Richmond City Council
December 3, 2024

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Once all factors are weighted and all feasible stormwater and wastewater service provider options have been evaluated, Watearth will rank each option in order of preference. The rankings will be provided in a summary email deliverable accompanied by one deliverable review meeting with the City of Richmond to provide comments and feedback. All Watearth deliverables undergo a QA/QC process that involves peer review, project manager review, technical editing, and principal approval to ensure quality deliverables.

Watearth will coordinate the scoped meeting with the City providing meeting agendas and meeting minutes with actions items.

Task 4: Community Engagement
Watearth and the City will lead a joint effort for community engagement. The City of Richmond is largely comprised of residential communities, parks and open space, and industrial/port activities with lesser areas of commercial and other land uses (City of Richmond, 2024). To match the predominant land uses in the City, Watearth, with City coordination, will develop a list of key stakeholders that are relevant to the project like residential community members, industrial providers, and City officials. Presenting to the key stakeholders of the City will Challenges Solutions Qualifications
Identify service provider
benefits spanning many
different key factors.

Evaluate the factors for
each service provider
and prioritize the City’s
needs and
preferences.

Watearth has completed several
Decision Support Systems/Matrices
throughout California and will use the
same skills to make sure the needs and
priorities of the City are considered.

Developing decision
matrix documenting each
step to determine the best
options for stormwater
and wastewater service.

Coordination with the
City and project
stakeholders.

Watearth implements design matrices
many projects as we have for the Port
of Corpus Christi BMP Analysis project,
TWDB Sediment BMPs project, and the
South Santa Rosa Infrastructure Plan
project.

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allow the appropriate representative population to learn about the best stormwater and wastewater service options.

Watearth will assist in coordinating up to three community meetings and will prepare meeting agendas. Agendas will focus on public messaging regarding system service option recommendations ranked in order of preference and providing an opportunity for a Questions & Answers (Q&A) sessions at the end of the community meetings. In addition, Watearth will develop up to three additional means of supporting community engagement collateral including presentation slides that summarize each stormwater and wastewater service option with pros and cons for each option and graphics that provide informative visualization for each option.

Additional community
engagement collateral that
Watearth will provide for nonmeeting events may include brochures, posters, blog posts, or
social media posts. Public website
links or mailing addresses will be
provided on outreach materials
for the community to provide
project feedback. Watearth will
provide all community
engagement collateral to City staff for review prior to community meetings or other events. All Watearth deliverables undergo a QA/QC process that involves peer review, project manager review, technical editing, and principal approval to ensure quality deliverables.

Watearth has provided successful collateral and meeting facilitation on projects for Los Angeles County, Riverside County Flood Control and Water Conservation District (award winning!), and more.

Watearth has experience working with
many stakeholders that vary from
governmental agencies, private entities,
and all the way to community groups.

Watearth has experience working with
We’re glad to have your expertise on the
project. It’s really helping our case.

James A. Martinez
Law Offices of James A. Martinez

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stakeholders while working on Multi-Benefit Stormwater Capture projects and the development of the LA Metro Equity Toolkit. Watearth will consider the individual stakeholders and consider their views on various climate, economic, and other relevant issues Watearth will only present factual data. Watearth will help determine ways to effectively communicate detailed information through visualization in presentations or assisting in Q&A sessions. Watearth’s marketing and outreach collateral is award winning!
Challenges Solutions Qualifications
Scheduling
meetings with
several
stakeholders.

Early communication with City
staff and stakeholders to
schedule meetings in order to
meet the City’s project
schedule.

Watearth staff have conducted
hundreds of presentations and
hosted meetings with key project
stakeholders (City staff, industrial,
residential communities, etc) as we
did on the TWDB process evaluation
project, the LA Metro Equity Toolkit
development project, and the
SoCalGas LEED consulting projects.

Presenting to
stakeholders that
have different
beliefs.

Compiling conflicting views from
stakeholders and pulling out
non-factual information in order
to capture valuable information
that is common across groups.

Watearth has experienced
technical experts for evaluating
specific sector solutions as well as
business operation managers
experienced with working across
business sectors.

Task 5: Selection of Service Delivery Option
Watearth will compile all feedback from
City officials and community engagement
meetings and present a recommendation
for the optimal stormwater and
wastewater service delivery option. Based
on community and City feedback from
community meetings, Watearth will revisit
the ranking of service options presented in the previous “evaluate options” task and determine if there is a change in ranking order. Watearth is experienced in facilitating community outreach and weighing different opinions similar to what we have done in the TWDB Environmental Review Process Evaluation project.

Watearth gathered agency feedback and balanced TWDB employee opinions and recommendations in order to recommend feasible updates to their review process. This type of coordination is similar to what is needed on this project. City preferences and community feedback will shape feasible solutions for stormwater and wastewater delivery services.

Thank you Jennifer and Jeremy. You all
were very responsive and helpful with all
of my questions, and it was a pleasure
working with you and your team.

Andrew Kim, P.E.

Los Angeles County Public Works

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Watearth will provide a summary email deliverable with a recommended service plan and details about key factors as discussed previously in this proposal. The email deliverable will be accompanied by one deliverable review meeting with the City of Richmond to provide comments and feedback. All Watearth deliverables undergo a QA/QC process that involves peer review, project manager review, technical editing, and principal approval to ensure quality deliverables. Watearth will
coordinate the scoped meeting with
the City providing meeting agendas
and meeting minutes with actions
items.

Challenges Solutions Qualifications
Balancing conflicting
opinions of City officials
and community
members in relation to
making a final decision
of service delivery.

Considering factual data
gathered from research
and engagement
meetings to prepare a
solution meeting City
needs and preferences.

Watearth has project managers with
decades of experience providing
unbiased consulting to private and
public agencies on politically
sensitive projects to determine the
optimal solutions.

Task 6: Prepare Implementing Documents
The preparation of implementing
documentation will be contingent on
selecting an optimal stormwater and
wastewater service plan for the City of
Richmond. Once the City has approved
the recommendation of a service plan,
all previous documentation on the
selected service providers which
potential include private sector, public
sector, and the City will be compiled. All
relevant quality of service, cost,
regulatory requirements, innovative
technology implementation, best
practices, and environmental factors
will be compiled from previous tasks.

Additionally, other factors such as new
infrastructure installation will be included as well. These items will be input into an implementation plan technical memorandum for later execution.

The plan will include service provider information, service areas served by specific providers with high-level capacity information, new infrastructure Thank you for a great presentation! I learned
a lot and imagine our members did as well.

Lauri Shahar
San Fernando Valley Bar Association

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development and improvements to make the service plan feasible, order of magnitude cost estimating to carry out the plan short-term and long-term, maintenance procedures, and a list of additional benefits. The plan will also outline potential unresolved items that may need negotiation or further coordination such as pricing of stormwater and wastewater services, and additional funding sources. Watearth is experienced in identifying appropriate funding sources: we have worked on more than 20 grant-funded projects, including a stormwater design project with a $15M grant from Caltrans, on Prop 84 grant project looking at low impact development and stormwater best management practices within the entirety of the Bay Area, and more for citylevel clients like Citrus Heights and Nuview, where Watearth was instrumental in not just completing funding applications, but also identifying potential sources and achieving funding success. A potential list of funding sources may include but is not limited to the following:

1. State Water Resources Control Board (SWRCB) Clean Water State Revolving Fund (CWSRF),

2. California Integrated Regional Water Management (IRWM) Grant Program,

3. Storm Water Grant Program (SWGP), and

4. California Department of Water Resources (DWR) Water-Energy Grant Program.

Depending on the outcome of the selection of service delivery option in Task 5, Watearth may provide services including the following:

1. Recommending status quo service delivery with supporting documentation;

2. Providing an implementation plan that includes a mix of private sectors, public sectors, and/or the City providing service. Additional services may include:
a. Providing evaluation criteria for project bidders such as cost evaluation, quality of service, and expertise of systems; b. Developing a scope of work; and
c. Budget estimating.

A contingency budget is included as optional for the City of Richmond’s consideration. This optional budget is intended to address deliverables stemming from the selected alternative in Task 5 that may not be apparent at this time. This could include facilitation of negotiation meetings and preparation of collateral, training for in-house City staff, or other – all of which will benefit

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from additional definition as the Richmond/Watearth team approaches the completion of Task 5.

All implementation documentation will
comprise of information from previous tasks and
will be submitted as a summary technical
memorandum accompanied by one
deliverable review meeting with the City of
Richmond to provide comments and
feedback. All Watearth deliverables undergo a QA/QC process that involves peer review, project manager review, technical editing, and principal approval to ensure quality deliverables. Watearth will coordinate the scoped meeting with the City providing meeting agendas and meeting minutes with actions items.

Deliverable Output

1. Task 1
a. Kickoff Meeting with City+Watearth
b. Up to 2 collaborative City+Watearth workshops regarding Literature Review and Data Gathering
i. Agenda and Minutes
ii. Summary Email at end of task + one round of City
comments

2. Task 2
a. Up to 4 collaborative City+Watearth workshops regarding Identified Options
i. Agenda and Minutes
ii. Summary Email + one round of City comments
Challenges Solutions Qualifications
Identifying a
comprehensive
list of action items
to incorporate
into an
implementation
plan for delivery
of service.

Watearth will manage data collected
with a file management and task
management software and add to
the implementation plan throughout
the project. Don’t let your selected
consultant create headaches for you
here. Watearth knows how to keep
track of the details.

Watearth has developed design
decision matrices used on
design projects and tracking
construction submittals and RFIs
for the Adventure Park and
Water Board Environmental
Review Process Evaluation
projects.

You did a great job of distilling
very complex guidance into
something approachable.

Jayson Hudson
USACE

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3. Task 3
a. Up to 3 collaborative City+Watearth workshops regarding Evaluated Options
i. Agenda and Minutes
ii. Summary Email + one round of City comments

4. Task 4
a. Up to 3 Community Meetings
i. Agenda
ii. Presentations
iii. Summary of Community Questions (and Answers from
Technical Expert)
iv. Marketing Collateral (up to 3: brochure, flier, or similar up to 200 words) – one round of comments by City on each
b. Up to 2 collaborative City+Watearth workshops regarding outcomes of community meetings.
i. Agenda and Minutes

5. Task 5
a. Up to 2 collaborative City+Watearth workshops regarding Selection of an Option
i. Agenda and Minutes
ii. Summary Email + one round of City comments

6. Task 6
a. Final Implementation Plan (Technical Memorandum)
i. Includes one City+Watearth review meeting with Agenda and Minutes
ii. Includes a Draft and Final Implementation Plan which incorporates one round of City comments.
b. Contingency (Time & Materials). Optional task with optional deliverables. May include:
i. Scope of Work and Budget for RFP
ii. Assistance in selecting a bidder
iii. Or others to be determined during Task 5.

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Schedule
The above schedule implies the following dates, as per the RFP, but is abstracted to allow for variations in City notice to proceed or City Council input.

Date Activity
October 2024 Begin Project
April 2025 City Council – Progress report
May 2025 Begin Task 4
August 2025 City Council – Input on options
September 2025 Begin Task 5
November 2025 City Council – Direction
December 2025 Begin Task 6
March 2026 Complete Project
Division of Responsibility & City Tasks
Watearth will provide the execution of evaluations (operational, technical (engineering and environmental), and financial) as well as the project management necessary to lessen the burden placed on the City Staff spearheading this feasibility study.

Watearth will request the following from the City representative(s):

1. Responsiveness to data requests, assuming new reference documents are identified that were not flagged in the original RFP.

2. Responsiveness to requests for meetings or interviews of value.

3. Facilitation of introductions to internal or external stakeholders already known to the City.

4. Participation in a collaborative decision-making environment lead and organized by Watearth. This will keep City objectives in focus. 0 10 20 30 40 50 60 70 80
Task 6: Prepare Implementing Documents
Task 5: Selection of Service Delivery Option
Task 4: Community Engagement
Task 3: Evaluate Options
Task 2: Identify Options
Task 1: Document Existing Service Delivery System
Estimated Project Schedule, Weeks
Draft Development Comment Period and Revised Draft(s) Final Development

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Staffing Resource Plan
The Watearth team is composed of five key staff members expected to deliver the greatest value and best degree of client coordination and efficiency.

Additional resources are available on an as-needed basis.

Watearth, an Alameda-based firm, will act as the prime consultant on this project by providing the engineering and environmental technical expertise associated with wastewater and stormwater planning, with support in the field of economics analysis from Arup, with whom we have worked before. Watearth was also recently a guest at the Climate Adaptation International Conference (January 2024) with Arup.

Staff responsibilities and commitment to the project are illustrated in the organizational chart below.

Principal Environmental Engineer
Jennifer J. Walker PE, D.WRE, ENV SP, CFM, QSD
City council recommendations. Quality assurance. 40% on project.

Project Manager
Jeremy Liby
Project Management. Client Coordination. Technical Oversight. 90% on project.

Watearth © 2024
Senior Water Resources Engineer
Mark Alan Locke PE
Operations analysis. 80% on project.

Environmental Planner
Alyssa Wilson
GIS Analysis, data management. 90% on project.

Environmental Engineer
Jacob Guise
Data analysis, operations, project coordination. 90% on project.

Senior Economist
Abigail Rolon
Economic feasibility, reporting, workshop. 20% on project.

Wastewater and Stormwater Economics
Additional support staff are available within Watearth and Arup as needed.

Senior Economist
Alfonso Mendez Lossada
Economics feasibility analysis, quality control. 10% on project.

Arup joins the Watearth team to contribute economics expertise. Their commitment is evidenced by the letter on the following page:

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The team assembled for the City of Richmond's wastewater and stormwater service delivery RFP consists of professionals with backgrounds in environmental engineering, planning, project management, and economics.

Principal Environmental Engineer Jennifer J. Walker, PE, DWRE, ENV SP, CFM, QSD, LEED AP BD+C is the driving force behind Watearth Inc., bringing over 30 years of experience in
sustainable and resilient solutions. Expertise spans stormwater, wastewater, water quality, flood control, and green
infrastructure. Walker's strategic vision, combined with detailed technical knowledge, means both high-level planning and nuanced project details are understood. Previous projects, such as the Cal Poly San Luis Obispo Water Resources Master Plan, various projects for the Texas Water Development Board, South Santa Rosa Area Specific Plan for Wastewater and Stormwater, and the SFEI Bay Area Stormwater Best Management Practices tool development showcase the ability to deliver comprehensive environmental documentation and master plans, making Walker an asset for the Richmond project.

Jeremy Liby, Project Manager, has over 12 years of experience in environmental science and planning and project
management, specializing in data collection, geology, GIS, and coordination with municipal clients. Recent projects, including the California Department of Veterans' Affairs Watershed Sanitary Survey and the Texas Water Development Board’s Internal Environmental Review Process project, highlight the ability to manage complex projects effectively and to achieve client satisfaction. Liby’s strong project management skills, combined with the ability to interpret and present complex data clearly, make Liby a key player in ensuring the Richmond project meets its goals efficiently. Note this commentary from one of Jeremy’s satisfied clients, for whom Watearth provided operational analysis.

