Additional Services
in an amount non to exceed One Hundred Eighty
Thousand Dollars ($180,000.00). Prior to
commencing such Additional Services the parties
will agree in writing upon an estimated maximum
cost for such Additional Services. Compensation
050503 sm 0100359
for Additional Services shall be made based on the
hourly rate schedule set forth in Exhibits "B" and
~B-I" or on a lump sum basis. The rate schedule
may be updated by CONSULTANT only once each
calendar year, and the rate schedules will not
become effective for purposes of this Contract,
unless and until CONSULTANT gives CITY thirty (30)
days’ prior written notice of the effective date of
any revised rate schedule.
5.1.3 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.
5.2 The schedule of payments will be made as
follows:
5.2.1 Payment for Basic Services will be made
in monthly progress paymenzs 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 Exhibits
and ~B-I~, or within thirty (30) days of
submission, in triplicate, of such requests if a
schedule of payment is not specified. CITY will
make final payment after CONSULTANT has submitted
all Deliverables, including, without limitation,
reports which have been approved by the project
manager.
5.2.2 Payment for properly authorized
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 4.The Contract is amended to include the
supplementary scope of work as set forth in Exhibit "A-I"] attached
to and made a part of this Amendment.
SECTION 5.The Contract is amended to include the
compensation provisions applicable to CONSULTANT’s performance of
the supplementary scope of work, including the CONSULTANT’s rate
and fee schedule, as set forth in Exhibit "B-I~, attached to and
050503 sm O100359
made a part of this Amendment.
SECTION 6. Except as herein modified, all other
provislons of the Contract, including any exhibits and subsequent
amendments thereto, shall remain in full force and effect.
IN WITNESS WHEREOF, the parties have by their duly
authorized representatives executed this Amendment on the date
first above written.
APPROVED AS TO Z0
Senior Asst. City Attorney
CITY
RMC WATER AND ENVIRONMENT
Title:
Taxpayer Identification No.
(Compliance with Corp. Code § 313 is
required if the entity on whose behalf
Lhis contract is signed is a corporation.
In the alternative, a certified corporate
resolution attesting to the slgnatory
authority of the individuals signing in
their respective capacities is acceptable)
Attachment:
EXHIBIT "A-I" : SUPPLEMENTARY SCOPE OF WORI<
EXHIBIT "B-I": COMPENSATION &. RATE & FEE SCHEDULE
050503 sm O] 00359
EXHIBIT "A-I"
AMENDMENT NO, 1
City of Palo Alto Contract C3151060
Scope of Work
MOUNTAIN VIEW/MOFFETT AREA WATER RECYCLING FACILITY
State Water Resources Control Board
Project No. 3212-030
The consultant shall perfonaa the design, including site survey and geotechnical services; prepare
all necessary documents and drawings for permit applications and construction; and perfoma the
services during construction of the water recycling facilities as identified in the Mountain View /
Moffetic Area Water Recycling Facility Planning report and its associated environmental reperts.
The State Water Resources Control Board (SWRCB), the Palo Alto Regional Water Quality
Control Plant (R.WQCP), the city of Mountain View, and the city of Palo Alto fund the design and
construction of this project jointly. Consultant’s responsibilities, work requirements, and schedule
shall be as described herein and as stated in the SWRCB Water Recycling Funding Program
Guidelines. The consultant shall perform the design and provide services during construction
(SDC) for the Mountain ViewiMoffett Water Recycling Facility Project (Project). In general, the
facilities to be designed and constructed will include the following elements:
Approximately 3,500 linear-foot (lf) of 30-inch conveyance pipeline starting at the
RWQCP
Approximately 12,425 linear-foot (lf) of 24-inch conveyance pipeline
Approximately 9,000 linear-foot (lf) of 18-inch conveyance pipeline
Approximately 24,600 linear-foot (lf) of 6-inch to 12-inch laterals
Approximately 120 customer connections and corresponding on-site retrofits
CONSULTANT SERVICES
Consultant shall be familiar with the SWRCB Water RecycIing Funding Program Guidelines, city
of Palo Alto standards, city of Mountain View standards, and the appropriate safety and health
standards. The final design shall be consistent with the guidelines and standards for recycled water
facilities and meet the requirements of the Facility Plan report and its associated environmental
documents. The end products of this project sha!l provide sufficient and specific information that
would enable the successful construction of the facilities. The consultant’s scope is grouped under
three functional areas: 1) administration; 2) design; and 3) services during construction. The
consultant shall perfon~a the following tasks in accordance with the schedule under the SWRCB
grant contract (attachment ] to this scope of work).
Palo Alto Regional Water Quality Control Plant
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Page1
ADMINISTRATIVE FUNCTIONS
As scheduled, the design and construction of the Project would take approximately 28 months.
Consultant shall provide administrative services through the entire period of the Project.
Consultant’s administrative functions include:
Task 1: Proieet Management
Project management shall be an integral part of the Consultant services. The Consultant shall
monitor all activities, schedule, and budgets of the project. All activities shall be coordinated
through the City Project Manager. Consultant shall be responsible for managing the overall project
to completion of the final design and through construction.
1.1 Project Progress, Budget, and Schedule Tracldng
Consultant shall provide progress, budget, and schedule tracldng of this project. Consultant
shall prepare a monthly progress report that provides a summary of the project status, ~nd an
update on the project budget/expendi~res and schedule.
1.2 Project Meetings
Coordinate, conduct, and attend the ldak-offmeeting and up to sixteen (16) project progress
meetings with the RWQCP, cities of Mountain View and Palo Alto, and as necessary key
outside agencies (e.g., State Water Resources Control Board, Department of Health Services,
Regional Water Quality Control Board) to communicate progress on the Project, discuss
upcolning work activities, identify and resolve Project issues, obtain endorsement for the
design decisions, and/or discuss permits and easements. Consultant shall document meeting
notes and prepare meeting minutes.
1.3 Presentations
Consultant shall prepare for and give up to three (3) presentations to external pmties (SWRCB,
City Council, etc.).
1,4 Quality Assm’ance and Quality Control
Consultm~t shall identify the procedures mud, if applicable, the assignment of responsibilities for
quality assurance and control for world products. Consultant shall be responsible for the overall
Project QA/QC.
Task 2: Coordination.with Stakeholders
2.1
2.2
Consultant shall be responsible for maintaining baseline communication with outside funding
agency (State Water Resources Control Board (SWRCB)) and verifying compliance with grant
funding requirements. Consultant shall communicate with SWRCB during the design phase and
obtain necessary input on State requirements related to the Project design through regular
phone conversations and up to three meetings. The RWQCP will be responsible for securing grant
payments.
Consultant shMi be responsible for obtaining necessary pennits from permitting agencies
(including Department of Health Services (DHS), CalTrans, PG&E, and Santa Clara Valley
Pale Alto Regional Water Quality Control Pla/~t
Mountain .View/Moffett Area Water Recycling Facility
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Page2
Water District (SCVWD)). Permit fees and costs of right-of-ways will be paid by the RWQCP,
the city of Palo Alto, and the city of Mountain View. Consultant shall obtain all the permits
required for the Project construction. The list of permits to be obtained, as identified in the
Initial Study and Mitigated Negative Declaration (ESA, 2003), is included 1~ elow.
Agency Name
City of Mountain View
City of Palo Alto, PWD
City of Palo Alto
Santa Clara Valley Water District
Bay Area Air Quality Management Dist.
San Francisco Bay Conservation and
Development Commission
California Regional Water Quality Control
Board
California Department of Health Services
California Department of Fish and Game
CALOSHA
Caltrans
Pacific Gas and Electric
Permits or Special Topics
Encroachrnent and Excavation Permit
Grading and Excavation Permit
Encroachment and Street Work Permit
Construction across creeks/flood control
chamaels
Permit to Construct
Construction near the San Francisco Bay
NPDES Permit for construction activities and
Construction Storm Water Pollution
Prevention Plan (SWPPP)
Title 22 - Recycled Water Regulations
Stream Bed Alteration Agreement/Waiver
Underground Classification for Tunnels
En cro achm ent Pennit
Cable and telecom providers Utilities /
Infrastructure review
Consultant understands the importance of meeting the schedule under the SWRCB grant contract
and will work to obtain the required permits in a timely manner for the Pro~ ect, using the
appropriate approach including:
Involve and inform the agencies about the Project early on and continue their
involvement throughout the Project, and send information letters to the agencies
describing the Project elements, areas of concern as it relates to their agency, Project
schedule and contact names.
¯Provide to each agency copies of submittals, incorporate or explain all colmnents
received.
¯Hold np to two meetings with each permitting agency to discuss the project and design
details.
Gather all existing background information pertaining to the Proje.ct and incorporate in
design. For example, incorporate Caltrans old geotechnical boring information on the
drawings helping Caltrans engineers to see the correlation between the Project
geotechnical work and theirs.
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Make sure that the requirements of each of these pemaits are taken into consideration in
the design of the Project and incorporated in the contract documents.
2.3 Consultant shall work with the cities of Palo Alto and Mountain View to coordinate with the
identified recycled water customers and make sure that their concerns are addressed in the
design of on-site retrofits. City will notify and request the customers to cooperate with
consultant, and provide consultant with contact information. Consultant shall facilitate input
fi’om the recycled water customers into the Project design through a series of three 2-hour
work.shops to be held in the City of Mountain View:
The first workshop shall aim at presenting the project to the customers and obtaining
feedback and information on customer and existing local irrigation systems. Consultant
shall update and maintain the database of customers developed as part of the Regional
~/-ater Recycling 2~acilities Planning Study (RMC, 2004) with pertinent information
(contact information, type of connection, type of use and any special provisions or
requirements) collected during the workshop. Consultant shall also follow-up with all
the customers to obtain information pertinent to the project design.
The second workshop shall aim at presenting the 30% design and getting feedback fi’om
the customers.
¯The third workshop will aim at showing how the customer feedback was incorporated
in the 60% design and obtain final input.
Consultant shall work with city of Mountain View, city of Palo Alto, and the RWQCP to set up and
conduct these workshops.
DESIGN
Consultant shall perfoma the design in phases and m accordance ~ith the SWRCB Guidelines to
provide opportunities for review and adjustments as needed. As a minimum, the design goals and
deliverabtes shall be performed for 30% design, 60% design, 90% design, andre final complete
design. At completion of each phase of the design, consultant shall submit reports on work
performed, and meet with RWQCP, the City of Palo Alto, and the City of Mountain View to
review the design submittal and discuss comments. The intent of the meeting is to solicit and
compile comments, resolve issues, and to make final design decisions regarding the Project prior to
moving forward ~o the next phase. Design drawings shall be done in AutoCAD, and Specifications
shall be prepared in WORD.
Task 3: 30% Desi~,~!
The 30% design activities for the Project will consist of performing engineering analyses,
preparing drawings and narrative representing approximately a 30 percent level of design
completion and conducting review workshops with the RWQCP, the City of Mountain View, and
the City of Palo Alto. Consultant shall develop the design, expand upon the planning assumptions
Palo Alto Regional Water Quality Control Plant
Mountain ViewtMoffett Area Water Recycfing Facility
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from the Mountain View-Moffett Field Area Water Reuse Project Facilities Planning reports, and
confirm the major design concepts and pipeline configurations for the Project. As a minimum, the
following suhtasks sl~all be performed:
3.1 Data Collection
Consultant shall collect and review the available data from RWQCP, City of Palo Alto, City of
Mountain View, outside agencies (e.g. Caltrans, SCVWD), and outside sources that are
relevant to the Project. Tl~is data shall include existing geotectmicaI reports, corrosion studies,
and record drawings, etc.
3.2 Geoteclmical Investigation
Consultant and its geotechnical subconsultant shall perfon~ the geotechnical engineering woi,
including:
Reviewing available published information
Obtaining drilling permits from SCVWD, PALO ALTO, and MOUNTAIN VIEW
necessary for the geotectmical boring
Conducting the required traffic control during the performance of the field investigations
Performing field investigations up to 20 borings less than 20 feet deep and 8 borings less
than 60 feet deep
Securing soil samples for the corrosion investigation and geotectmical laboratory analysis
Analyzing data and preparing design and construction recommendations for Project
facilities including pipelines and structures
Evaluating seismic hazards, including fault rupture, liquefaction potential, and site
characterization coefficients in accordance with the latest version of the UBC utilized by
RWQCP, the City of Palo Alto and City of Mountain View
Consultant shall prepare and provide five copies of the report on the geotectmical investigation
(including boring logs) for distribution by the RWQCP.
3.3 Corrosion Investigation
Consultant and its corrosion subconsultant shall perform the con’osion investigation work,
including:
Laboratory analysis of the soil samples secured during the geotectmical work. The samples
to be tested for chloride, sulfate, and pH levels, and electrical resistivity.
Analyzing the laboratory analysis data and prepanng construction recormnendati0ns,
including selection of corrosion-[esistant materials, protective coating and linings, and
cathodic protection.
Consultant shall prepare and provide five copies of the report on the corrosion investigation for
distribution by the RWQCP.
Palo Alto Regional Water Quality Control Plant
Mountain View/Moffett Area Water Recycling Facility Page5
3.4 Survey Services
Consultant and its surveying subconsultant shall perform topographic surveys of the Project site
for the design of the Proj cot including r.ectified aerial photograrm-netry for the full extent of the
Project limits at a horizontal scale of 1"= 40’ and with 1 foot vertical contour intervals indexed
at 5 feet intervals and the surveying required to control the photography. The mapping will be
developed using AutoCAD 2002. The topographic information will include parcel boundaries
from Record of Survey documents, permanent structures, fences, roads, visible utilities, and
trees with trunk diameter of 6 inches and larger. The horizontal and vertical control data used
will be based on the same datum as used by the City of Palo Alto and City of Mountain View.
Consultant shall field verify horizontal and vertical survey controls.
3.5 Utility and Right-of-Way Engineering
Consultant shall locate the existing utility lines and structures on the plans and profile sheets
based on best available infon-nation. Consultant and its subconsultant shall perform up to 15
utility potholings to confirm major utilities location. Consultant shall perform additional
potholing, if directed by the City Project Manager, as Additional Services. Consultant shall
attempt to design the pipeline to have minimal disruption to existing utilities. If conflict is
inevitable, Consultant shall identify potential conflicts and resolve the conflicts in coordination
with the effected utility owner.
Consultant shall provide right-of-way Coordination services as required to confirm existing
right-of-way lines provided by RWQCP and to identify new right-of way as required to
accommodate h~nprovements.
Consultant shall identify existing right-of-way, develop a list of, and show on the horizontal
aligm:nent plan the specific parcels requiring additional right-of-way acquisition: Consultant
shall, summarize and present these findings m a Technical Memorandum to RWQCP and assist
the RWQCP to prepm’e the plats and descriptions and acquire the additional right-of-way or
easements required for the Project.
3.6 Hazardous Materials Investigation
Consultant and its hazardous materials subconsultant will investigate the existence of
hazardous materials located along the alignment for the Project. Consultant and its hazardous
materials subconsultant shall perform a Phase I ESA investigation, which includes review of
published lists, files and records ofloca!, State and Federal regulatory agencies. Consultant
shall deliver contaminated cuttings (if any) to the RWQCP to be disposed of by the RWQCP or
under Additional Services.
Consultant shall prepare report documenting the results of the Phase I investigation, and discuss
the outcomes and any further steps that may be necessary.
The hazardous materials subconsultant will prepare a report presenting the results of the
hazardous materials investigation. Five copies of the draft report will be delivered to the
Palo Alto Regional Water Quality Control Plant
Mountain View/Moffett Area Water Recycling Facility Page 6
RWQCP for distribution and rewew. Consultant shall incorporate col~nents, finalize the
report, and deliver five copies of the final report.
3.7 PreliminaryDesign Report (PDR)
Consultant shall prepare 30 percent design plans, outline of technical specifications and
preliminary design level construction cost estimate for the proposed improvements. The 30%
report shall include:
Design criteria including, but not be limited to, alignment, p~pe materials, pipeline design
pressures, pipeline and appurtenances design criteria, methods of construction especially at
crossings, description of on-site retrofits, incorporation of all CEQA mitigation measures in
the contract documents, and identification of all permits
Preliminary traffic control and construction staging plan where construction activities will
impact traffic
Design pressures under demand scenarios using the hydraulic model developed as part of
the Regional V/ater Recycling Facilities Planning Study (RMC, 2004)
Preliminary engineering design and 30 percent design plan drawings showing the location
of existing utilities, general topography, and the proposed aligmnent of the Project recycled
water pipes
Technical specifications outline
30 percent design level construction cost esth:aate oft_he proposed Project along with a
description of the basis of that estimate, and the anticipated construction schedule and
sequencing of construction
Task 4: 60% Design_
The 60% design activities for the Project will include preparation of construction documents with
plans, .specifications, quantity calculations, and cost estimates; and preparation of permit
applications for construction of the Project. Consultant shall be responsible for preparing the
construction documents and incorporating the colmnents from the 30 per.cent design submittal
review. Consultant shall prepare 60 percent complete plans, specifications and engineer’s cost
estimate (PS&Es) for the RWQCP and other agencies to review.
The 60 percent submittal shall include the development of the P1 an and Profile sheets including the
horizontal and vertical location of the pipeline, locations of major structures along the pipeline,
existing utilities (plan view, profile view if as b~ailt indicates depth), right-of-way lines, property
lines and easements (pen:aanent and construction) The 60 percent submittal will also include
preliminary special details sheets and preliminary design details that are deemed necessary for the
construction of the Project.
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Following incorporation of the 60 percent review colm-nents, Consultant shall request that the City
of Palo Alto and the City of Mountain View confirm the horizontal and vertical locations of the
pipeline and the locations of the major structures along the pipdine that Consultant shall assume in
preparing the final design documents. The Consultant shall be entitled to rely on such confirmation
m preparing the final design documents. After Consultant obtains written confirmation of the pipe
and structure 1 ocations, design changes required due to significant change in the locations of the
pipeline and major structures requested by either city, and not due to the fault of Consultant, shall
be considered as an additional service.
Consultant shall also prepare a 60 percent set of technical specifications using Microsoft Word for
submittal. The technical specifications will be prepared in the standard established in the PDR.
The specifications will include general provisions, a table of contents, draft technical specifications
of major items of work, and a list of bid items. Other jurisdictional standard details will be added
to the appendix oftthe specifications or will be included on the special detail drawings.
Consultant shall update the engineer’s esthnate of construction costs submitted and the
construction schedule sublaittedunder Task 3 at the 30 percent design level. The cost estimate will
break down the Project elements by bid items. The updated cost estimate and construction
schedule will be included in the 60 percent design submittal.
Task 5: 90% Desi~q~n
The 90% design activities for the Project will include completion of construction documents with
plans, specifications, quantity calculations and cost estimates. Consultant shall continue to
coordinate Project design issues with interested agencies and utility companies, and coordinate
with agencies on behalfofRWCQP for the encroachment permits. Consultant shall fully develop
and finalize the design details for the construction documents. The 90% design shall reflect close
to be a final product that is ready to be advertised for bids. The 90. percent construction documen~
submittal shall include completed plans and specifications.
Consultant shall develop and submit a complete set of all drawings and specifications showing in
detail, for construction purposes, the scope, details, and measurements of the work to be performed
by the contractor and will show engineering and design details for the construction of the Project.
The specifications will also include items necessary to correctly define the construction work to be
performed. Consultant shall also include, as part of the specifications, signed permits described in
Task 2.
Consultant shall update the engineer’s estimate of construction costs Submitted and the
construction sched~ale submitted under Task 4 at the 60 percent design level. The cost estimate will
break down the Project elements by bid items. The updated cost estimate and consmaction
schedule will be included in the 90 percent design submittal.
Consultant shall perform QA!QC, and conduct a 90 percent internal constructability and quality
review and a claim prevention review on the 90 percent design submittal. Internal QAJQC
corm-nents shall be incorporated into plans and specifications prior to submitting the 90 percent
submittal to the RWQCP.
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Task 6: Final Design - Bid Document Preparation
Consultant shall prepare the final construction documents for bidding. Engineering services for
this task will include incorporating the agreed upon 90 percent submittal comments into the final
documents and finMizing the plans and specifications. Consultan~ shall perform internal QAJQC on
final design submittal: Internal QAJQC comments shall be incorporated into plans and
specifications. The submittal shall include stamped and signed, final construction documents, and
electronic files of the final ’Construction documents, A final list of the bid items and quantities and
a final construction cost estimate shall be provided.
Consultant shall also be responsible for the reproduction of the final plans and specifications.
RWQCP will be responsible for the dislaib~tion of the final signed and stamped plans and -
specifications for bidding purposes.
SERVICES DURING CONSTRUCTION (SDC),
Work during this phase consists of providing support services during construction of the Project.
Consultant will serve as RWQCP’s engineering representative during construction. As s~ch,
consultant will have responsibilities to the Construction Manager, provided by RWQCP, for
assisting the RWQCP in responding to tectmical questions, providing design clarifications, and
reviewing teclmical submittals for conformance to the Contract Documents.
Task 7: Services Durin~ Bid Phase
Consultant shall assist the RWQCP during the bidding, advertisement and award process prior to
contract award. Work includes:
7.1 Respond to Request for Clarifications
Consultant shM1 respond to RWQCP directed requests for clarifications from prospective
bidders regarding the Project Contract Documents during the bidding process.
7.2 Prepare Addenda
Consultant shall assist the RWQCP with preparation of Project addenda and furnish originals
required for said addenda.
Task 8: Services During Construction
Consultant shall assist the RWQCP during the construction phase. Work includes:
8.1 Review Contractor Submittals
Consultant shall review submittals from the contractor for conformance with the Contract
Documents as requested by the RWQCP. Consultant shall review and return the submittal
comments to the RWQCP within seven working days.
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8.2 Job Site Visits and Construction Meetings with Contractor
Consultant shall conduct weetdy site visits during construction to observe the general progress
of the work and assess contractor general compliance with the Contract Documents.
Consultant shall attend weekly construction meetings with the contractor and-the construction
management temn to discuss issues that might m-ise on site and possible solutions. Consultant
shall RMC will prepare and distribute to the RWQCP field memorandum of job site visits and
meetings documenting the field conditions, identified problems and proposed resolutions and
recolmnend action plans to be followed to resolve the identified problems.
8.3 Respond to Requests for Information (RFIs)
Consultant shall prepare written responses to RFIs submitted by the contractor as requested by
RWQCP. Consultant shall review, respond, and return the tLFI responses to the RWQCP .
within seven working days.
8.4 Review Contract Change Orders (CCOs)
Consultant shall review submitted CCOs and will prepare technical data and support materials
for contract change orders as requested by RWQCP.
8.5 Record Drawings
Consultant shall review the as-built drawings prepared bythe contractor based on as-built
documentation maintained by Consultant. Consultant shall prepare and certify one full size
mylar set and one electronic copy of the record drawings. The record drawings shall consist of
annotated corm:act drawings and electronic files showing changes in the design and
construction.
DELIVERABLES
Consultant shall prepare and deliver meeting minutes, presentation materials, and monthly progress
report to the RWQCP. In addition, consultant shall provide the following deliverables-to the
RWQCP:
Task 3 - 30% Deliverables:
5 copies of Draft and Final Geotechnical Investigation Report, with boring logs
5 copies of Draft and Final Corrosion Investigation Memorandum
5 copies of Draft and Final Hazardous Materials Repo.rt
10 copies of Draft and Final PDR consisting of:
¯List of references
Design Criteria Memorandum
List of parcels requiring additional right-of way
List of utilities requiring relocation, if any
Palo Alto Regional Water Quality Control Plant
Mountain View/Moffett Area Water Recycling Facility Page 10
30 percentdesign half-size plans, including preliminary traffic control and retrofit
standm’d details
30 percent complete outline oftectmical specifications
, 30 percent complete preliminary construction cost estimate and schedule.
Meeting minutes smr~narizing directions fi-om design review meeting
Task 4 - 60% Deliverables:
10 sets of 60 percent PS&E submittal including the following:
¯Half size 60 percent design plans
¯Draft technical specifications and special provisions
,Listing of anticipated bid items
¯Quantity listing
¯Cost estimate, and construction schedule
Meeting minutes summarizing directions from 60% design review meeting
Task 5 - 90% Deliverables:
10 sets of 90 percent complete PS&E submittal including the following: "
¯Half size 90 percent complete design plans-
,Draft technical specifications and special provisions
¯Listing of anticipated bid items
¯Quantity listing
,Cost estimate-and construction schedule
Meetings minutes surmnarizing direction from 90% design review meeting
Task 6 - Final Design Deliverables:
Stamped and signed final PS&E Submittals, including
¯One full and one half size ofmylar reproducible final design plans
¯One unbound copy and one electronic copy of final specifications
¯Seventy five (75) copies of final plans and specifications.
¯Revised listing of bid items
-Revised quantity listing
-Memorandum of Estimated Cost
Electronic files of the final design plans and final specifications
Task 7 Deliverables:
Responses to bidder requests for clarifications to clarify the intent of the plans and specifications as
needed.
Addenda as needed.
Task 8 Deliverables:
Written submittal review cormnents
Written responses to RFIs
Palo Alto Regional Water Quality Control Plant
Mountain View/Moffett Area Water Recycling Facility Page 11
Written responses, technical data and material to support CCOs
Memoranda of job site ~,isits and weekly meetings
One set of record drawings (mylar and electronic format)
ADDITIONAL SERVICES
Consultant may be required to perform additional services listed below. Consultant shall perfon~
the additional services upon written anthorization by the City. Payment for the additional services
shall be time and expense based on the schedule of charges but not to exceed a pre-negotiated
maximum. The maximum limit for each additional task shall be negotiated and agreed upon prior
to providing the service. Consultant shall provide a schedule of charges with the fee infon~ation,
Additional services may include:
A1.
A2.
A3.
A4.
AS.
A6.
A7
Meetings with outside agencies above the meetings stated in Task 2.
Additional potholings than those set forth in Task 3
Additional surveys than those set forth in Task 3
Disposal of contaminated cuttings
Attend/conduct ’additional meetings or workshops that are not part of the basic scope of
services.
Additional inspection services
Unexpected services during construction not within this scope of work
PROJECT SCHEDULE
The project shall start in July 2005. The consultant shall perform work on the Project in
accordance wifl~ the schedule under the SWRCB grant contract (attaclament 1 to this scope of
work).
PAYMENT
Progress payanents for consultant services shall reflect the amount of effort and percent completion.
The cumulative payment shall not exceed the completed percent of the total project fee based on
the completed tasks or deliverables, and the attached Schedule of Charges.