We sincerely appreciate the professionalism of you and your staff as we worked through the review process. This comprehensive report will serve as the instrument to continue to evaluate our processes, identify areas of improvement and implement necessary improvements along the way.

Les Davis
Texas Water Development Board

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Mark Alan Locke, PE, our Senior Water Resources Engineer, brings to the table a career spanning over four decades focused on operations and maintenance of large-scale infrastructure.

Leadership roles at federal agencies like the USDA and USACE equips Locke with a deep understanding of regulatory compliance and risk management. Experience in quality control of hydrologic and hydraulic models, as demonstrated in projects like the Caltrans Alameda ALA61 hydraulic design, Alameda County Flood Control District Zone 12 Drainage Master Plan and the Los Angeles County Public Works Adventure Park Regional Stormwater Management project will lend to the necessary technical and managerial expertise for Richmond's wastewater and stormwater systems.

Environmental Engineer Jacob Guise is a dedicated
environmental engineer with a multidisciplinary approach to water and environmental projects. Expertise in water quality modeling, GIS, and environmental report writing is crucial for planning and master planning applications. Work on projects such as the South Santa Rosa Specific Plan Area Wastewater and Stormwater evaluations and the City of San Pablo ESA Phase 1 and 2 demonstrates the ability to manage technical assessments and compliance with local, state, and federal guidelines, making Guise a valuable asset.

Alyssa R. Wilson, our proposed Environmental Planner brings specialized skills in GIS and sustainability, supporting environmental planning projects by facilitating project permitting and data interpretation. Experience in presenting GIS data and creating cohesive project exhibits ensures that the Richmond project will have clear and actionable visual data
representations. Work on projects like the Port of Corpus Christi Drainage Master Plan and the Los Angeles Bureau of Engineering Zoo Master Plan demonstrates the ability to handle large-scale planning and environmental impact assessments effectively.

Abigail Rolon, one of our Senior Economists, leads Arup’s economics offering in the Americas. She helps clients assess the social, economic, and environmental impacts of their
infrastructure projects, develops funding and financing plans for their execution and operation, and evaluates alternative delivery methods. Her clients include public sector agencies, non-governmental organizations, and infrastructure investment funds.

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Alfonso Mendez-Lossada, Senior Economist, has over 33 years of experience structuring financial transactions and leads Arup’s Transaction Advice Infrastructure Advisory offering, advising public sector clients on P3 project procurement, financial structuring, Value for Money and strategic P3 policy. He has led and structured a large number of project finance transactions for public and private sector clients (both brownfield and greenfield) with more than 60 projects requiring over $25bn in debt.

Team Synergy
The combination of Walker’s strategic leadership, Locke’s extensive regulatory and operational expertise, Liby’s project management acumen, Guise’s technical proficiency, Wilson’s GIS and data presentation skills, and Rolon and Mendez-Lossada’s public infrastructure program economics analysis expertise forms a well-rounded team capable of addressing the complex needs of Richmond’s wastewater and stormwater services. Their collective experience in managing significant projects with multiple stakeholders, ensuring regulatory compliance, and delivering sustainable solutions will be instrumental in conducting a thorough feasibility study and providing collaborative and actionable recommendations for the City of Richmond.

Watearth and Arup are partnered on several contracts for stormwater engineering and climate adaptation and financial planning for municipal agencies for clients like City of Oakland, Metropolitan Water District of Southern California, and City of Los Angeles.

Watearth was also recently a guest at the Climate Adaptation International Conference (January 2024) with Arup.

Resumes follow on subsequent pages.

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Jennifer J. Walker PE, DWRE, ENV SP, CFM, QSD, LEED AP BD+C Principal Environmental Engineer Walker is the embodiment and driving spirit behind Watearth’s commitment to delivering the TRUSTED™ Signature Project Delivery experience to clients like City of Richmond.

Walker, President of Watearth, Inc., has an earned reputation for bringing unique insights to projects and has delivered to municipal clients the sort of owner advocacy, impartiality, technical expertise, and risk management that City of Richmond needs to evaluate two decades of precedent service delivery. As a water resources engineer chiefly concerned with developing sustainable and resilient solutions, over 30 years of practice producing foundational environmental documentation and master plans, nuanced and complex hydraulic and hydrologic models, and civil designs grounded in solid science and reality have prepared Walker to
consult authoritatively and collaboratively with
the City. Walker is an expert in stormwater,
wastewater, water quality, flood control, green
infrastructure, hydrology and hydraulics, water
resources, and complex projects with multiple
stakeholders. For the sensitive matters of
litigation, Walker has been called upon time and time again as an expert witness.

From CIPs to extensive regional planning studies, Walker adopts an appropriate level of detail on projects, and will adapt Watearth’s efforts on this planning study to respond to Richmond’s objectives by working in tandem with the assigned Watearth project manager to establish a Project Management Plan that sets appropriate standards for the necessary degree of communication. By understanding projects at both ends of the spectrum, Walker has routinely proven an asset to project teams needing a nuanced approach that addresses upstream and downstream project concerns. In addition, Walker's presence on the project ensures critical questions can be answered with confidence.

Walker's resume includes highlight projects across our nation's geography.

Walker has consulted at a principal level for over a dozen years, with projects for major municipal clients in California and Texas carrying fees and construction costs over $22M. Walker navigates grant funding and regulatory policy deftly and will provide your project with the same on-budget and on-schedule success provided to clients like Los Angeles County, Texas Water Development Board, San Francisco Estuary Institute, Alameda County, and Caltrans.

Walker brings an exceptional
ability to present the 30,000-foot
view while staying attuned to the
detailed nuances of the project.

Mayor Parker
City of Houston
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Walker is looking to the future and developing solutions accordingly. As a result, Walker is ahead of the curve integrating climate change adaptation into projects and assessing cost-benefit.

Key Takeaway
Walker has 30 years of experience and is a rock-solid asset to municipal clients on politically and technically complex projects – both as an individual expert and as Watearth’s executive leader.

Education • MCE. Civil Engineering c. Water Resources. University of Houston. • BS. Civil Engineering c. Environmental and Water. Kansas State University. • Management Development for Entrepreneurs. UCLA Anderson School of Management.
• Building a High-Performing Business. Tuck Executive Education at Dartmouth.

Licenses & Certifications • PE. State of California. #C77079. • PE. Multiple other states.
• QSP/QSD. California Stormwater Quality Association. #21187. • ENV SP. Institute for Sustainable Infrastructure.
• DWRE. American Academy of Water Resource Engineers.
• CFM. Association of State Floodplain Managers (Texas Floodplain Management Association). #0848-05N.
• LEED AP BD+C. US Green Building Council. #11511130
• Permaculture Designer's Certificate. Sustainable Development and Water.

Permaculture Research Institute.

Representative Projects
Cal Poly San Luis Obispo Water Resources Master Plan (San Luis Obispo, CA):

Conducted technical studies for EIR, including Water Supply Assessment, Wastewater Feasibility, and Reclaimed Water Facility impacts. Evaluated treatment options. Analyzed water supply and demand, modeled distribution systems with conservation BMPs, and assessed wastewater flows. Evaluated 2035 development impacts on city infrastructure and facilitated stakeholder involvement.

San Rafael Site Design and Environmental Services for First-of-its-Kind Discharge Permit: Provided urban planning, parking analysis, and permitting for sanitary sewer discharge and treatment design for industrial client operating statewide in California. Conducted site design, including topographic surveying, landscape Overall Page 32
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design, and civil design coordination. Assisted with architecture, structural, and MEP peer reviews, and created marketing materials.

California Department of Veterans' Affairs (CalVet) Watershed Sanitary Survey Services/Rector Reservoir (Napa Valley, CA): Updated Rector Reservoir watershed sanitary survey with recent water quality data. Achieved client satisfaction and received no comments from reviewing agency.

City of Pleasanton Water Supply Assessment for EIR (Pleasanton, CA): Developed SB610 Water Supply Assessment for CEQA compliance in support of the Housing Element Update.

Texas Water Development Board (TWDB) Assessment of the Board’s Environmental Review Process and Procedures: Provided expertise in federal and state environmental regulations, process improvement, and records management for TWDB’s review process.

Texas Water Development Board (TWDB) Municipal Water Conservation Planning Tool: Led Beta Testing phase, coordinated stakeholders, and provided recommendations for TX-specific water conservation strategies and model development.

Killeen MS4 City Council Permit Recommendations: Guided city staff and council on stormwater quality codes meeting federal and state requirements.

Developed MS4 permit stormwater criteria and served as stormwater quality expert.

Los Angeles Bureau of Engineering (LABOE) Zoo Master Plan and Zoo Vision Plan EIR Hydrology and Water Quality Technical Studies (Los Angeles, CA): Prepared water resources sections for Los Angeles Zoo Master Plan, including stormwater, recycled water, and wastewater treatment evaluations. Conducted hydrology modeling and assessed water quality impacts to Los Angeles River.

Los Angeles County Metropolitan Transportation Authority (LACMTA) Water Conservation and Sustainability (Los Angeles, CA): Evaluated stormwater capture, bus/rail wash water treatment, and conservation strategies. Identified potential savings in water consumption and developed water conservation BMPs.

Alameda County Flood Control District (ACFCD) Zone 12 Drainage Master Plan Site Study (Oakland, CA): Provided hydrologic, hydraulic, and water quality services for Oakland’s drainage system. Analyzed urban drainage, recommended water quality projects, and developed engineering and costs.

California Statewide Phase II MS4/NPDES Tool: Developed statewide toolkit for evaluating stormwater permit compliance. Grant funded project.

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San Francisco Estuary Institute (SFEI) Bay Area Regional Green Infrastructure Tool and Green Plan-It Master Plan (Bay Area, CA): Provided technical support for GIS-based Green Infrastructure tool in Bay Area. Updated GI feasibility matrix and performed watershed-wide water quality modeling.

City of Santa Monica BMPs O&M Manual (Santa Monica, CA). Performed NPDES and MS4 Permitting for TMDL compliance. Developed O&M Plan for City BMPs ranging from permeable pavement and LID BMPs to manufactured BMPs.

Performed site reconnaissance of BMPs. Evaluated manufactured treatment systems and custom designed wet and dry weather stormwater treatment at SMURF facility, including filtering, ultraviolet disinfection, and other measures.

Included customized O&M fact sheets and inspection sheets for all BMPs maintained by the City of Santa Monica. Watearth's manual was ultimately the criteria used by the City to hire a maintenance contractor.

City of Kingwood Water and Wastewater Masterplan.

Greater Houston Partnership Wastewater Capacity Feasibility Study.

Brownsville Public Utilities Board Wastewater Sludge Disposal Feasibility Study.

Los Angeles Sanitation Haynes Park.

LABOE Venice Auxiliary Wastewater Pumping Plan Hydrology and Hydraulics Analysis.

University of Houston Conservation and LID/Landscape Master Plan: Developed landscape-based water conservation and stormwater BMP Master Plan for campus. Integrated Green Infrastructure, greywater, and alternative water sources for irrigation.

Springwoods Village 1,200-Acre Master Plan Water Resources Design Guidelines:

Recommended water, wastewater, and water conservation guidelines for a 1,200-acre community. Developed criteria for sustainable water management practices.

Monterey Bay Charter School Alternative Water Supply Evaluation and Design (Pacific Grove, CA): Evaluated and designed greywater, rainwater, and condensate systems. Conducted water balance modeling, prepared technical reports, and assisted with permitting and construction services.

Greywater System Sizing and Design: Estimated interior water demands and greywater generation from sinks, showers, and laundry. Designed irrigation systems for various plant types and efficiency levels across California. Prioritized water conservation through fixtures, efficient irrigation, and greywater reuse.

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Water Distribution System Modeling and Master Plan for The Woodlands:

Developed water and wastewater Master Plan. Conducted ongoing water distribution system modeling based on land use and population projections.

Created GIS database and modeled demand and fire flow. Sized system components including wells, pumps, and storage tanks.

Cinco Ranch Water Distribution and Wastewater System Modeling and Master Plan: Developed and maintained water distribution system modeling. Analyzed water demands and conducted fire flow modeling. Optimized system layout and sized components including wells, pumps, and storage tanks. Included interconnections with neighboring systems.

City of Buena Park Orangethorpe Intersection Storm Drain CIP/LID to Solve Flooding (Buena Park, CA). The purpose of the project was to perform alternatives analysis, design, and construction-phase services to alleviate flooding near the Orangethorpe and Stanton intersection. The work plan for the project was to address street flooding, design cost-effective storm drain improvements, and provide project alternatives. Modeled existing and proposed hydrologic conditions using 2D Innovyze XPSWMM. The second phase was to design the stormwater drainage system, including using Low Impact Development (LID). Included Water Quality Management Plan (WQMP), Operations and Maintenance Plan (O&M) and an Erosion and Sediment Control Plan (ESCP). Prepared 75% drawings for new storm drain and LID features.

City of Houston Water Conservation Plan and Raw Water GIS and Model Development. Compiled and analyzed raw water customer data for municipal systems as large as 500K accounts and residential populations of 3M. Developed GIS database for raw water customers, raw water canals, pump stations, and key water supply facilities. Determined available water allocation. Performed field verification of raw water delivery points. Developed modeling information for hydraulic model of raw water system. Developed Water Conservation Plan.

Analyzed existing utility data. Evaluated conservation BMPs for implementation cost-benefit. Included green-house gas components. Developed water conservation model. Worked with focus group convened by Mayor. Developed Drought Response Plan.

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Jeremy Liby
Project Manager
Liby is a talented environmental
planner and project manager with
over 12 years of experience in data
collection and analysis, Geographic
Information Systems, and
coordination with municipal clients.

Over the last 4 years, Liby has
become one of Watearth’s star
project managers, with an acute understanding of our project management process which results in high marks for client satisfaction on metrics that matter, including consistency and desire to work with Jeremy again.

Liby supports Watearth projects by interpreting complex datasets and translating it into clear and descriptive reports and exhibits that follow Watearth’s reader-friendlydocumentation process. Utilizing hands-on field experiences combined with an extensive spatial analysis and data collection background makes Liby a key team member and support resource for Watearth projects.

Key Takeaway
As a project manager, Liby is among Watearth’s strongest contenders. Liby is fully committed to creating an integrated and collaborative environment to facilitate decision making on this sensitive project for the City of Richmond.

Education • BS. Geology. University of Colorado.

Licenses & Certifications • GIS Certificate. University of Denver.

Representative Projects
City of Pleasanton Water Supply Assessment for EIR (Pleasanton, CA): Developed SB610 Water Supply Assessment for CEQA compliance in support of the Housing Element Update.

Caltrans District 4 Caltrans Task Order 19, ALA61 Between Davis Street and Encinal Avenue (Alameda, CA): Conducted GIS-intensive hydrologic and hydraulic assessment for State Route 61 improvement project. Developed drainage plans for project phases.

I have really enjoyed the great diversity in
projects this career provides. It feels good
knowing I am making a positive difference in the
world. Whether it is pointing out environmentally
significant items or improving a drainage system
for a town, the impact is important for society.