*** END ***
Palo Alto Regional Water Quality Control Plant
Mountain View/Moffett Area Water Recycling Facility Page 12
EXHIBIT "B-I"
COMPENSATION AND RATE AND FEE SCHEDULE
(FOR DESIGN AND CONSTRUCTION PHASE SERVICES
ADDED BY AMENDMENT NUMBER ONE)
The CITY agrees to compensate the CONSULTANT for professional services
performed in accordance with the terms and conditions of this Agreement, andas set
forth in the budget schedule below. Compensation shall be calculated based On the
hourly rate schedule attached hereto as "Attachment 1" to this Exhibit up to the not to
exceed budget amount for each task set forth below.
The compensation to be paid to CONSULTANT under this Agreement for all services
described in Exhibit "A-I" ("Basic Services") and reimbursable expenses shall not
exceed $1,500,000. CONSULTANT agrees to complete all Basic Services, including
reimbursable expenses, within this amount. In the event CITY authorizes any
Additional Services, the maximum compensation shall not exceed $150,000. Any
work performed or expenses incurred for which payment would result in a total
exceeding the maximum amount of compensation set forth herein shall be at no cost
to the CITY.
CONSULTANT shall perform the tasks and categories of work as outlined and
budgeted below. The CITY’s Project Manager may approve in writing the transfer of
budget amounts between any of the tasks or categories listed below provided the
total compensation for Basic Services, including reimbursable expenses, does not
exceed $1,500,000 and the total compensation for Additional Services does not
exceed $150,000,
BUDGETSCHEDULE NOT TO EXCEED AMOUNT
Task 1
(Project Management)
$105,000
Task 2
(Coordination w/stakeholders)
$I 42,000
Task 3 $532,000
(30% design)
Task 4 $240,000
(60% design)
Task 5 $134,000
(90% design)
Task 6 $71,000
(Final Bid Packet)
050502 sm 0100359
Task 7
(Services during bid phase)
$41,000
Task 8
(Services during construction)
$235,000
Sub-total Basic Services $1,500,000
Reimbursable Expenses $inol. W/basic Services above
Total Basic Services and Reimbursable expenses $1,500,000
Additional Services (Not to Exceed)$150,000
Maximum Total Compensation $1 ~650~000
REIMBURSABLE EXPENSES
CITY shall reimburse CONSULTANT for reimbursable expenses including, postage,
mileage and other miscellaneous costs, at cost plus 10%. All requests for payment
of expenses shall be accompanied by appropriate backup information. Any expense
anticipated to be more than $5,000.00 shall be approved in advance by the CITY’s
project manager.
ADDITIONAL SERVICES
The CONSULTANT shall provide additional services only by advanced, written
authorization from the CITY. The CONSULTANT, at the CITY’s project manager’s
request, shall submit a detailed written proposal including a description of the scope
of services, schedule, level of effort, and CONSULTANT’s proposed maximum
compensation, including reimbursable expense, for such services based on the rates
set forth in Exhibit C-!. The additional services scope, schedule and maximum
compensation shall be negotiated and agreed to in writing by the CITY’s Project
Manager and CONSULTANT prior to commencement of the services. Payment for
additional services is subject to all requirements and restrictions in this Agreement
Work required because the following conditions are not satisfied or are exceeded
shall be considered as additional services:
A1.
A2.
A3.
A4.
A5.
A6.
A7
Meetings with outside agencies as stated in Task 2.
Potholings as set forth in Task 3.
Surveys as set forth in Task 3.
Disposal of contaminated cuttings.
Attend/conduct meetings or workshops as part of the basic scope of
services.
Weekly inspection services.
Service during construction as listed in the basic scope of work.
050502 sm 0100359
2
RMC RATE SCHEDULE
Classification
2005 Hourly 2006 Hourly
Billing Rate Billing Rate
2007 Hourly
Billing Rate
Principal 3
Priqcipal 2
Principal 1
$215 $226 $237
$205 $215 $226
$200 $210 $221
Sr Project Manager 3
Sr Project Manager 2
Sr Project Manager 1
$195 $205 $215
$190 $200 $209
$185 $194 $204
Project Manager 3 $180 $189 $198
Project Manager 2 $170 $179 $187
Project Manager 1 $160 $168 $176
Project Engineer 3
Project Engineer 2
Project Engineer 1
$150 $158 $165
$140 $147 $154
$130 $137 $143
Projeci Planner 3 $145 $152 $160
Project Planner 2 $135 $142 $149
Project Planner 1 $125 $131 $138
Environmental Scientist 3 $145
Environmental Scientist 2 $135
Environmental Scientist 1 $125
$152
$142
$131
$160
$149
$138
Assistant Engineer $110 $116 $121
Sr, CADDesigner $120 $126 $132
Sr. Graphic Designer/Artisl $110 $116 $121Sr. Project Accountant $110 $116 $121
Sr. Administrator $105 $110 $116
CAD Designer $110 $116 $121
Graphic Designer/Artist $100 $105 $110
Project Accountant $100 $105 $110
Administrator $95 $100 $105
Assistant CAD Designer $100
Assistant Graphic Designe $90
Assistant Project Account~$90
Assistant Administrator $85
$105
$95
$95
$89
$110
$99
$99
$94
1 The individual hourly rates include salary,
overhead and profit. The hourly rates also
include ordinary expenses, Including
telecommunications, computer usage, and
regular reproduction jobs. Other direct costs
2. RMC reserves the right to adjust its hourly rate
structure at the beginning of the calendar year for
all ongoing contracts. RMC will provide advance
nollce of any rate changes affecting current
contracts.
3 Large plots produced in-house by RMC will be
billed at a flat fee of $50 per plot.
Client#: ~372
AC_J3J?J3 ....CERTIFICATE OF
-~6~ODU CER
Dea{ey, Renton & A~sociates
D. Box 12675
.(land, CA 94604-2675
510 465-3090 David Eckman
INSURED
RMC Water and Environment
2001 N. Main Street, Suite 400
Walnut Creek, CA 94596
COVERAGES
RMCWATER
LIABILITY INSURANCE
THIS CERTIFICATE IS ISSUED AS A MA’FI’ER OF INFORMATION
ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE
HOLDER.THIS CERTIFICATE DOES NOT AMEND, EXTEND OR
ALTER THE COVERAGE AFFORDED BY THE POLICIES BELOW.
INSURERS AFFORDINGCOVERAGE
INSURERA: United States Fidelity & Guaranty
INSURER B: Fidelity & Guaranty Ins. Co.
~NSURER C: American Automobile lns.Co.
INSURER D: ACE American Insurance Company
INSURER E:
THE POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE }NSURED NAMED ABOVE FORTHE POLICY PERIOD INDICATED. NOTWITHSTANDING
ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THIS CERTIFICATE MAY BE ISSUED OR
MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS, EXCLUSIONS AND CONDITIONS OF SUCH
:~OLICIES. AGGREGATE LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS.
NSR !LTR TYPE OF INSURANCE
G E_NERAL LIABILITY
X COMMERCIAL GENERALLIABILITY
] CLA.IMS MADE [] OCCUR
B
A
C
D
GEN’L AGGREGATE LIM IT APPLIES PER:--qpOL,CY qPRO-jECT l--qLOC
kUTOMOBILE UABILITY
X ANY AUTO
ALL QWNED AUTOS
SCHEDULED AUTOS
X HIRED AUTOS
X NON-OWNED AU:TOS
GARAGE LIABILITY~ANY AUTO
EXCESS LIABILITY
~ OCCUR [] CLAIMS MADE
~DEDUCTIBLE
RETENTION $
WORKERS COMPENSATION AND
EMPLOYERS’ LIABILITY
OTHER Professional
Liability
POLICY NUMBER
BK01601133
BA01794201
BK01601133
WZP80923781
EONG21657372001
POLICY EFFECTIVE POLICY EXPIRATIONBATE (MMIDD/YY)DATE (MMIDD/YY’I
10/14/04 10/14/05
04/03/05
10/14/04
07101104
10/14104
10/14/05
10/14/05
07/01/05
10114/05
LIMITS
EACH OCCURRENCE
FIRE DAMAGE (Any one fire)
MED EXP (Any one person)
PERSONAL & ADV INJURY
GENERAL AGGREGATE
PRODUCTS -COMP/OP AGG
COMBINED SINGLE LIMIT.
(Ea accidenl)
BODILY INJURY(Per person)
BODILY INJURY(Per accident)
PROPERTY DAMAGE(Per accident)
AUTO ONLY-EA ACCIDENT
OTHERTHAN EAACC
AUTO ONLY:AGG
EACH OCCURRENCE
AGGREGATE
WC STATU-OTH-X TORy LIMITS I ER
E.L EACH ACCIDENT
$I,000,000
51,000,000
$10,000
$I,000,000
$2,000,000
$2~000,000
$I,000,000
$
$
$4,000,000
$4,000,000
$
$
$
$1,000,000
E.L DISEASE -EA EMPLOYEE $1,00F J,000
E.L. DISEASE - POLICY LIMIT $1,000,000
$2,000,000 per Claim
$2,000,000 Annl Aggr.
DESCRIPTION OF OPERATIONSILOCATIONSIVEHICLESIEXCLUSIONS ADDED BY ENDORSEMENTISPECIAL PROVISIONS
GENERAL LIABILITY POLICY EXCLUDES CLAIMS ARISING OUT OF THE PERFORMANCE OF PROFESSIONAL
SERVICES.
GENERAL LIABILITY ADDITIONAL INSURED: City of Palo Alto, its council
(See Attached Descriptions)
CERTIFICATE HOLDER I I ADDFFIONALINSURED;INSURERLETTER:
City of Palo Alto
RWQCP
Attn: Daisy Stark
2501 Embarcadero Way
Palo Alto, CA 94303
CANCELLATION
SHOULD ANyOFTHEABOVEDESCRIBED POLICIES BE CANCELLED BEFORETHEEXPIRATION
DATE THEREOF, THE ISSUING iNSURER WILL ~f~J~XT-~C) MAIL ~ DAYS WRITTEN
NOTICETOTHE CERTIFICATE HOLDER NA~ED TQTHE LEFT, B ~TKF~£~I~)t, IX~3R[’~.’~.~A’I;~XX
AUTHORIZED REPRESENTATIVE
OTMP5 8 ACORD CORPORATION 1988ACORD 25-S (7/97)1 of 2 #M122374
DESCRIPTIONS (Continued from
members, officers, agents and employees.
Jrance is primary as per policy form.
Page I)
AMS 25.3 (07197) 2 of 2 #M122374
Policy Number: BK.016 01135
Owners, Lessees or Contractors (Form B)
ADDITIONAL INSURED
Change(s) Effective: o5/o3/05
THIS ENDORSEMENT CHANGES THE POLICY. PLEASE READ IT
CAREFULLY. This endorsement modifies insurance policy under the following:
LIABILITY COVERAGE PART:
Name of Person or Organization:
City of Palo Alto
RWQCP
Attn: Daisy Stark
2501 Embarcadero Way
Palo Alto, CA 94303
Schedule
SECTION II - WHO IS AN INSURED is amended to include as an insured the
person or organization shown in the Schedule, but only with respect to liability
arising out of "your work" for that insured by or for you.
GENEP~hL LIABILITY ADDITIONAL INSURED: City of Palo Alto, its council
members, officers, agenzs and employees.
PRIMARY INSURANCE:
IT IS U~DERSTOOD AND AGREED THAT THIS INSURANCE IS PRIMARY
AND ANY OTHER INSURANCE MAINTAINED BY THE ADDITIONAL INSURED
SHALL BE EXCESS ONLY AND NOT CONTRIBUTING WITH THIS
INSURANCE.
NOTICE OF CANCELLATION:
IT IS UNDERSTOOD-AND AGREED THAT IN THE EVENT OF CANCELLATION OF THE
POLICY FOR ANY REASON OTHER THAN NON-PAYMENT OF PREMIUM, 30 DAYS
WRITTEN NOTICE WILL BE SENT TO THE CERTIFICATE HOLDER BY MAIL. IN THE
EVENT THE POLICY IS CANCELLED FOR NON-PAYMENT OF PREMIUM, i0 DAYS
WRITTEN NOTICE WILL BE SENT TO THE ABOVE.
CL/BF 22 40 03 95
EXHIBIT "H"
, :.
|
EXHIBIT ’T’
¯RESOLUTION NO. 8690
RESOLUTION OF THE COUNCIL OF THE CITY OF PALO ALTO
APPROVING A LOCAL MATCH LOAN STATE REVOLVING
FUND (SRF) FOR MOUNTAIN VIEW/MOFFETT AREA
RECLAIMED WATER PIPELINE PROJECT
WHEREAS, the CITY OF PALO ALTO (the "Agency") desires to finance the
costs of constructing and]or reconstructing certain public facilities and improvements relating to
its water and wastewater system, including certain treatment facilities, pipelines and other
infrastructure (the "Project"); and
WHEREAS, the Agency intends to finance the construction mxd/or reconstruction of
the Project or portions of the Project with moneys ("Project Funds") provided by the State of
California, acting by and tl~ough the State Water Resources Control Board (the "Water Board");
and
WHEREAS, the CITY OF PALO ALTO (the "Agency") desires to obtain a zero
interest State Revolving Fund (SRF) loan.
follows:
NOW, THEREFORE, the Council of the City of Palo Alto does RESOLVE as
SECTION 1. To contribute to the State match shareequal to i6.667 p~tcent of the ¯
eligible project costs.
SECTION 2. To pay an administrative fee of up to 0.575% of the eligible project
cost for the administrative match amount, if requested by the State :Water Resom’ces Con~ol
Board (SWRCB), prior’ to the issuance of the local match SRF loan c0ntract, .provided that the
fee shall be waived by the SWRCB if sufficient monies to fund the administrative match
available from other sources.
SECTION 3. To establish a state match account for the project, and deposit
sufficient funds, as necessap], to make the state match payments to the contractor(s).
SECTION 4. To provide the SWRCB, Division of Financial Assistance (Division)
a certification with each progress payment request stating that the appropriate state match
amount for the requested payment has been paid to the contractor(s).
//
//
070216jb 0130040
EXHIBIT ’T’
SECTION 5. To provide the Division with copies of-the cm~celled checks
documenting payment of the state match amount, on a quarterly basis.
INTRODUCED AND PASSED: February 12, 2007
AYES:BEECHAM, CORDELL, DREI(JVIEIER,
KLEINBERG, MORTON, MOSSAR
KISHIMOTO, I~,JL~EIN,
NOES:
ABSENT:BARTON
ABSTENTIONS:
TH E FOR EGOING DOGUMIENT IS CERTIFIED TO B~
A CORREUTCOPYOFTHI=ORIGINALON FIL.~ ,~Director of Public Works
Services D~ ~artment
070216jb 0130040
EXHIBIT "J’"
STATE
WATER
RESOURCES
CONTROL
BOARD
CALIFORNIA
ENVIRONMENTAL
PROTECTION
AGENCY
Policy for Implementing
The State Revolving Fund
For Construction of
Wastewater Treatment Facilities
February
1995
Amended
September
2005
EXHIBIT "J"
POLICY FOR IMPLEMENTING
THE STATE REVOLVING FUND FOR
CONSTRUCTION OF WASTEWATER TREATMENT FACILITIES
Prepared by:
THE DIVISION OF FINANCIAL ASSISTANCE
STATE WATER RESOURCES CONTROL BOARD
STATE OF CALIFORNIA
Last amended on September 22, 2005
This page left blank intentionally.
ACKNOWLEDGMENTS
The State Water Resources Control Board thanks the individuals within
the State Water Resources Control Board and members of Tri-TAC who
freely shared their time in developing and amending the Policy for
Implementing the State Revolving Fund for Construction of Wastewater
Treatment Facilities.
This page left blank intentionally.
POLICY FOR IMPLEMENTING THE STATE REVOLVING FUND
FOR CONSTRUCTION OF WASTEWATER TREATMENT FACILITIES
TABLE OF CONTENTS
TOPIC PAGE
ACKNOWLEDGMENTS .........................................................................................i
TABLE OF CONTENTS ...........................................................................................ii-iv
APPENDICES ...........................................................................................................v
EXECUTIVE SUMMARY .......................................................................................vi
II.
III.
IV.
INTRODUCTION .....................................................................................................1
PURPOSE AND OBJECTIVE ..................................................................................1
DEFINITIONS .... .......................................................................................................1
PRIORITY SYSTEM ................................................................................................5
B,
C.
D.
E.
F.
G.
H.
Development of Regional Board Recommendations. ....................................5
Development of Statewide Priority List ........................................................6
Priority Classes ..............................................................................................6
Project Ranking ..............................................................................................7
Restrictions and Adjustments ........................................................................7
Management of the Statewide List ................................................................8
Funding of Projects ........................................................................................8
Project Removal and Changes .......................................................................8
V.LOCAL MATCH .......................................................................................................9
A~
B.
C.
D.
Resolution ......................................................................................................9
State Match Account .......................................................................................9
Terms .............................................................................................................9
Disbursements...: ............................................................................................9
VI.
VII.
VIII.
RETROACTIVE FUNDING .....................................................................................10
REFINANCING ........................................................................................................10
WATER RECYCLING PROJECTS .........................................................................11
Funding Sources and Applicable Policies .....................................................11
Multi-Purpose Projects ..., ..............................................................................11
IX.
Ao
B.
C.
D.
E.
F.
G.
H.
I.
J.
K.
L.
Project Report ................................................................................................12
Environmental Impact Analysis .....................................................................15
Water Conservation .......................................................................................17
General Planning ............................................................................................17
Revenue Program ...........................................................................................17
Eligible Project ..............................................................................................19
Capacity Funding Limitations .......................................................................22
Population or Flow Projections ......................................................................22
Industrial and Federal Facilities .....................................................................22
Preliminary Loan Commitment .....................................................................22
Design-Build Projects ....................................................................................23
Technical Review and Panel Selection Requirements
for Design-Build Projects ..............................................................................24
PLANS AND SPECIFICATIONS ............................................................................25
B.
C.
D.
E.
F.
Review Procedures ........................................................................................25
Value Engineering .........................................................................................26
Project Performance Standards ......................................................................26
Loan Contract ...........................i ....................................................................27
Labor Wage Provisions ................................................... ...............................27
Minority Business Enterprise/Women’s Business Entel~rise ..............: ........28
XI.COMPLIANCE WITH OTHER FEDERAL STATUTES ........................................28
XII.ALLOWANCES ........................................................................................................29
XIII.
XIV.
XV,
No Normal Allowances ..........: ............................................................................29
Design-Build Allowances ..................................................................~ ...........29
LOAN APPLICATION AND CONTRACT AWA~ .............................................30
APPROVAL TO AWARD (ATA) ............................................................................30
AMENDED LOAN CONTRACT .............................................................................31
No
B.
C.
D.
E,
Interest Rate ...................................................................................................31
Final Loan Amount ........................................................................................31
Contract Initiation ..........................................................................................31
Cost Increases ................................................................................................31
Future Local Debt ..........................................................................................31
iii
XVI.
XVII.
XVIII.
XIX.
XX.
XXI.
XXII.
LOAN DISBURSEMENTS .......................................................................................32
B.
C.
D.
Loan Disbursement Requests .........................................................................32
Allowance Requests .......................................................................................32
Construction Progn’ess Payment Requests ......................................................32
Division Assistance ........................................................................................33
CONSTRUCTION i ........................................................................~ ...........................33
B.
C.
D.
Preconstruction Conference ...........................................................................33
Construction Inspections ................................................................................33
Completion of Construction Date ..................................................................33
Status Reports ................................................................................................33
OPERATION .............................................................................................................34
Final Project Inspection .................................................................................34
Project Performance Report and Certification ...............................................34
RECORD KEEPING REQUIREMENTS .................................................................35
REPAYMENTS .........................................................................................................35
B OARD RESERVATION OF AUTHORITY ..........................................................36
ELIGIBILITY DISPUTES ........................................................................................36
iv
APPENDICES
Ao
B.
C.
D.
E.
F.
G
H.
I.
J.
K.
L.
M:
N.
O.
P.
Q.
R.
State Revolving Fund Loan Program Flow Chart
State Revolving Fund Contacts
Additional Program Guidmace
Water Recycling Funding Guidelines
Environmental Review Process Guidelines
Water Conservation Guidelines
Revenue Program Guidelines
-Deleted-
Allowance Tables
Project Performance Standards
Approval To Award Form and Instructions, and MBE/WBE Compliance Guidelines
Sample MBE/WBE Utilization Report Forms
Sample Certification of Compliance with Federal Laws and Authorities
Sample Loan Application and Loan Contract Checklist
Certification of Bond and Insurance Coverage and Non Discrimination in Employment Notice
Sample Disbursement Request Folqns and Instructions
Sample Local Match Resolution
Sewer System Evaluation Guidelines
EXECUTIVE SUMMARY
This Policy was written to implement the 1987 Amendments to the Federal Clean
Water Act, which created the State Revolving Fund (SRF) Loan Program. The SRF
provides loan funding and other types of assistance for construction of publicly-owned
wastewater treatment works and water reclamation facilities, development and
implementation of programs to control pollution from nonpoint sources and
stonnwater drainage, and.implementation of estuary cleanup programs. This Policy
covers SRF assistance for the construction of wastewater treatment and water
reclamation facilities.
This Policy is organized in sequential project development order. Sections I through
VIII discuss general requirements, including the Local Match Progaam and the priority
system, Section IX discusses facilities planning, and Section X desigq~ review and
project performance standards. Sections XI through XVI discuss loan specifics,
Sections XVII and XVIII discuss Construction and Operation respectively, and
Sections XIX through XXII discuss record keeping, repayments and resolution of
disputes.
vi
I.INTRODUCTION
The Federal Clean Water Act provides for the creation of a State Revdlving Fund (SRF) Loan
Program capitalized in part by Federal funds. The Federal Clean Water Act (CWA)
authorizes loan funding for construction of wastewater treatment and for water recycling
facilities, for implementation of nonpoint source and storm drainage pollution control
management programs, and for the development and implementation Of estuary conservation
and management programs. The Policy for Implementing the State Revolving Fund for
Construction of Wastewater Treatment Facilities (SRF Policy) only addresses the issuance of
loans for wastewater treatment and water recycling facilities. The priority system, however,
covers all eligible SRF activities. The SRF is intended to provide loans in perpetuity for
construction of wastewater treatment and water recycling facilities, and for implementation of
nonpoint source, storm drainage, and estuary conservation projects using State of California
(State) and Federal funds.
This is the seventh amendment to flae SRF Policy originally adopted by the State Water
Resources Control Board (SWRCB) on August 18, 1988. The requirements contained in this
mnended SRF Policy apply to all projects receiving Facilities Plan Approval from the
Division after September 22, 2005. A flow chart of the overall program procedures is
provided .in Appendix A. A list of contacts in the Division is provided in Appendix B.
Appendix C contains additional Division guidance material on the SRF program.
H.PURPOSE AND OBJECTIVE
The primm3’ purpose of the SRF Loan Program is to implement the CWA and various State
laws including the Clean Water Bond Law of 1984, the Safe, Clean, Reliable Water Supply
Act (1996 Bond Law), the Safe Drinking Water, Clean Water, Watershed Protection, and
Flood Protection Act (2000 Bond Law), and any subsequent bond laws, by assisting in the
financing of wastewater treatment facilities necessa~2¢ to prevent water pollution, recycle
water, con’ect nonpoint source and sto~n drainage pollution problems, and provide for estuary
enhancement, and thereby protect and promote the health, safety, and welfare of the
inhabitants of the State.
DEFINITIONS
The following words where used in this SRF Policy shall have the meaning hereafter ascribed
to them:
(a)"Allowance" means an amount of money based on a percentage of the accepted bid
for an eligible project to help defray the planning, design, and construction
engineering and administration costs of the project.
(b)"Applicant" means a city, town, district, or other public body (including an
intermunicipal agency of two or more of the foregoing entities) created under State
law, or an Indian tribe or an authorized Indian tribal organization having jurisdiction
o,e, ~,o~o~ ,~, o~ w~, industrial wastes, or other waste, or a designated ~- a
approved management agency under Section 208 of the Federal Clean Water Act
applying for a SRF loan.
(d)
(e)
(f)
(g)
"Areawide Waste Treatment Management Plan" means a plan prepared in
conformance with Section 208 of the Federal Clean Water Act.
"Completion of Construction" means the date that the work of building and erecti on of
the project is substantially complete.
Design-Build
(1)"Best Value", also Imown as "greatest value", means any selection process in
which proposals contain both process and qualitative components, and award
is based upon a combination of price and qualitative considerations.
(2)
(3)
"Design-Build" memas the system of contracting under which one entity
perfonns both architectural design/engineering and construction under a single
contract with the owner. Also known as "design-construct" or "single
responsibility" or "Tm-n Key."
"Design-builder" means the entity contractually responsible for delivering the
project design and construction.
(4)"Design-Build Bid Proposal" means a document submitted by pre-qualified
Design-builders in response to the Request for Design-Build Proposal and
which contains cost, design factors and usually, function, layout, materials,
aesthetics, construction techniques, and specifications.
(5)"Honorarium" means a stated amount sometimes paid to unsuccessful Design-
builders in consideration for preparing a Design-Build bid proposal in response
to the owner’s Request for Design-Build Proposal.
(6)"Request For Design-Build Qualifications" means the document issued by the
owner prior to a Request for Design-Build Proposal to determine whether a
firm is fundamentally qualified to compete for a certain project or class of
projects.
(7)"Request For Design-Build Proposal" means the document issued by the
owner to solicit design and construction smwices proposals from the pre-
qualified Design-builders and that contains the project objectives, project
design criteria, site information, contract requirements, selection procedure and
proposal (submittal) requirements.
"Division" means the Division of Financial Assistance, the Division of Water Quality,
SWRCB, or any other segment of the SWRCB authorized to administer the State
Revolving Fund Loan Program.
"Effective Loan Date" means the date specified in the loan contract after which
~n ........... This date ,,,;u
generally be the date of final plans and specifications approval.
(h)
(i)
~)
(k)
(1)
(m)
(n)
(o)
(P)
(q)
(r)
(s)
"Eligible Project Cost" means that portion of the total cost of a project that is eligible
for loan assistance from the State Revolving Fund pursuant to Federal and State laws,
rules, regulations, policies and guidelines.
"Environrnental Document" means either an Initial study and Negative Declaration or
an Environmental Impact Report (EIR) prepared in accordance with tlae California
Environmental Quality Act (CEQA).
"EPA" means the United States Environmental Protection Agency.