Jeremy Liby
Watearth
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California Department of Veterans' Affairs (CalVet) Watershed Sanitary Survey Services/Rector Reservoir (Napa Valley, CA): Conducted watershed sanitary survey and updated report with recent water quality data. Achieved client satisfaction and no comments from reviewing agency.

Napa 5-Way Intersection Improvements Project: Provided drainage analysis, Caltrans Initial Site Assessment, water quality technical study, and Short Form Stormwater Data Report.

Texas Water Development Board (TWDB) Assessment of the Board’s Environmental Review Process and Procedures: Provided expertise in federal and state environmental regulations, process improvement, and records management for TWDB’s review process.

City of Hemet Water Distribution System Analysis (Hemet, CA): Conducted analysis of water distribution system. Evaluated existing systems, performed flow testing, and developed GIS maps.

City of Redlands Country Club Drainage Study (Redlands, CA). Provided an analysis of the Redlands Country Club Golf Course and contributing watershed for flood risk and identifying potential mitigation measures. Used aerial imagery and topographic data to accurately delineate drainage areas within the contributing watershed. These drainage areas were input into HEC-HMS modeling software along with calculated hydrologic parameters to determine peak flows and flow volume within each drainage area. The flow determined in modeling is the flow that travels from each drainage area into the golf course at several discharge points. Flood mitigation measures were developed to reduce peak flows and flow volume at each discharge point with the goal of reducing flooding and erosion/sedimentation within the golf course. Provided expertise in hydrology and hydraulics, spatial analysis, modeling, and design to successfully execute this project.

Los Angeles County Public Works (LACPW) Rubio Wash Hydrology and 1D/2D Hydraulics Drainage Study for Stormwater Infrastructure Improvement Master Plan (Los Angeles, CA): Conducted hydrology and hydraulics study for Rubio Wash drainage improvement. Included GIS inventory and MODRAT hydrology.

Los Angeles County Public Works (LACPW) Adventure Park Runoff and Stormwater Capture Regional Water Quality Project (Los Angeles County, CA):

Managed Caltrans-funded stormwater quality project. Designed civil features, conducted environmental assessments, and managed permits. Included LID design and stakeholder outreach.

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Mark Alan Locke PE
Senior Water Resources Engineer
Locke is a senior engineer with a
career spanning more than four
decades. The bulk of Locke’s career
has been working with and for
federal agencies, such as USDA and
USACE. From 2012 to 2019, Locke
was engaged with the Army Corps
as a Safety Program Manager, a
Deputy Director and Chief, and a
Director at the Southwestern Division.

Locke provides seasoned oversight of Operations & Maintenance (O&M), focusing on large scale infrastructure.

Watearth proposes Locke to City of Richmond as an operations manager with an acute understanding of cost estimating and the risks that occur when operational responsibilities transition from one team to another. Locke is expert in identifying potentials for communication and process breakdowns that result in infrastructure setbacks.

Locke approaches projects as an engineer and a professional considering all needs and workable solutions. Locke has worked on various projects, from exceedingly small farms projects to large government projects. Experience working on such a range of projects has allowed Locke to recognize there is not only one solution for a project and has helped Locke develop the skills to make meaningful recommendations to municipal clients.

Key Takeaway
Locke’s four decades of experience includes work on all phases of projects, resulting in a collaborative approach to risk management.

Education • BS. Agricultural Engineering. Kansas State University. • Graduate Course. Structure and Slope Stability. Kansas State University.

Licenses & Certifications • PE. State of Kansas. #9758.

Representative Experience
Alameda County Flood Control District (ACFCD) Zone 12 Drainage Master Plan Site Study (Oakland, CA): Provided hydrologic, hydraulic, and environmental I saw engineering as an opportunity to take my
individual skills to use for the betterment of
individuals, the environment, and society as a
whole. There is nothing better than helping to
solve an individual’s problem, saving a
community from flooding, or creating a solution
to help sustain the environment.

Mark Alan Locke PE
Watearth
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services for Oakland’s Zone 12 Drainage Master Plan, encompassing Lake Merritt. Analyzed urban drainage systems, identified water quality projects, and recommended alternatives, including cost estimates and preliminary designs.

Los Angeles Bureau of Engineering (LABOE) Zoo Vision Plan EIR Hydrology and Water Quality Technical Studies (Los Angeles, CA): Prepared water resources and sustainability sections for the Zoo’s Vision Plan EIR, addressing steep slopes, landslides, and water quality impacts on the Los Angeles River. Conducted SWMM modeling and evaluated treatment options for animal exhibits.

Los Angeles County Public Works (LACPW) Rubio Wash Hydrology and 1D/2D Hydraulics Drainage Study (Los Angeles, CA): Provided hydrology and hydraulics for Rubio Wash drainage study, crucial for LA’s flood control system.

Utilized GIS for storm drain inventory and XPSWMM for modeling at various storm levels.

Los Angeles County Public Works (LACPW) Adventure Park Runoff and Stormwater Capture Regional Water Quality Project (Los Angeles County, CA):

Managed Caltrans-funded stormwater quality project, diverting San Gabriel River watershed flows to underground capture. Designed LID features, secured permits, and developed WQMP and O&M Plans.

Caltrans District 4 Caltrans Task Order 19, ALA61 (Alameda, CA): Conducted GIS-intensive drainage assessment for SR 61 improvements in Alameda County.

Assessed existing drainage compliance and developed preliminary plans for CAPM project phases.

Big Beau (Tropico) Solar Water Supply Assessment and Water Rights for CEQA (Kern County, CA): Assessed water supply and quality for solar project, recommended drainage and mitigation measures. Researched water rights and secured preliminary environmental permits.

City of Citrus Heights O&M Updates and Staff Training (Citrus Heights, CA):

Provided city staff O&M training, updated documents, and developed educational materials.

USACE Civil and Stream Restoration/Channel Improvements Planning (Los Angeles, CA): Participated in Santiago Creek flood control channel VE workshop, proposing cost-saving ideas and improvements for flood risk reduction.

USDA-NRCS National Design Engineer: Led design and review of agency's largest structures. Developed policies, coordinated A&E contracts, and managed ARRA implementation. Served on national dam safety boards and updated NRCSID.

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Jacob Guise
Environmental Engineer
Guise is a dedicated and talented Environmental Engineer with experience in water quality modeling, geographic information systems, and environmental report writing. Guise brings a multidisciplinary approach to water and environmental projects, having watershed and water resource modeling and technical expertise for planning and master planning applications. As a staff engineer, Guise has assessed compliance for chemical and thermal discharges from changes in water quality standards while following local, state, and federal guidelines.

Key Takeaway
Guise is a water resources engineer with experience in water resources management and municipal project planning.

Education • BS. Environmental Engineering c. Biological and Chemical Processes.

University of Delaware.

Representative Projects
Napa 5-Way Intersection Improvements Project: Provided drainage analysis, Caltrans Initial Site Assessment, water quality technical study, and Short Form Stormwater Data Report.

City of Santa Rosa South Santa Rosa Specific Plan Infrastructure Plan (Santa Rosa, CA). Evaluation of existing and proposed water and wastewater systems. Site reconnaissance, technical memorandums, watershed maps, hydrology calculations, stormwater management, flood mitigation, and conceptual improvements for future growth.

City of San Pablo Phase 1 and 2 ESA (San Pablo, CA). Developed Phase 1 and 2 ESA, evaluating contaminated sites and historical data. Created health and safety plan, performed site reconnaissance, and produced GIS exhibits. Utilized EDR report for historical data and completed draft and final ESAs.

Oil Spill and Drill Cuttings Deposition Modeling. Supported global oil spill and drill cuttings deposition projects. Created control files, executed model runs, analyzed results, and wrote environmental impact assessments for over 30 projects worldwide, including locations in Africa, Montenegro, Southeast Asia, and the Gulf of Mexico.

Chemical and Thermal Discharge Modeling. Assessed compliance of chemical and thermal discharges with local, state, and federal guidelines.

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Alyssa R. Wilson
Environmental Planner
Wilson is a talented Environmental
Planner with experience in GIS and
sustainability. Wilson has assisted
on many of Watearth’s
environmental planning projects
and is a crucial support asset on
project teams. Wilson supports
many Watearth projects by
facilitating project permitting and interpreting data for reporting purposes. As a specialist in GIS, Wilson produces straightforward, descriptive exhibits that follow Watearth’s documentation process. These exhibits introduce a level of cohesion and communication within our team, facilitating our efforts to meet or beat accelerated schedules.

Wilson focuses on presenting GIS maps as a tool for practical, big-picture thinking. Wilson is exceptionally skilled in presenting fieldwork data in GIS maps creating helpful graphics and maps to help build understanding about an area.

While at Watearth, Wilson has created GIS graphics for proposals and projects presenting various data, ranging from hydrology and general data to calculating hydrological parameters and delineating drainage areas.

Additionally, Wilson has experience organizing GIS data in Excel spreadsheets and converting attribute table data in GIS shapefiles to spreadsheets.

Key Takeaway
Wilson is a specialist in GIS and data management with experience facilitating project permitting and large-scale planning.

Education • BS. Energy and Environmental Policy (m. Geography/GIS, m. Wildlife Ecology and Conservation). University of Delaware.
• Study Abroad. The GREEN Program Short Term Study Abroad in Sustainability and Renewable Energy. Reykjavik University.

Representative Projects
San Rafael Site Design and Environmental Services for First-of-its-Kind Discharge Permit: Provided urban planning, parking analysis, and permitting for sanitary sewer discharge and treatment design for industrial client operating statewide in California. Conducted site design, including topographic surveying, landscape I like making a difference in local communities
and having clean water and an available water
source is a crucial issue. In addition, I have
always enjoyed geography and the water, so it
has been great to combine my interests into a
rewarding career.

Alyssa R. Wilson
Watearth
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design, and civil design coordination. Assisted with architecture, structural, and MEP peer reviews, and created marketing materials.

California Department of Veterans' Affairs (CalVet) Watershed Sanitary Survey Services/Rector Reservoir (Napa Valley, CA). Updated watershed sanitary survey for Rector Reservoir, Napa County. Reported recent water quality data and field observations. Achieved client satisfaction and received no comments from reviewing agency.

Texas Water Development Board (TWDB) Assessment of Environmental Review Process. Expertise in federal and state environmental regulations, TWDB’s environmental review process, Root Cause analysis, and records management.

Improved process efficiency and compliance.

Los Angeles Bureau of Engineering (LABOE) Zoo Master Plan and Zoo Vision Plan EIR Hydrology and Water Quality Technical Studies (Los Angeles, CA). Prepared water resources and sustainability sections of Master Plan and EIR for Los Angeles Zoo, addressing steep slope and erosion issues. Designed treatment filtering exhibits and assessed water demands and conservation measures, including recycled water use. Evaluated water quality impacts and treatment options for animal exhibit and wastewater systems.

Port of Corpus Christi Authority (PCCA) Drainage Master Plan. Developed Stormwater Master Plan for Inner Harbor and Rincon areas, integrating Green Infrastructure with gray infrastructure. Provided technical input and peer review for GIS-based Green Infrastructure tool. Recommended Bioretention, Vegetated Swales, and Stormwater Wetlands to enhance water quality. Conducted geotechnical sampling and PCSWMM modeling for hydrology, hydraulics, and water quality.

Los Angeles County Public Works (LACPW) Rubio Wash Hydrology and 1D/2D Hydraulics Drainage Study for Stormwater Infrastructure Improvement Master Plan (Los Angeles, CA). Conducted hydrology and 1D/2D hydraulics study for Rubio Wash subwatershed. Addressed flood control deficiencies with GIS inventory and modeling. Designed stormwater management solutions for watershed and channel.

City of Hemet Water Distribution System Analysis (Hemet, CA). Conducted water distribution analysis, flow testing, and deficiency correction. Developed GIS maps and technical reports for system improvements.

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Abigail Rolon
Abigail brings 18 years of international experience in
economic and financial evaluations of infrastructure projects in multiple sectors.

Abigail Rolon leads the economics offering in the Americas. She helps clients assess the social, economic, and environmental impacts of their infrastructure projects, develops funding and financing plans for their execution and operation, and evaluates alternative delivery methods. Her clients include public sector agencies, non-governmental organizations, and infrastructure investment funds.

Project experience
Biosolids P3 Feasibility Study, San Jose, CA
Arup was engaged by the City of San José (City) to assess the viability of a P3 procurement for a facility that processes biosolids into a commercial product, such as a fertilizer, at the San Jose-Santa Clara Regional Wastewater Facility (RWF). Arup’s analytical framework for the study consisted of conducting workshops with City staff to determine the City’s project and procurement objectives, the City’s project technical requirements, and the City’s desired project risk transfer. Subsequently, Arup performed a market sounding through a Request for Information and one-on-one meetings with potential project participants to understand the market’s interest in delivering the project as envisioned by the City. Based on the market findings and Arup’s own knowledge of and experience with P3 projects, Arup developed a financial analysis to assess the potential commercial feasibility and costs to the City using proxy P3 facilities. Finally, Arup provided recommendations on the potential procurement structure. Abigail was the Project Manager responsible for leading a multidisciplinary team.

BART Automated Parking System Feasibility Analysis- Dublin Pleasanton Station- P3 Feasibility Study, Dublin and Pleasanton, CA To minimize the footprint of parking and increase its supply at the BART Dublin Pleasanton Station, where for many years the demand has exceeded the supply, Arup developed a financial feasibility analysis of implementing a fully automated parking garage. Abigail was the project manager for the study, which included assessing different technologies and costs, revenue potential, parking fees, and different procurement methods.

Presidio Parkway (Doyle Drive), San Francisco, CA
Arup is the lead technical and financial advisor to the San Francisco County Transportation Authority (SFCTA) assisting the client with the procurement of a private partner to design, build, finance, operate, and maintain a replacement facility for Doyle Drive. Abigail worked with the travel demand modelers and developed the methodology to assess the benefits related to the avoided negative consequences of having the Presidio Parkway unavailable plus other benefits achieved by enhancements on the new facility. Among the benefits quantified were increases in travel times of travelers crossing the Profession
Economics
Current position
Associate Principal
Joined Arup
2010
Years of experience

18.0 Qualifications
MS, Urban Planning, University
of California Los Angeles
(UCLA), 2005
Bachelors in Economics Centre of
Economic Research (CIDE),
Mexico City, Mexico, 1998
Certificate in Public-Private
Partnerships, Institute for PublicPrivate Partnerships, Ongoing Certificate in Benefit-Cost
Analysis, Center of Project
Evaluation and Special Studies
(CEPEP), Mexico City, Mexico,
2002
Availability
20%
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viaducts due to rerouting and increases in travel times of non-users of the viaducts affected by additional congestion, caused by rerouting former users of the viaducts.

Los Angeles Convention Center Expansion Delivery Options Analysis Abigail was the project manager for the Los Angeles Convention Center expansion feasibility analysis. The purpose of the study was to assess the viability to fund the expansion using alternative funding sources such as real estate, naming rights, tax increment, and an alternative procurement model such as a public-private – partnership. The analysis included a real estate market assessment of the vicinity of the project, identification of operational improvements to reduce the deficit, and a financial modelling exercise to assess the City’s annual payments of using alternative procurements.