"Estuary Enhancement Project" means any programs, devices, methods, or systems
used to attain or maintain water quality in an estuary nominated by the Administrator
of EPA, which assures protection of.public water supplies and protection and
propagation of a balanced, indigenous population of shellfish, fish, mad wildlife, and
allows recreational activities in and on the water.
"Excessive Infiltration/inflow" means a flow rate in excess of acceptable threshold
values as defined by Section IX.A.4. of this document.
"Facilities Plan Approval" means approval by the Division of the project concept
being proposed by the applicant.
"Federal Clean Water Act" means the Federal Water Pollution Control Act
(33 U.S.C.A. 1251 et seq.) including any amendments thereto.
"House Lateral" means the sewer pipe from the public right-of-way to the residential
structure.
"Housing Element" is one of the seven mandatory elements of a General Plan required
by Government Code Section 65302.
"Infiltration" means the water emering a sewer system including that from service
connections, from the ground, through such means as, but not limited to, defective
pipes, pipe joints, connections, or manhole walls. Infiltration does not include, and is
distinguished from, inflow.
"Infiltration/Inflow" means the total quantity of water from both infiltration and
inflow without distinguishing the source.
"Infiltration/Inflow Analysis" means a study to demonstrate the nonexistence, or
possible existence, of excessive Infiltration/Inflow in each sewer system tributary to
the treatment works.
(t)"Inflow" means the water discharged into a sewer system including that from service
connections, such as, but not limited to, roof leaders, cellars, yards and area drains,
foundation drains, cooling water discharges, drains from springs and swampy areas,
manhole covers, cross connections from storm sewers and combined sewers, catch
basins, storm waters, surface run-off, street wash waters, or drainage. It does not
include, and is distinguished from, infiltration.
(u)
(v)
(w)
(z)
(aa)
(ab)
(ac)
(ad)
(ae)
(af)
"Initiation of Construction" means the date that the notice to proceed with the work is
issued for the project, or if the notice ~s not required, the date of commencement of
building and erection of the project.
"Land Use Eleinent" is one of the seven mandatory elements of a General Plan
required by Government Code Section 65302.
"Loan contract Award" means the written agreement signed by all parties and any
amendments thereto, between the SWRCB, and the applicant, and approved by the
Department of General Services in which the terms, provisions, and conditions
governing the State Revolving Fund loan are stated.
"Nonpo int Source Project" means any programs, devises, methods, or systems used
for preventing, abating, reducing, transporting, separating, storing, treating, recycling,
or disposing of pollutants from nondistinct, unconfined sources, including remm flows
from in’igated agriculture.
"Preliminary Loan Commitment" means a fmmal action by the SWRCB or the Chief
of the Division approving and reserving funds for the project.
"Project" means any distinguishable segment, or segments; of a wastewater treatment
facility described in the approved facilities plan which can be bid separately, m~d for
which loan assistance is being requested or provided.
"Project Completion" means the date, as detmTnined by the Division after consultation
with the loan recipient, that operation of the treatment facility is initiated, or is capable
of being initiated, whichever comes first.
"Recipient" means an applicant who has an executed loan contract signed by all
patties.
"Refinancing" means the use of State Revolving Fund Loan monies to refinance local
external borrowings (bon’owings from outside the local agency for eligible projects) at
more attractive terms.
"RWQCB" means the appropriate California Regional Water Quality Control Board.
"Retroactive Projects" means those projects, which proceed to construction prior to
award of the loan contract,
"Sewer System Evaluation Survey" means a systematic examination of the sewer
system to determine the specific location, estimated flow rate, methods of
rehabilitation, and cost of rehabilitation versus cost of transportation and treatment for
each defined source of Infiltration/Inflow.
(ag)"SWRCB" means the State Water Resources Contro! Board.
(ah)"Storm Drainage Project" means any programs, devices, methods, or systems used for
preventing, abating, reducing, transporting, separating, storing, treating, recycling, or
disposing of pollutants arising or flowing in storm drainage that is transported in
pipes, culverts, tunnels, ditches, wells, channels, conduits, from urban or rural areas to
surface or ground waters of the State.
(ai)"Sustainability" means balancing economic, environmental, and social factors in an
equitable manner to maintain and protect the water resources needs of the present
generation without compromising the ability of future generations to meet their own
water resources needs.
(aj)"Treatment Facilities" means any devices and systems used in the storage, treatment,
recycling, and reclamation of municipal sewage or industrial wastes of a liquid nature
to implement Section 201 of the Federal Clean Water Act, or necessary to recycle or
reuse water at the most economical cost over the estimated life of the facilities,
including intercepting sewers, outfall sewers, sewage collection systems, pumping,
power, and other equipment, and their appurtenances; extensions, improvements,
remodeling, additions, and alterations thereof; m~d elements essential to provide a
reliable recycled supply such as standby treatment units and clear well facilities.
In addition, "treatment facilities" means any other method or system for preventing,
abating, reducing, storing, treating, separating, or disposing of municipal waste,
including storin water runoff, or industrial waste, including waste in combined storm
water and sanitary sewer systems.
(ak)"Water Quality Assessment" means a report prepared by the SWRCB to identify the
water quality conditions in the waters of the State.
(al)"Water Quality Control Plan" means a SWRCB approved plan adopted pursuant to
Division 7 of the Water Code designating or establishing beneficial uses and water
quality objectives for water within a specified area and a proD’am of implementation
needed to achieve these objectives.
PRIORITY SYSTEM
The primary purpose of this section is to implement a Priority System for providing SRF loan
assistance for the planning, design, and construction of wastewater treatment, nonpoint
source, storm drainage, water recycling, and estuary enhancement projects and programs
eligible under Title VI of the CWA.
A.Development of RWOCB Project Priority List Recommendations
Annually, each RWQCB Executive Officer shall develop Project Priority List
recommendations for the RWQCB.
transmitted to the Division each year by the scheduled date set by the Division.
B.Development of Statewide Project Priority List
Annually, after review- of the Executive Officer’s Project Priority List
recommendations, the SWRCB shall adopt a Statewide Project Priority List
(Statewide List). The Statewide List shall identify those projects for which assistance
from the SRF Loan Program is expected during the succeeding five-year planning
period.
The Statewide List shall be adopted by the SWRCB not later than June 30 of
each year.
The fundable portion (first year) of the Statewide List shall include those
wastewater treatment, water recycling, nonpoint source, storm drainage, and
estum2 enhancement projects which have received a preliminm2¢ loan
commitment mad are scheduled for loan assistance during the first year of the
five-year plmming period. Projects receiving a prelimina13~ loma commitment
during the fiscal year shall be automatically moved to the fundable portion
(first year) of the Statewide List provided the project is scheduled to receive a
loan contract in the cun’ent fiscal year. The extended portion of the Statewide
List shall include those projects without a preliminary loan commitment and
those scheduled for a loan contract during the following four years. Placement
on the extended portion of the Statewide List will be based on project
schedules.
Placement of a project on the Statewide List shall not constitute a
commitment to provide loan assistan :e.
C.PrioriW Classes
Each Project shall be assigned to one of the following priority classes:
Class A -- Public Health Problems.
a) Publicly Owned Wastewater Treatment Facilities projects required to
alleviate public health problems where the County Board of Supervisors or the
County Health Officer has certified that a health problem exists, and where a
RWQCB has (1) adopted a prohibition for elimination of discharges from
individual treatment systems and such prohibition has been approved by the
SWRCB, or (2) approved a local moratorium prohibiting the construction of
new individual systems (See Appendix C), or (3) adopted a cease and desist
order; and
b) nonpoint source, storm drainage pollution, and estuary enhancement
projects required to comply with prohibitions, postings, limitations, or
warnings that have been imposed by responsible health authorities, and where
the RWQCB has concurred with the findings of the health authority and has
established a time schedule for correction or elimination of the threat to public
health.
2.Class B --Pollution of Impaired Water Bodies.
6
Projects required to correct conditions where a certification is made by the
RWQCB Executive Officer that the water quality objectives for an impaired
water body are not being attained,
Class C -- Compliance With Requirements and Water Recycling Pmiects.
1) Projects necessa~3, to comply with waste discharge requirements or other
regulatory requirements formally imposed by the SWRCB or RWQCB, or
projects necessary for correction of threatened violations of existing or
proposed waste discharge requirements; and 2) projects which recycle water
and are cost effective when compared to the development of new sources of
water.
Class D -- Proiects Selwin g as Preventative Measures A gainst Additional
Water Quality Degradation for Impaired or Unimpaired Water Bodies.
Projects which would control discharges to impaired or unimpaired waters,
where con’ection of such discharges may, or may not, be required through
formally adopted waste discharge requirements. Includes projects to provide
additional wastewater treatment capacity.
o Class E -- Other Proiects.
Projects not included in any of the other priority classes.
Proi ect Ranking
Projects within each priority class shall be ranked on the basis of readiness to proceed.
The project with the earliest estimated date for award of a loan contract will be ranked
above a project with a later estimated date. In the case of a tie, the project discharging
to the water body with the greater resource value will be ranked higher.
Restrictions and Adiustments
If a project falls in more than one priority class, the full project shall be placed
in the highest priority class applicable to the more costly segment of the
project, except as specifically ordered by the SWRCB.
If the priority classification of a project is in any way dependent upon State,
County, or local action, or upon SWRCB or RWQCB action, only action taken
prior to the adoption or amendment to the Statewide List will be considered.
o The Statewide List may be adjusted or amended by the SWRCB for good
cause subject to approval by EPA.
The SWRCB reservesthe right to transfer treatment facilities from one priority
class to another priority ranking, to reduce the eligible cost of any project, and
to allocate available funds among one or more priority classes when the
SWRCB determines such action to be necessa~, or appropriate for effectb,,e
and equitable use of available monies. Such action will only be taken after a
public hearing.
Gi
o When appropriate, the SWRCB may create a set-aside for the pro-poses of
assuring that SP,_F assistance will be available for nonpoint source, water
recycling, estuary enl~ancement, and storm drainage projects and programs
contained on the fundabte portion of the Statewide List.
Management of the Statewide List
Before a facilities plan approval is given, a project implementation schedule shall be
submitted by the applicant and approved in writing by the Division. The Division
shall monitor and compare progress on the project to the established schedule to
assure that the loan applicant is proceeding expeditiously with the project.
If at any time the Division determines that progress has slipped sufficiently to push the
loan contract award beyond the end of the scheduled state fiscal year, the SWRCB
may add a project, or projects, of approximately equal dollar value from the planning
portion to the fundable portion of the Statewide List, provided the project, or projects
have received preliminary loan commitments and are projected to be ready for loan
contracts during the cun-ent State fiscal year. After such additions, all wojects on the
fundable portion of the Statewide List will continue to compete on an as ready basis
for available funds.
Fundin~ of Proiects
Except as may be directed by the SWRCB, projects on the fundable portion of the
Statewide List will receive loan contracts from the SWRCB on an as ready-basis.
proiect Removal and Chm~ges
Projects shall not be removed from the Statewide List unless:
1. The SWRCB so instructs;
2. The project has received a loan contract;
3. The RWQCB so requests and the SWRCB concurs; or
4. The loan applicm~t so requests and the SWRCB concurs.
V.LOCAL MATCH
The Clean Water Act requires the states to provide a match equal to 20 percent of the federal
Capitalization Grant (state match) in order to receive federal monies. Subsection 13478 of
Chapter 6.5 of Division 7 of the Water Code allows the SWRCB to enter into agreements
with, and accept state match funds from local agencies in return for no-interest SRF loans.
Existing SRF Loans are not eligible for no-interest loans.
The following requirements, in addition to all other requirements in this SRF Policy, apply to
new SRF loans where the applicants are providing the state match:
A.Resolution
An applicant electing to palnticipate in the prograln must submit to the Division
an acceptable resolution passed by the local governing body. A model
resolution is included in Appendix Q.
The resolution must state the applicant’s intent to provide the necessary state
match in the amount and at the times necessary to complete the project.
o The resolution must include a commitment to provide the necessary state
match for administrative services of 0.575 percent of the total eligible projec~
costs to cover the cost of obtaining the administrative match. The fee will be
waived if sufficient funds are available to make the administrative match from
other sources.
State Match Account
The recipient must establish a local state match account prior to issuance of the loan
contract for the specific project for which the state match is being paid. The recipient
inust deposit sufficient funds in the account as necessary to make payments to the
contractor.
C.Terms
The interest rate on state match loans shall be zero (0) percent. The repayment period
is 20 years. The principal amount of the loan to be repaid is not reduced by payment
of the state match.
D.Disbursements
Allowances For Arch itect/En~ineer (A/E) and Administration Costs
Recipients will also be required to submit a certification with the planning and
design allowance payment requests stating that at least the state match portion
o~t~’~ ~n ....... ,~ o~ ........ ,~ o,,o~o ~ ..... been paid. The Dr, ~o~on wil! then
authorize the disbursement of the federal share of the allowance requests
Construction Costs and Construction Allowance
Recipients will be required to pay the state match share of the eligible loan
amount of the contractor’s invmce prior to submitting the progress payment
request to the Division. As an alternative, recipients may pay the contractor(s)
the full eligible amount of the contractor’s invoice until they have paid an
amount equal to the state match portion of the loan amount. In either case,
recipients are required to submit certification of such payments to the Division
with each disbursement request.
Assurances
Certification of such payments must be submitted to the Payments Unit with
each pay request. The Division will then authorize the disbursement of the
federal share of the eligible payment amount.
In addition to the certification of payment, recipients shall submit copies of the
cmaceled checks on a quarterly basis documenting payment of the state match
amount.
RETROACTIVE FUNDING
Retroactive funding will be provided for only those projects where the applicant has
submitted all required program documents and such documents have been approved before
initiation of construction, but due to a lack of funds or other reasons,the applicant initiated
construction after the approval of either plans and specifications or Request for Designa-Build
Proposals; but prior to issuance of the loan contract. Projects where construction is initiated
before Division approval are not eligible for retroactive funding.
REFINANCING
The use of SRF monies to refinance local external borrowings is eligible provided the project
is approvable under Section VI. above. Refinancing of local debt will be contingent on the
local borrowing document providing for recall of an amount at least equal to the amount of
the SPY loan within two years of the SPY loan issuance.
l0
VIXIo WATER RECYCLING PROJECTS
Funding Sources and Applicable Policies
Water recycling projects generally smwe one of two purposes: (1) meeting polluti0n
control needs as specified in waste discharge requirements or (2)meeting water
supply needs. Projects for which water recycling is the cost-effective alternative to
meet pollution control needs are funded by the SRF in accordmace with thesame SRF
criteria applicable to other wastewater treatment and disposal projects. Projects for
which water supply is the purpose may be funded by either the SRF or the SWRCB’s
Water Recycling Loan Program (WRLP). A water supply-type recycling project will
be funded under the WRLP unless (1) the WRLP funding cap is exceeded, (2) there
are insufficient funds in the WRLP, (3) the applicant requests a zero-percent interest
loan, or (4) the applicant proposes a Design-Build contract.
Water supply-type water recycling projects are placed in Priority Class C as water
recycling projects that are cost effective when compared to the development of new
sources Of water. These projects must meet requirements contained in the amended
WRLP Guidelines adopted by the SWRCB on April 17, 1997, or as later amended, as
well as the requirements contained in this SRF Policy. The WRLP Guidelines are
included in Appendix D.
The WRLP Guidelines may be more restrictive regarding eligible capacities than the
SRF Policy.
B.Multiple-Purpose Projects
A water-recycling project may be a multiple-purpose project, serving both water
pollution control needs and water supply needs. Multiple-purpose projects can be
funded under the SRF, or jointly funded under the SRF and the WRLP. However, the
facilities associated with each purpose must be evaluated and the eligibility of
facilities determined in accordance with the applicable provisions of either the SRF
Policy or the WRLP Guidelines.
There are two types of multiple-purpose water recycling projects:
I. Water recycling facilities for water supply purposes may be proposed to be
constructed simultaneously with wastewater treatment and disposal facilities
that could meet discharge requirements without the water recycling facilities.
The WRLP Guidelines would be applied to the water recycling facilities
component of the project.
2. -In other cases, water recycling may be an inseparable part of the facilities
needed to meet discharge requirements but may be justifiable only by
considering both the pollution control and the water supply benefits. In this
case, appropriate provisions of the SRF Policy and the \~,.LP Guidelines will
be applied.
FACILITIES PLANNING
11
Applicants will be required to complete a facilities planning process. A complete facilities
plan will include a Project Report, a complete Environmental Document, and a draft Revenue
Program.
To facilitate expeditious issumlce of a preliminaw loan commitment; the Division will offer
consultation regarding specific program requirements during facilities planning. When an
applicant is placed on the fundable portion of the Statewide List, the DiVision will offer
assistance at the option of the prospective applicant. The assistance-available will include
guidance for (1) identifying project alternatives, (2) selecting the cost-effective alternative,
(3) preparing the Project Report, the Revenue Progn’aln, and the Environmental Document.
The Division will also offer assistance to aid applicants in assuring that they have the ability
to administer and manage the construction of the proposed project.
A.Project Report
A Project Report shall be prepared and submitted as part of the loan application
process. While early submittal is not a program requirement, the Division strongly
recommends that applicants submit the Project Report for review well in advance of
commencing design.
The Project Report must contain, as appropriate, the following:
A statement of project needs and benefits, including a discussion of the
water quality benefits of the project and the public health or water
quality problems to be colwected.
A cost effectiveness evaluation of alternatives over a twenty (20) year
planning period. The evaluations presented must include an evaluation
of the alternative of upgrading operation and maintenance of the
existing facility to improve effluent quality.
An evaluation of alternative methods for reuse or ultimate disposal of
treated wastewater and sludge material resulting from the treatment
process. For wastewater treatment projects producing sludge material,
the following information needs to be identified and compared:
a.All landfills within a 100 mile radius that accept sewage
sludge;
No Any composting facilities within a 100-mile radius accepting
sewage sludge;
c.The potential for dedicated land disposal;
,~ ........:^u,us,,h,,s for distribution as soil
amendment or as another agricultural product; and
e.Ultimate disposal methods approved by the RWQCBs.
12
An evaluation of the non-existence or possible existence of excessive
infiltration/inflow (I/I) in the existing sewer system. If the average
daily flow during periods of sustained high gq’ouudwater is less than
120 gallons per capita per day (gpcd), a Sewer System Evaluation
Sutwey (SSES) is not required. If it is above 120 gpcd, the applicant
must perform a SSES to determine whether it is cost-effective to treat
or con’ect the I/I. If a SSES is not submitted, funding will be limited to
120 gpcd. If the peak flow during a storm event (highest three-hour
average) exceeds 275 gpcd, a SSES must be completed or funding will
be limited to the peak flow amount of 275 gpcd. Cost-effective
corrections under these criteria are eligible for funding. See Appendix
R for fresher guidance on SSESs.
o Information on total capital costs, annual operation and maintenance
costs, as well as the estimated annual or monthly costs to residential
and industrial users for all of the alternatives.
A discussion of the existing population, flows, and Ioadings, and
projections of the same, used to estimate the twenty (20) year capacity
needs for treatment facilities and collection systems and forty (40) year
capacity needs for interceptors and outfalls.
A discussion of the anticipated eligible capacity for the project and how
that capacity was derived. (see Section IX.F. of the SRF Policy).
A description of the Best Practicable Wastewater Treatment
Technology. (For more information see 40 CFR 35.2005(b) (7)).
9.A summary of public participation.
10.The following must be submitted for the selected alternative:
ao A detailed description of the selected alternative andthe
complete waste treatment system of which it is a part.
bo A summary of relevant design criteria (i.e., design flow, peak
flows, daily BOD loadings, daily suspended solids loadings,
overflow rates, detention times, sludge production, etc.).
Co The estimated construction and annual operation and
maintenance costs and a description of the anticipated manner
in which all the costs will be financed.
d.A summm3~ of the cost impacts on wastewater system users.
A summary of the significant environmental impacts of
the selected project and any proposed mitigation
measures.
13
11.
A copy of any proposed intennunicipal service
agreements necessary for the project.
A statement that identifies and discusses the source(s)
and the amount of unailocated potable water cun’ently
available in the project service area. If the amount of
potable water is less than what is needed to serve the
projected population for the proposed project, a plan
identifying how that deficiency will be mitigated shall
be presented.
A discussion of facilities which were previously
funded by federal/state grants or loans, if such facilities
are to be repaired or replaced.
Applicants must comply with the Civil Rights Act of
1964. Where minority populations are included in the
facilities planning area, the Project Report must show
that such areas will be served or excluded from service
only for reasons of cost-effectiveness (currently see 40
CFR Part 7).
A description of operation and maintenance
requirements.
A demonstration that the selected alternative is
consistent with any applicable approved water quality
management plan.
1.A summary of public participation.
A copy of the cun’ent adopted waste discharge requirements
issued by the RWQCB for the wastewater facility or
improvements/expansion to be constructed. If no cun’ent
adopted permit exists, a copy of the tentative waste discharge
requirements must be submitted. The waste discharge
requirements, however, must be adopted by the RWQCB before
the approval of either the plans and specifications or the
Request for Design-Build Proposal (for Design-Build projects).
A description of how the applicant’s project addresses each of the state
planning priorities defined in Section 65041.1 of the Government
Code. The state ptanning priorities are intended to promote equity,
strengthen the economy, protect the environment, and promote public
health and safety in the state, including in urban, suburban, and rural
communities. Applicants should use the most current state planning
priorities as expressed in Section 65041. The state planning priorities
as of the date of adoption of this Policy are as follows:
14
No
ao To promote infill development and equity by rehabilitating,
maintaining, and improving existing infrastructure that supports
infill development and appropriate reuse and redevelopment of
previouslydeveloped, underutilized land that is presently
served by transit, streets, water, sewer, and other essential
services, particularly in underserved areas, and to preserving
cultural and historic resources.
go To protect environmental and agricultural resources by
protecting, preserving, and enhancing the state’s most valuable
natural resources, including working landscapes such as farm,
range, and forest lmads, natural lands such as wetlands,
watersheds, wildlife habitats, and other wildlands, recreation
lands such as parks, trails, greenbelts, and other open space, and
landscapes with locally unique features and areas identified by
the state as deserving special protection.
To encourage efficient development patterns by ensuring that
any infrastructure associated with development that is not infill
supports new development that uses land efficiently, is built
adjacent to existing developed areas to the extent consistent
with the priorities specified pursuant to subdivision (b), in an
area appropriately planned for growth, is served by adequate
transportation and other essential utilities and services, and
minimizes ongoing costs to taxpayers.
The information provided in Section IX.A. 11 is for information purposes only and is
not intended to affect the priority or eligibility of a project requesting SRF funding.
Environmental Impact Analysis
Final Environmental Documents must meet general requirements of the CEQA.
Applicants must also meet specific CEQA requirements that apply where a state
agency is the "responsible party" as defined in CEQA. In addition to CEQA
requirements, project applicants must follow specific documentation and review
requirements that will assure complimace with federal environmental laws. Detailed
environmental review process guidelines including a flowchart are contained in
Appendix E.
The applicmat must submit the draft Environmental Documents to the Governor’s
Office of Planning m~d Research, State Clearinghouse for comments. The draft
Environmental Documents must also be distributed for review and comment to other
responsible (as defined in CEQA) local, and State agencies within the project’s service
area. The Division, as a responsible agency, will review and comment on the draft
Environmental Documents received from the State Clearinghouse.
Eight (8) copies of the draft Environmental Document must be submitted to the
Division for distribution to designated agencies responsible for implementing federal
15
environmental laws. The applicant must respond directly to all comments received
from Federal agencies.
Under some circumstances, a SRF loan project may be approved under a statutory or
categorical exemption from CEQA. In these cases, a Notice of Exemption (Notice)
should be filed with the County Clerk. A copy of the Notice and supporting
evaluation must be sent to the Division. Compliance with applicable Federal
environmental regulations is required for exempt projects and may. involve
consultation with Federal agencies.
SRF projects must comply with federal laws pertaining to cultural resources,
particularly Section 106 of the National Historic Preselwation Act. SRF applicants
must document the presence or absence of cultural resources in the project area, their
significance, and any project effects. This documentation must be prepared by a
researcher meeting federal professional standards for the type of resource in question.
Section 13b of Appendix E provides details about the required information. When
adequate info~nation has been submitted to the Division by the applicant, the
Division’s Cultural Resources Officer will review it for Section 106 compliance and
will forward approved documents to the State Historic Preservation Officer (SHPO).
The SHPO has a 30-day review period in which to comment or to concur that the
process is complete. The SI-~O concunence must be obtained prior to both execution
of the loan contract and initiation of construction.
As a minimum, the appropriate Environmental Documents shall discuss the items
outlined in Appendix E. The Environmental Documents shall discuss consistency
with areawide planning such as wastewater treatment and water quality control, basin
plans, and Section 208 plans.
In addition to submitting the final Environmental Document, the applicant must also
submit to the Division copies of the resolution or similar documents certifying or
adopting the document and making appropriate findings, an adopted mitigation
monitoring plan, and the Notice of Dete~snination filed with the Governor’s Office of
Planning and Research. If a preliminary loan commitment is apprdved, the Division
will prepare a Notice of Determination and file it with the Governor’s Office of
Plm~ning and Research.
Applicants must also adopt a mitigation monitoring plan for agreed upon mitigation
measures. Compliance with this plan will be a condition of the loan contract.
Use of previously prepared Environmental Documents is acceptable provided the
procedures and guidance in Sections 15153, 15162-15164, 15168, or 15221 of the
State CEQA Guidelines are foll owed.
Water Conselwation
The SWRCB wi!! not execute a !oan contract for a project unti! the applicant has
adopted a water conservation program consistent with local ordinances and
authorities. In lieu of adoption of an independent water conservation program, the
applicant may become a signato~3, to the "Memorandmn of Understanding Regarding
16
Do
go
Urban Water Conservation in California" September 1991, California Urban Water
Conservation Council, which may be modified to suit local conditions.
If the applicant is not a ~vater purveyor, it must (1) certify that seventy-five (75)
percent of the water connections in its service area are covered by adopted water
conservation programs approved by the Division or (2) demonstrate that the water
putweyor(s) have signed the Memormadum of Understanding covering at least seventy-
five (75) percent of the water connections within the applicant’s sewer service area.
If neither of these requirements can be met before the issuance of the prelimina~3~ loan
cormnitment, the applicam must submit a specific time schedule for local adoption of
a water conservation program. See Appendix F for further information.
The Division may waive the requirements of this section under the following
circumstances: the water supplier for the community serves 3,000 or fewer customers
and the costs to prepare a document to satisfy the SRF Policy requirements are found
to be burdensome to the supplier in light of the benefits derived from the plan.