Long Beach Courthouse P3, Lender’s Technical Due Diligence, Long Beach, CA, Project Manager for the lenders’ technical due diligence for the new Long Beach Courthouse to be delivered under a Design-build- finance- maintain- and operate (DBFOM) scheme ($400m Facility).

The work involved revision of the concession, design-builder, and facility manager contracts, preparation of the technical and financial analysis of the courthouse, and management of a diverse team of technical experts to produce the Due Diligence Report. Abigail was key in negotiating the security package on behalf of the Lenders.

San Francisco Climate Action Plan Funding and Financing Strategies, San Francisco, CA Led the identification and assessment of funding and financing mechanism for the short- and mediumterm implementation of the City’s CAP. The San Francisco Climate Action Plan (CAP) calls for goals, strategies, and actions across six sectors to reach zero net greenhouse gas emissions by 2050. To achieve this, funding sources need to be secured in a timely manner. The study looked at a comprehensive list of funding mechanisms including federal and state grants, user fees, sales taxes, parking fees, property taxes, congestion pricing, and the creation of a carbon tax, among others..

Benefit Cost Analysis of California High Speed Rail, CA The State of California is planning to undertake a multibillion-dollar investment to connect by rail Southern and Northern California. Abigail worked closely with the travel demand modelers to identify and quantify the economic benefits of undertaking the California High Speed Rail. This task involved identifying and assessing benefits to both intercity and urban high-speed train passengers (net of fares paid); reduction of airside delay for air passengers; reduction in aircraft operating costs; reduction of highway delay for both intercity and urban auto trips; and reduction of accident and air pollution costs from intercity and urban auto trips.

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Alfonso Mendez-Lossada
Alfonso has extensive experience advising clients on
structuring complex financial transactions for infrastructure and project financing, finding innovative solutions and leading collaborative, results-oriented and inter-disciplinary teams.

Alfonso Mendez has over 33 years of experience structuring financial transactions and leads Arup’s Transaction Advice Infrastructure Advisory offering, advising public sector clients on P3 project procurement, financial structuring, Value for Money and strategic P3 policy. He has led and structured a large number of project finance transactions for public and private sector clients (both brownfield and greenfield) with more than 60 projects requiring over $25bn in debt. He has closed numerous transactions including the creation of new assets class in the international financial markets. Alfonso’s extensive experience in project finance and structured finance is focused on infrastructure, P3s, and concessions for public and private sector clients. He specializes in the structuring, marketing, and execution of structured projects and financial transactions with economic, accounting, tax or regulatory emphasis. He leads teams in profitable business units focused in financial advisory and investment banking services. He specializes in deal advisory and financial analysis for public and private infrastructure procurement and development.

Project experience
Biosolids P3 Feasibility Study, San Jose, CA
Arup was engaged by The City of San José (City) to assess the viability of a P3 procurement for a facility that processes biosolids into a commercial product, such as a fertilizer, at the San Jose-Santa Clara Regional Wastewater Facility (RWF). Arup’s analytical framework for the study consisted of conducting workshops with City staff to determine the City’s project and procurement objectives, the City’s project technical requirements, and the City’s desired project risk transfer. Subsequently, Arup performed a market sounding through a Request for Information and one-onone meetings with potential project participants to understand the market’s interest in delivering the project as envisioned by the City. Based on the market findings and Arup’s own knowledge of and experience with P3 projects, Arup developed a financial analysis to assess the potential commercial feasibility and costs to the City using proxy P3 facilities. Finally, Arup provided recommendations on the potential procurement structure.

Alfonso was the Project Director overseeing the quality of deliverables.

Potrero Bus Yard Modernization Project, San Francisco, CA Lead Financial Advisor, advising the City of San Francisco in the evaluation and procurement of the rebuild and expansion of the Potrero Yard project to serve the San Francisco Municipal Transportation Agency Muni fleet as it transitions to battery electric vehicles. This project includes joint development with the inclusion of affordable housing. .Alfonso is currently the leading the Financial workstream, providing financial, commercial, and structuring advice.

Profession
Finance
Current position
Associate Principal
Joined Arup
2016
Years of experience
33 Qualifications
MBA, Finance, Instituto de
Estudios Superiores de
Administracion (IESA), Caracas,
Venezuela
BS, Electronic Engineering
(Hons), Universidad Simon
Bolivar (USB), Caracas,
Venezuela
Availability
10%
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San Jose Airport Connector, San Jose, CA
Acting as Lead Procurement and Financial Advisor to City of San José Department of Transportation to develop a new approach to transit that can be designed and built faster, at a lower cost, and that offers a better rider experience than traditional transit systems. The first step is a proposed connector between Mineta San José International Airport and Diridon Station in the west end of San José’s Downtown. Arup is now involved in the first predevelopment phase, ultimately working towards a long-term revenue risk DBFOM agreement.

Long Beach Civic Center, Long Beach, CA
Lead Financial Advisor to the City of Long Beach for this social infrastructure P3 project. Arup was responsible for leading the client through the procurement of a private partner to develop, DBFOM a new city hall, main library, city park, and Port headquarters including a mixed-use real estate development that cross subsidized the project.

Los Angeles Convention Center, City of Los Angeles, CA
Lead Financial Advisor, assessed for the alternative P3 procurement for an expansion project for the City’s Convention Center, fostering a development impact on the downtown neighborhood. Arup was hired to evaluate financing and delivery options for a $750m project to modernize and expand the Los Angeles Convention Center. Built in 1971 and expanded in 1993, the Los Angeles Convention Center is one of the City’s largest capital investments and continued return on investment is critical for the city’s economic future. Arup provided financial modeling, financing alternatives assessment, commercial evaluation, economic impact analysis, and real estate analysis services.

Los Angeles Street Civic Building, Los Angeles, CA
Lead Financial Advisor, acting as the lead procurement and financial advisor to the Los Angeles Bureau of Engineering for this social infrastructure P3 project under a DBFOM structure. The project entails a high-rise office building of 753,730 gross square feet with up to 1,173 parking spaces in a subterranean garage with a maximum envelop height of 450 feet. The project will include office and commercial spaces, a museum, and a childcare facility.

Independent Advisor, San Francisco, CA
Investment & Corporate Banking / Strategic Business Planning Consultant performing financial advisory services and investment banking activities primarily for several private sector companies as well as for other financial institutions in Latin America. Advised two Brazilian construction companies in structuring, raising and closing financing for two large infrastructure projects in Peru.

Puerto Rico P3 Guidelines, San Juan, Puerto Rico
Lead Financial Advisor to the Puerto Rico Public-Private Partnerships Authority (PPPA) in the development of a set of guidelines and procedures to complete the current regulatory framework for the procurement of P3s. Arup provided advisory service to the PPPA and helped them draft guidelines of several items that shall optimize efficiency of the P3 procurement, including preliminary development agreements, unsolicited proposals, and preliminary feasibility studies. These policies will enable the Authority to attract significant private investment into Puerto Rico’s infrastructure projects.

P3 Procurement Policy Development, Lima, Peru
Lead Financial Advisor, advised the World Bank and the Ministry of Economy and Finance of Peru in the improvement of the P3 project evaluation processes and the development of a P3 procurement policy for Peru. Arup’s scope included reviewing recent P3 procurement processes and developing policy guidelines (a Green Book), such as project evaluation gateways, standard approach to risk allocation, financial structuring, and procurement guidelines for P3 projects in Peru.

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E. Qualifications
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Qualifications of the Firm and Staff
Watearth has been providing stormwater and wastewater consulting since 2008 to municipal and city government clients who have unique needs with respect to their organizational planning and stakeholders. Namely, unlike certain private sector clients, City government teams, City of Richmond included, are uniquely underfunded and understaffed, resulting in a heightened need for consultants who address project management and the associated communication as the central pillar of project execution. Further, City constituents (residents and businesses) demand a certain level of reliable service and are a distinct stakeholder group. As Watearth has done for dozens of City clients before, we will merge our team and our expertise with Richmond to develop integrated solutions that consider all of the risks associated to either maintaining the status quo service arrangement or selecting an alternative.

As an unaffiliated and independent firm, but experienced with municipal planning and specifically with water, wastewater, and stormwater projects, Watearth is uniquely positioned to help the City of Richmond provide for the wellbeing of constituents (and save City staff project management pains).

Watearth is joined by long-time partners at Arup. Their economists specialize in advising public entities regarding infrastructure programs. Arup is a global multidisciplinary firm of advisors, economists, planners, engineers, and designers offering a broad range of professional services that combine to make a real difference to our clients and their projects. A wholly independent, trust-owned company, Arup holds a reputation in the industry as a leader in sustainable and resilient infrastructure.

Water and Wastewater
The successful design, development, and maintenance of water infrastructure requires the integration of many disciplines. The Watearth team has wideranging skills spanning advisory and specialist technical services, including for the sensitive matter of litigation, deposition, and expert witness work, and also on projects that are politically sensitive projects involving water rights, regulatory overreach, and Mayor-appointed task forces. We apply this expertise on every kind of project, from flood risk management and water resource planning to water engineering, treatment, design, wastewater, and river engineering.

Experience delivering infrastructure projects from feasibility through construction and operations enables our team to draw from local, national, and international best practices. We use the best and brightest amongst a global network of experienced practitioners to deliver our projects, and water infrastructure advisory is no exception.

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Economic Advisory and Client Advocacy
For clients of all sizes, developing a robust business case and establishing new models of funding and delivery makes the difference between hopeful ambitions and deliverable realities. Having strong supporting evidence and a clear purpose enables projects to maintain consensus and withstand political and economic change. We act as economic planning consultants to many clients worldwide, helping leaders to align deep planning insights to local needs and longer-term social and economic goals.

The Watearth team helps clients understand the economic potential or impact of proposals or policies, developing strategic responses, comprehensive solutions, and area plans across the infrastructure environment. Our economic planning team works in collaboration with client leadership, funders, and community leaders to develop a collective vision backed by practical, investable plans. We support clients to revitalize districts, develop innovation hubs, attract green finance, and protect and revitalize infrastructure.

Don’t let this project create problems for Richmond – any disruption to 20 years of precedent is going to be a challenge. Select the Watearth team, and we will take a long, hard look at the numbers, and tie them back to the costs of running a government that is concerned with planning, feasibility, design, construction, operations and maintenance, and environmental compliance. The Watearth team understands all these discipline areas because we operate in them daily.

Arup’s full suite of advisory services span the entire project lifecycle, from planning to feasibility and business case assessments, to procurement strategy development, procurement process, bid evaluation, financial close and beyond into operations. As a trusted advisor, Arup regularly advises in this capacity. 15 Years of Wastewater and Stormwater Excellence
An extremely abridged history of Watearth’s stormwater and wastewater expertise.

Three references are included on subsequent pages, as flagged in the chart. 2008
Houston
Stormwater
Master Plan
2013-2018
Water Board
Studies incl.

Conservation
2014
Killeen City
Council Recs.
2019
Cal Poly
W/WW
Master Plan
(Reference)
2023
CalVet
Watershed
Sanitary
Survey
(Reference)
2023
Water
Board
Review of
Operations
(Reference)
2024
San Rafael
W/WW
Treatment
2024
Santa Rosa
W/WW
Specific
Plan
Analysis

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Projects
Cal Poly San Luis Obispo Water Resources Study Enhances Master Plan! Technical Studies for EIR, Water Supply Assessment, Wastewater Feasibility, and Reclaimed Water Facility Impacts Evaluation
Location: San Luis Obispo, CA
Watearth conducted comprehensive water supply and wastewater technical studies for Cal Poly San Luis Obispo. Our team prepared a Water Supply Assessment to support the Environmental Impact Report (EIR), performed detailed water supply and demand analyses, and developed water supply mitigation strategies. We modeled the water distribution system, integrating conservation Best Management Practices (BMPs) and alternative supply sources, and developed dry and wet weather wastewater flows. Additionally, we executed a mass balance study for the wastewater reclamation facility, evaluated the impacts of 2035 development on the city's wastewater collection system, water distribution system, and treatment capacity. Utilizing WaterCAD and SewerCAD modeling, we facilitated extensive stakeholder involvement, including Cal Poly departments, the City, and the public.

Reference: Dennis K. Elliot; Interim Associate
Vice President of Facilities Management and
Development; Cal Poly San Luis Obispo; 1
Grand Ave, Building 70 Room 117, San Luis
Obispo, CA 93407; 805-756-2090;
[email protected]
Contract Amount: $140K.

Dates: June 2018 to September 2019
Proposed staff involved and role: Jennifer J.

Walker PE (responsible for quality and
project management), Alyssa Wilson
(responsible for data inventory and analysis).

Last Five Years: Yes

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Large-Scale Grant-Funded Stormwater Treatment Project, Primed by Watearth with Multiple Subconsultants
This Caltrans-funded project diverted
flows from the San Gabriel River
Watershed into a 19.5-acre-foot
underground stormwater capture
facility. Untreated discharges were
sent to the sanitary sewer, with
overflows treated on-site before
release into Sorensen Drain – a
capacity analysis was performed.

Watearth managed subconsultants,
provided planning engineering,
project management, civil design, and environmental documentation. Key activities included PS&E preparation, groundwater and water quality sampling, geotechnical studies, and developing groundwater treatment processes. We ensured compliance with local, state, and federal requirements, securing $15M in Caltrans and Safe Clean Water program grants. Our proactive efforts maintained project momentum and community benefits.

Reference: Louis Romero; Capital Projects Management Associate; Los Angeles County Public Works; 900 S. Fremont Avenue Alhambra, CA 91803; (626) 300-3221; [email protected]
Contract Amount: $4M.

Dates: March 2019 to Ongoing
Proposed staff involved and role: Jennifer J. Walker PE (responsible for quality and project management), Mark Locke PE (specifications and design), Alyssa Wilson (responsible for data inventory and analysis).

Innovative Urban Planning and Treatment Services in Palm Springs Location: Palm Springs, CA
For the 340 W San Rafael industrial; project, Watearth
provided urban planning and environmental services.

Our team conducted a parking analysis, managed
permitting related to sanitary sewer discharge, and
executed site design and vertical integration. We
provided Phase I Environmental Site Assessment (ESA)
and site topographic surveying. Our civil design work
included utility coordination, grading plans from 60% to 100%, and peer review of architectural, structural, and

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E. Qualifications
Wastewater and Stormwater Delivery Study
© Watearth, Inc. 2024. Do Not Copy.

MEP disciplines. Additionally, we delivered landscape design with a curated plant palette and graphic design services for marketing materials.

Contract Amount: $123K
Dates: December 2020 to Ongoing
Proposed staff involved and role: Jennifer J. Walker PE (treatment process design, site design, permitting), Mark Alan Locke PE (quality review) Last Five Years: Yes
CalVet Watershed Sanitary Survey Yields Positive Results: “It has been painless.” Location: Napa Valley, CA
Watearth performed a watershed sanitary
survey for the Rector Reservoir in Napa
County, updating the previous report with
recent water quality measurements and
field observations. Our client expressed
high satisfaction with our services, and the
reviewing agency approved our work
with no comments.