General Planning
If the applicant is responsible for adopting the general plan(s) for the area affected by
a proposed project, the Division may not give facilities plan approval for the project
until the applicant’s authorized representative has certified that the applicant has
adopted the "land use" and "housing" elements of its general plan and that the project
is consistent with the ad opted general plan.
If the applicant is not responsible for adopting the general plan(s) for the area affected
by the project, then the Division may not give facilities plan approval until the
applicant’s authorized representative certifies that at least seventy-five (75) percent of
the area affected by the project includes cities and counties with adopted land use and
housing elements. The applicant’s authorized representative will also document that
the applicant notified the agency(ies) responsible for adopting the plan(s) and
provided a reasonable opportunity to cormaaent on the project’s consistency with the
plan(s). The applicant’s authorized representative will certify that the applicant
considered those comments during development of the project.
Revenue Program
Section 204 (b) (1) of the CWA requires recipients to develop user charge systems and
to have the legal, institutional, managerial, and financial capability to construct,
operate, and maintain the treatment works. The recipient will be required to prepare a
Revenue Program in accordance with the Revenue Program Guidelines (see Appendix
G), adopt a sewer use ordinance, and establish an acceptable dedicated source, or
sources, of revenue to repay the SRF loan.
I.Wastewater Capital Reserve Fund (WCP~)
!7
All recipients of SRF loans shall create a dedicated WCRF for
expansion, major repair, or replacement of their wastewater treatment
facilities.
The SRF loan contract will not be issued until an ordinance creating the
WCRF is enacted by the local governing body.
The recipient shall deposit sufficient funds to build up the WCRF at a
minimum rate of one-half of one (0.5) percent of the SRF loan amount
each year for a period often (10) years.
All interest earned on deposits to the WCRF shall remain in the WCRF
for the uses specified below. The recipient shall replace any amounts
expended from the WCRF by depositing at a minimum annual rate of
ten (10) percent of the expended amount.
The recipient’s unused bonding capability for the wastewater enterprise
may be used to offset, dollar for dollar, the required cash deposits to the
WCRF.
Unused bonding capability means, with respect to each SRF loan
contract issued after January 21, 1993, an amount equal to unissued
bonds or other indebtedness authorized either by vote of the local
electorate or by provisions of local or other law under which the
.borrower would be legally pe~nitted to issue such bonds or other
indebtedness without approval by the local electorate or by any other
public entity.
The amounts required to be deposited in the WCRF may be reduced by
any amounts held and not previously allocated for the purposes of this
calculation. The amounts may be held in any fund or account
established pursuant to a resolution or indenture of a borrower pursuant
to which any bonds or other indebtedness have been issued and are.
outstanding, which amounts may be used for the purposes for which the
WCRF is established.
go Money deposited in the WCRF shall be available for the costs for
planning, design~, and construction of capital improvements (See
IX.D. 1 .a. above) to the wastewater treatment facilities.
h.The recipient shall prepare and submit a report on WCRF activities and
fund status beginning five (5) years after the Division’s approval of the
final Revenue Program. A report shall be due every five (5) years for
the life of the loan contract.
The requirement to create and maintain a WCP~ shall remain in force
for the life of the loan contract. At the end of the loan contract,
disposition of the WCRF will be a local responsibility.
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b
Failure to meet the provisions of this Section could result in the
immediate recall and repayment of all SRF loan funds disbursed to the
recipient.
Draft Revenue Program
The applicant will be required to identify and make projections of the amount
of revenue available from specific sources necessary to repay the SRF loan,
A draft Revenue Program must be prepared and submitted prior to Facilities
Plan Approval. A loan contract will not be executed until the Division has
approved the draft Revenue Program. The draft Revenue Program must
include a draft ordinance or resolution committing a source or sources of funds
for repayment. The draft Revenue Program shall be updated as appropriate
and submitted with the final plans and specifications.
As indicated at the time of the preliminary loan commitment, the applicant will
be required to identify a "dedicated" source of revenue to repay the loan.
Revenue will be considered dedicated when the applicant passes an ordinance
or a resolution committing a source, or sources, of funds for repayment. The
resolution, or ordinance, dedicating a source of funding for repayment of the
SRF loan must be adopted by the applicant and approved by the Division
before the loan contract is issued.
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3.Final Revenue Program
A final Revenue Program, a draft rate ordinance, and an adopted sewer use
ordinance must be approved by the Division prior to ninety (90) percent
disbursement of the SI~ loan fi, lnds. The final approved Revenue Program
should be reviewed periodically during the useful life of the project and
modified as necessary.
Eligible Project
Project components, other than reserve capacity, are intended to be completely eligible
or ineligible. The following are categories of eligible and ineligible costs:
Eligible
a.Treatment facilities, including new collection systems in existing
developed areas within the service area, and alternative treatment
facilities such as !eachfields, mound systems, wetlands, etc.;
b.Reserve capacity for treatment plants and pipelines; (See Section IX.F.
for details).
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Reasonable administration mad laboratory building space directly
related to the operation of the eligible facilities.
Process control systems;
Mitigation measures (except for land) mandated by state and/or
Federal agencies;
On-site solids handling systems necessary to meet waste discharge
permit requirements~ Includes systems that perform thickening,
stabilization, and dewatering of sludge as a means of preparing it for
beneficial reuse and/or ultimate disposal.
Stationm2 and mobile equipment which are an integqal part of the
wastewater or sludge handling process such as front loaders for sludge
drying beds, injection equipment for dedicated land disposal sites, and
compost windrow turners. Equipment must be confined to the
treatment plant or disposal site owned by the recipient.
Allowances for planning, design, construction and prime engineering,
and administration;
Special equipment necessary to maintain the eligible treatment
facilities, including the manufacturer’s list of spare parts;
Necessary insurance related to the construction contract; and
Cost-effective buy-in for all of the proportional costs to connect to an
existing treatment plant and/or collection system.
Ineligible
a.All land, easements, and rights of way;
b.Contingencies and honorariums;
c.Construction change orders and claims;
d.House laterals for collection systems and any in-house facilities;
Engineering costs included as part of the construction bid for other than
Design-Build projects;
Decorative items (m~ work, sculptures, reflective ponds, fountains,
etc.);
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Solids hmadling facilities that perform pasteurization, co-generation,
conditioning, heat dwing, thermal reduction, and facilities for
packaging or dis/ributing biosolids.
h.Operation and maintenance costs and extended warranties for
equipment and act of God, flood, and earthquake insurance costs;
Motor vehicles used for employee transportation or for the
transportation of materials generated or consumed by the treatment
plant;
All other items not included in the construction contract except
allowances; and
Replacement of previously grant fnnded facilities are ineligible except
for the following specific cases:
Where an amendment to a basin plan adopted by a RWQCB
requires upgrading of specific treatment systems or technology
to achieve a mandated enhanced level of treatment, and the
replacement of previously grant funded facilities is necessary" to
achieve the mandated enhanced level of treatment required by
the amendment.
(2)Where a proposed water recycling project which meets the
definition contained in Section I.D. (eligible water recycling
project) of the (WRF) Guidelines (See Appendix D) adopted by
the SWRCB on April 17~ 1997; and which is proposed rouse
recycled water to replace a bonafide cun’ent or proposed
beneficial consumptive use of potable water; and where
replacement of previously grant funded facilities is necessary to
install the recycling project.
(3)Notwithstanding any other provisions of this policy, the
SWRCB may consider granting m~ exception to this policy in
the event that the SWRCB, after a meeting, makes a finding that
the petitioner suffers from severe hardship or unique
circumstances.
The above eligible and ineligible items must be segregated in the engineer’s estimate.
G,Capacity Funding Limitations
The eligible capacity shall be determined using average dW weather flow (ADWF)
and appropriate peak flows in accordance with population and per capita flow
estimates provided by the app!icm,~t. Project capacity must be consistent with
environmental constraints.
2i
Eligible capacity for treatment plants and collection systems will be up to a period of
twenty (20) years from the estimated date of initiation of construction. For projects
with a design capacity greater than 20 years, eligible and ineIigible costs shall be
determined on an incremental basis. Eligible capacity for multiple phased projects
shall be determined on a case by case basis.
Eligible capacity for interceptors mad outfalls will be upto folV (40) years from the
estimated date of initiation of construction. Allocation between eligible and ineligible
costs shall be determined on an incremental basis. Eligible Capacity for multiple
phased projects shall be determined on a case by case basis.
Eligible capacity shall be calculated by multiplying the appropriate local population
projection by an appropriate local per capita flow figure. For existing treatment
facilities, the per capita flow shall be based on the existing population and the
measured flow. The flow thus calculated will be deemed to include all the eligible
project flows, (residential, commercial, existing Federal facilities, existing industrial,
and infiltration/inflow). Eligible capacity will be determined at the facilities planning
stage.
The applicant will be responsible for documenting, in the facilities plan, the peaking
factors used for the project.
Population or Flow Proiections
Population projections must be from an independent agency
[i.e. Regional Council of Governments, appropriate local planning agencies,
Department of Finance, or Areawid e Water Quality (208) Management Plans].
Population or flow projections will be used to determine the eligible project capacity.
Depending on the apparent reasonableness of the local projection, the Division may
require additional documentation to support the reasonableness of the projection. A
detailed discussion of the local projections should be included in the Project Report.
Industri al and Federal Facilities
Eligible capacity will include flows from existing Federal and industrial facilities
discharging to the municipal system.
Prelimina _ry Loan Commitment
The Division may request a Preliminary Loan Commitment after the Division has
issued facilities plan approval and the applicant has concurred with the eligible
project. The !oan application must be submitted before the project is considered for
the preliminary loan commitment. The preliminary loan commitment will expire at
the end of the time period specified in the approval document unless the specified
deadline is met. The specified deadline will be the date the applicant submits biddable
plans and specifications to the Division, or another appropriate deadline. Tb, e
Division may approve up to a ninety (90) day extension for a good cause.
Design-Build Proiects
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Applicants requesting SRF loan assistance for Design-Build projects will be required
to complete both a facilities planning process and a Design-Build selection process.
The planning process will follow the planning documentation requirements described
under Section IX. above, and theDesign-Build process will follow a two-phase
selection process. The two-phase selection process is a procurement process which
includes the preparation of a Request for Design-Build Qualifications (RFQ) to pre-
qualify the bidders and a Request for Design-Build Proposals (RFP) from the pre-
qualified bidders. For additional information on implementation of the Design-Build
process, it is recommended that the applicant refer to the RFQ/RFP Guide Section of
the ’Design Build Manual.of Practice~ published by the Design Build Institute of
America (DBIA) (Phone No. (202) 682-0110).
Before a RFP is issued, the applicant must complete a RFQ process. The applicant
shall prepare RPQ documents for the selection of the most qualified Design-builders
who have the greatest potential to design mad build the proposed project and submit
the documents to the Division for review and approval. In this document, the
applicant must establish clear and objective standards or criteria which will be used to
determine the most qualified firms to be invited to prepare and submit a Design-Build
bid proposal. Responses from Design-builders must be evaluated and Design-builders
must be pre-qualified by the applicant before issuing a RFP.
Before the RFP is finalized, the applicant shall select a Design-Build Technical
Review Panel (Panel) to review the RFP. See further discussion in Section K for the
Panel selection requirements. The RFP must provide enough information to clearly
explain the prc~ject objectives and the design intent. At a minimum, project objectives,
process treatment requirements (design criteria), unit processes, external constraints
that apply to the project, site definition, geotechnical investigations, process
definition, performance requirements, permit requirements, and similar information
needs to be provided. The minimum effort is similar to completion of a preliminary
design that represents approximately 15 to 20 percent of the conventional design
effort.
The Panel shall review the RFP to insure the Design-Build objectives and conditions,
as discussed below, are described properly and accurately. Based on the results of the
Panel’s review, the RFP will be finalized. Only those Design-builders who are pre-
qualified by the applicant will receive the RFP and only they may submit a Design-
Build bid proposal. The RFP must provide a scope of work that is sufficiently
detailed to allow pre-qualified bidders to produce cost-effective bid proposals. Also,
criteria for selection of the successful bidder should be communicated clearly and
structured such that the qualification-based bidding process is reinforced.
The final RFP shall be prepared and submitted to the Division along with a copy of
the adopted Waste Discharge Requirements (WDR) issued by the RWQCB. While
early submittal is not a program requirement, the Division strongly reconamends that
applicants submit a draft RFP for review well in advance of soliciting bids. The final
RFP shall be submitted to the Division for review and approval before advertising for
bid proposals.
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The applicant will evaluate the bid proposals and make the final selection of the bid
proposal which provides the best value. Best value is deten-nined by both qualitative
factors (e.g., design solution, management and schedule) and proposed bid price in the
evaluation and selection process. The Panel that was usedto review the RFP will also
review the applicant’s evaluation of the bid proposals and make a recommendation to
the applicant. If the applicant does not concur with the Panel’s recommendation, the
applicant must provide the Division with the justification for not considering the
Panel’s recommendation. The Division reserves the right to reject the applicant’s
selection if not fully justified. The final loan contract and the Approval to Award
(ATA) the Design-Build contract will be issued by the Division after the successful
bidder is selected by the applicant and ATA must be obtained from the Division
before initiating construction.
Technical Review and Panel Selection Requirements For
Design-Build Projects
The preparation ofa RFP for all Design-Build projects must be undertaken by SRF
loan applicants with the assistance of individuals knowledgeable of public contracting
requirements, and with the help of professionals experienced in the application of the
performance criteria appropriate to facility needs.
All SRF loan applicants for Design-Build projects shall meet the following technical
review and Panel selection requirements prior to the completion of preliminary (up to
20 percent) design.
1. The proposed technical review effort should be completed in accordance
with the RFQiRFP Guide Section of the Design Build Manual of Practice
published by the DBIA or equal.
2. The technical review must insure that the RFP outlines: 1) the Desigq~-
builder selection criteria clearly; 2) details the project description, project
objectives, design intent, design criteria, unit processes, responsibility/risk
allocation, and submittal requirements; 3) includes the responsibilities of the
owner, Design-builder, Design-builder’s architect (including the engineer and
other professionals); 4) specifies responsibility for performance, scheduling,
permits, fees and insurance; 5) specifies liquidated damages (if any); 6) and
addresses other construction related issues properly and accurately. In
addition, the applicant’s needs must be described precisely and in a manner
that will be universally interpreted and understood.
3. The applicant’s consultant, or any company affiliated with the consultant,
responsible for performing any portion of the project design, assisting in
preparation of the RFP, or performing the technical review of the RFP, is not
permitted to participate on a team to bid on the Design-Build proposal.
4. The applicant’s consultant, or any company affiliated with the consultant,
but responsible for perforrning only the project planning, is permitted m bid on
the Design-Build proposal.
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5. The applicant, and or consultant, or any company affiliated with the
consultant, responsible for performing the project planning, preparing
preliminary design, or assisting in the preparation of the RFP, is not permitted
to be the leader of the Panel or comprise more than twenty (20) percent of the
Panel membership.
6. The Panel leader will be selected by the applicant using a qualifications-
based selection process (Cal. Govt. Code Section 4525-4529).
It is highly recommended that loan applicants submit a Request for Proposal for
Technical Review Services (Proposal) to the Division for review prior to soliciting
Panel members. This will eliminate the necessity to re-advertiseifthe Proposal or the
Panel is found not acceptable by the Division. Once the Panel is selected, the
applicant must submit the results to the Division for approval, including copies of the
proposal, a description of the selection process, and the qualifications of the selected
Panel members.
The cost of the technical review effort is included in the planning allowance described
in Section XII.B.
Failure to complete a technical review effort, in accordance with the referenced DBIA
manual, or equal, and the provisions stated above, will result in the proposed project
being ineligible for SPY loan funding.
PLANS AND SPECIFICATIONS
A.Review Procedures
The primary focus of the review of the final plans and specifications will be to
determine if the design is consistent with the facilities described in the Facilities Plan
approval letter, if the proposed project, in concept, will meet discharge requirements,
and if it will comply with applicable Federal and State loan program requirements.
The final plans and specifications must be approved by the Division and the applicant
must agree to the eligibility determinations and performance certification standards
prior to issuance of the loan contract.
Applicants, at their option, may submit ten percent plans for review if they would like
an initial review prior to finalizing the project plans and specifications. Applicants
may also request, at their option, a detailed design review by the Division with any
comments resu Iting to be fox,yarded to the applicants and their consultants.
For Design-Build projects, the review and approval of the design of the project would
be carried out in a three-phased approach. The first review will be done after the
RFQs are submitted to the Division to determine if the evaluation and selection
process used for pre-qualifying bidders is fair mad equitable and that the selection
criteria is described accurately and completely. The second review will be after the
RFP is submitted to the Division to dete~qnine the project component eligibility; to
establish project performance stmadards; and to verify that the proposed project is
conmstent with the facilities described in the Facilities Plan approval letter. The third
25
review is after the applicant has selected the successful low bidder and the ATA is
submitted to the Division. Design review during the third phase will be limited to
assuring that the project being designed and constructed is consistent with the
facilities described in the Facilities Plan and is the same as described in the RFP
approved by the Division, and also to check if the proposed project, in concept, will
meet discharge requirements, and to assure its compliance with Federal and State loan
programs’ constructability and biddability requirements.
Value Engineering
Applicants with estimated total project costs greater than $10 million must conduct a
Value Engineering (VE) study. VE studies are also recommended for projects costing
less than $10 million because of the potential cost savings and design improvements
resulting from the VE process. An extra allowance amount will be provided for
applicants conducting VE studies for projects costing less than $10 million. (See
Appendix I Allowances).
The VE study report shall be submitted with the final plans and specifications. The
VE study report shall describe all the VE recommendations. If any VE
recommendations are not being implemented, the submittal shall discuss the reasons
for rejection. Applicants should consult with Division design staff at the ten (10)
percent design stage regarding VE requirements. (See SRF Guidance Memorandum
No. 3, Appendix C).
For Design-Build projects, irrespective of the project cost, an independent technical
review shall be conducted prior to the completion of the RFP. The RFP shall contain
the results of the tecl-mical review and form the basis for the bidding documents. For
information on conducting independent technical reviews, please see Section IX.K.
This technical review will replace the VE requirements that apply to normal design
and construction projects.
Proiect Performance Standards
The performance standards for a project shall be established initially during the
facilities planning stage and modified during-the design eligibility review process, or
during preparation of the Design-Build RFP. During design review, the applicant and
the Division will mutually agree on specific project performance standards for loan
funded unit processes and equipment. At the end of the one-year project performance
certification period, actual operating data must be compared with the project
performance standards.
Project performance standards may be established in one of two ways:
1.The recipient may request that the Division develop performance standards
based on Division guidelines, or
2. The recipient may develop performance standards for Division approval.
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Project performance standards shall be based on waste discharge requirements. The
standards will describe monitoring data necessary for project certification, including
sampling locations, frequency of sampling, flow conditions° duration of sampling~ and
testing procedures for mechanical equipment. For non-discharging projects (such as
I/I correction and pump stations), the project performance standards include the
elimination of overflows and reduction of infiltration/inflow to the levels specified in
a SSES.
The applicant and the Division will mutually agree on the project performance
standards before fin al plans and specifications, or Design-Build RFP approval. The
agreement on project perfomaance standards will be included as part of the loan
contract. Further information on project performance standards is included in
Appendix J, Guidelines for Project Performance Certification.
Loan Contract
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1.Normal proiects
The loan contract will be issued after final plans and specifications are
approved and all other program requirements have been satisfied. The loan
.amount will be based on the engineer’s estimate of the eligible project costs.
The loan contract will be amended once at the ATA to reflect the actual project
costs, subject to the 50 percen/cost increase .limit under Section XV.D.
2.Design-Build Proiects
For Design-Build prqiects, the loan contract will be issued after the
preliminary loan commitment and after the applicant’s RFP has been reviewed
and approved by the Division. The loan contract will be amended after the
Division issues the ATA that reflects the actual eligible project costs.
Labor Wage Provisions
The recipient must comply with State wage determinations. The final plans and
specifications will be reviewed to make sure the proper wage determination provisions
have been inserted in the specifications. The recipient will be responsible for assuring
compliance with applicable labor laws.
Minority Business Enterprise/Women’s Business Enterprise (MBE/WBE)
The recipient must insert the following forms in its contract bidding documents: (1)
Contract Provisions Relative to MBE/WBE; (2) MBE/WBE Self Certification
(Attachment A); and (3) Form 4700-5 (Attachment B). Contact your project manager
for the latest version. Fmn:hermore, a pre-bid conference with the prospective bidders
is strongly encouraged to explain the MBE/WBE "positive effort" requirement.
The recipient must submit three MBE/WBE forms with the ATA request package.
These are: (1) Attachment B (submitted with the bid); (2) Attachment A; and (3) the
applicant’s MBE/WBE Positive Effort Certification (see Appendix K). In the event
27
the bidder does not meet the MBE/WBE fair share objectives, additional
documentation must be submitted to the Division by the recipient to demonstrate that
the low bidder complied with the positive effort steps listed in the Contract Provi si ans
for MBE/WBE Utilization.
If acceptable positive effort steps have not been take]], the Division cannot authorize
the award of the construction contract. Selecting the next low, responsive, responsible
bidder, or rebidding the contract, are acceptable alternatives for the recipient if loan
assistance is still desired. The loan contract will be amended to reflect the costs of
selection of the next low, responsive, responsible bidder or the low, responsive,
responsible bidder after rebidding.
Recipients shall report MBE/WBE utilization to the Division on the MBE/WBE
Utilization Report, SWRCB Form MBE/WBE UR334 (See Appendix L). Reports
must be submitted to the Division within ten (10) calendar days following the end of
each federal fiscal quarter until such time as the "Notice of Completion" is issued.
COMPLIANCE WITH OTlq-F,R FEDERAL STATUTES AND AUTHORITIES
In the January 28, 1988 Final Guidance for State Revolving Funds, EPA listed a number of
other Federal laws and authorities that must be followed for activities supported with SRF
funds directly made available by capitalization grants. Appendix M contains a cun’ent list of
these other laws and authorities with a sample certification form.
Prior to issuance of the loan contract, applicants will be required to certify that they have
complied, or will comply, with all the other Federal authorities listed in Appendix M.
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XH.ALLOWANCES
A.Normal Allowances
A fixed anaount of loan funds will be provided to the loan recipient to partially offset
costs for planning, design, consta’uction management, administration, and prime
engineering. An additional design allowance (see Appendix I) is included for
applicants doing VE studies for projects costing less than $10 million. For
projectscosting more than $10 million, the cost of the VE study is included in the
design allowance. Payment of the planning and design allowances will be made on
actual costs incurred and may be requested as soon as the loma contract is issued. The
allowance amounts will be detelTnined from the eligible construction costs at the ATA
stage.
B.Design-Build Allowances
The allowance for Design-Build projects will be determined by entering the allowance
tables (See Appendix I) at the amount proposed by the Design-Build contractor. The
amount for design will be multiplied by 80 percent and that amount deducted from the
Design-Build contractor’s proposed amount. The resulting amount (construction cost)
will be used to reenter the tables for all allowances. To the planning allowance will be
added 20 percent of the design allowance calculated and no allowance will be allowed
for design. For Design-Build projects with construction costs under $10 million, the
value for VE will also be added to the planning allowance. For exmnple: the
Contractor’s bid amount for a treatment plant is $10 million. The Design Allowance
for $10 million is $490,070. Eighty percent is $392,056. The construction cost is
$9,607,944 ($10,000,000-$392,056):
The allowances for $9,607,944 normal project are:
Planning $242,926
Design $473,079
Construction $853,125
Administration $ 86,471
Prime Engineering $ 25,669
Value Engineering $ 30,000
For a Design-Build proiect, the allowances are:
Planning $367,542
Design $ -0-
Construction $853,125
Administration $86,471
Prime Engineering $25,669
[$242,926+(20%x$473,079)+$30,000]
The allowance should not be construed to represent a limit for each project. Needs must be
considered on the basis of specific factors associated with that project. Such consideration
could result in engineering costs which are appropriate and which could be higher or lower
29
than the amount of the allowance. There are separate tables for pipeline projects and
treatment facilitieS. The tables provided in Appendix I also take into account projects that
may have received previous grants for planning and/or for design.
The final allowance will be calculated by a computer program based on the eligible low bid
amount. The tables included in Appendix I of this Policy should only be used to estimate the
mnount of the allowance.
LOAN APPLICATION AND CONTRACT AWARD
The loan application should be submitted with the Facilities Plan. Following the prelimina~3~
loan commitment and prior to design completion, the applicant is required to advise the
Division whether the proposed project would be completed using Design-Build or the design-
bid-build (normal) method of construction. Depending on the choice of the construction
method, the Division will prepare a loan contract checldist to assure all program requirements
have been met before award of loan assistance. A sample of the loan application, loan
contract and checklist are contained in Appendix N. The loan contract for normal projects
will be awarded after the final plans and specifications are approved based on the engineer’s
estimate of the eligible project costs. However, for Design-Build projects, the loan contract
will be awarded after the RFP is approved by the Division based on the engineer’s estimate
for the eligible project.
APPROVAL TO AWARD (ATA)
Recipients will be required to submit an ATA package to the Division for review and
approval prior to awarding the construction contracts.
Appendix K contains the ATA Request Form, the MBE/WBE Positive Effort Certification
and the MBE/WBE fo~vns that must be submitted with the request to award the construction
contract.
The Division will use the lowest acceptable bid to determine the final eligible loan contract
amount. The Division will also review the ATA request package to assure that both the
recipient and its contractors have complied with the MBE/WBE positive effort requirements.
Neither the EPA nor the SWRCB will be involved in resolving bid disputes. Bid dispute
resolution will be the sole responsibility of the recipient. The ATA will not be issued until all
bid disputes have been resolved by the recipient.
Once the ATA package has been submitted and is complete, and the final loan amount is
agreed upon, the Division will amend the loan contract to reflect actual eligible costs and mail
it to the recipient for signature.
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XV.AMENDED LOAN CONTRACT
A.Interest Rate
The interest rate is set pursuant to Subsection 13480(b)(1) of the Water Code when the
initial loan contract is issued. (See also Subsection 13478 of the Water Code for the
local match program).
B.Final Loan Amount
The anaended loan contract amount will be based on the sum of the lowest acceptable
bid costs of the eligible construction project, and the appropriate allowances for
planning, design, construction, prime engineering, and administration.
The final eligible project cost will be determined at the ATA stage based on the date
for initiation of construction.