Reference: Le’Juan Bean; Contract Analyst; CalVet Office of Procurement and Contracts; 1227 O Street, 1st Floor, Sacramento, CA. 95814; 916.651.3044; [email protected]
Contract Amount: $31K.

Dates: January 2023 to July 2023
Proposed staff involved and role: Jennifer J. Walker PE (quality review), Jeremy Liby (project manager and technical writing), Alyssa Wilson (geographic information systems)
Last Five Years: Yes
Infrastructure Plan for Santa Rosa Drives Future Water and Wastewater Growth A Comprehensive Evaluation and Planning for Water and Wastewater Systems Location: Santa Rosa, CA
Watearth supported the City of Santa Rosa in developing a 1900-acre infrastructure plan. The project included site reconnaissance, technical evaluations of current water and wastewater systems, and development of watershed maps and hydrology calculations. The plan integrated a "One Water" approach, focusing on groundwater recharge, flood mitigation, and Congratulations on such a quick
response from State Water. That is rather
unusual. Thank you for your efforts on this
project. It has been painless on our end.

We appreciate your organization and
due diligence in completing this project.

Don Callison
CalVet

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E. Qualifications
Wastewater and Stormwater Delivery Study

© Watearth, Inc. 2024. Do Not Copy.
recreational benefits. Our recommendations are guiding future growth and infrastructure improvements.

Contract Amount: $150K
Dates: June 2024 to Ongoing
Proposed staff involved and role: Jennifer J. Walker PE (quality review), Jeremy Liby (project manager and technical writing), Alyssa Wilson (geographic information systems), Jacob Guise (water/wastewater project engineering)
Last Five Years: Yes
City Water Supply Assessment – The Art of Simplicity
Location: Pleasanton, CA
Watearth developed a Senate Bill 610 Water Supply Assessment (WSA) to support the City of Pleasanton's Housing Element Update in compliance with the California Environmental Quality Act (CEQA). This assessment was crucial in ensuring the city’s plans met state regulatory requirements.

Contract Amount: $30K
Dates: April 2021 to December 2022
Proposed staff involved and role: Jennifer J. Walker PE (quality review and water supply analysis)
Last Five Years: Yes
Water Board Operational Assessment: From Proposed Project Manager Jeremy Liby!
Watearth provided an in-depth assessment of the Texas Water Development Board’s (TWDB) environmental review process and procedures. Our expertise in federal and state environmental regulations, process mapping, process improvement, and records management helped TWDB enhance its review process through a comprehensive Root Cause analysis.

The team is incredibly impressed with the level of detail and thought put into the report. […] this review has already been the basis for me to initiate the internal review of the environmental process to streamline it and get us on a better, more efficient track. You have been incredibly patient and persistent, and I’m so grateful for the chance to work with you both! Les Davis
Texas Water Development Board

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E. Qualifications
Wastewater and Stormwater Delivery Study

© Watearth, Inc. 2024. Do Not Copy.

Reference: Les Davis; Assistant Deputy Executive Administrator for Water Supply and Infrastructure; Texas Water Development Board; 1700 North Congress Avenue Austin, TX 78701; (512) 936-0829;
[email protected]
Contract Amount: $75K.

Dates: September 2022 to August 2023
Proposed staff involved and role: Jennifer J. Walker PE (quality review), Jeremy Liby (project manager and technical writing), Alyssa Wilson (geographic information systems)
Last Five Years: Yes
Water Board Municipal Water Conservation Planning Tool Refined with Comprehensive Testing
Watearth contributed significantly to the development of the TWDB's Municipal Water Conservation Planning Tool. Our team provided Texas-specific water information, assisted in creating the User Guide, and played a pivotal role in Alpha and Beta Testing. We coordinated with team members and TWDB staff to select Beta Testers, facilitated training, troubleshooting, and one-on-one assistance, and gathered feedback to provide recommendations for future model releases.

Contract Amount: $100K
Dates: August 2018 to November 2018
Proposed staff involved and role: Jennifer J. Walker PE (conservation and demands modeling, and stakeholder collaboration)
Last Five Years: No
Council Guidance on Stormwater Quality Codes for Compliance with Permit Watearth collaborated with a developer's committee to guide the City of Killeen staff and City Council on stormwater quality codes that met federal and state requirements. We developed stormwater criteria for MS4
permit compliance and served as stormwater quality
experts during presentations to the City Council. Our
contributions included providing input on code and policy related to stormwater quality in Killeen.

Contract Amount: $15K
Dates: January 2013 to January 2014

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E. Qualifications
Wastewater and Stormwater Delivery Study
© Watearth, Inc. 2024. Do Not Copy.

Proposed staff involved and role: Jennifer J. Walker PE (permitting and City Council communication)
Last Five Years: No
Projects
Expanded List
StormwaterW/WWClient AdvocacyOperations Analysis
Cal Poly San Luis Obispo Water Resources Master Plan • • • • South Santa Rosa Specific Plan Infrastructure Plan • •
340 W San Rafael Site Industrial Permitting and Treatment • • • • CalVet Watershed Sanitary Survey • • •
City of Pleasanton Water Supply Assessment • •
TWDB Assessment of the Board’s Process and Procedures • • TWDB Municipal Water Conservation Planning Tool • • •
Killeen Stormwater Permit Assistance City Council Recommendations • • • LABOE Zoo Master Plan and Zoo Vision Plan EIR • • • •
LA Metro Water Conservation and Sustainability • • •
City of Oakland Mosswood Park Master Plan • •
Alameda County Zone 12 Drainage Master Plan • •
San Francisco Estuary Institute Bay Area Regional Green Infrastructure Tool and Green Plan-It Master Plan • •
University of Houston Conservation Master Plan • • • •
Springwoods Village 1,200-Acre Master Plan Water Resources Design Guidelines • • • •
City of Kingwood Water and Wastewater Masterplan. • • • Greater Houston Partnership Wastewater Capacity Feasibility Study. • • • Brownsville Public Utilities Board Wastewater Sludge Disposal Feasibility Study. • • •
Los Angeles Sanitation Haynes Park. • • • •
LABOE Venice Auxiliary Wastewater Pumping Plan Hydrology and Hydraulics Analysis.
• • • •
Los Angeles Sanitation Haynes Park. • • • •

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F. Cost Information
Wastewater and Stormwater Delivery Study
© Watearth, Inc. 2024. Do Not Copy.

F. Cost Information
This section has been submitted in physical copy to:

City of Richmond, Public Works
Attn: Jeff Barich, PE
450 Civic Center Plaza
Richmond, CA 94804-1630
Per the RFP, the cost document is not included within this digital proposal.

Overall Page 55
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G. Value Added Services
Wastewater and Stormwater Delivery Study
© Watearth, Inc. 2024. Do Not Copy.

Is the City of Richmond routinely hiring consultants who really listen? We want you to get the level of service you need, particularly given the sensitivities of this project, which may disrupt two decades of precedent.

Our TRUSTED™ Signature Project Delivery Process guides all of our projects with precision, clarity, and excellence. Here’s how we achieve outstanding results through each phase of our process:

1. Takeoff. We start strong by making sure our technical teams have all the information that was provided by the client during the procurement.

2. Results-Oriented Management. We prioritize timely project initiation. Key Steps: Internal and external project kick-off, quality assurance and control.

3. Understand and Communicate. Transparent communication and accurate progress tracking are the cornerstones.

4. Schedule and Budget Management. We navigate challenges and protect our clients by managing meticulously and addressing changes promptly.

5. Turn In Deliverables. Delivering high-quality, checked deliverables is our priority, coupled with communication as new information comes to light.

6. End Well. We address final comments and conclude projects neatly, expressing gratitude and reflecting on a job well done.

7. Drive Performance. Continuous improvement is our goal. We gather client feedback and prepare lessons learned for future collaborations.

Is this just marketing jargon?
No. Our TRUSTED™ Signature Project Delivery Process is the nexus of our internal project management efforts. It helps us achieve the following for Richmond:

1. Relief for Overworked City Staff: By providing a structured and efficient process, we help Richmond employees manage their workload more effectively, reducing stress and enhancing organization.

2. Commitment to Community Services: Our process underscores Richmond’s dedication to vital infrastructure projects, ensuring these essential services are delivered efficiently and effectively.

3. Navigation of Regulatory Compliance Challenges: We understand the urgency of meeting regulations. Our streamlined processes mean projects are completed on time, helping clients stay compliant.

4. Communication Between Consultant and City: Our process emphasizes clear and consistent communication, integrating seamlessly with client teams to prevent delays.

H. Contractor Assignment of Sub
Wastewater and Stormwater Delivery Study
© Watearth, Inc. 2024. Do Not Copy.

H. Contractor Assignment of
Subcontract
Watearth has selected Arup to perform the economics analysis portion of the scope for this project. Our selection process and quality control measures are designed to integrate our subconsultant with our internal team.

Selection Process for Subcontractor:

1. Long-Standing Partnership: We have a well-established teaming relationship with Arup, characterized by successful past collaborations.

2. Regular Communication: To maintain alignment and understanding of Arup's expertise, we engage in regular business development and proposal-specific calls. These interactions help us stay updated on their qualifications and mean they share our acute understanding of project requirements.

3. Qualification Review: Prior to final selection, Arup was required to submit their qualifications for a thorough review. This process included evaluating their technical expertise, experience in similar projects, and overall ability to meet the project’s demands.

Quality Control Measures:

1. Integrated Project Management: We will employ integrated project management practices to ensure Arup’s work aligns with our standards and the City of Richmond’s requirements. This includes regular coordination meetings and progress reviews.

2. Performance Monitoring: Continuous performance monitoring will be conducted to ensure Arup meets contractual obligations.

3. Compliance Assurance: Our quality control measures are designed to ensure that Arup complies with all provisions of our contract with the City of Richmond. This includes adherence to project schedules, budget constraints, and regulatory requirements.

4. Risk Management: We will proactively identify and mitigate any risks associated with the subcontracting arrangement. This includes establishing clear communication channels, defining roles and responsibilities, and implementing contingency plans as needed.

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I. Previous Contracts with City
Wastewater and Stormwater Delivery Study
© Watearth, Inc. 2024. Do Not Copy.

July 31, 2024
City of Richmond, Public Works
Attn: Jeff Barich, PE
450 Civic Center Plaza
Richmond, CA 94804-1630
Subject: City of Richmond Feasibility Study on the Options to Deliver Wastewater and Stormwater Services in the City of Richmond – Previous Contracts with City
Dear Engineer Barich,
Watearth Inc. is has not been party to a contract with the City of Richmond in the last three years as either prime consultant or subconsultant. Further, we have no existing relationships with the parties mentioned in the RFP that would influence our recommendations to the City. We propose that our unbiased approach will favor exclusively the results that are most favorable to the City and its constituency.

Sincerely,
Jennifer J. Walker PE, D.WRE, ENV SP, CFM, QSD, President, Watearth

J. Exceptions to this RFP
Wastewater and Stormwater Delivery Study
© Watearth, Inc. 2024. Do Not Copy.

July 31, 2024
City of Richmond, Public Works
Attn: Jeff Barich, PE
450 Civic Center Plaza
Richmond, CA 94804-1630
Subject: City of Richmond Feasibility Study on the Options to Deliver Wastewater and Stormwater Services in the City of Richmond – Exceptions to this Request for Proposal
Dear Engineer Barich,
Watearth, Inc. does not take exception(s) to this RFP, including but not limited to the City of Richmond’s Standard Services Agreement – RFP (Attachment B).

Watearth understands that failure to make exceptions to the RFP or Standard Services Agreement within this proposal will be deemed a waiver of any objection, and that any exceptions would be considered during the proposal evaluation process.

Sincerely,
Jennifer J. Walker PE, D.WRE, ENV SP, CFM, QSD, President, Watearth

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K. Statement of Impartiality
Wastewater and Stormwater Delivery Study
© Watearth, Inc. 2024. Do Not Copy.

July 31, 2024
City of Richmond, Public Works
Attn: Jeff Barich, PE
450 Civic Center Plaza
Richmond, CA 94804-1630
Subject: City of Richmond Feasibility Study on the Options to Deliver Wastewater and Stormwater Services in the City of Richmond – Statement of Impartiality and Disclosure
Dear Engineer Barich,
Watearth acknowledges that the nature of this Project requires an impartial unbiased approach on the part of our team. Watearth declares that we and subconsultants (Arup) are not currently, and will not, during the performance of these services, participate in any other similar work involving a third-party with interests currently in conflict or likely to be in conflict with City of Richmond’s interests. Additionally, Watearth is not subject to pending or active investigations or litigation that would affect our reputation or ability to carry out the Project.

Sincerely,
Jennifer J. Walker PE, D.WRE, ENV SP, CFM, QSD, President, Watearth

Evaluation of Consulting Firms for:

Feasibility Study on the Options to Deliver Wastewater and Stormwater Services in the City of Richmond Firm Rater 1 Score Rater 2 Score Rater 3 Score Rater 4 Score Rater 5 Score Total Average Watearth 88 87 97 92 87 451 90.2
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December 3, 2024
DocID #31776v1
Public Works
DATE: December 17, 2024
TO: Mayor Martinez and Members of the City Council
FROM: Daniel Chavarria, PE, Director of Public Works
Robert Armijo, PE, Deputy Director of Public Works / City Engineer
Mary Phelps, Water Resource Division Manager
Bradley Harms, Senior Environmental Compliance
Inspector
Subject: Resolution to Approve a Contract with SwiftComply, Inc. for Fats, Oils, and Grease (FOG), Industrial
Pretreatment, and Stormwater Monitoring Services
FINANCIAL IMPACT: The proposed expenditure of an amount not to exceed $239,155.00 for the duration of the three-year contract and an amount not to exceed $129,053.00 for the entire
duration of the two optional one-year extensions will be funded from the approved fiscal year budgets for the
Public Works Department’s Environmental Compliance
Program budget (Account String: 40322831-400502).

PREVIOUS COUNCIL
ACTION:

Not applicable.

AGENDA
REPORT
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December 3, 2024
DocID #31776v1

STATEMENT OF THE
ISSUE:

The City staff is requesting City Council to adopt a
resolution approving a three -year contract with
SwiftComply, Inc. for monitoring services of Fats, Oils, and Grease (FOG), Industrial Pretreatment, and
Stormwater discharges. The City is required to comply
with regulations concerning said discharges under the
Municipal Regional Permit (MRP) and in compliance with
federal and state environmental requirements.

Additionally, 40 CFR Part 403, which governs the
administration of industrial pretreatment programs,
requires cities like Richmond to maintain a
comprehensive data management and reporting system
for industrial users.