C.Contract Initiation
The recipient will have a maximum of six (6) months from the effective date of the
loan contract to award the prime construction contract. An extension of up to 90 days
may be granted by the Division in the event of unusual circumstances.
At the time of the submittal of the ATA package, the recipient must demonstrate that
an amount equal to at least five (5) percent of the estimated project costs will be
available for project contingencies. The contingency amount will not be eligible for
loan assistance.
D.Cost Increases
After the amended loan contract is issued, all project changes that result in cost
increases will be the responsibility of the recipient.
If at any time the total eligible project costs exceed the preliminary Ioan commitment
amount by more than fifty (50) percent, the project must receive re-approval of the
preliminary commitment.
E.Future Local Debt
The SRF loan contract will contain a provision requiring the sale of future local debt
to be on parity with, or subordinate to, the SRF debt unless all of the following criteria
are met:
1. The applicant’s non-subordinate debt is rated "A", or higher, by at least two
nationally recognized rating agencies.
2. The applicant pledges that net revenues available to pay the SRF loan are at least
1. i times the current year’s debt service on SRF loans.
31
3. The applicant agrees to pay the 20 percent state match amount for their loan in
remm for a zero interest loan.
XVI.LOAN DISBLrNSEMENTS
Disbursements to recipients will be subject to EPA requirements and/or limitations. Costs
may be submitted for payment on a monthly basis.
Costs submitted to the Division for payment must be cun’ently due and payable to the project
contractors. It will not, however, be necessm2¢ for the recipient to have actually paid the costs
before requesting payment under the loan contract.
A.Loan Disbursement Requests
The recipient will receive a copy of the SRF Disbursement Request Form No. 260 or
Request for Loan Disbursement Form No. 261 for zero interest loans. (See Appendix
P) upon execution of the loan contract, The recipient will be responsible for
completing columns C. (Costs Incurred to Date) and E. (Costs Claimed for Paymen[
to Date). The recipient is also responsible for the certification of expenditures by the
authorized representative. A copy of each processed payment request will be sent to
the recipient to show the amount disbursed by the Division. Specific instructions for
requesting disbursements are also included in Appendix P.
B.Allowance Requests
A request for disbursement of the planning and design allowances can be submitted as
soon as the loan conta’act is issued. The total amount for all the allowances will also
be shown on the SRF Disbursement Request Form No. 260/261 sent to the recipient.
Recipients must certify that planning and design work has been completed and that
claimed costs were incurred. Unless requested by the Division, it is not necessary to
include invoices or other documentation for the disbursement of allowances. The final
allowance amounts will be based on the eligible low bid costs and will be included in
the amended loan contract. Any overpayment of allowances based on fl~e initial loan
contract, which have already been paid, will be subtracted from subsequent requests
for disbursements.
Construction Progress Payment Requests
The recipient will receive a copy office SWRCB Construction Contractor Spreadsheet
Form No. 259 after the ATA has been issued by the Division and the amended loan
amount has been agreed upon. Instructions for completing this form are also in
Appendix P.
When requesting disbursement for construction, the recipient must include a copy of
the Construction Contractor’s Pay Estimate along with completed Form Nos. 259 and
260/261 (See Appendix P). The Contractor’s Pay Estimate must be itemized by bid
item or show a relationship between the Contractor’s Pay Estimate and the bid items.
The estimate must be signed by flae contractor and the authorized representative. The
allowance will be paid as costs are incurred. The loan disbursement will be based on
32
the amount of money currently due and payable to the contractor for eligible bid items
plus costs incurred for engineering and administration minus any amounts previously
paid by the Division. The recipient should assure that adequate local funding is
available to pay the contractor in case the loan disbursement is not processed before
payment to the contractor is due.
Division Assistance
If you need assistance, or have any questions regarding submittal of a request for a
loan disbursement, please contact the Chief of the Financial and Administration Unit
at (916) 341-5820.
CONSTRUCTION
A.Preconstruction Conference
The recipient should notify the Division as soon as the preconstruction conference
with the construction contractor is scheduled. Division staff may choose to attend.
Construction Inspections
1.Interim Inspections
The Division may conduct interim inspections during construction.
2,Final Inspections
The Division may conduct a final construction inspection.
Completion of Construction Date
The completion of construction date will be established for the purpose of determining
the loan repayment schedule. The date will be established by mutual agreement
between the Division and the recipient.
Status Reports
Recipients shall submit reports on the status of constructi on activities no less
frequently than quarterly starting with the issuance of the Notice to Proceed to the
contractor. At minimum the reports will contain the following information:
A summary of progress to date including a description of progress since the
last report, percent construction complete, percent contractor invoiced and
percent schedule elapsed.
A listing of change orders including amount, description of work, and change
in contract amount and schedule.
Any problems encountered, proposed resolution, schedule for resolution and
status of previous problem resolutions.
33
XVIIi. OPERATION
No Final Project Inspection
After the completion of construction date is established, the recipient and the Division
will mutually agree on the initiation of operation date. The initiation of operation date
is the start of the one-year project performance certification period. During the
certification period, the Division will conduct a Final Project Inspection to determine
if the treatment facilities are being maintained and operated satisfactorily, and are
capable of meeting performance standards. The Division will prepare afinal project
inspection report, which will identify areas of operational deficiencies, if they exist.
Recipients must provide the Division a copy of the Operation and Maintenance
Manual within the first six months of operation. The manual will be used to assist the
Division with the final project inspection and review of the project performance
certification.
B.Proiect Performance Report and Certification
One year after initiation of operation, the recipient is required to certify that the
project meets the project performance standards and must submit a project
perfo~Tnance certification report. The project performance certification report should
summarize the data collected during the one-year project performance period and
discuss the project’s current and future ability to meet the project performance
standards. The project performance certification report should also address any items
noted as deficient in the final project inspection report. The Division will approve the
certificati on of the project, if appropriate, at the end of the one-year certification
period. A detailed outline of the Project Performance Report requirements for various
types of projects can be obtained from the Operations Unit.
If the project cannot be affirmatively certified, the recipient must prepare a corrective
action report, which analyzes the project’s inability to meet the project performance
standards. The corrective action report must include an estimate of the nature, scope
and cost of the corrective action, and a time schedule for meeting the project
performance standards. The time schedule must include an estimated date by which
the loan recipient will certify the project and submita project performance
certification report. The Division will conduct follow-up inspections, as necessa12, to
monitor the recipient’s progress towards meeting the project performance standards.
The cost of the corrective action is not eligible for loan assistance.
If the recipient does not submit a project perfo~vnance certification report which
includes a signed certificate of performance, or a con’ective action plan, within fifteen
(15) months of the initiation of operation date, an interest penalty of one-tenth of one
(0.1) percent per day will be assessed on the outstanding loan balance due. The
interest penalty will begin on the first day after expiration of the appropriate deadline.
Further information on project performance certification is included in Appendix J.
RECORD KEEPING REQIJqRE1V!ENTS
34
Recipients are required to maintain separate project accounts in accordance with generally
accepted government accounting standards. More specifically, the following records must be
maintained:
Accounts accurately depicting amounts received and expended for the project,
including all funds received from the SRF;
Program income data; and
Total cost of the project.
Invoices must be maintained for a period of at least three years after submittal and acceptance
of an affitn-native Project Performance Certification. All other records must be kept for the
life of the loan.
XX.REPAYMENTS
Interest will accrue on all loan disbursements as of the date each disbursement is made. A
revised repayment schedule will be issued by the Division after the recipient submits an
approvable final disbursement request.
The Division will prepare a repayment schedule that includes:
The interest rate;
Accrued interest;
Amount of dollars loaned;
The final principal amount of the loan due including accrued interest; and
A complete amo~qtization table.
The first annual loan repayment will be due one year following the completion of
construction date, as set by the Division under Section XVII.C. The loans will be fully
amortized no later than twenty (20) years after completion of construction. The amount to be
repaid will include the amount loaned plus accrued interest. The Division will normally send
a repayment notice thirty (30) days before the date each repayment is due, but prompt
repayment remains the responsibility of the recipient.
A penalty of one-tenth of one percent (0.1%) per day on the amount due will be assessed for
late repayment. A ten (10) day grace period will be allowed. However, if the repayment is
not received by the end of the grace period, the penalty will be assessed from the repayment
due date. Any penalties collected will be deposited in the SRF account to be made available
for SRF assistance.
Penalties assessed will not change the principal balance of the loan contract. Such penalties
will be treated as a separate account in addition to the annual repayment due.
All repayments are to be sent to:
SRF Accounting Office
Attention: SRF Program
35
Post Office Box 1888
Sacramento, CA 95812-1888
BOARD RESERVATION OF AUTHORITY
Prior to the signing of any loan contract, the SWRCB rese~wes the right to modify this SRF
Policy as necessm2~ to provide for effective and equitable use of SRF funds, including:
Reducing the eligible loan amount for any project;
Adjusting the terms for repayment of the loan consistent with applicable statutes.
Any such action wil.1 be taken only in a manner consistent with applicable Federal and State
requirements and after any prospective applicant, adversely affected by the action, has had an
opportunity to comment on the proposed action.
ELIGIBILITY DISPUTES
Any dispute, which is not otherwise resolved, shall be refen-ed to the Chief of the Division, or
his/her delegate, for decision. The decision by the Chief of the Division, or his/her delegate,
shall be reviewable by the SWRCB, at the option of the SWRCB.
In the event that a Division Decision is not acceptable, the applicant or recipient may appeal
within 30 days to the Chief of the Division for a.final Division Decision. If the applicant or
recipient is not satisfied by the final Division Decision, the applicant or recipient may appeal
to the SWRCB within 30 days. The Office of the Chief Counsel of the SWRCB will prepare
a summm3~ of the dispute and make recommendations relative to its final resolution, which
will be provided to the SWRCB’s Executive Director and all the SWRCB Members. Upon
the motion of any SWRCB Member, the SWRCB will undertake to review and resolve the
dispute in the manner determined by the SWRCB. Should the SWRCB determine not to
review the Final Division Decision, this decision will represent a final agency action on the
dispute.
These provisions do not pertain to disputes under an executed loan contract. Such disputes
shall be resolved in accordance with the disputes resolution provisions of the contract.
36
EXHIBIT "K"
2501 Embarcadero Way
Palo Alto, California 94303
650-329-2287
650-856-0196 (Fax)
http://www.city.palo,alto.ca.us/waterreuse/
Water Reuse
Rules and Regulations
Updated April 2004
Prepared for
Recycled Water Customers
Of
The Regional Water Quality Control Plant Water Reuse Program
(REGIONAL PROGRAM)
EXHIBIT "K"
INTRODUCTION
PURPOSE
The purpose of this document is to provide Customers of the Regional Water Quality Control
Plant Water Reuse Program (Regional Program) guidelines for operating and maintaining a
recycled water system. The document covers requirements for both new and existing sites on
the use of recycled water. This document does not supersede any codes, laws, statues, or
regulations governing the use of recycled water.
BACKGROUND
These rules and regulations have been compiled for the Customers of the Regional Program.
Within the Regional Program service area, various Customers or individual facilities may
have site-specific requirements. These specifics are set forth in the Customer’s Recycled
Water Reuse Permit. In addition, some Cities may have additional requirements or
amendments to these requirements that are contained in the City’s local authority guidelines.
From time to time, there may be amendments to the existing roles and regulations. These
amendments may be made without the consent of the Customers. These amendments will be
enforced upon their effective date. Customers will be notified of the amendments.
RULES AND REGULATIONS
California health laws related to recycled water are covered under the Health and Safety
Code, Water Code, and Titles 17 and 22 of the California Code of Regulations. The
published codes are available on the Internet at http://www.leginfo.ea.gov/ and
http://ccr.oal.ca.gov/.
The following is a summary of the basic on-site requirements of the health laws. It is offered
as an aid to the Customer. The Customer should not rely upon it as the State of California’s
representation of the laws, since the published codes are the only official representations of
the laws. Customer shall operate the recycled water system in accordance with the rules and
regulations of the California health laws. The local authority (City) has the responsibility to
enforce the rules and regulations. The Regional Program reserves the right to take any action
necessary with respect to the operation of the Customer’s recycled water system to safeguard
the public health.
In addition, various regulations for recycled water use are also outlined in the Resolutions,
Policies, and Ordinances of the Water Utilities and local authority. Customer shall contact
the Water Utility for more information regarding specific requirements.
SUMMARY OF ON-SITE REQUIREMENTS
Recycled Water Use Permit - The State requires that the Regional Water Quality Control
Plant (RWQCP) issue a Recycled Water Use Permit to the use sites within the Regional
Program area. Recycled water will be provided only to those Customers who have an
approved Recycled Water Use Permit. The Customer is responsible to obtainthe Recycled
Wa~ter Use Permit from the RWQCP, and other necessary permits from the local authorities,
prior to connecting to the recycled water system of the Regional Program.
No Cross-connections - No cross-colmections are allowed between the recycled water
system and potable (drinking) water system.
Backflow Preventers - In order to protect the public drinking water system from accidental
cross-connections, a reduced pressure backflow prevention device is required at all potable
meters on a site where recycled water is present.
In most cases, backflow prevention devices are not required on the recycled water system.
However, where there is a particular threat to the quality of the recycled water, such as a
direct connection to an industrial process or an impoundment of water, the Regional Program
may require a backflow prevention device on the recycled water system.
REGIONAL PRGRAM 3
April 2004
RULES AND REGULATIONS
No Hose Bibs - Generally, hose bibs are not allowed on the recycled water system. In most
cases, quick coupling valves can replace hose bibs.
No Runoff- The irrigation system must be configured and operated to prevent runoff
outside the approved use area (the boundaries of the site).
No Ponding - The irrigation system must be configured and operated so that ponding does
not occur. Adequate measures shall be taken to prevent breeding of flies, mosquitoes and
other vectors. This does not apply to approved and intended impoundments.
No windblown Spray - The irrigation system must be configured and operated to prevent
windblown spray from passing outside the approved use area. Adequate measures shall be
taken to minimize contact of recycled water with the public, picnic benches, or drinking
water fountains.
Pipe Identification - All new and existing recycled water piping below or above grade must
be labeled with purple tape with the imprinted words "CAUTION - RECYCLED WATER".
Purple colored pipe with the required wording is an acceptable alternative.
Signs - Signs must be posted in conspicuous areas on-site indicating that recycled water is
used for irrigation (or other) purposes. Generally, signs must be located at all entrances to
the facility and around the use area.
Warning Tags, Labels - All valve boxes, quick couplers, storage tanks, air/vacuum relief
valves, pressure reducing valves, pumps, backflow prevention devices, system controller
boxes, or other appurtenances on the recycled water system must be labeled with warning
tags or labels. The labels or tags must include the words "RECYCLED WATER - DO NOT
DRINIC’.
Hours of Operation - To minimize public contact with the recycled water, landscape
irrigation should be done during periods when the grounds will have maximum opportunity
to dry before use.
Pipe Separation - Horizontal and vertical separation must be maintained between recycled
water pipelines and potable water pipelines. In general, horizontal separation of ten feet is
recommended, and recycled water pipelines should be minimum 12 inches below potable
water pipelines.
Testing and Records - Customer or the local authority shall perform periodic testing and
inspections, and prepare records of observations at the recycled water use sites. Specifics are
REGIONAL PRGRAM 4
April 2004
RULES AND REGULATIONS
contained in the City’s local authority guidelines. Customer shall grant the local authority
and personnel of the Regional Program, the fight of entry to perform testing and inspections.
Personnel Training - It is the responsibility of the Customer to ensure that .all operations
personnel are trained and familiar with the use of recycled water. The operations personnel
must:
Be aware that recycled water, although highly treated, . is nonpotable (not for human
consumption)
¯Be aware and observe the rules and regulations
¯Observe good personal hygiene
¯Never use recycled water for human or animal consumption
¯Understand that recycled water is safe if regulations are followed and good common
sense is used
¯Never make, and never allow, connection between the recycled water system and the
potable water system
Understand the health and safety aspects of Title 17 and Tire 22 requirements
Unapproved Uses - Use of recycled water for any purposes other than those explicitly
approved, or in areas other than those specifically noted in the Recycled Water Use Permit
and application, is strictly prohibited.
Right to Terminate Service - If any time during operation of the recycled water system,
real or potential hazards are evidenced, such as cross-connections, unapproved uses, etc. the
Regional Program and/or the local authority, reserve the right and has the authority to
terminate immediately, with or without notice, recycled water service in the interest of
protecting the public health.
The customer has the right to terminate service if there are no longer suitable uses at that site.
The customer cannot substitute potable water where recycled water can be used.
*** END ***
REGIONAL PRGRAM
April 2004
EXHIBIT "L"
~~ ~ ~> > > m > >
EXHIBIT "L"
ATTACHMENT B
FORMAL CONTRACT
CONTRACT No. C07116566
(Public Work)
Public Works Department
SECTION 500
This Contract, number C07116566 dated is entered into by and between the City of Palo Alto,
California Charter City ("City"), and McGuire and Hester ("Contractor").
For and in consideration of the covenants, terms, and conditions (*the provisions*) of this Contract, City and Contractor
("the parties") agree:
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.
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:City of Palo Alto, Mountain View I Moffett Area Reclaimed Water Pipeline Project
(WRFP 3212-030, SRF C-06-4132-110); Invitation for Bid (IFB) Number 116566A.
Bid: $15,950,279.00 (Fifteen million nine hundred fifty thousand two hundred seventy-nine dollars)
Contract Documents. This Contract shall consist of the documents set forth below and in the table of contents,
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, the most
technically specific prowsion shall control. If this rule does not resolve the inconsistency, the following
documents and the provisions thereof shall be used in the following descending order of precedence.
This Contract plus certificate of insurance, Performance Bond, and Labor and Materials (Payment)
Bond.
IFB, Part I Supplement.
IFB, Part I and Part II, Section 100.
Project Technical Specifications.
Project Drawings.
Change Order.
Bid.
General Conditions.
For all work conducted in City of Palo Alto, the most current version of the Water Gas & Wastewater
Utility Standards.
For all work conducted in the City of Palo Alto, the most current version of the Standard Drawings and
Specifications.
For all work conducted in the City of Mountain View, the most current version of the Public Services
Department Specifications (copies available at the Public Services Department of the City of Mountain
View).
Other Specifications, or part thereof, expressly incorporated in the Contract Specifications or either
city’s Standard Drawings and Specifications.
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 Standard Drawings and Specifications (most current version), or, if no time is
stated, within thirty (30) Days of the date of receipt of Contractor’s invoices.
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
CITY OF PALO ALTO
rev. 12/00
CONTRACT C07116566 PAGE 1 OF 7
FORMAL CONTRACT SECTION 500
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 Pre.iect Manager to the address set forth in Section 16 of this
Contract.
6o Indemnification. Contractor agrees to protect, defend, indemnify and hold the cities of Palo Alto and Mountain
View, their 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 noncom pliance 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 either 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 either 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 either 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. ~9601-6975,
as amended); the Resource Conservation and Recovery Act (42 U.S.C. ~6901-6992k, as amended); the Toxic
Substances Control Act (15 U.S.C. ~2601-2692, as amended); the Carpenter-Presley-Tanner Hazardous
Substance Account Act (Health & Safety Code, ~25300-25395, as amended); the Hazardous Waste Control
Law (Health & Safety Code, ~25100-25250.25, as amended); the Safe Drinking Water and Toxic Enforcement
Act (Health & Safety Code, ~25249.5-25249.13, as amended); the Underground Storage of Hazardous
Substances Act (Health & Safety Code, ~25280-25299°7, as amended); or under any other local, state or
federal law, statute or ordinance, or at common law.
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.
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.
10.
No Exoneration 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.
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 bond 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
CITY OF PALO ALTO
rev. 12/00
CONTRACT C07116566 PAGE 2 OF 7
FORMAL CONTRACT SECTION 500
site, insofar as any are required by reason of the use or occupancy of the Project site, and with all Laws
pertaining to nondiscrimination n employment and hazardous materials.
11.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 Bonds 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:
Any materials and equipment which shall be used during the course and scope of the Project and
Work shall be vested in Contractor;
Any materials and equipment which shall be used during the course and scope of the Project and
Work shal be merchantable and fit to be used for the particular purpose for which the materials are
required;
Co 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 ~s required to be
filed, on the date that final payment is made hereunder;
Any manufacturer’s warranty obtained by Contractor shall be obtained or shall be deemed obtained by
Contractor for and in behalf of City for the cities of Palo Alto and Mountain View.
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;
Contractor has not colluded, cons pired, 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;
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
shal be executed, delivered and performed pursuant to the poWer and authority conferred upon the
person or persons authorized to bind Contractor;
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;
There are no unresolved claims or disputes between Contractor and City which would materially affect
Contractor’s ability to perform under the Contract;
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;
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
Contractor has fully examined and inspected the Project site and has full knowledge of the physical
conditions of the Project site.
13.Assi.qnment. 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.
CITY OF PALO ALTO
rev. 12/00
CONTRACT C07116566 PAGE 3 OF 7
FORMAL CONTRACT SECTION 500
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 California 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.
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 receiwng 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:City of Palo Alto
City Clerk
250 Hamilton Avenue
P.O. Box 10250
Palo Alto, CA 94303
Copy to:City of Palo Alto
Public Works Department
Regional Water Quality Control Plant
2501 Embarcadero Way
Palo Alto, CA 94303
Attn: Daisy Stark, Project Manager
To Contractor:McGuire and Hester
9009 Railroad Avenue
Oakland, CA 94603
Attn: Michael R. Hester
17.
18.
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 16 shall control in the event of a conflict with any other provision of this Contract.
Miscellaneous.
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.
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
CITY OF PALO ALTO CONTRACT C07116566 PAGE 4 OF 7
rev. 12/00
FORMAL CONTRACT
such approval or consent.
SECTION 500
Controlling Law. The parties agree that this Contract shall be governed and construed by and in
accordance with the Laws of the State of California.
Definitions. The definitions and terms set forth in Section 1 of the Standard Drawings and
Specifications (most current version) of this Contract are incorporated herein by reference.
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 governmental authority.
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.
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.
Integration. This Contract and any amendments hereto between the parties constitute the entire
agreement between the parties concerning the Project and Work, and there are no other prior oral or
written agreements between the parties that are not incorporated in this Contract.
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.
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 prowsions, whether
covenants or conditions, shall be deemed to be both covenants and conditions.
Resolution. Contractor shal 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.
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.
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.
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.
Time of the Essence. Time is of the essence of this Contract and each of its provisions, n 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.
Alternative 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,
California. 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
CITY OF PALO ALTO
rev. 12/00
CONTRACT C07116566 PAGE 5 OF 7
FORMAL CONTRACT SECTION 500
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
Northern District of California, 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 California Code of Civil Procedure § 664.6, as amended.
Venue. Unless the parties mutually agree otherwise, mediation shall take place in San Jose,
California. 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 California in the County of Santa Clara or
in the United States District Court for the Northern District of California.
Recovery of Costs. Each Party shall bear its own costs, including attorney’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 California Code of Civil Procedure
§ 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.
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 dis pute 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.
N 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 AS TO FORM:CITY OF PALO ALTO
Senior Assistant City Attorney Assistant City Manager
APPROVED:CONTRACTOR:
Director of Administrative Services
Director of Public Works
By:.
Name:
Title:
By:.
Name:
Title:
(Compliance with California Corporations Code ~ 313 is required
if the entity on whose behalf this contract is signed is a
corporation. In the alternative, a certified corporate resolution
attesting to the signatory authority of the individuals signing in
their respective capacities is acceptable)
CITY OF PALO ALTO
rev. 12/00
CONTRACT C07116566 PAGE 6 OF 7
FORMAL CONTRACT SECTION 500
CERTIFICATE OF ACKNOWLEDGMENT
(Civil Code ~ 1189)
STATE OF .)
COUNTY OF )
On , before me,,
a notary public in and for said County, personally appeared
personally known to me (or proved to me on the basis of satisfactory evidence) to be the person(s) whose
name(s) is/are subscribed to the within instrument and acknowledged to me that he/she/they executed the
same in his/her/their authorized capacity(ies), and that by his/her/their signature(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 officia seal.
Signature (Seal)
CITY OF PALO ALTO
rev. 12/00
CONTRACT C07116566 PAGE 7 OF 7
ATTACHMENT B1
0 0
0 00.~.
0 00t~q
00
00
0 000 0 00 00000 0 00
00
00
00 0 000 0 o 0 000 000 <o
0 0
0 0 0
4 4: < < 4: 4 4: 4: < 4: < < < < < <
ATTACHMENT B2
CERTIFICATION OF NONDISCRIMINATION REBID SECTION 410
PROJECT: CITY OF PALO ALTO~ MOUNTAIN VIEW/MOFFETT AREA RECLAIMED
WATER PIPELINE PROJ ECT (WRFP 3212-030~ SRF C-06-4132-110)
Certification of Nondiscrimination: See Part I Supplement, Boilerplate, Section 13.
CITY OF PALO ALTO - IFB 116566A PAGE 1 OF 1
State Revolving Fund Loan Prog~’am AfBE/~VBE Insu~tctions
........................... ho~’~v~; T~(~r~ t~eh:~en~l~-~r-actor becomes involved in, or is threatened with, litigation with a subcontractor
or vendor as a result of such direction by the contracting agency, the contractor may request the United States to
enter into such litigation to protect the interests oft.he United States.
SEC. 203
(a) Each contractor having a contract containing the provisions prescribed in Section 202 shall file, and shall cause
each of his subcontractors to file, Compliance Reports with the contracting agency or the Secretary of Labor as may
be directed. Compliance Reports shall be filed within such times and shall contain such information as to the
practices, policies, programs, and employment policies, progams, and employment statistics of the contractor and
each subcontractor, and shall be in such form, as the Secretary of Labor may prescribe.
(b) Bidders or prospective contractors or subcontractors may be required to state whether they have participated in
any previous contract subject to the provisions of this Order, or any preceding similar Executive order, and in that
event to submit, on behalf of themselves and their proposed subcontractors, Compliance Reports prior to or as an
initial part of their bid or negotiation of a contract.
(c) Whenever.the contractor or subcontractor has a collective bargaining a~eement or other contract or
understanding with a labor union or an agency referring workers or providing or supervising apprenticeship or
training for such workers, the Compliance Report shall include such information as to such labor union’s or agency’s
practices and policies affecting compliance as the Secretary of Labor may prescribe: Provided, That to the extent
such information is within the exclusive possession of a labor union or an agency referring workers or providing or
supervising apprenticeship or training and such labor union or agency shall refuse to furnish such information to the
contractor, lhe contractor shall so certifiy to the contracting agency as part of its Compliance Report and shall set
forth what efforts he has made to obtain such information.