RECOMMENDED ACTION: ADOPT a resolution to approve a three-year contract with SwiftComply, Inc, for FOG, Industrial Pretreatment, and Stormwater Monitoring Services in an amount not to
exceed $239,155.00 beginning January 1, 2025 and
ending on December 31, 2027 with two optional one-year
extensions for a total amount of $129,053.00 for both
option years and AUTHORIZE the Director of Public
Works to approve change orders, if necessary, for a
contingency amount of up to $35,873.25 which is 15% of
the bid amount, for a potential contract total not to
exceed amount of $275,028.25 (Public Works – Bradley
Harms 510-307-8094 Mary Phelps 510-621-1269 / Daniel
Chavarria 510-620-5478)
DISCUSSION:

Background
The City of Richmond is obligated to manage pollutants such as Fats, Oils, and Grease (FOG), mercury, and Polychlorinated biphenyls (PCB) from its stormwater and industrial systems to comply with regional and federal environmental regulations, particularly under the Municipal Regional Permit (MRP) and 40 CFR Part 403 of the Code of Federal Regulations.
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December 3, 2024
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The City is required to maintain detailed records of industrial user discharges and pretreatment program monitoring activities, including maintaining these records for at least three years and making them available to the EPA or the state upon request pursuant to 40 CFR 403.8(f)(1). The regulation further mandates that the City establish and maintain a database of Significant Industrial Users (SIUs) and Categorical Industrial Users (CIUs) to monitor their compliance status and take enforcement actions where necessary (40 CFR 403.12(j)). In addition, under 40 CFR 403.12(p), the City must submit annual reports to the Approval Authority summarizing compliance efforts and violations of pretreatment standards by industrial users.

Currently, the City of Richmond is compliant with the required regulatory mandates but has encountered challenges in efficiently managing data for the industrial pretreatment program and stormwater discharges. The current system relies heavily on manual data entry and compliance tracking, which is cumbersome and prone to errors. Additionally, compiling compliance data for the required reports is labor-intensive, making it difficult to ensure timely and accurate submissions. These inefficiencies prompted the Water Resources and Recovery Division to explore a more integrated and automated solution.

While the City is currently in compliance with regulatory requirements we are not as effective or efficient as we should be. SwiftComply software and services are designed to address gaps in our system that hinder our ability to manage compliance in the most streamlined and accurate way possible.

Analysis
Staff is recommending that the City enter into a contract with SwiftComply, Inc. to continue to meet the regulatory requirements. SwiftComply, Inc’s platform provides a cloud-based solution that helps the City fulfill these regulatory requirements. The software enables detailed data management, tracking of Significant Industrial Users (SICs) discharges, compliance monitoring, and automated reporting, ensuring that Richmond’s pretreatment program adheres to the mandates of 40 CFR 403.

SwiftComply will also provide software and services over three years to assist with FOG, Industrial Pretreatment, and Stormwater management. The system will support the City's compliance with 40 CFR 403.8(f)(1) and 403.12(j), which require comprehensive recordkeeping and the establishment of a database for significant industrial users. Said software also simplifies the City’s reporting obligations under 40 CFR 403.12(p) by generating automated reports that summarize compliance efforts, making it easier to submit accurate and timely reports to the EPA or state authorities. 1266

December 3, 2024
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Rather than initiating a new procurement process, City of Richmond is proposing to utilize a piggyback procurement method, which is permitted under California Public Contract Code Section 20118 and Richmond Municipal Code section 2.52.330.

Piggyback procurement allows one public agency to leverage an existing competitively bid contract from another agency, provided that the procurement process complied with all applicable laws, and the services being procured are substantially similar to the services already covered in the existing contract. This method helps reduce costs, streamline the procurement process, and expedite service delivery while ensuring competitive pricing and compliance with public procurement requirements.

The City of Stockton, California conducted a competitive procurement process and requested submissions of proposals for environmental control enforcement software program. The final date when said City accepted proposals was March 2, 2023. After evaluation, Staff of the City of Stockton found that SwiftComply, Inc. has met the required specifications for the program management and documentation; thus, entering into a contract with SwiftComply, Inc.

By piggybacking on the City of Stockton’s contract, Richmond can efficiently secure the necessary services without a new competitive bidding process.

As noted above, the contract between the City of Richmond and SwftComply, Inc. is in compliance with the Richmond Municipal Code (RMC) Section 2.52.330 Piggyback Procurement which allows for a “piggyback” purchase using another agency’s purchase contract if it is deemed to be in the best interest of the City. Additionally, there is no qualified City of Richmond vendor that can provide this service.

The contract’s total cost is for a not-to-exceed amount of $239,155. The City will be billed $122,100 for the first year, followed by annual maintenance fees enumerated below, based on the level of services provided. The service covers implementation, training, and the first year of subscription services.
 Year 1: $122,100.00
 Year 2: $ 57,100.00
 Year 3: $ 59,955.00
TOTAL: $ 239,155.00
 Year 4: $ 62,953.00 (Optional)
 Year 5: $ 66,100.00 (Optional)
TOTAL: $ 129,053.00 (2 Optional 1-year extensions)
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December 3, 2024
DocID #31776v1
Conclusion
In conclusion, City staff recommends adopting the resolution to authorize a three-year contract with SwiftComply, Inc. for FOG, Industrial Pretreatment, and Stormwater services with two optional one-year extensions. This will ensure the City meets all necessary compliance requirements under the MRP, 40 CFR Part 403, and other applicable regulations while improving program efficiency through SwiftComply, Inc.’s comprehensive software platform.

DOCUMENTS ATTACHED:

Attachment 1 – Resolution
Attachment 2 – Contract
Attachment 3 – Piggyback Approval Form
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CITY OF RICHMOND

STANDARD CONTRACT
Department: City Project Manager:

City Project Manager E-mail: City Project Manager Phone No:

Vendor No: Contract No:

Description of Services:

The parties to this STANDARD CONTRACT do mutually agree and promise as follows:

1. Parties. The parties to this Contract are the City of Richmond, a municipal corporation (“the City”), and the following named Contractor:

Contractor Name:

Street Address:

City, State, Zip Code:

Contact Person:

Telephone: Email:

Business License No:
☐ A California corporation, ☐ limited liability corporation ☐ general partnership, ☐ limited partnership, ☐ individual, ☐ non-profit corporation, ☐ individual dba as [specify:] ____________________ ☐ other [specify:] _______________________________

2. Term. The effective date of this Contract is _______________________ and terminates _________________ unless terminated earlier as set forth herein.

3. Payment Limit. City’s total payments to Contractor under this Contract shall not exceed $______________ (“Contract Payment Limit”) unless a Contract Amendment has been approved by the City Council or City Manager. If this amount includes a contingency, Contractor acknowledges that any use of such contingency shall be for work beyond the original scope of services and requires prior written authorization by the City. If noted below, Compensation for work done under this Contract, shall not exceed as follows:

FY _________ total compensation shall not exceed $_________________ FY _________ total compensation shall not exceed $_________________ FY _________ total compensation shall not exceed $_________________

4. Contractor’s Obligations. Contractor agrees to perform all work at its own cost and expense, to furnish all labor, tools, equipment, materials, except as otherwise specified, in accordance with the Service Plan set forth in Exhibit A, attached hereto and incorporated herein.

5. City Obligations. City shall make payments to the Contractor in accordance with the Payment Provisions set forth in Exhibit B, attached hereto and incorporated herein.

Public Works Mary Phelps [email protected] 510.621.1269 16775 Management Software for Permit Mandated Pretreatment and Stormwater Programs SwiftComply 6701 Koll Center Pkwy Suite 250 Pleasanton, CA 94566 Amesia Harris 832.331.3359 [email protected] Delware Corp January 1, 2025 December 31, 2027 239,155.00 24/25 122,100.00 25/26 57,100.00 26/27 59,955.00 1269

6. Authorized Representatives and Notices. This Contract is subject to the Authorized Representatives and Notices Provisions (Exhibit C), attached hereto and incorporated herein.

7. General Conditions. This Contract is subject to the General Conditions (Exhibit D), which are attached hereto and incorporated herein.

8. Special Conditions. This Contract is subject to the Special Conditions (Exhibit E) (if any), which are attached hereto and incorporated herein.

9. Insurance Provisions. This Contract is subject to the Insurance Provisions (Exhibit F), which are attached hereto and incorporated herein.

10. Sanctuary City Compliance Statement. This Contract is subject to the Sanctuary City Compliance Statement (Exhibit G), which is attached hereto and incorporated herein.

11. Signatures. These signatures attest the parties' agreement hereto:

CITY OF RICHMOND,
a municipal corporation [BUSINESS NAME]
(* The Corporation Chairperson of the Board, President, or Vice President should sign below)
By: _________________________ By: ___________________________ Title: ________________________ Title: __________________________ Date Signed: _________________ Date Signed: ___________________ I hereby certify that this Contract (* The Corporation Chief Financial Officer or Assistant has been approved by City Council Treasurer, or Secretary or Assistant Secretary should or the City Manager. sign below)
By: _________________________ By: ___________________________ City Clerk Title: __________________________
Date Signed: ____________________
Approved as to form:
(NOTE: Pursuant to California Corporations Code Section By: _________________________ 313, if Contractor is a corporation or nonprofit organization, City Attorney this Contract (1) must be signed by (a) the Chairperson of the Board, President, or Vice-President and (b) the
Chief Financial Officer or Assistant Treasurer, or
Secretary or Assistant Secretary)
LIST OF ATTACHMENTS:

Service Plan Exhibit A
Payment Provisions Exhibit B
Authorized Representatives and Notices Exhibit C
General Conditions Exhibit D
Special Conditions Exhibit E
Insurance Provisions Exhibit F
Sanctuary City Compliance Statement Exhibit G
SwiftComply
1270
Contract No: ________ For the Contract between the City of Richmond and
_____________________________

EXHIBIT A

SERVICE PLAN
Contractor shall, to the satisfaction of the Project Manager (set forth in Exhibit B), perform the following services and be compensated as outlined below [or attach service plan if necessary]:

SwiftComply
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Contract No: ________ For the Contract between the City of Richmond and
_____________________________

EXHIBIT B

PAYMENT PROVISIONS

1. COMPENSATION TO CONTRACTOR:
a. Provided Contractor is not in default under this Contract, Contractor shall be compensated in the manner set forth herein.
b. All payments made pursuant to this Contract shall be subject to the Contract Payment Limit. The Payment Limit includes expenses (phones, photocopying, meals and travel, etc.). Invoices shall be adequately detailed, based on accurate records, and be in a form reasonably satisfactory to the City. Contractor may be required to provide back-up material upon request. c. All City vendors receiving new contracts shall sign up to receive electronic payments through the City’s Automated Clearinghouse (ACH) payments service/provider.

2. SUBMISSION OF INVOICES:

Contractor shall submit timely invoices by email to
[email protected] and/or to the following address:

Attention: City of Richmond Finance/Account Payable
Project Manager: _______________________
P.O. Box 4046
Richmond, CA 94804

3. All invoices that are submitted by Contractor shall be subject to the approval of the City Project Manager, _______________________, before payments shall be authorized.
a. The City will pay invoice(s) within 45 days after completion of services to the City’s satisfaction. The City shall not pay late fees or interest.
b. All appropriate permits, certificates, and licenses, including a City business license shall be obtained and maintained for the duration of this Contract before any payment is authorized.

4. All insurance coverage required by this Contract shall be provided by the Contractor before this Contract is executed by the City. The insurance coverage required by this Contract shall be maintained by Contractor for the duration of this Contract and must be in place before any payment is authorized.

Mary Phelps Mary Phelps SwiftComply
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Contract No: ________ For the Contract between the City of Richmond and
_____________________________

EXHIBIT C

AUTHORIZED REPRESENTATIVES AND NOTICES

1. All required written notices shall be delivered: (i) by hand; or (ii) sent by registered, express, or certified mail, with return receipt requested or with delivery confirmation requested from the U.S. postal service; or (iii) sent by overnight or same day courier service at the party’s respective address listed in this Section.

2. Each notice shall be deemed to have been received on the earlier to occur of:
actual delivery or the date on which delivery is refused; or three (3) days after notice is deposited in the U.S. mail or with a courier service in the manner described above (Sundays and City holidays excepted).

3. Either party may, at any time, change its notice address (other than to a post office box address) by giving the other party three (3) days prior written notice of the new address.

4. All notices, demands, requests, or approvals from Contractor to the City shall be addressed to the City at:

City of Richmond
450 Civic Center Plaza
Richmond, CA 94804
Email: ________________________________________________

5. All notices, demands, requests, or approvals from the City to Contractor shall be addressed to Contractor at:

Attn:

Email: ________________________________________________ Mary Phelps [email protected] SwiftComply 6701 Koll Center Pkwy Suite 250 Pleasanton, CA 94566 [email protected] Amesia Harris 1273
Contract No: ________ For the Contract between the City of Richmond and
_____________________________

EXHIBIT D

GENERAL CONDITIONS

1. INDEPENDENT PARTIES:

Contractor hereby declares that Contractor is engaged as an independent business and Contractor agrees to perform the services as an independent contractor.

The manner and means of conducting the services and tasks are under the control of Contractor except to the extent they are limited by statute, rule or regulation and the express terms of this Contract. No civil service status or other right of employment will be acquired by virtue of Contractor’s services. None of the benefits provided by the City to its employees, including but not limited to unemployment insurance, workers’ compensation plans, vacation and sick leave, are available from the City to Contractor, its employees or agents. Deductions shall not be made for any state or federal taxes, FICA payments, PERS payments, or other purposes normally associated with an employer-employee relationship from any compensation due to Contractor. Payments of the above items, if required, are the responsibility of Contractor.

2. TIME IS OF THE ESSENCE:

Contractor and the City agree that time is of the essence regarding the performance of this Contract.

3. STANDARD OF CARE:

Contractor agrees to perform all services hereunder in a manner commensurate with the prevailing standards of like professionals or service Contractors, as applicable, in the San Francisco Bay Area and agrees that all services shall be performed by qualified and experienced personnel who are not employed by the City.

4. IMMIGRATION REFORM AND CONTROL ACT (IRCA):

Contractor assumes all responsibility for verifying the identity and employment authorization of all of its employees performing work hereunder, pursuant to all applicable IRCA or other federal, or state rules and regulations. Contractor shall indemnify, defend, and hold the City harmless from and against any loss, damage, liability, costs or expenses arising from any noncompliance of this provision by Contractor.

5. NON-DISCRIMINATION:

Consistent with the City’s policy and state and federal law that harassment and discrimination are unacceptable conduct, Contractor and its employees, contractors, and agents shall not harass or discriminate against any job applicant, City employee, or any other person on the basis of any kind of any statutorily (federal, state or local) protected class, including but not limited to: race, religious creed, color, national origin, ancestry, SwiftComply
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Contract No: ________ For the Contract between the City of Richmond and
_____________________________
disability (both mental and physical) including HIV and AIDS, medical condition (e.g. cancer), genetic information, marital status, sex, gender, gender identity, gender expression, age, sexual orientation, pregnancy, political affiliation, military and veteran status or legitimate union activities. Contractor agrees that any violation of this provision shall constitute a material breach of this Contract.