(dl The contracting agency or the Secretary of Labor may direct that any bidder or prospective contractor or
subcontractor shall submit, as part of his Compliance Report, a statement in writing, signed by an authorizedofficer
or agent on behalf of any labor union or any agency referring workers or providing or supervising apprenticeshi~p or
other training, with which the bidder or prospective contractor deals, with supporting information, to the effect that
the si_maer’s practices and policies do not discriminate on the grounds of race, color, creed, or national origin, and
that the signer either will affirmatively cooperate in the implementation of the policy and provisions of this Order or
that it consents and agrees that recruitment, employment, and the terms and conditions of employment under the
proposed contract shall be in accordance with the purposes and provisions of the Order. In the event that the union,
or the agency shall refuse to execute such a statement, the Compliance Report shall so certify and set forth what
efforts have been made to secure such a statement and such additional factual material as the contracting agency or
the Secretary of Labor may require.
13 -41 CFR 60-1.4 NONDISCRIM1-NATION CLAUSE
NONDISCRIMINATION CLAUSE
During the performance of this contract, the contractor a~ees as follows:
(1) The contractor will not discriminate against any employee or applicant for employment because of race, color,
religion, sex, or national origin. The contractor will take affirmative action to ensure that applicants are employed,
and that employees are treated during employment, without regard to their race, color, religion, sex, or
national origin. Such action shall include, but not be limited to the following: Employment, upgrading, demotion, or
transfer, recruitment or recruitment advertising; layoffor termination; rates of pay or other forms of compensation;
and selection for training, including apprenticeship. The contractor agrees to post in conspicuous places, available to
employees and applicants for employment, notices to be provided by the contracting officer setting forth the
provisions of this nondiscrimination clause.
(2) The contractor will, in all solicitations or advertisements for employees placed by or on behalf of the contractor,
state that all qualified applicants will receive consideration for employment without regard to race, color, reli~on,
sex, or national origin.
(3) The contractor will send to each labor union or representative of workers with which he has a collective
bargaining agreement or other contract or understanding, a notice to be provided by the agency contracting officer,
advising the labor union or workers’ representative of the contractor’s commitments under section 202 of Executive
Order 11246 of September 24, 1965, and shall post copies of the notice in conspicuous places available to
employees aud applicants for employment.
(4) The contractor will comply with all provisions of Executive Order 11246 of September 24, 1965, and of the
rules, regulations, and relevant orders of the Secretary of Labor.
Issue Date: August 15, 2005 BP- 37
State Revolving Fund Loan Prod’am MBEMYBE lnsmtctions
(5) The contractor will furnish all information and reports required by Executive Order 11246 of September 24,
1965, and by the rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access
to his books, records, and accounts by the contracting agency and the Secretary of Labor for purposes of
investigation to ascertain compliance with such rules, regulations, and orders.
(6) In the event of the contractor’s non-compliance with the nondiscrimination clauses of this contract or with any
of such rules, regulations, or orders, this contract may be canceled, terminated or suspended in whole or in part and
the contractor may be declared ineligible for further Government contracts in accordance with procedures authorized
in Executive Order 11246 of September 24, 1965, and such other sanctions may be imposed and remedies invoked
as provided in Executive Order 11246 of September 24, 1965, or by rule, regulation, or order of the Secretary of
Labor, or as otherwise provided by law.
(7) the contractor will include the provisions of paragraphs (1) through (7) in every subcontract or purchase order
unless exempted by rules, regulations, or orders of the Secretary of Labor issued pursuant to section 204 of
Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontractor or
vendor. The contractor will take such action with respect to any subcontract or purchase order as may be directed by
the Secretary of Labor as a means of enforcing such provisions including sanctions for noncompliance: Provided,
however, th at in the event the contractor becomes involved in, or is threatened with, litigation with a subcontractor
or vendor as a result of such direction, the contractor may request the United States to enter into such litigation to
protect the interests of the United States.
(b) Federally assisted construction contracts. (1)Except as otherwise provided, each administering agency shall
require the inclusion of the following language as a condition of any grant, contract, loan, insurance, or guarantee
involving federally assisted construction which is not exempt from the requirements of the equal
opportunity clause:
The applicant hereby agrees that it will incorporate or cause to be incorporated into any contract for construction
work, or modification thereof, as defined in the regulations of the Secretary of Labor at 41 CFR Chapter 60, which is
paid for in whole or in part with funds obtained from the Federal Government or borrowed on the credit of the
Federal Government pursuant to a grant, contract, loan insurance, or guarantee, or undertaken pursuant to any
Federal program involving such grant, contract, loan, insurance, or guarantee, the following equal opportunity
clause:
During the performance of this contract, the contractor agrees as follows:
(1) The contractor will not discriminate against any employee or applicant for employment because of race, color,
religion, sex, or national origin. The contractor will take affirmative action to ensure that applicants are employed,
and that employees are treated during employment without regard to their race, color, religion, sex, or
national origin, such action shall include, but not be limited to the following: Employment, upgrading, demotion, or
transfer; recruitment or recruitment advertising; layoff.or termination; rates of pay or other forms of compensation;
and selection for training, including apprenticeship. The contractor agrees to post in conspicuous places, available to
employees and applicants for employment, notices to be provided setting forth the provisions of this
nondiscrimination clause.
(2) The contractor will, in all solicitations or advertisements for employees placed by or on behalf of the contractor,
state that all qualified applicants will receive considerations for employment without regard to race, color, religion,
sex, or national origin.
(3) The contractor will send to each labor union or representative of workers with which he has a collective
bargaining agreement or other contract or understanding, a notice to be provided advising the said labor union or
workers’ representatives of the contractor’s commitments under this section, and shall post copies of the notice in
conspicuous places available to employees and applicants for employment.
(4) The contractor will comply with all provisions of Executive Order 11246 of September 24, 1965, and of the
rules, regulations, and relevant orders of the Secretary of Labor.
(5) The contractor will furnish all information and reports required by Executive Order 11246 of September 24,
1965, and by rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to
his books, records, and accounts by the administering agency and the Secretary of Labor for purposes of
investigation to ascertain compliance with such rules, regulations, and orders.
(6) In the event of the contractor’s noncompliance with the nondiscrimination clauses of this contract or with any of
the said rules, regulations, or orders, this contract may be canceled, terminated, or suspended in whole or in part and
the contractor may be declared ineligible for further Government contracts or federally assisted construction
contracts in accordance with procedures authorized in Executive Order 11246 of September 24, 1965, and such
other sanctions may be imposed and remedies invoked as provided in Executive Order 11246 of September 24,
1965, or by rule, regulation, or order of the Secretary of Labor, or as otherwise provided by la~v.
Issue Date: August 15, 2005 BP- 38
State Revolvhtg Fund Loan Program MBF_~VBE h~structions
(7) The contractor will include the portion of the sentence irrtmediately precedingpara~aph (1) and the
provisions of paragraphs (1) through (7) in every subcontract or purchase order unless exempted by rules,
regulations, or orders of the Secretary of Labor issued pursuant to section 204 of Executive Order 11246 of
September 24, 1965, so that
such provisions will be binding upon each subcontractor or vendor. The contractor will take such action with respect
to any subcontract or purchase order as the administering agency may direct as a means of enf6rcing such
provisions, including sanctions for noncompliance: Provided, however, That in the event a contractor becomes
involved in, or is threatened with, litigation with a subcontractor or vendor as a result of such direction by the
administering agency the contractor may request the United States to enter into such litigation to protect the
interests of the United States.
The applic .ant further a~ees that it will be bound by the above equal opportunity clause with respect to its own
employment practices when it participates in federally assisted construction work: Provided, that if the applicant so
participating is a State or local government, the above equal opportunity Clause is not applicable to any agency,
instrumentality or subdivision of such government which does not participate in work on or under the contract.
The applicant agrees that it will assist and cooperate actively with the administering agency and the Secretary of
Labor in obtaining the compliance of contractors and subcontractors with the equal opportunity clause and the rules,
regulations, and relevant orders of the Secretary of Labor, that it will furnish the administering agency and the
Secretary of Labor such information as they may require for the supervision of such compliance, and that it will
otherwise assist the administering agency in the discharge of the agency’s primary responsibility for securing
compliance.
The applicant further agrees that it will refrain from entering into any contract or contract modification subject to
Executive Order 11246 of September 24, 1965, with a contractor debarred from, or who has not demonstrated
eligibility for, Government contracts and federally assisted construction contracts pursuant to the Executive order
and will carry out such sanctions and penalties for violation of the equal opportunity clause as may be imposed upon
contractors and subcontractors by the administering agency or the Secretary of Labor pursuant to Part II, Subpart D
of the Executive order. In addition, the applicant a~ees that if it fails or refuses to comply with these undertakings,
the administering agency may take any or all of the following actions: Cancel, terminate, or suspend in whole or in
pan this grant (contract, loan, insurance, guarantee); refrain from extending any further assistance to the applicant
under the program with respect to which the failure or refund occurred until satisfactory assurance of future
compliance has been received from such applii:ant; and refer the case to the Department of Justice for appropriate
legal proceedings.
(c) Subcontracts. Each nonexempt prime contractor or subcontractor shall include the equal opporttmiry clause in
each of its nonexempt subcontracts.
(d) Incorporation by reference. The equal opportunity clause may be incorporated by reference in all Government
contracts and subcontracts, including Government bills of lading, transportation requests, contracts for deposit of
Government funds, and contracts for issuing and paying U.S. savings bonds and notes, and such other contracts and
subcontracts as the Deputy Assistant Secretary may designate.
(e) Incorporation by operation of the order. By operation of the order, the equal opportunity clause shall be
considered to be a part of every contract and subcontract required by the order and the regulations in this part to
include such a clause whether or not it is physically incorporated in such contracts and whether or not the contract
between the. agency and the contractor is written.
(f) Adaptation of language. Such necessary changes in language may be made in the equal opportunity clause as
shall be appropriate to identify properly the parties and their undertakings. [43 FR 49240, Oct. 20, 1978, as
amended at 62 FR 66971, Dec. 22, 1997]
Issue Date: August 15, 2005 BP- 39
State Revolving Fund Loan Program MBE/WBE Instructions
During the performance of this contract, contractor and its subcontractors shall not unlawfully
discriminate against any employee or applicant for employment because of sex, race, religion, color,
national origin, ancestry, physical disability (including HIV and AIDS), mental disability, medical
condition (cancer), marital status, age (over 40) or denial of family care leave. Contractors and
subcontractors shall insure that the evaluation and treatment of their.employees and applicants for
employment are free of such discrimination and harassment. Contractors and subcontractors shall comply
with the provisions of the Fair Employment and Housing Act (Government Code Section 12900 (a-f) et
seq.) and the applicable regulations promulgated thereunder ICalifomia Administrative Code, Title 2,
Section 7285.0 et seq.). The applicable regulations of the Fair Employment and Housing Commission
implementing Government Code, Section 12900 (a-f), set forth in Chapter 5 of Division 4 of Title 2 or the
California Administrative Code are incorporated into this contract by reference and made a part hereof as if
set forth in full. Contractor and its subcontractor shall give written notice of their obligations under this
clause to labor organizations with which they have a collective bargaining or other agreement.
The contractor shall include the nondiscrimination and compliance provisions of this clause in all
subcontracts to perform work under the contract.
THE UNDERSIGNED CERTIFIES THAT THE CONTRACTOR WILL COMPLY WITH THE ABOVE
REQUIREMENTS.
CONTRACTOR OR
SUBCONTRACTOR NAME:
McGuire and Hester
CERTIFIED BY:
NAME:
SIGNATURE:
Michael R. Hester TITLE:President
DATE:4/24/07
Issue Date: August 15, 2005 BP- 40
ATTACHMENT C
CITY OF PALO ALTO CONTRACT NO. C07122034
AGREEMENT BETWEEN THE CITY OF PALO ALTO AND
URS CORPORATION
FOR PROFESSIONAL SERVICES
CONSTRUCTION MANAGEMENT SERVICES FOR THE MOUNTAIN VIEW-MOFFETT
AREA RECLAIMED WATER PIPELINE PROJECT
This AGREEMENT is entered into by and
between the CITY OF PALO ALTO, a California Charter City i"CITY"),
and URS CORPORATION, a Nevada corporation with offices located at
I00 California Street,5th Floor,San Francisco,CA 94111
("CONSULTANT").
RECITALS
The following recitals are a substantive portion of this
Agreement.
A. CITY intends to construct the Mountain View/Moffett area
reclaimed water pipeline using an outside construction firm
(~Project") and desires to engage a consultant to provide
construction management services in connection with the Project
(~Services") .
B. CONSULTANT has represented that it and any subconsultants have
the necessary professional expertise, qualifications, and
capability, and all required licenses and/or certifications to
provide the Services.
C. CITY in reliance on these representations desires to engage
CONSULTANT to provide the Services as more fully described
Exhibit ~A", attached to and made a part of this Agreement.
D. CONSULTANT has agreed to perform the Services on the terms ~and
conditions contained in this Agreement.
NOW, THEREFORE, in consideration of the recitals,
covenants, terms, and conditions, this Agreement, the parties
agree:
AGREEMENT
Section i. SCOPE OF SERVICES. CONSULTANT shall perform the Services
described in Exhibit ~A" in accordance with the terms and
conditions contained in this Agreement. The performance of all
Services shall be to the reasonable satisfaction of CITY.
SECTION 2. TERM. The term of this Agreement shall be from the
date of its full execution to December 31, 2008, unless terminated
earlier pursuant to Section 20 of this Agreement.
050310
CITY OF PALO ALTO CONTRACT NO. C07122034
SECTION 3. SCHEDULE OF PERFORM2tNCE. Time is of the essence in the
performance of Services under this Agreement. CONSULTANT shall
complete the Services within the term of this Agreemenu and in
accordance with the schedule set forth in Exhibit "A", attached to
and made a part of this Agreement. Any Services for which times for
performance are not specified in this Agreement shall be commenced
and completed by CONSULTANT in a reasonably prompt and timely
manner based upon the circumstances and direction communicated to
the CONSULTANT. CITY’s agreement to extend the term or the
schedule for performance shall not preclude recovery of damages for
delay if the extension is required due to the fault of CONSULTANT.
SECTION 4. NOT TO EXCEED COMPENSATION. The compensation to be paid
to CONSULTANT for performance of the Services described in Exhibit
~A", including both payment for professional services and
reimbursable expenses, shall not exceed one million ninety-three
thousand two hundred eighteen dollars ($1,093,218.00). In the
event Additional Services are authorized, the total compensation
for services and reimbursable expenses shall not exceed one million
three hundred thousand dollars ($1,300,000.00). The applicable
rates and schedule of payment are set out in Exhibit "B", entitled
"COMPENSATION," which is attached to and made a part of this
Agreement.
Additional Services, if any, shall be authorized in accordance with
and subject to the provisions of Exhibit "B". CONSULTANT shall not
receive any compensation for Additional Services performed without
the prior written authorization of CITY. Additional Services shall
mean any work that is determined by CITY to be necessary for the
proper completion of the Project, but which is not included within
the Scope of Services described in Exhibit ~A".
SECTION 5. INVOICES. In order to request payment, CONSULTANT shall
submit monthly invoices to the CITY describing the services
performed and the applicable charges (including an identification
of personnel who performed the services, hours worked, hourly
rates, and reimbursable expenses), based upon the CONSULTANT’s
billing rates (set forth in Exhibit "B"). If applicable, the
invoice shall also describe the percentage of completion of each
task. The information in CONSULTANT’s payment requests shall be
subject to verification by CITY. Send all invoices to the CITY
attention the Project Manager. The Project Manager is: Daisy
Stark, Dept.: Public Works, Regional Water Quality Control
Division, 2501 Embarcadero Way, Palo Alto, CA 94303, Telephone:
650-329-2287.
SECTION 6. QUALIFICATIONS/STANDARD OF CARE. All of the Services
shall be performed by CONSULTANT or under CONSULTANT’s supervision.
CONSULTANT represents that it possesses the professional and
technical personnel necessary to perform the Services required by
this Agreement and that the personnel have sufficient skill and
050310
2
CITY OF PALO ALTO CONTRACT NO. C07122034
experience to perform the Services assigned to them. CONSULTANT
represents that it, its employees and subconsultants have and shall
maintain during the term of this Agreement all licenses, permits,
qualifications, insurance and approvals of whatever nature that are
legally required to perform the Services.
All of the services to be furnished by CONSULTANT under this
agreement shall meet the professional standard and quality that
prevail among professionals in the same discipline and of similar
knowledge and skill engaged in related work throughout California
under the same or similar circumstances.
SECTION 7. COMPLIANCE WITH LAWS. CONSULTANT shall keep itself
informed of and in compliance with all federal, state and local
laws, ordinances, regulations, and orders that may affect in any
manner the Project or the performance of the Services or those
engaged to perform Services under this Agreement. CONSULTANT shall
procure all permits and licenses, pay all charges and fees, and
give all notices required by law in the performance of the
Services.
CONSULTANT shall report immediately to the CITY’s project manager,
in writing, any discrepancy or inconsistency it discovers in the
laws, ordinances, regulations, orders, and/or guidelines in
relation to the Project of the performance of the Services.
All documentation prepared by CONSULTANT shall provide for a
completed project that conforms to all applicable codes, rules,
regulations and guidelines that are in force at the time such
documentation is prepared.
SECTION 8. ERRORS/OMISSIONS. CONSULTANT shall correct, at no cost
to CITY, any and all errors, omissions, or ambiguities in the work
product submitted to CITY, provided CITY gives notice to
CONSULTANT.
SECTION 9. INDEPENDENT CONTRACTOR. It is understood and agreed
that in performing the Services under this Agreement CONSULTANT,
and any person employed by or contracted with CONSULTANT to
furnish labor and/or materials under this Agreement, shall act as
and be an independent contractor and not an agent or employee of
the CITY. The manner and means of conducting the Services are the
responsibility of and under the control of CONSULTANT, except to
the extent they are limited by applicable law and the express
terms of this Agreement.
CONSULTANT will be responsible for employing or engaging all
persons necessary to perform the Services. All contractors and
employees of CONSULTANT are deemed to be under CONSULTANT’S
exclusive direction and control. CONSULTANT shall be responsible
for their performance.
050310
CITY OF PALO ALTO CONTRACT NO. C07122034
SECTION I0. ASSIGNMENT. The parties agree that the expertise and
experience of CONSULTANT are material considerations for this
Agreement. CONSULTANT shall not assign or transfer any interest in
this Agreement nor the performance of any of CONSULTANT’s
obligations hereunder ~without the prior written consent of the city
manager. Consent to one assignment will not be deemed to be
consent to any subsequent assignment. Any assignment made without
the approyal of the city manager will be void.
SECTION II. SUBCONTRACTING.
CONSULTANT shall not subcontract any portion of the work to be
performed under this Agreement ’without the prior written
¯ authorization of the city manager or designee.
SECTION 12. PROJECT MANAGEMENT. CONSULTANT will assign Roger
Bethell as the project director to have supervisory responsibility
for the performance, progress, and execution of the Services. If
circumstances or conditions subsequent to the execution of this
Agreement cause the substitution of the project director or any
other.key personnel for any reason, the appointment of a substitute
project director and the assignment of any key new or replacement
personnel will be subject to the prior written approval of the
CITY’s project manager. CONSULTANT, at CITY’s request, shall
promptly remove personnel who CITY finds do not perform the
Services in an acceptable manner, are uncooperative, or present a
threat to the adequate or timely completion of the Project or a
threat to the safety of persons or property.
The city manager will represent CITY for all purposes under this
Agreement. Daisy Stark is designated as the project manager for the
CITY. The project manager will be CONSULTANT’s point of contact
with respect to performance, progress and execution of the
Services. The CITY may designate an alternate project manager from
time to time.
SECTION 13. DUTIES of CITY. To assist CONSULTANT in the performance
of the Services, CITY will furnish or cause to be furnished the
specified services and/or documents described in Exhibit "A" and
such other available information as may be reasonably requested by
CONSULTANT.
SECTION 14. OWNERSHIP OF MATERIALS. All drawings, plans, reports,
specifications, calculations, documents, other materials and
copyright interests developed or discovered by CONSULTANT or any
other person engaged directly or indirectly by CONSULTANT to
perform the services required hereunder shall be and remain the
property of CITY without restriction or limitation upon their use.
Neither CONSULTANT nor its contractors, if any, shall make any of
such materials available to any individual or organization without
the prior written approval of the city manager or designee.
050310
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CITY OF PALO ALTO CONTRACT NO. C07122034
SECTION 15. AUDITS. CONSULTANT will permit CITY to audit, at any
reasonable time during the term of this Agreement and for three (3)
years thereafter, CONSULTANT’s records pertaining to matters
covered by this Agreement. CONSULTANT further agrees to maintain
and retain such records for at least three (3) years after the
expiration or earlier termination of this Agreement.
SECTION 16. INDEMNITY. To the fullest extent permitted by law,
CONSULTANT shall protect, indemnify, defend and hold harmless CITY,
its Council members, officers, employees and agents (each an
~Indemnified Party") from and against any and all demands, claims,
or liability of any nature, including death or injury to any
person, property damage or any Other loss, including all costs and
expenses of whatever nature including attorneys fees, experts fees,
court costs and disbursements ("Claims") resulting from, arising
out of or in any manner related to performance or nonperformance by
CONSULTANT, its officers, employees, agents or contractors under
this Agreement, regardless of whether or not it is caused in part
by an Indemnified Party.
The acceptance of CONSULTANT’s services and duties by CITY shall
not operate as a waiver of the right of indemnification. The
provisions of this Section 16 shall survive the expiration or early
termination of this Agreement.
SECTION 17. WAIVERS. The waiver by either party of any breach
or violation of any covenant, term, condition or provision of this
Agreement, or of the provislons of any ordinance or law, will not
be deemed to be a waiver of any other term, covenant, condition,
provisions, ordinance or law, or of any subsequent breach or
violation of the same or of any other term, covenant, condition,
provision, ordinance or law.
SECTION 18.INSURANCE.
18.1.CONSULTANT, at its sole cost and expense, shall
obtain and maintain, in full force and effect during the term of
this Agreement, the insurance coverage described in Exhibit "C".
CONSULTANT and its contractors, if any, shall obtain a policy
endorsement naming the City of Palo Alto as an additional insured
under any general liability or automobile policy or policies.
18.2.All insurance coverage required hereunder shall
be provided through carriers with Best’s Key Ratinq Guide ratings
of A-:VII or higher which are licensed or authorized to transact
insurance business in the State of California. Any and all
contractors of CONSULTANT retained to perform Services under this
Agreement will obtain and maintain, in full force and effect during
the term of this Agreement, identical insurance coverage, naming
CITY as an additional insured under such policies as required
above.
050310
CITY OF PALO ALTO CONTRACT NO. C07122034
18.3.Certificates evidencing such insurance shall be
filed with CITY concurrently with the execution of this Agreement.
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 materially reduced
in coverage or limits, by the insurer except after filing with the
Purchasing Manager thirty (30) days’ prior written notice of the
cancellation or modification, CONSULTANT shall be responsible for
ensuring that current certificates evidencing the insurance are
provided to CITY’s Purchasing Manager during the entire term of
this Agreement.
18.4.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 Agreement. 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 Agreement,
including such damage, injury, or loss arising after the Agreement
is terminated or the term has expired.
SECTION 19. WORKERS’ COMPENSATION. CONSULTANT, by executing this
Agreement, 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 and during the performance of the
Services.
SECTION 20.TERMINATION OR SUSPENSION OF AGREEMENT OR SERVICES.
20.1.The city manager may suspend the performance of
the Services, in whole or in part, or terminate this Agreemenn,
with or without cause, by giving ten (i0) days’ prior written
notice thereof to CONSULTANT. Upon receipt of such notice,
CONSULTANT will immediately discontinue its performance of the
Services.
20.2.CONSULTANT may terminate this Agreement or
suspend its performance of the Services by giving ten (i0) days
prior written notice thereof to CITY, but only in the event of a
substantial failure of performance by CITY.
20.3.Upon such suspension or termination, CONSULTANT
shall deliver to the City Manager immediately any and all copies of
studies, sketches, drawings, computations, and other data, whether
or non completed, prepared by CONSULTANT or its contractors, if
any, or given to CONSULTANT or its contractors, if any, in
050310
CITY OF PALO ALTO CONTRACT NO. C07122034
connection with this Agreement.
property of CITY.
Such materials will become the
20.4.Upon such suspension or termination by CITY,
CONSULTANT will be paid for the Services rendered or materials
delivered to CITY in accordance with the scope of services on or
before the effective date (i.e., I0 days after giving notice) of
suspension or termination; provided, however, if this Agreement is
suspended or terminated on account of a default by CONSULTANT, CITY
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 acting
in the reasonable exercise of his/her discretion
20.5. 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 Agreement.
SECTION 21. NOTICES.
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
With a copy to the Purchasing Manager.
To CONSULTANT: Attention of the project director
at the address of CONSULTANT recited above
SECTION 22.CONFLICT OF INTEREST
22.1.In accepting this Agreement, 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.
22.2.CONSULTANT further covenants that, in the
performance of this Agreement, it will not employ subconsultants,
contractors or persons having such an interest. CONSULTANT
certifies that no person who has or will have any financial
interest under this Agreement 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.
22.3. If the Project Manager determines that CONSULTANT
is a "Consultant" as that term is defined by the Regulations of the
Fair Political Practices Commission, CONSULTANT shall be required
050310
7
CITY OF PALO ALTO CONTRACT NO. C07122034
and agrees to file the appropriate financial disclosure documents
required by the Palo Alto Municipal Code and the Political Reform
Act.
SECTION 23. NONDISCRIMINATION. As set forth in Palo Alto
Municipal Code section 2.30.510, CONSULTANT agrees that in the
performance of this Agreement, it shall not discriminate in the
employment of any person because of the race, skin color, gender,
age, religion, disability, national origin, ancestry, sexual
orientation, housing status, marital status, familial status,
weight or height of such person. CONSULTANT acknowledges that it
has read and understands the provisions of Chapter 2.28 of the Palo
Alto Municipal Code relating to Nondiscrimination Requirements and
the penalties for violation thereof, and agrees to meet all
requirements of Chapter 2.28 pertaining to nondiscrimination in
employment, including completing the form furnished by CITY and set
forth in Exhibit "D"
SECTION 24.MISCELLANEOUS PROVISIONS.
24.1. This Agreement will be governed by the laws of
the State of California.
24.2.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.
24.3.The prevailing party in any action brought to
enforce the provisions of this Agreement may recover its reasonable
costs and attorneys’ fees expended in connection with that action.
24.4.This document represents the entire and
integrated agreement 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.
24.5.The covenants, terms, conditions and provisions
of this Agreement will apply to, and will bind, the heirs,
successors, executors, administrators, assignees, and CONSULTANTs,
as the case may be, of the parties.
24.6.If a court of competent jurisdiction finds or
rules that any provision of this Agreemenz or any amendment thereto
is void or unenforceable, the -unaffected provisions of this
Agreement and any amendments thereto will remain in full force and
effect.
any
24.7. All exhibits referred to in this Agreement and
addenda, appendices, attachments, and schedules to this
050310
CITY OF PALO ALTO CONTRACT N0. C07122034
Agreement which, from time to time, may be referred to in any duly
executed amendment hereto are by such reference incorporated in
this Agreement and will be deemed to be a part of this Agreement.
24.8.This Agreement is subject to the fiscal
provisions of the Charter of the City of Palo Alto and the Palo
Alto Municipal Code. This Agreement 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
Agreement are no longer available. This Section 24.8 shaIl take
precedence in the event of a conflict with any other covenant,
term, condition, or provision of this Agreement.
050310
CITY OF PALO ALTO CONTRACT NO. C07122034
IN WITNESS WHEREOF, the parties hereto have by their duly
authorized representatives executed this Agreement on the date
first above written.
APPROVED AS TO FORM:CITY OF PALO ALTO
Senior Asst. City Attorney Assistant City Manager
APPROVED:
Director of Administrative
Services
I!RS CORPORATION AMERICAS
(~f corporation: President or Vice-President)
Title: ~4Z~t
(If corporation: Secretary or Treasurer)
Taxpayer Identification No.
Attachments :
EXHIBIT "A" :
EXHIBIT "B":
EXHIBIT "B-I" :
EXHIBIT "C" :
EXHIBIT "D"
(Compliance with Corp. Code § 313 is
required if the entity on whose behalf
this contract is signed is a corporation.
In the alternative, a certified corporate
resolution attesting to the signatory
authority of the individuals signing in
their respective capacities is acceptable)
SCOPE OF SERVICES &SCHEDULE OF PERFORMANCE
COMPENSATION
RATE SCHEDULE
INSURANCE
NONDISCRIMINATION COMPLIANCE FORM
i0
050310
CITY OF PALO ALTO CONTRACT NO. C07122034
EXHIBIT A
Scope of Services & Schedule of Performance
Construction Management Services for the Mountain View/Moffett Area
Reclaimed Water Pipeline Project
This scope of services is for construction management services for the Mountain
ViewiMoffett Area Reclaimed Water Pipeline project. The construction
management team shall comprise of personnel that would provide the necessary
expertise, resources, and manpower to manage the project through the
completion of the construction contract. The-Consultant shall be responsible for
ensuring delivery of the completed project in accordance with the Contract
Documents.
A. Background
Project Description
The Palo Alto Regional Water Quality ControlPlant (RWQCP) is operated by the
City of Paio Alto for the cities of Mountain View, Palo Alto, Los Altos, the Town of
Los Altos Hills, East Palo Alto Sanitary District, and Stanford University, known
collectively as the RWQCP Partners. The Mountain View/Moffett Area
Reclaimed Water Pipeline Project (Project) is the first expansion project of the
existing RWQCP water-recycling program. Information about the RWQCP and
its water-recycling program can be obtained at www.PARWQCP.or.q
The Project consists of the construction of approximately 20,000 feet of main
transmission pipe (30" and 24") from the Palo Alto Regional Water Quality
Control Plant (RWQCP) to the Mountain View Shoreline area. The project will
also construct approximately 16,000 feet of smaller distribution pipes and laterals
(18", 16", 12", 8", and 6"), and user connections to approximately 100 reuse sites
in the Shoreline area. The major components of the Project are shown in the
attached map. The pipes will be installed mainly in city streets and the entire
pipe route is within the business areas of Palo Alto and Mountain View.The
engineer’s estimated construction cost of the project is $19.5 million.
Project Partners
The project partners are:
¯Cityof Mountain View
¯Cityof Palo Alto
¯The RWQCP
Committed Fundinq Sources
The Project is funded by the following sources:
Chapter 7 grant from the State Water Resources Control Board (SWRCB)
,State Revolving Fund (SRF) loan from the SWRCB
Chapter 8 grant from the SWRCB
Exhibit A Page 1 of 11
CITY OF PALO ALTO CONTRACT NO. C07122034
Fund from the City of Mountain View
Fund from the City of Palo Alto
Fund from the RWQCP
The RWQCP applied for and obtained the State grant and the SRF loan on
behalf of the project partners. The City of Palo Alto as the operator of the
RWQCP is the named recipient of the State grant and the SRF loan. As such,
the RWQCP under the City of Palo Alto is the administrator of the State funds
and the Project Manager for the Project.
Potential Future Fundinq Sources
At the preparation of this RFP, the project partners are pursuing the following
additional funding sources for the Project:
Federal grant - The RWQCP has also applied for a Federal grant for the
Project. The U.S. Bureau of Reclamation (USBR) has approved the
Project for Title XVI compliance. The project partners are currently
seeking Federal funding under Title XVI, which is retroactive for approved
projects.
Environmental Review
In order to comply with the State and Federal funding requirements, the RWQCP
has conducted exhaustive environmental reviews for the Project, including
cultural resources review conforming to the State Historical Preservation Office
(SHPO) requirements. The Project has attained both NEPA and CEQA-Plus
certification.
Proiect Documents
The following documents were prepared for the Project:
¯Regional Water Recycling Facilities Planning Study - MV/Moffett Area
Water Reuse Project, RMC March 2004
RWQCP Recycled Water Pipeline Project - IS/MND, ESA December
2003
RWQCP Reuse Pipeline Project- Cultural Resources Inventory Report,
ESA November 2003, updated 2007
¯MV/Moffett Area Reclaimed Water Pipeline Project ENFONSI, USBR
Aug. 2006
¯MV/Moffett Area Reclaimed Water Pipeline Project Specifications and
Plans, RMC March 2007 (and the related Basis of Design report,
Geotechnical Report, Value Engineering Report, etc.)
The above documents are available for review at the following locations:
The RWQCP at 2501 Embarcadero Way, Palo Alto. Contact Daisy Stark
@ (650) 329-2287
RMC at 2290 North First Street, Suite 212, San Jose. Contact Tammy
Quails @ (408) 240-8173
Exhibit A Page 2 of 11
CITY OF PALO ALTO CONTRACT NO. C07122034
B. Scope of Work
General
The Construction Management team (CM) shall apply professional knowledge,
skill and expertise in the fields of project management, construction
management, quality management and verification, field inspections, project
controls, change control, claims prevention, contracting, materials testing,
survey, and contract administration for all aspects of the scope of work described
below in order to facilitate completion of the Project, within budget, on schedule,
and in compliance with all regulatory and funding requirements of the committed
and potential funding sources. The CM shall assign only personnel whose
qualifications, background and experience are commensurate with the expertise
required to accomplish the assigned work. The CM shall execute its work in a
manner that minimizes unnecessary change orders, administrative or
construction delays, or involvement of legal counsel.
The CM will have responsibility for overall administration of construction. The
design consultant, RMC, is expected to have specific roles during construction to
provide engineering support. The design consultant will also have a role in quality
assurance. It will be the responsibility of the CM to develop a team approach to
the construction that places the CM in overall responsibility for contract
administration, resident engineering and quality control, but that allows RMC to
undertake engineering and design support services to a level to insure
responsibility for the completed project. Specific tasks to be undertaken by RMC
include:
Submittal reviews;
RFI responses;
Contract clarifications;
Change order documentation support;
Site visits;
Attendance at selected construction meetings;
Record drawings.
The tasks listed below are intended to describe the services to be provided by
the CM. The services listed are not all-inclusive, but rather represent those
normally expected during performance of the project.
Task I - Pre-construction Services
Subtask 1.1 Review existing documents - Perform a thorough review of
project planning, design, environmental, funding, permitting, and contracting
documents to become familiar with the Project work and the Project
documentation requirements. Become familiar with site access, staging,
logistics, and transportation issues and constraints.
Subtask 1,2 Construction Management Procedures - Meet with the Project
Manager, project partners, and project team to discuss and establish an
Exhibit A Page 3 of 11
CITY OF PALO ALTO CONTRACT NO. C07122034
efficient and effective means of and channel for communication. Meet with the
project team members including the design consultant (RMC), Project
Manager, project partners, and the .SWRCB as needed. Review the cities’
Construction Management Procedures Manuals, the cities’ additional
procedural requirements for the Project, and the State’s construction
procedures and requirements. Review the SWRCB construction contract
requirements. Consolidate and establish one set of procedures specifically for
this Project consistent with the cities and State requirements. The construction
management procedures shall address at a minimum the following items.
Organizational structure for the project
Communication management/document control system and procedures
Project forms
Schedule management (development, maintenance, control, reporting)
Quality control and quality assurance program, including inspections and
management of potential night-time and weekend construction
Construction contract management and administration
Labor compliance program
Funding and payments tracking and management
Change order and claims procedures
Approval thresholds
Disputes avoidance and resolution
Safety administration
Regulatory agency interface
Community relations and outreach participation, including coordination
with property owners and occupants along the pipe route
Task 2 - Construction Phase Services
The CM shall take responsible charge of the construction management of the
project immediately following Notice to Proceed to the construction contractor.
The CM will have the following primary responsibilities during the construction
phase:
Mobilization
Project Controls
Documentation and Document Control
Contract Administration
Construction Management / Coordination
Claims Analysis
Quality Control, Inspection and Testing
Start-up, Closeout and Acceptance
Accounting and Administration
A general description of the scope of work for each item is presented below.
Subtask 2.1 Mobilization - Arrange and set up a field office at the RWQCP.
Coordinate and utilize the space and furniture at the RWQCP as much as
possible. Furnish additional furniture, all vehicles, inspection and testing
Exhibit A Page 4 of 11
CITY OF PALO ALTO CONTRACT NO. C07122034
equipment, computers and ancillary hardware and software, radios, phones,
materials, tools, cameras and film, paper, office supplies, other machines,
equipment, utilities, courier service, and all other items as required.
Subtask 2.2 Project Controls - Implement a computer-based cost and
schedule control system to detect potential deficiencies early, and to facilitate
reporting to various funding sources. Maintain the project master schedule in
CPM format. Continuously update schedule to show progress/status and all
potential schedule changes. Review contractor’s schedules and monthly
schedule updates and incorporate into project master schedule. Include
schedule updates in monthly progress report.
Subtask 2.3 Documentation and Document Control
Subtask 2.3.a Document Control- Implement a document control
system that manages the receipt, logging, control, tracking, and timely
processing of all correspondence, relevant verbal communications,
technical documents, shop drawings, submittals, manuals and samples
received as part of construction. The CM is responsible for receiving and
addressing all cortes pondence with the contractor.
Implement a labor compliance program for the enforcement and
documentation of compliance with regulatory requirements including
compliance with the labor code, MBE/WBE, and prevailing wage.
Implement a system for the documentation of compliance with cultural
resources protection.
Maintain project records at the CM field office. Furnish all original project
documents and final reports to the RWQCP within 30 days upon receipt of
a copy of RWQCP’s filing of the Notice of Completion.
Subtask 2.3.b Shop Drawings and Submittals - Prepare a log of
anticipated submittals, including the designated submittal-numbering
system.
Receive submittals from the contractor and check for general conformity
with the contract requirements. If obvious deficiencies are apparent in the
submittal, return the submittal back to the Contractor for correction.
Forward complete technical submittals to RMC for review.
Coordinate with RMC as required on submittals. Review and transfer
comments, including RMC’s comments, to the appropriate number of
copies of the submittals. Return reviewed submittals and comments to
contractor in accordance with the construction contract documents.
Forward a copy of submittals and comments to RMC, the Project
Manager, and the .project engineer of each project partner. Reviews shall
state one of the following: 1) No Exceptions Taken; 2) Make Corrections
Noted; 3) Revise & Resubmit; 4) Rejected. CM shall ensure that the
comments are addressed properly as needed and that the construction is
Exhibit A Page 5 of 11
CITY OF PAL0 ALTO CONTRACT NO. C07122034
in accordance with approved submittals. CM shall ensure that no scope
change is made through submittal process. Where appropriate, initiate
potential change order file.
Subtask 2.3.c As-built Drawings - Confirm on a monthly basis that
the Contractor is maintaining up-to-date marked up prints of construction
drawings and documents showing all field changes and as-built
conditions. Maintain the same drawings and documents in the
construction field office. Coordinate with RMC and review the as-built
mark ups for completeness and forward reviewed and complete as-built
drawings to RMC for the preparation of record drawings.
Subtask 2.3.d Video and Photographic Documentation - Take
detailed conventional and digital photographs and videotape of site
conditions prior to any construction operation, adjacent areas, and along
haul and access roads to document and clearly document pre-existing
conditions. Take and maintain daily photographic and video
documentation throughout the construction of the entire project including
adjacent areas. Label photographs and videos with project name, time
and date, subject, and other pertinent information.
Subtask 2.4 Contract Administration
Identify, prepare, log, monitor, and negotiate all correspondence, claims,
changes, extra work, change orders, and other construction-related
documents. Implement and enforce labor compliance program.
Advise the contractor of Project Manager’s schedule for processing progress
payments. Verify quantity and completeness of work. Verify quantity and
acceptability of stored materials. Review progress payment requests submitted
by the contractor. Handle administration, preparation and processing of the
monthly progress payments. Submit all monthly progress payment requests to
Project Manager with a recommendation stating the proper amount for
payment.
Review contractor insurance documentation for compliance with contract
requirements.
Subtask 2.5 Project Manager Assistance
The Project Manager will coordinate with the SWRCB and if necessary the
Federal funding agency on progress reports, payments, schedule, code
enforcements and records. CM shall assist the Project Manager by providing
backup information, reports, and records to facilitate the Project Manager’s
report to these funding agencies.
Subtask 2.6 Construction Management / Coordination
Exhibit A Page 6 of 11
CITY OF PALO ALTO CONTRACT NO. C07122034
Subtask2.6.a General- Provide coordination as required among the
Project Manager, city project engineers, contractor, subcontractors,
environmental monitors, regulatory agencies, easement owners, developers
working on adjacent sites, and the community.
Subtask 2.6.b Public Outreach - The CM shall be responsible for day-to-
day interaction with the public, including receiving and responding to
questions and concerns, and implementing ongoing public outreach efforts.
The CM will need to regularly prepare draft press release and construction
updates that communicate critical project milestones, next steps, or
descriptions of upcoming traffic control/detour that affects a large number of
individuals. After cities’ review, CM shall finalize the press release. Cities
will post the press release in newspapers and on city website.
Significant coordination and outreach will be required with the occupants
and landowners along the-alignment. The project partners will post and
update construction activities and schedule in the cities’ websites, and mail
project information and schedule to the property owners and occupants.
The CM’s outreach effort includes:
¯Coordinate and collaborate with the cities in establishing and
maintaining communications with the occupants and land owners
beyond web posting and mailing;
¯Provide appropriate notice in advance of construction along their
property;
¯Receive, document, and track all complaints, address complaints as
quickly as possible; and
¯Assist in the resolution of major complaints/issues that arise as a
result of construction.
Subtask2.6.cPreconstruction Meeting Prepare and distribute the
agenda for the Preconstruction Meeting with contractor. Facilitate meeting.
Address administrative and non-design issues, including overall project
objectives, responsibilities of key personnel and agencies, schedules,
procedures for handling submittals, correspondence, utility relocations,
permit requirements, public outreach issues, safety plans, requests for
information, progress payments, change orders, and other pertinent project
information. Prepare minutes of the meeting for distribution.
Subtask 2.6.d Project Meetings - Schedule and conduct weekly
construction progress meetings and other meetings as required during the
project. Meetings shall include the contractor, CM, Project Manager, sub-
consultant as needed, and all other participants who require or request
regular updates, or are project decision makers. Prepare and issue
agendas and summaries of discussions with identified action items.
Subtask 2.6.e Monthly progress report- Prepare and submit to the
Project Manager a monthly progress report that includes the following
elements for the previous period:
Exhibit A Page 7 of 11
CITY OF PALO ALTO CONTRACT NO. C07122034
Brief summary of construction activities completed, and activities
projected for following period.
Updated construction schedule and summary of changes to previous
submittal.
Identification of key problems, action items, and issues.
Summary of issues resolved.
Summary of change orders executed, new and ongoing potential
change orders, submittals and RFIs in process, and Notices of
Noncompliance.
Summary of interactions with regulatory agencies, private citizens,
and business owners.
Subtask 2.6.f Construction Schedules - Review and evaluate contractor
work plans, baseline schedule and schedule updates. Provide written
comments to the contractor on the baseline schedule and schedule
updates. Evaluate schedule activities, logic, durations, critical path,
incorporation of constraints and requirements, progress shown as percent
complete, and overall progress of the construction.
Subtask 2.6.g Requests for Information (RFI) and Requests for
Clarification (RFC) - Receive all RFIs and RFCs from the contractor. Make
a determination as to whether the request is complete. If the request is not
complete, return the RFI or RFC to the Contractor.
If the request is valid and the RFI or RFC is of an administrative or general
nature, provide a response to the contractor. Where appropriate and where
affecting the design and its intent, route the RFI or RFC to RMC and a copy
to the Project Manager. Receive response from RMC and verify its
acceptability. If the response materially affects the design, review the
response and its consequences with the Project Manager. Return an
appropriate response to the contractor with a copy to RMC and the Project
Manager.
Subtask 2.6.h Change Orders - Keep Project Manager apprised of all
potential change orders. Coordinate with RMC, prepare cost estimates and
change order justification. Negotiate change orders with the contractor.
Prepare and submit change order request with backup information to
Project Manager for execution. All change orders must be approved in
accordance with the level of authority pre-established by the project
partners.
Where required, issue field orders. All work completed under a field order
must be completed on a time and material basis. All field orders shall be
within the cost limit in accordance with the level of authority pre-established
by the project partners, and be approved by either the construction
manager of the CM or the Project Manager before being issued to the
contractor.
Exhibit A Page 8 of 11
CITY OF PALO ALTO CONTRACT NO. C07122034
Subtask2.6.i System Outage Request - Provide information to the
contractor as needed for the contractor to develop proper system outage
requests. Coordinate all shutdown and other construction activities with the
city project engineer or city operational staff if one is assigned to the project,
and member agencies to ensure that operations of existing facilities are not
compromised.
Subtask 2.6.j Environmental Monitoring - Assist cities’ environmental
monitor with tasks required for successful environmental monitoring and
reporting, training of construction personnel and conflict resolution. The CM
will be responsible for communicating recommendations of the
environmental monitor to the contractor, and for daily monitoring and
enforcing of environmental protections.
Comply with the environmental permit and environmental requirements for
the project. Attend meetings with regulatory agencies if requested.
Subtask 2.6.k Safety - CM shall be responsible for enfoming and
administering site-specific safety program. Review contractor job safety
reports and monitor the development, implementation and performance of
the Contractors’ Site Safety Plan.
Subtask 2.7 Claims Analysis - Perform a detailed analysis of all potential
claims filed by the contractor resulting from this project. Collect all
documentation regarding the contractor’s assertion and perform an
independent analysis of the technical issues, and schedule impacts in the
potential claim. The purpose of this subtask is to assist in claims avoidance.
Provide technical and documentation support to the Project Manager
’throughout the claims process.
Subtask 2.8 Quafity Control, Inspection and Testing - The contractor is
allowed the option of working during night time and on week ends. The QNQC
program should be prepared to take into account possible nighttime and
weekend works. The proposal shall discuss how the CM team would handle
potential nighttime and weekend work. In accordance with the QNQC plan,
inspect, monitor, and document the activities of contractors, subcontractors,
and suppliers to ensure compliance with the requirements of contract
documents. Key activities will require full-time, on-site inspection by qualified
inspectors. In the event the contractor elects to schedule pipeline installation
crews at both cities at the same time, a full time site inspector will be required
for all construction activities in each city. Specific inspection and testing team
members include those experienced in soils testing, concrete testing, trench
backfill compaction testing, and welding inspection. As needed, conduct survey
to confirm alignment and grading. Inspection will require regular interface with
the Construction Manager, the Project Manager, cities inspectors, and RMC on
technical issues and concerns as well as interpretation of the design
documents.
Exhibit A Page 9 of 11
CITY OF PALO ALTO CONTRACT NO. C07122034
Maintain construction site daily records that document the major administrative
issues of each day. Prepare daily field-observation reports that document all
field activities, field crews, contractor equipment, and field issues. Review all
contractor reports and records, including shift reports, daily concrete placement
reports, daily progress reports, and job safety reports. Observe the
development, implementation and performance of the Contractors’ Site Traffic
and Safety Plan. Issue deficiency notices to the contractor in the event of
observation of non-compliant construction.
Retain and manage testing and surveying services as approved by cities.
Schedule and coordinate testing and surveying service, and routing samples to
testing labs as necessary. Review testing and surveying reports, and
coordinate distribution of information.
Subtask 2.9 Start-Up, Closeout and Acceptance Services
Assist the contractor with the development of his startup and testing plan to
confirm that it meets requirements of the contract documents. Develop a
startup schedule and coordinate startup activities with contractor and project
partners. Implement procedures for the systematic, orderly and timely
completion, acceptance, and transfer of all facilities constructed, as well as the
closeout of all contracts. Submit test plan, schedule, and procedures to Project
Manager and project partners for review and approval. Authorize testing or
retesting to begin upon approval of the Project Manager and the cities project
engineers.
Conduct the final inspection in conjunction with the Project Manager, city
project engineer, and RMC. The final inspection shall take into consideration all
correspondence and contract documents including change orders and shop
drawings, daily inspection reports, deficiency notices and record drawings, as
well as visual inspection.
Prepare detailed list of outstanding deficiencies. Reach resolution With the
contractor as to whether the outstanding deficiencies are disputed work,
incomplete work, or warranty work. Classify deficiencies as those required to
reach either substantial or final completion. Handle disputed work in
accordance with contract requirements.
Prepare the punch list from the list of deficiencies with the Project Manager and
city project engineers. Issue punch list to contractor. Verify that punch list work
is complete. Upon correction of punch list items, schedule, coordinate, conduct
a final walk-through prior to the acceptance of work with the Project Manager,
city project engineers, RMC. Provide letters of recommendation of acceptance
to each project partner. Obtain and forward acceptance letters from each
project partner to the Project Manager.
Coordinate the final submittal of as-built drawings and information. Verify that
the Contractor has made all payments and that all required releases, including
Release of Claims have been obtained. Prepare and submit letter of
Exhibit A Page 10 of 11
CITY OF PALO ALTO CONTRACT NO. C07122034
recommendation to the Project Manager for project acceptance. Project
Manager will prepare and file the Notice of Completion with the County. After
the 30-day lien period has expired, recommend approval of final payment.
Prepare and submit to the Project Manager, no later than 30 working days
following the filing of the Notice of Completion, a final Construction Summary
Report for the project including:
¯Summary of the project history and overview of the contracts.
[]Problems encountered and resolutions made.
-Summary of major changes (including costs), reasons for the changes.¯Summary of preliminary and final project costs.
Within 90 calendar days of completion of all tasks, submit a Project Completion
Report to the Project Manager. The report shall include a description of actual
work done, a final schedule showing actual progress versus planned progress,
copies of any final documents or report generated or utilized during the project,
and certification by a California registered civil engineer that the project has
been completed in accordance with the final plans and specifications and any
modifications thereto.
Subtask 2.10 Accounting and Administration - Provide clerical, filing, and all
other administrative and office support services for CM staff support.
Subtask 2.11 Additional Services (As Authorized) Provide additional
miscellaneous specialty services when requested by the Project Manager.
Miscellaneous additional services, which may be required, include but are not
limited to: specialized inspection and testing services, expert witness.
C. Deliverables
In as much as practicable, consultant shall provide documents and reports,
identified in the above tasks to City in electronic format and in hard copy.
Electronic files shall be in WORD, EXCEL, PDF, ACAD, Project, or in a mutually
agreed format.
D. Payment
Progress payments for consultant services shall reflect the amount of effort and
percent completion. The cumulative payment shall not exceed the completed
percent of the total project fee based on the completed tasks or deliverables.
Submit monthly invoice to the Project Manager showing the individual’s name,
rate, hours, and charges, broken down by tasks and by the following areas of the
project:
Transmission pipe
Distribution pipe
Use site connections and retrofits
Exhibit A Page 11 of 11
CITY OF PALO ALTO CONTRACT NO. C07122034
EXHIBIT "B"
COMPENSATION
The CiTY agrees to compensate the CONSULTANT for professional services
performed in accordance with the terms and conditions of this Agreement, and as set
forth in the budget schedule below. Compensation shall be calculated based on the
hourly rate schedule attached as exhibit B-1 up to the not to exceed budget amount
for each task set forth below.
The compensation to be paid to CONSULTANT under this Agreement for all services
described in Exhibit "A" ("Basic Services") and reimbursable expenses shall not
exceed $1,093,218.00. CONSULTANT agrees to complete all Basic Services,
including reimbursable expenses, within this amount. In the event CITY authorizes
any Additional Services, the maximum compensation shall not exceed
$1,300,000.00. Any work performed or expenses incurred for which payment would
result in a total exceeding the maximum amount of compensation set forth herein
shall be at no cost to the CITY.
CONSULTANT shall perform the tasks and categories of work as outlined and
budgeted below. The CITY’s project manager may approve in writing the transfer of
budget amounts between any of the tasks or categories listed below provided the
total compensation for Basic Services, including reimbursable expenses, does not
exceed $1,093,218.00 and the total compensation for Additional Services does not
exceed $206,782.
BUDGET SCHEDULE NOT TO EXCEED AMOUNT
Task 1
(Pre-construction Services)
Task 2
(Construction Services - 2.1 Transmission Lines)
Task 3
(Construction Services - 2.1 Distribution)
$19,572
$727,216
$180,852
Task 4
(Construction Services - 2.1 Site Conne~ions)
Sub-total Basic Services
$156,828
$1,084,468
Reimbursable Expenses $8,750
Total Basic Services and Reimbursable expenses
Additional Services (Not to Exceed)
$1,093,218
$2O6,782
050310
CITY OF PALO ALTO CONTRACT NO. C07122034
Maximum Total Compensation $1,300,000
REIMBURSABLE EXPENSES
CITY shall reimburse CONSULTANT for reimbursable expenses including, postage,
mileage and other miscellaneous costs, at cost. All requests for payment of
expenses shall be accompanied by appropriate backup information. Any expense
anticipated to be more than $1,000.00 shall be approved in advance by the CITY’s
project manager.