6. CITY PROPERTY:
a. Each and every report, draft, work product, map, record, applicable plans, drawings, calculation, data, specification, video, graphic, or any other material or document produced, prepared or caused to be prepared by Contractor pursuant to or in connection with this Contract shall be the exclusive property of the City. b. Notwithstanding the foregoing, Contractor shall not be obligated to provide to City proprietary software or data which Contractor has developed or had developed for Contractor's own use; provided, however, that Contractor shall, pursuant to Section 11 below, indemnify, defend and hold the City harmless from and against any discovery or Public Records Act request seeking the disclosure of such proprietary software or data. c. No report, information or other data given to or prepared or assembled by Contractor pursuant to this Contract shall be made available to any individual or organization by Contractor without prior approval of the City Manager or their designee. d. Contractor shall, at such time and in such form as City Manager or their designee may require, furnish reports concerning the status of services and tasks required under this Contract.

7. RECORDS:
a. Contractor shall maintain complete and accurate records with respect to the services, tasks, work, documents and data in sufficient detail to permit an evaluation of Contractor’s performance under the Contract, as well as maintain books and records related to sales, costs, expenses, receipts and other such information required by the City that relate to the performance of the services and tasks under this Contract (collectively the “Records”).
b. All Records shall be maintained in accordance with generally accepted accounting principles and shall be clearly identified and readily accessible. Contractor shall provide free access to the Records to the representatives of the City or its designees during regular business hours upon reasonable prior notice. The City has the right to examine and audit the Records, and to make copies or transcripts therefrom as necessary, and to allow inspection of all proceedings and activities related to this Contract. Such Records, together with supporting documents, shall be kept separate from other documents and records and shall be maintained by Contractor for a period of five (5) years after receipt of final payment.

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c. If supplemental examination or audit of the Records is necessary due to concerns raised by the City’s preliminary examination or audit of records, and the City’s supplemental examination or audit of the records discloses a failure to adhere to appropriate internal financial controls, or other breach of this Contract or failure to act in good faith, then Contractor shall reimburse the City for all reasonable costs and expenses associated with the supplemental examination or audit.

8. PERMITS AND LICENSES:

Contractor, at its sole expense, shall obtain and maintain during the term of this Contract, all appropriate permits, certificates and licenses, including a City business license, required in connection with the performance of the services and tasks hereunder.

The failure to obtain such permits and licenses shall be a material breach of this Contract and grounds for immediate termination by City; provided, however, that City may waive the business license requirement in writing under unusual or extraordinary circumstances without necessitating any modification of this Contract to reflect such waiver.

9. TERMINATION:
a. Termination Without Default. Notwithstanding any provision herein to the contrary, the City may, in its sole and absolute discretion and without cause, terminate this Contract at any time prior to completion by Contractor of the project or services hereunder immediately upon transmission of written notice to Contractor as provided in Exhibit C “Authorized Representatives and Notices”.
b. Termination in the Event of Default. Should Contractor fail to perform any of its obligations hereunder, within the time and in the manner provided or otherwise violate any of the terms of this Contract, City may immediately terminate this Contract by giving written notice of such termination, stating the reasons for such termination. Contractor shall be compensated as provided in Exhibit B; provided, however, there shall be deducted from such amount the amount of damage, including attorney's fees, expert witness fees and costs, if any, sustained by City by virtue of Contractor's breach of this Contract. Additionally, in the event of such termination, the City may proceed with the work in any reasonable manner it chooses.

10. CONFLICT OF INTEREST:

Contractor acknowledges, represents and warrants that Contractor shall avoid all conflicts of interest (as defined under any federal, state or local statute, rule or regulation, or at common law) with respect to this Contract. Contractor further acknowledges, represents and warrants that no City official or employee has any economic interest, as defined in Title 2, California Code of Regulations §§ 18703.1 through 18703.5, with Contractor that would invalidate this Contract. Contractor acknowledges that in the event that Contractor shall be found by any judicial or administrative body to have any conflict of interest (as defined above) with respect to this Contract, all consideration received under SwiftComply
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this Contract shall be forfeited and returned to City forthwith. This provision shall survive the termination of this Contract for one (1) year.

11. HOLD HARMLESS:
a. To the fullest extent permitted by law, Contractor shall indemnify, defend (with counsel acceptable to the City) and hold harmless the City, its City Council, boards, commissions, officials, employees, agents and volunteers (“Indemnitees”) from and against any and all loss, damages, liability, obligations, claims, suits, judgments, costs and expenses whatsoever, including attorney’s fees and costs of litigation (“Claims”), arising from or in any manner connected to Contractor’s performance of its obligations under this Contract or failure to comply with any of its obligations under this Contract or out of the operations conducted by Contractor even if the City is found to have been negligent. If the Claims filed against Indemnitees allege negligence, recklessness or willful misconduct on the part of Contractor, Contractor shall have no right of reimbursement against Indemnitees for the costs of defense even if negligence, recklessness or willful misconduct is not found on the part of Contractor. Contractor shall not have any obligations to indemnify Indemnitees if the loss or damage is found to have resulted solely from the negligence or the willful misconduct of the City. The defense and indemnification obligations of this Contract are undertaken in addition to, and shall not in any way be limited by, the insurance obligations contained in this Contract. b. This indemnification obligation shall survive this Contract and shall not be limited by any term of any insurance policy required under this Contract; provided however, that if this Contract is for design professional services, this indemnity provision is limited to claims that arise out of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the design professional (as defined in California Civil Code section 2782.8).

12. LIMITATIONS UPON SUBCONTRACTING AND ASSIGNMENT:
a. This Contract binds the heirs, successors, assigns and representatives of Contractor. The Contractor shall not enter into subcontracts for any work contemplated under this Contract and shall not assign this Contract, nor any portion hereof or monies due or to become due, without the prior written consent of the City Council or its designee.
b. Contractor shall not assign, sublease, hypothecate, or transfer this Contract, or any interest therein, directly or indirectly, by operation of law or otherwise, without prior written consent of the City Manager. Contractor shall submit a written request for consent to transfer to the City Manager at least thirty (30) days in advance of the desired transfer.

The City Manager or their designee may consent or reject such request in their sole and absolute discretion. Any attempt to do so without said consent shall be null and void, and any assignee, sublessee, hypothecate or transferee shall acquire no right or interest by reason of such attempted assignment, hypothecation or transfer. However, claims for SwiftComply
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money against the City under this Contract may be assigned by Contractor to a bank, trust company or other financial institution without prior written consent. c. The sale, assignment, transfer or other disposition of any of the issued and outstanding capital stock of Contractor (if applicable), or of the interest of any general partner or joint venturer or syndicate member if Contractor is a partnership or jointventure or syndicate, which shall result in a change of control of Contractor, shall be deemed an assignment. For this purpose, control shall mean fifty percent or more of the voting power or twenty-five percent or more of the assets of the corporation, partnership or joint-venture.
d. Only those persons and/or businesses whose names and resumés are attached to this Contract shall be used in the performance of this Contract. However, if after the start of this Contract, Contractor wishes to use sub-contractors, at no additional costs to the City, then Contractor shall submit a written request for consent to add subcontractors including the names of the sub-contractors and the reasons for the request to the City Manager at least five (5) days in advance. The City Manager may consent or reject such requests in their sole and absolute discretion. e. Each sub-contractor shall be required to furnish proof of workers’ compensation insurance and shall also be required to carry general, automobile and professional liability insurance (as applicable) in reasonable conformity to the insurance carried by Contractor.
f. In addition, any tasks or services performed by sub-contractors shall be subject to each provision of this Contract. Contractor shall include the following language in their Contract with any sub-contractor: “Sub-Contractors hired by Contractor agree to be bound to Contractor and the City in the same manner and to the same extent as Contractor is bound to the City.”
g. The requirements in this Section 12 shall not apply to persons who are merely providing materials, supplies, data or information that Contractor then analyzes and incorporates into its work product.

13. SAFETY:
a. Contractor acknowledges that the City is committed to the highest standards of workplace safety. Contractor will be solely and completely responsible for conditions of all vehicles owned or operated by Contractor, including the safety of all persons and property during performance of the services and tasks under this Contract.

Contractor shall assume sole and complete responsibility for the safety of Contractor's employees and any of subcontractor's employees This requirement will apply continuously and not be limited to normal working hours. In addition, Contractor will comply with all safety provisions in conformance with U.S. Department of Labor Occupational Safety and Health Act, any equivalent state law, and all other applicable SwiftComply
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federal, state, county and local laws, ordinances, codes, and any regulations that may be detailed in other parts of the Contract. Where any of these are in conflict, the more stringent requirements will be followed. Contractor’s failure to thoroughly familiarize itself with the aforementioned safety provisions will not relieve it from compliance with the obligations and penalties set forth herein.
b. Contractor will immediately notify the City (in no event less than 24 hours) of any incident of death, serious personal injury or substantial property damage that occurs in connection with the performance of this Contract. Contractor will promptly submit to the City a written report of all incidents that occur in connection with this Contract. This report must include the following information: (i) name and address of injured or deceased person(s); (ii) name and address of Contractor’s employee(s) involved in the incident; (iii) name and address of Contractor’s liability insurance carrier; (iv) a detailed description of the incident; and (v) a police report.
c. Contractor acknowledges that the City shall have the right to impose, at the City’s sole discretion, requirements that it deems are necessary to protect the health and safety of the City employees, residents, and visitors. Contractor agrees to comply with all such requirements, including, but not limited to, mandatory vaccinations, the use of personal protective equipment (e.g. masks), physical distancing, and health screenings.

Contractor also agrees to make available to the City, at the City’s request, records to demonstrate Contractor’s compliance with this Section.

14. INSURANCE:

Insurance requirements are set forth in Exhibit F to this Contract. Contractor shall abide by the insurance requirements set forth in said Exhibit F.

15. COMPLIANCE WITH ALL APPLICABLE LAWS:
a. During the term of this Contract, Contractor shall keep fully informed of all existing and future state and federal laws and all municipal ordinances and regulations of the City of Richmond which affect the manner in which the services or tasks are to be performed by Contractor, as well as all such orders and decrees of bodies or tribunals having any jurisdiction or authority over the same. Contractor shall comply with all applicable laws, state and federal and all ordinances, rules and regulations enacted or issued by the City. Compliance under this provision includes compliance with all provisions of the Richmond Municipal Code ("Municipal Code"), including Chapters 2.50,

2.52, 2.56, and 2.60, if applicable.
b. Contractor acknowledges that under § 2.60.070 of the Municipal Code ("Living Wage Ordinance"), Contractor is required to provide the City with documents and information verifying its compliance with the Living Wage Ordinance. Contractor shall notify each of its affected employees with regards to the wages that are required to be paid pursuant to the Living Wage Ordinance as prescribed in § 2.60.070 of the Municipal Code.

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c. Contractor shall comply with § 2.28.030 of the Municipal Code, obligating every Contractor or sub-Contractor under an agreement or sub-agreement with the City for public works, goods or services to refrain from discriminatory employment or practices on the basis of race, color, sex, sexual orientation, religious creed, national origin or ancestry of any employee, any applicant for employment or any potential sub-contractor. d. Contractor acknowledges that the City’s Drug Free Workplace Policy, Violence in the Workplace Policy and the Policy Against Workplace Harassment, are available on the City’s website at http://www.ci.richmond.ca.us/workplacepolicies.

Contractor agrees to abide by the terms and conditions of said policies.

16. INTEGRATED CONTRACT:

The Recitals and exhibits are a material part of this Contract and are expressly incorporated herein. This Contract represents the full and complete understanding of every kind or nature whatsoever between the parties hereto, and all preliminary negotiations and agreements of whatsoever kind or nature are merged herein. No verbal agreement or implied covenant shall be held to vary the provisions hereof. Any modification of this Contract will be effective only by written execution signed by both the City and Contractor.

17. CONFLICTING PROVISIONS:

In the event of a conflict between these General Conditions and those of any Exhibit or attachment hereto, these General Conditions shall prevail; provided, however, that any Special Condition as set forth in Exhibit E shall prevail over these General Conditions. In the event of a conflict between the terms and conditions of any two or more Exhibits or attachments hereto, those prepared by City shall prevail over those prepared by the Contractor, and the terms and conditions preferred by the City shall prevail over those preferred by the Contractor.

18. FORCE MAJEURE:

Neither party hereto shall be considered in default in the performance of its obligations hereunder to the extent that the performance of such an obligation is prevented or delayed by reason of acts of God, strikes, boycotts, lock-outs, inability to procure materials not related to the price thereof, failure of power, restrictive governmental laws and regulations enacted after the date of this Contract, riots, civil unrest, acts of terrorism, insurrection, war, declaration of a state or national emergency or other reasons of a like nature not within the reasonable control of such party.

19. CONFLICT OF LAW:

This Contract shall be interpreted under, and enforced by the laws of the State of SwiftComply
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California without regard to any choice of law rules which may direct the application of laws of another jurisdiction. The Contract and obligations of the parties are subject to all valid laws, orders, rules, and regulations of the authorities having jurisdiction over this Contract (or the successors of those authorities). Any suits brought pursuant to this Contract shall be filed with the courts of the County of Contra Costa, State of California.

20. CLAIMS:

Any claim by Contractor against City hereunder shall be subject to Government Code §§ 800 et seq. The claims presentation provisions of said Act are hereby modified such that the presentation of all claims hereunder to the City shall be waived if not made within six months after accrual of the cause of action.

21. INTERPRETATION:

This Contract shall be interpreted as if drafted by both parties.

22. WARRANTY:

If any product is be provided to the City as part of this Contract, Contractor warrants as follows: Contractor possesses good title to the product and the right to transfer the product to City; the product shall be delivered to the City free from any security interest or other lien; the product meets any specifications contained herein; the product shall be free from material defects in materials and workmanship under normal use for a period of one (1) year from the date of delivery; and the product shall be fit for its intended purpose(s). Notwithstanding the foregoing, consumable and maintenance items (such as light bulbs and batteries) shall be warranted for a period of one hundred and eighty (180) days from the date of delivery. All repairs during the warranty period shall be promptly performed by Contractor, at Contractor's expense, including shipping.

23. SEVERABILITY:

In the event that any of the provisions or portions or applications thereof of this Contract are held to be unenforceable or invalid by any court of competent jurisdiction, City and Contractor shall negotiate an equitable adjustment in the provisions of the Contract with a view toward effecting the purpose of this Contract, and the validity and enforceability of the remaining provisions or portions or applications thereof, shall not be affected thereby.

24. AUTHORITY:

City warrants and represents that the signatory hereto (the Mayor of the City of Richmond or the City Manager) is duly authorized to enter into and execute this Contract on behalf of City. The party signing on behalf of Contractor warrants and represents that they are duly authorized to enter into and execute this Contract on behalf of Contractor, SwiftComply
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and shall be personally liable to City if they are not duly authorized to enter into and execute this Contract on behalf of Contractor.

25. WAIVER:

The waiver by City of any breach of any term or provision of this Contract shall not be construed as a waiver of any subsequent breach. Inspections or approvals, or statements by any officer, agent or employee of the City relating to the Contractor’s performance, or payment therefore, or any combination of these acts, shall not relieve the Contractor’s obligation to fulfill this Contract as prescribed; nor shall the City be thereby stopped from bringing any action for damages or enforcement arising from any failure to comply with any of the terms and conditions of this Contract.