ADDITIONAL SERVICES
The CONSULTANT shall provide additional services only by advanced, written
authorization from the CITY. The CONSULTANT, at the CITY’s project manager’s
request, shall submit a detailed written proposal including a description of the scope
of services, schedule, level of effort, and CONSULTANT’s proposed maximum
corn pensation, including reimbursable expense, for such services based on the rates
set forth in Exhibit B-I. The additional services scope, schedule and maximum
compensation shall be negotiated and agreed to in writing by the CITY’s project
manager and CONSULTANT prior to commencement of the services. Payment for
additional services is subject to all requirements and restrictions in this Agreement
Work required because the following conditions are not satisfied or are exceeded
shall be considered as additional services:
Additional inspection beyond basic
Specialized inspection and testing
Expert witness
2
050310
CITY OF PALO ALTO CONTRACT NO. C07122034
EXHIBIT "B-1"
RATE SCHEDULE - URS CORPORATION
AS-NEEDED SERVICES
Primavera Trai her
Specialty Testing & Inspection
Field Inspection
Scheduler
Cost Estimator
Claims Avoidance
ROW Issues
Public Relations
State Funding Consult
Constructability
Caltrans Coordination
Environmental Scientist
Community Outreach
HOURLY RATE
$110.00
$110.00
$110.00
$155.00
$155.00
$190.00
$190.00
$140.00
$175.00
$190.00
$170.00
$110.00
$130.00
050310
THIS WILL BE REPLACED WITH EXHIBIT C ON FINAL
ATTACHMENT G
INSURANCE REQUIREMENTS
CONTRACTORS TO THE CITY OF PALO ALTO (CITY), AT THEIR SOLE EXPENSE, SHALL FOR THE TERM OF THE CONTRACT
OBTAIN AND MAINTAIN INSURANCE IN THE AMOUNTS FOR THE COVERAGE SPECIFIED BELOW, AFFORDED BY
COMPANIES WITH A BEST’S KEY RATING OF A-:VII, OR HIGHER, LICENSED OR AUTHORIZED TO TRANSACT INSURANCE
BUSINESS IN THE STATE OF CALIFORNIA.
AWARD IS CONTINGENT ON COMPLIANCE WITH CITY’S INSURANCE REQUIREMENTS AS SPECIFIED, BELOW:
REQUIRED
,YES
YES
yES
YES
YES
"I"YPE OF COVERAGE
WORKER’S COMPENSATION
AUTOMOBILE LIABILITY
COMPREHENSIVE GENERAL
LIABILITY, INCLUDING PERSONAL
INJURY, BROAD FORM PROPERTY
DAMAGE BLANKET CONTRACTUAL,
AND FIRE LEGAL LIABILITY
COMPREHENSIVE AUTOMOBILE
LIABILITY, INCLUDING, OWNED,
HIRED, NON-OWNED
PROFESSIONAL LIABILITY,
INCLUDING, ERRORS AND
OMISSIONS, MALPRACTICE (WHEN
APPLICABLE), AND NEGLIGENT
PERFORMANCE
REQUIREMENT
STATUTORY
STATUTORY
BODILYINJURY
PROPERTY DAMAGE
BODILY INJURY & PROPERTY DAMAGE
COMBINED.
BODILYINJURY
EACH PERSON
EACH OCCURRENCE.
PROPERTY DAMAGE
BODILYINJURYANDPROPERTY
DAMAGE, COMBINED
ALL DAMAGES
MINIMUM LIMITS
EACH
OCCURRENCE
$1,000,000
$1,000,000
$1,000,000
$1,000,000
$1,000,000$1,000,000
$1,ooo,ooo
$1,ooo,ooo
$1 ~000,000
AGGREGATE
$1,ooo,ooo
$1,ooo,ooo
$1,ooo,ooo
$1,000,000
$1,000,000
$1,000,000
$1,000,000
$1,000,000
YES THE CITY OF PALO ALTO IS TO BE NAMED AS AN ADDITIONAL INSURED: PROPOSER, AT ITS SOLE COST AND EXPENSE,
SHALL OBTAIN AND MAINTAIN, IN FULL FORCE AND EFFECT THROUGHOUT THE ENTIRE TERM OF ANY RESULTANT
AGREEMENT, THE INSURANCE COVERAGE HEREIN DESCRIBED, INSURING NOT ONLY PROPOSER AND ITS
SUBCONSULTANS, IF ANY, BUT ALSO, WITH THE EXCEPTION OF WORKERS’ COMPENSATION, EMPLOYER’S LIABILITY
AND PROFESSIONAL INSURANCE, NAMING AS ADDITIONAL INSURES ClT~, ITS COUNCIL MEMBERS, OFFiCERS~ AGENTS,
AND EMPLOYEES.
INSURANCE COVERAGE MUST INCLUDE:
Ao A PROVISION FOR A WRI’I-iEN THIRTY DAY ADVANCE NOTICE TO CITY OF CHANGE IN COVERAGE OR OF
COVERAGE CANCELLATION; AND
A CONTRACTUAL LIABILITY COVERAGE PROVIDING INSURANCE COVERAGE FOR CONTRACTOR’S
AGREEMENT TO INDEMNIFY CITY- SEE SECTION 18, SAMPLE AGREEMENT FOR SERVICES.
I1.SUBMIT CERTIFICATE(S) OF INSURANCE EVIDENCING REQUIRED COVERAGE, OR COMPLETE THIS SECTION AND
tV THROUGH V, BELOW.
A.NAME AND ADDRESS OF COMPANY AFFORDING COVERAGE (NOT AGENT OR BROKER):
B.NAME, ADDRESS, AND PHONE NUMBER OF YOUR INSURANCE AGENT/BROKER:
C.POLICY NUMBER(S):
City of Palo Alto Contract C07122034 Page 1 of 2
ATTACHMENT G
INSURANCE REQUIREMENTS
D.DEDUCTIBLE AMOUNT(S) (DEDUCTIBLE AMOUNTS IN EXCESS OF $5,000 REQUIRE CITY’S PRIOR
APPROVAL):
II1.
IV.
AWARD IS CONTINGENT ON COMPLIANCE WITH CITY’S INSURANCE REQUIREMENTS, AND PROPOSER’S
SUBMII-IAL OF CERTIFICATES OF INSURANCE EVIDENCING COMPLIANCE WITH THE REQUIREMENTS SPECIFIED
HEREIN.
ENDORSEMENT PROVISIONS, WITH RESPECT TO THE INSURANCE AFFORDED TO "ADDITIONAL INSURES"
A.PRIMARY COVERAGE
WITH RESPECT TO CLAIMS ARISING OUT OF THE OPERATIONS OF THE NAMED INSURED, INSURANCE AS
AFFORDED BY THIS POLICY IS PRIMARY AND IS NOT ADDITIONAL TO OR CONTRIBUTING WITH ANY
OTHER INSURANCE CARRIED BY OR FOR THE BENEFIT OF THE ADDITIONAL INSURES.
B.CROSS LIABILITY
THE NAMING OF MORE THAN ONE PERSON, FIRM, OR CORPORATION AS INSURES UNDER THE POLICY
SHALL NOT, FOR THAT REASON ALONE, EXTINGUISH ANY RIGHTS OF THE INSURED AGAINST ANOTHER,
BUT THIS ENDORSEMENT, AND THE NAMING OF MULTIPLE INSUREDS, SHALL NOT INCREASE THE TOTAL
LIABILITY OF THE COMPANY UNDER THIS POLICY.
C.NOTICE OF CANCELLATION
1.IF THE POLICY IS CANCELED BEFORE ITS EXPIRATION DATE FOR ANY REASON OTHER THAN THE
NON-PAYMENT OF PREMIUM, THE ISSUING COMPANY SHALL PROVIDE CITY AT LEAST A THIRTY
(30) DAY WRI’I-FEN NOTICE BEFORE THE EFFECTIVE DATE OF CANCELLATION.
2.IF THE POLICY IS CANCELED BEFORE ITS EXPIRATION DATE FOR THE NON-PAYMENT OF
PREMIUM, THE ISSUING COMPANY SHALL PROVIDE CITY AT LEAST A TEN (10) DAY WRITTEN
NOTICE BEFORE THE EFFECTIVE DATE OF CANCELLATION.
PROPOSER CERTIFIES THAT PROPOSER’S INSURANCE COVERAGE MEETS THE ABOVE REQUIREMENTS:
THE INFORMATION HEREIN IS CERTIFIED CORRECT BY SIGNATURE(S) BELOW. SIGNATURE(S) MUST BE SAME
SIGNATURE(S) AS APPEAR(S) ON SECTION II, ATrACHMENT A, PROPOSER’S INFORMATION FORM.
Firm:
Signature:
Name:
(Print or type name)
Signature:
Name:
(Pdnt or type name)
NOTICES SHALL BE MAILED TO:
PURCHASING AND
CONTRACT ADMINISTRATION
CITY OF PALO ALTO
P.O. BOX 10250
PALO ALTO, CA 94303.
City of Palo Alto Contract C07122034 Page 2 of 2
EXHIBIT D
ATTACHMENT C1
ATTACHMENT B
Certification of Nondiscrimination
As suppliers of goods or services to the City of Palo Alto, the firm and individuals listed below
certify that they do not discriminate in employment of any person because of race, skin color,
gender, age, religion, disability, national origin, ancestry, sexual orientation, housing status,
marital status, familial status, weight or height of such person; that they are in compliance with all
Federal, State and local directives and executive orders regarding nondiscrimination in
employment.
1.If Proposer is INDIVIDUAL, sign here:
Date:
Proposer’s Signature
Proposer’s typed name and title
If Proposer is PARTNERSHIP or JOINT VENTURE, at least (2) Partners or each of
the Joint Venturers shall sign here:
Partnership or Joint Venture Name (type or print)
Date:
Member of the Partnership or Joint Venture signature
Member of the Partnership or Joint Venture signature
Date:
3.If Proposer is a CORPORATION, the duly authorized officer(s) shall sign as follows:
The undersigned certify that they are respectively:
Vice President and Vice President
Title Title
Of the corporation named below; that they are desig hated to sign the Proposal Cost Form by
resolution (attach a certified copy, with corporate seal, if applicable, notarized as to its
authenticity or Secreta~’s certificate of authorization) for and on behalf of the below named
CORPORATION, and that they are authorized to execute same for and on behalf of said
CORPORATION.
UPS Corporation
Corporati~print)
By: ~ ! ..... __s --~..~Date:May 22, 2007
Title:
By:
Title:
Rob Robinson, AIA, Vice President, San Francisco Construction Services Office Manager
~ Date: May 22, 2007
Roger Bethell, PE, Vice President, Northern California Water Business Line Manager
City of Palo Alto - RFP 122034
ATTACHMENT
AMENDMENT NO.2 TO CONTRACT NO. C3151060
BETWEEN THE CITY OF PALO ALTO AND
RMC WATER AND ENVIRONMENT
(FORMERLY KI~OW-N AS RAINES, MELTON & CARELLA, INC . )
This Amendment No.2 to contract No. C3151060
(~Contract") is entered into , by and between the CITY
OF PALO ALTO, a California Charter City ("CITY"), and RMC WATER AND
ENVIRONMENT, a California corporation located at 2001 N. Main
Street, Suite 400, Walnut Creek, CA 94596 ("CONSULTANT").
RECITALS:
WHEREAS, the Contract was entered into between the
parties for the provision of professional services described in
contract no. C3151060 ("Project"); and
WHEREAS, the Contract was originally made with ~Raines,
Melton & Carella, Inc.", which subsequently changed its name to RMC
Water and Environment"; and
WHEREAS, the parties wish to amend the Contract to
increase the compensation; and
WHEREAS, CONSULTANT shall perform the work in accordance
with the terms and conditions of the State Water Resources Control
Board Water Recycling Funding Program Guidelines and the State
Grant Project no. 3212-030 contract with the CITY.
NOW, THEREFORE, in consideration of the covenants, terms,
conditions, and provisions of this Amendment, the parties agree:
SECTION I. Section 5.1.1, COMPENSATION~ is hereby
amended to read as follows:
"In consideration of the full performance of the Basic Services,
including any "authorized reimbursable expenses, CZTY will pay
CONSULTANT a fee not to exceed One Million Nine hundred Seventy-
four Thousand Dollars ($1,974,000.00). The amount of compensation
will be calculated in accordance with the rate schedule set forth
in Exhibits ~A", on a lump sum per task 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. The CITY reserves the right to
refuse payment of such fees, if such prior approval is not obtained
hv C~NSULT~T "
SECTION 2. The following exhibit(s) to the Contract are
hereby set forth as attachment(s) to this Amendment, which are
incorporated in full by this reference:
S:ATT/USERS/OFFICE FORMS/City Approved Contracts 3/20/07 (REV)
Exhibit ~A’: entitled "RATE SCHEDULE’: .. --
SECTION 3. Except as herein modified, all other
provisions of the Contract, including any exhibits and subsequent
amendments thereto, shall remain in full force and effect.
IN WITNESS WHEREOF,. the parties have by their duly
authorized represenhatives executed this Amendment on the date
first above written.
APPROVED AS TO FORM:CITY OF PALO ALTO
Senior Asst. City Attorney
APPROVED :
Asst. City Manager
Director of Administrative
Services
EXHIBIT "A":RATE SCHEDULE
Name :
Taxpayer Identification No.
(~ompliance with Corp~ Code ~ 31~ is
required if the entlty-~on whose behalf
this contract is signed is a
corporation. ~n the alternative, a
certified, corporate resolution
attesting to the signatory authority
of the individuals signing in their
respective capacities is acceptable).
EXHIBIT A
RMC RATE SCHEDULE
Classifi cation
200.5 Hourly 2006 Hourly
Billing Rate Billing Rate
2007 Hourly
Billing Rate
Principal 3
P~iqcipal 2
Principal 1
$215 $226 $237
$205 $215 $226
$200 $210 $221
Sr Project Manager 3 $t95 $205 $215
Sr Project Manager 2 $190 $200 $209
Sr Project Manager 1 $185 $194 $204
Pr~ect Manager3 $180 $189 $198
Project Manager2 $170 $179 $187
Pr~ect Manager1 $160 $168 $176
Project Engineer 3 $150 $158 $165
Project Engineer 2 $140 $147 $154
Project Engineer 1.$130 $137 $143
Projeci Planner 3 $145 $152 $160
Project Planner 2 $135 $142 $149
Pr~ojeGt Planner 1 $125 $131 $138
Environmental Scientist 3 $145
Environmental Scientist 2 $135
Environmental Scientist I ~ 125
$152
$;142
$131
$160
$149
$138
Assistant Engineer $110 $116 $121
St, CADDesigner $120 $126 $132
St. Graphic Designer/Artist $110 $116 $121
Sr. Project Accountant $110 $t 16 $121
Sr, Administrator $105 $110 $118
CAD Designer $110 $116 $121
Graphic DeslgnedArtist $100 $105 $110
Project Accountant $100 $105 $110
Administrator $95 $100 $105
Assistant CAD Designer $100
Assistant Graphic Designe $90
Assistant Project Account~$90
Assistant Administrator $85
$105
$95
$95
$89
$110
$99
$99
$94
1, The individual hourly rates include salary,
overhead and profit. The hourly rates also
include ordinary expenses, including
telecommunications, computer usage, and
regular repraduclion jobs. Other direct ccsls
2. RMC re.serves the right to adjust lls hourly rate
structure al the beginning of the calendar year [or
all ongoing contracts, RMC will provide advance
notice of any rate change~ affecting current
contracts.
3. Large plots produced in-house by RMC will be
billed at a fiat lee of $50 per plot
NOT YET APPROVED
ATTACHMENT E
RESOLUTION NO.
RESOLUTION OF THE COUNCIL OF THE CITY OF PALO ALTO
ADMINISTERING A WASTEWATER CAPITAL RESERVE FUND
IN ACCORDANCE WITH THE STATE WATER RESOURCES
CONTROL BOARD’S REQUIREMENTS OF THE STATE
REVOLVING FUND LOAN PROGRAM
WHEREAS, the Council of the City of Palo Alto (the "Agency") authorized the City
Manager to apply for a State Revolving Fund (SRF) loan to fund all or a portion of the cost of
expansion and improvement of its water and wastewater system, including certain treatment
facilities, pipelines and other infrastructure (the "Project"); and
WHEREAS, the State Water Resources Control Board requires, as a condition of
approval of the loan, the establishment of a Wastewater Capital Reserve Fund for future
expansion, major repair or replacement costs;
follows:
NOW, THEREFORE the Council of the City of Palo Alto does RESOLVE as
SECTION 1. A dedicated Wastewater Capital Reserve Fund exists, and,
SECTION 2. Said Wastewater Capital Reserve Fund shall be administered by the
Agency as required by the "Policy For Implementing The State Revolving Fund For
Construction Of Wastewater Treatment Facilities" adopted by the State Water Resources Control
Board on February 16, 1995 and last amended on September 22, 2005.
//
//
//
//
//
//
//
//
//
070613 syn 6050155
NOT YET APPROVED
SECTION 3. The Council finds that the adoption of this resolution does not
constitute a project under the California Environmental Quality Act, California Public Resources
Code section 21080, subdivision (b)(8).
INTRODUCED AND PASSED:
AYES:
NOES:
ABSTAIN:
ABSENT:
ATTEST:
City Clerk
APPROVED AS TO FORM:
Deputy City Attorney
Mayor
APPROVED:
City Manager
Director of Public Works
Director of Administrative Services
Department
070613 syn 6050155
2
Attachment F
ORDINANCE NO.
ORDINANCE OF THE COUNCIL OF THE CITY OF PALO ALTO
AMENDING THE BUDGET FOR THE FISCAL YEAR 2006-07 TO
PROVIDE AN ADDITIONAL APPROPRIATION OF $4,137,300 TO
CAPITAL IMPROVEMENT PROGRAM (CIP)PROJECT NUMBER WQ-
04010, REPLACE EXISTING RECLAIMED WATER PIPE
The Council of the City of Palo Alto does ordain as follows:
SECTION i. The Council of the City of Palo Alto finds
and determines as follows:
A. Pursuant to the provisions ofSection 12 of Article III of
the Charter of the City of Palo Alto, the Council on June 12, 2006
did adopt a budget for fiscal year 2006-07; and
B. From fiscal year 2003-04 through fiscal year 2006-07, the
Council did adopt a budget for CIP Project Number WQ-04010,
Replace Existing Reclaimed Water Pipe (Project), wi[h a cumulative
appropriation of $16,800,000. The original funding sources of this
appropriation are shown in Paragraph I below; and
C. In fiscal year 2004-05 through fiscal year 2005-06, the
Utilities Water Fund transferred $i,000,000 to the Wastewater
Treatment Fund to pay for its share of the project costs; and
D. In fiscal year 2006-07, the California State Water
Resources Control Board (SWRCB) State Revolving Fund (SRF) loan
was made available to the Project. This loan consists of
$7,500,000 in principal for the project and $1,500,000 in
fees/interest totaling $9,000,000 that will be repaid over 20
years; and
E. As a consequence of recelving the SRF, the Utilities Water
Fund requests the Wastewater Treatment Fund to return the
$i,000,000 that it originally transferred. The return of this
amount will improve the Water Rate Stabilization Reserve and allow
interest earnmngs to the Fund. The Water Fund will contribute to
the project, however, by repaying it’s share of the SRF loan (see
Paragraph J below); and
F. From fiscal year 2003-04 to date, substantial expenses
related to design elements of the Project were incurred leaving a
balance of $15,100,153 for the construction cost of the Pro3ect;
and
G. In summer 2006, this project was put out to bid. The bids
received were significantly higher than the appropriation balance
available from the Project. The City rejected all bids and
redesigned the Project to reduce construction costs; and
H. The Project was issued for re-bid in March 2007. The low
bid received is higher than the appropriation balance available
from the Project and additional funding of $4,137,300 is required
to construct the Project; and
I. The increase in funding of $4,137,300 for CIP Project
Number WQ-04010 will bring the total appropriation to $20,937,300.
As a consequence of increased expenditures, the SRF Loan, and
Increased State Grant Funds, the following changes in Project
funding sources will be made; and
Total Project Costs
Funding Sources:
City of Palo Alto
RWQCP Reserve
Utilities Water Fund
Sub-Total
City of Mountain View
State Grant
SRF Loan
Changes
$4,137,300
,Original
,Budget
$16,800,000
$3,000,000
$i,000,000
$4,000,000
$8,100,000
$4,700,000
0
$16,800,000
($1,696,804)
($1,000,000)
($2,696,804)
($938,696)
$272,800
$7,500,000
Amended
Budget
$20,937,300
$1,303,196
0
$1,303,196
$7,161,304
$4,972,800
$7,500,000
Total Funding Sources $4,137,300 $20,937,300
J. The SRF loan will be paid over a period of twenty years.
The share of each entity in the annual amortization of the loan
(principal and fees/interest) is summarized in the following
table; and
Entity Annual
Amortizationl
City of Palo Alto~ RWQCP $ 60,000
City of Mountain View $300,000
City of Palo Alto- Water $ 90,000
Fund
Total $450~000
K. Funding requirements from the SRF loan and State grants
require that the City of Palo Alto and the City of Mountain View
must first pay for the expenditures of the Project before
requesting loan monies. The expenditures can later be reimbursed
from the approved grants and loan. Due to the timing of the
receipt of reimbursements, there is a likelihood that the City of
Palo Alto Wastewater Treatment Fund Rate Stabilization Reserve
(RSR), if necessary, will temporarily provide funding for CIP
Project Number WQ-04010 and replenishments will be made to the RSR
as reimbursements are received; and
L. The additional appropriation of funds is for one-time
expenditures and if future year ongoing costs are needed they will
be included in the operating budget and appropriately shared with
Mountain View; and
M. City Council authorization is needed to amend the 2006-07
budget to make available the funds required for construction of
CIP Project Number WQ-04010, Replace Existing Reclaimed Water
Pipe.
SECTION 2. The sum of Four Million One Hundred Thirty Seven
Thousand Three Hundred Dollars ($4,137,300) is hereby appropriated
to CIP Project Number WQ-04010, Replace Existing Reclaimed Water
Pipe.
SECTION 3. The SRF loan of Seven Million Five Hundred
Thousand Dollars ($7,500,000) in principal shall be designated to
provide funding to CIP Project Number WQ-040, Replace Existing
Reclaimed Water Pipe.
SECTION 4. The sum of One Million Six Hundred Ninety Six
Thousand Eight Hundred Four Dollars ($1,696,804) shall be returned
to the Wastewater Treatment Fund Stabilization Reserve.
SECTION 5. The sum of One Million ($i,000,000) shall be
transferred from the Wastewater Treatment Fund to the Water Fund.
SECTION 6. The share of the City of Mountain View in the
cost of the CIP Project Number WQ-04010, Replace Existing
Reclaimed Water Pipe shall be reduced by the sum of Nine Hundred
Thirty Eight Thousand Six Hundred Ninety Six Dollars ($938,696).
SECTION 7. The State Grant shall be increased by the sum of
Two Hundred Seventy Two Thousand Eight Hundred Dollars ($272,800).
SECTION 8. The Wastewater Treatment Fund Rate Stabilization
Reserve shall be available to temporarily fund CIP Project Number
WQ-04010,. Replace Existing Reclaimed Water Pipe and shall be
replenished as reimbursements are collected from State grants and
SRF loan.
SECTION 9. As specified in Section 2.28.080(a) of the Palo
Alto Municipal Code, a two-thirds vote of the City Council is
required to adopt this ordinance.
SECTION i0. As provided in Section 2.04.330 of the Palo Alto
Municipal Code, this ordinance shall become effective upon
adoption.
SECTION ii. The Council of the City of Palo Alto adopted a
mitigated negative declaration for the Project in January 2004.
INTRODUCED AND PASSED:
AYES:
NOES:
ABSTENTIONS:
ABSENT:
ATTEST:APPROVED:
City Clerk Mayor
APPROVED AS TO FORM:
City Manager
Senior Asst. City Attorney Director of Public Works
Director of Administrative
Services
Attachment G
Original CIP Funding Sources
RWQCP CIP
RWQCP Reserve
Palo Alto Utilities Wastewater Enterprise Fund
City of Mountain View
State grant
$1,000,000
$ 2,OOO,0OO
$1,000,000
$ 8,100,000
$ 4,700,000
Total Project Budget $16,800,000
CIP REPLACE EXiSTiNG
ATTACHMENT
RECLAIMED WATER PIPE
(WQ-04010)
Descri priori: Mountain View to Moffet Water Recycling Pipeline
Construction Project.
Justification: The plant operates a reclaimed water facility and delivers
reclaimed water to various reuse sites. Under the plant’s wastewater
discharge permit, the plant is required to maintain its recycled water supply
to those sites. This project will replace the existing reclaimed water pipes
from the plant to Mountain View. The replacement pipes will be upsized to
provide additional capacity for future reclaimed water use and some of the
existing pipes will be extended to reuse sites.
Supplemental Information: Skyrocketing construction costs caused the
initial bid to exceed the original budget. Value engineering has been
performed to minimize costs and the project was issued for be re-bid in
March 2007. Staff is requesting an additional $4.1 million for a total
project cost of $20.9 million. The sources of funding are as follows:
State Grant
State Loan (Principal)
City of Palo Alto Water Fund and RWQCP
City of Mountain View
TOTAL
$ 4,972,800
$ 7,500,000
$1,303,196
$ 7,161,304
$20,937,300
ClP FACTS:
¯ Continuing
¯ Project Status: Construction
¯ Timeline: FY 2004-2009
¯ Overall Project Completion: 10%
¯ Percent Spent: 9.32%
° Managing Department: Public Works
o Comprehensive Plan: Goal N-4, Policy N-25.
IMPACT ANALYSIS:
¯ Environmental: Projects are covered under
the approved Program level EIR.
¯ Design Elements: The City Arborist will be
consulted to protect mature trees.
° Operating: Included in Plant Operations
Additional funding is also being requested in the form of a federal grant
$4M. The federal grant, if awarded, would be used to help pay off the state
loan.
PY Budget $16,800,000
PY Actuals as of 12/3112006 $1,565,044
Pre-Design Costs
Design Costs
Constr, uction Costs
Other
$4,137,300$4,137,300
$4,137,300
Wastewater Treatment Fund with the following reimbursements:
Various ($4,137,300)
Revenues:$4,137,300
Source of Funds:
237 Cily of Palo Alto 2006-07 Budget