26. COUNTERPARTS:

This Contract may be executed in any number of counterparts (including by fax, PDF, DocuSign, or other electronic means), each of which shall be deemed an original, but all of which shall constitute one and the same instrument.

27. SANCTUARY CITY CONTRACTING ORDINANCE (SCCO):

The Richmond Sanctuary City Contracting Ordinance No. 12-18 prohibits the City from granting and or retaining contracts with any person or entity that provides Data Broker or Extreme Vetting services to the U.S. Immigration and Customs Enforcement Division of the United States Department of Homeland Security (“ICE”). Contractor must submit the Sanctuary City Compliance Statement, attached hereto as Exhibit G.

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EXHIBIT E

SPECIAL CONDITIONS
The General Conditions are hereby amended to include the following modifications and/or provisions (if applicable, otherwise please state “NONE”):

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EXHIBIT F

INSURANCE PROVISIONS
☐ CHECK HERE IF RISK MANAGEMENT HAS APPROVED WAIVING INSURANCE REQUIREMENTS FOR THIS CONTRACT.

1. CERTIFICATES: Before the commencement of the terms of this Contract, and during the entire term of this Contract and any extension or modification thereof, Contractor shall furnish the City’s Risk Manager with certificates showing the type, amount, class of operations covered, effective dates and dates of expiration of insurance coverage in compliance with coverage requirements set forth by the City and incorporated herein.

Such certificates, which do not limit Contractor’s indemnification, shall also contain substantially the following statement:
“Should any of the above insurance covered by this certificate be canceled or coverage reduced before the expiration date thereof, the insurer affording coverage shall provide thirty (30) days’ advance written notice to the City of Richmond.

Attention: Risk Manager.”
Contractor shall maintain in force at all times during the performance of this Contract all appropriate coverage of insurance required by this Contract with an insurance company licensed to offer insurance business in the State of California with a current A.M. Best’s rating of no less than A:VII or Standard & Poor’s Rating (if rated) of at least BBB unless otherwise acceptable to the City. Contractor shall deliver updated insurance certificates to the City at the address set forth in Exhibit C prior to the expiration of the existing insurance certificate for the duration of the term of Contract.

Endorsements naming the City, its City Council, boards, commissions, officials, employees, agents, and volunteers as additional insured shall be submitted with the insurance certificates.

2. COVERAGE REQUIREMENTS: The City’s insurance requirements depend upon the type of service being provided and/or the provider. The City’s insurance requirements will fall into one of the following categories (unless otherwise provided by the City):

Consultants and Contractors – Type 1
Professional Services – Type 2
Environmental Risk/Hazardous Waste Material – Type 3
Lease of City Property – Type 4
Vendors, Suppliers, Small Grant Recipients & Nonprofit Organizations – Type 5 Transportation Providers – Type 6
Professional Services Pyrotechnics – Type 7
Cyber and I.T. Risks – Type 8
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The insurance requirements classification applicable to this Contract shall be attached to this Exhibit F and made a part hereof.

3. FAILURE TO SECURE: If Contractor at any time during the term hereof should fail to secure or maintain the foregoing insurance, the City shall be permitted to obtain such insurance in Contractor’s name or as an agent of Contractor and shall be compensated by Contractor for the costs of the insurance premiums at the maximum rate permitted by law and computed from the date written notice is received that the premiums have not been paid.

4. SUFFICIENCY OF INSURANCE: The insurance limits required by the City are not represented as being sufficient to protect Contractor. Contractor is advised to consult Contractor’s insurance broker to determine adequate coverage for Contractor. The coverage and limits shall be (1) the minimum coverage and limits specified in this Contract; or (2) the broader coverage and maximum limits of the coverage carried by or available to Contractor; whichever is greater.

INSERT INSURANCE REQUIREMENTS CLASSIFICATION APPLICABLE TO THIS CONTRACT: (IF NECESSARY, CONFIRM WITH RISK MANAGER)
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EXHIBIT G

SANCTUARY CITY COMPLIANCE STATEMENT
The undersigned, (hereafter "Contractor"), has had an opportunity to review the requirements of City of Richmond Ordinance 12-18 (hereafter "Sanctuary City Contracting Ordinance" or “SCCO”).

Contractor understands and agrees that the City may choose with whom it will maintain business relations and may refrain from contracting with any person or entity that provides Data Broker or Extreme Vetting services to the U.S. Immigration and Customs Enforcement Division of the United States Department of Homeland Security (“ICE”). Contractor understands the meaning of the following terms used in the SCCO:
a. "Data Broker” means either of the following:
i. The collection of information, including personal information about consumers, from a wide variety of sources for the purposes of reselling such information to their customers, which include both private-sector business and government agencies;
ii. The aggregation of data that was collected for another purpose from that for which it is ultimately used.
b. “Extreme Vetting” means data mining, threat modeling, predictive risk analysis, or other similar services."
Contractor understands that it is not eligible to receive or retain a City contract if at the time the Contract is executed, or at any time during the term of the Contract, it provides Data Broker or Extreme Vetting services to ICE.

Contractor further understands and agrees that Contractor's failure to comply with the SCCO shall constitute a material default of the Contract and the City Manager may terminate the Contract and bar Contractor from bidding on future contracts with the City for five (5) years from the effective date of the contract termination.

By executing this statement, Contractor certifies that it complies with the requirements of the SCCO and that if at any time during the term of the Contract it ceases to comply, Contractor will promptly notify the City Manager in writing. Any person or entity who knowingly or willingly supplies false information in violation of the SCCO shall be guilty of a misdemeanor and subject to a $1,000 fine.

Based on the foregoing, the undersigned declares under penalty of perjury under the laws of the State of California that the foregoing is true and correct.

Printed Name: Title:

Signed: Date:

Business Entity:

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Justification for Utilizing a Piggyback/Cooperative Contract December 1, 2023
Piggyback or Lead Agency: _______City of Stockton_____________________________________ Contract No./Description: 424000022
Vendor(s) Name(s): SwiftComply
Per Chapter 2.52 of the Municipal Code of the City of Richmond, we have reviewed and completed due diligence on the aforementioned piggyback/cooperative contract. As part of the due diligence review, we have confirmed that the contract complies with our procurement rules and practices. We have further confirmed that all purchases will comply with the terms and prices in the contract. It has been determined that it is in the best interests of the City to utilize this contract for the reasons cited below:

Item Issue Comments
1 Is there a Piggyback Purchase Agreement allowing use of the contract? If “Yes”, please attach to this form.

2. Are there local suppliers or contractors who could provide the product or service at competitive rates?

3. A copy of the solicitation has been obtained from the originating agency and reviewed for compliance with the City’s purchasing ordinance. Please attach to this form.

4. A written documentation has been made of a thorough
investigation of the current market and determination that the originating agency's' solicitation is the most advantageous

5. Does the cooperative contract provide the most advantageous solution? Why?
Factors may include advantageous terms, conditions, prices, quality, performance, timing, experience & ability to perform etc.

6. The specifications of the item or service required by the City are not materially different from those originally specified in the originating agency's solicitation

7. The price of the purchase is lower than that estimated for the purchase if made directly by the City pursuant to the purchasing ordinance

8. The price of the purchase is within fifteen percent (15%) or $2,500 of the originating agency's solicitation

9. The contract resulting from the original solicitation is current or the solicitation is within thirty-six (36) months from the date of the City's order, or written justification is provided justifying use of an older solicitation
Signature Date Requisitioner Name
Signature Date Department Head Name
Signature Date Director of Finance Name
Yes
No
Yes
Yes
Yes, NPPGov in place for scope
of work
Yes
Yes
Yes
Yes
Mary Phelps
Daniel Chavarria
Andrea Miller
10/29/2024
10/29/2024
10/29/2024
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REQUEST FOR PROPOSALS (RFP) PUR 23-013

ENVIRONMENTAL CONTROL ENFORCEMENT

SOFTWARE PROGRAM
PROPOSALS WILL BE RECEIVED UNTIL THE HOUR OF 2:00 PM, THURSDAY, MARCH 2, 2023, IN THE OFFICE OF THE CITY CLERK, FIRST FLOOR, CITY HALL, 425 NORTH EL DORADO STREET, STOCKTON, CALIFORNIA 95202-1997 1288
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REQUEST FOR PROPOSALS (RFP)

ENVIRONMENTAL CONTROL ENFORCEMENT SOFTWARE PROGRAM
*Dates and Times are Subject to Change*

RFP INFORMATION
PUR-23-013
Contact Patricia Monesi
Email Address [email protected]
Pre-Submittal Meeting There is no pre-submittal meeting.

MANDATORY/OPTIONAL
Site Tour
There is no site tour.

RFP Submittal
Mailing, Delivery Address
and Electronic Mail
Office of the City Clerk
425 North El Dorado Street, First Floor
Stockton, CA, 95202-1997
[email protected] (if applicable)
Due Date for Questions
and Clarifications
February 2, 2023
Due Date for Response to
Questions/Clarifications
February 14, 2023
RFP Submittal Due Date
& Time
March 2, 2023; 2:00 pm
Please note that some overnight delivery services
do not deliver directly to the City Clerk's Office. This could result in the proposal arriving in the City
Clerk's Office after the proposal opening deadline
and therefore not being accepted.

Short-List Interviews (if
applicable)
TBD
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NOTICE INVITING PROPOSALS
NOTICE IS HEREBY GIVEN that sealed proposals will be received no later than Thursday, March 2, 2023, at 2:00 pm (local time) by the City of Stockton, California for ENVIRONMENTAL CONTROL ENFORCEMENT SOFTWARE PROGRAM – PUR 23 - 013 in strict accordance with the specifications.

The City of Stockton, herein after referred to as the “City”, is requesting proposals from firms or individuals, herein after referred to as “Proponent” to provide a cloud-based, commercial off the shelf program for managing the City’s compliance with EPA requirements for the Environmental Control Division to the City.

Each sealed proposal shall be marked "PROPOSAL" and shall indicate the project name, number, and proposal opening date, and shall be mailed or delivered to the address below at or before the hour stated. Each Proponent must be licensed in accordance with applicable California State Law.

Proposal forms and specifications are available on the City’s website at www.stocktonca.gov/mudbid. Sealed proposals must be delivered to the Office of the City Clerk, City Hall, 425 North El Dorado Street, Stockton, CA 95202 unless electronic mail delivery to [email protected] is applicable. Proponents will only be identified as responding to the RFP; no proposals will be opened or read aloud.

The City reserves the right to reject any/or all proposals received and re-advertise.

For questions about this project, please contact Patricia Monesi at [email protected] or (209) 937-8357.

ELIZA GARZA, CMC, CITY CLERK

CITY OF STOCKTON
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Contents

1.0 BACKGROUND/SUMMARY ................................................................................................................ 1

2.0 SCOPE OF SERVICES .......................................................................................................................... 2

3.0 PROJECT SCHEDULE OF EVENTS........................................................................................................ 6

4.0 SUBMITTAL REQUIREMENTS............................................................................................................. 6

4.1 PROPOSAL GUIDELINES, CONTENT AND FORMAT........................................................................ 6

4.2 COVER LETTER............................................................................................................................... 7

4.3 REFERENCES.................................................................................................................................. 7

4.4 FINANCIAL STATEMENT ................................................................................................................ 8

4.5 CORPORATE STRUCTURE, ORGANIZATION................................................................................... 8

4.6 PROPOSAL FEE .............................................................................................................................. 8

5.0 SELECTION CRITERIA & EVALUATION................................................................................................ 8

6.0 CITY REQUIREMENTS ........................................................................................................................ 9

6.1 CITY RESPONSIBILITIES.................................................................................................................. 9

6.2 LOCAL BUSINESS PREFERENCE...................................................................................................... 9

6.3 MANDATORY/OPTIONAL PRE-SUBMITTAL MEETING................................................................... 9

6.4 TERM............................................................................................................................................. 9

6.5 OTHER GOVERNMENT AGENCIES ................................................................................................. 9

6.6 INSURANCE REQUIREMENTS ......................................................................................................10

6.7 APPLICABLE LAW.........................................................................................................................10

6.8 METHOD OF PAYMENT ...............................................................................................................10

6.9 NOTICE TO OUT OF STATE BUSINESS..........................................................................................10

6.10 CONFIDENTIALITY........................................................................................................................11

6.11 PROTEST POLICY..........................................................................................................................11

6.11.A Protest Procedure ...............................................................................................................11

6.11.B Protest Review ....................................................................................................................11

7.0 GENERAL REQUIREMENTS, TERMS & CONDITIONS........................................................................12

7.1 CONSEQUENCE OF PROPOSAL SUBMISSION..............................................................................12

7.2 ACCEPTANCE OR REJECTION OF PROPOSAL ...............................................................................12

7.3 RIGHT TO CHANGE OR AMEND REQUEST...................................................................................13

7.4 CANCELLATION............................................................................................................................13

7.5 EXAMINATION OF PROPOSAL MATERIALS..................................................................................13

7.6 ADDENDA AND INTERPRETATION...............................................................................................14 1291
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7.7 DISQUALIFICATION......................................................................................................................14

7.8 CONDITIONS IF WORK IS SUBCONTRACTED ...............................................................................14

7.9 LICENSING REQUIREMENTS ........................................................................................................15

7.10 INDEMNITY AND HOLD HARMLESS.............................................................................................15

7.11 COMPETITIVE PRICING................................................................................................................15

7.12 AVAILABLE FUNDING ..................................................................................................................15

7.13 TERMINATION FOR CONVENIENCE.............................................................................................15

7.14 AUDITING CHARGES AND SERVICES............................................................................................15

7.15 CHANGES.....................................................................................................................................15

7.16 AWARD........................................................................................................................................16

8.0 PROPOSAL DOCUMENTS................................................................................................................ 8-1 ATTACHMENT A – PROJECT SUBMITTAL CHECKLIST ............................................................................. 8-2 ATTACHMENT B- PROPONENT’S COVENANT......................................................................................... 8-3 ATTACHMENT C - NON-COLLUSION AFFIDAVIT..................................................................................... 8-4

9.0 PROPOSAL EXHIBITS....................................................................................................................... 9-1

9.1 Exhibit 1 – Fee Schedule Tables................................................................................................. 9-1

9.2 Exhibit 2 – Sample Contract....................................................................................................... 9-1 1292
1 1.0 BACKGROUND/SUMMARY
The City of Stockton is a Charter City incorporated in 1850. The City is the county seat of San Joaquin County and is located in California’s San Joaquin Valley, 78 miles east of the San Francisco Bay Area, 337 miles north of Los Angeles and 40 miles south of Sacramento. The County is bound by Sacramento County to the north and Stanislaus County to the south. Approximately 310,000 residents live in Stockton.

The Stockton Municipal Utilities Department (MUD) manages, operates, and maintains three utility enterprises: Water, Wastewater and Stormwater. Within the Wastewater Utility is the Environmental Control Division.

The Environmental Control Division is tasked with the responsibility of:
• Protecting the wastewater treatment plant and its biological processes from interference, passthrough and sludge contamination. • Protecting collection system workers and treatment plant personnel from exposure to dangerous chemicals and hazardous conditions in the sewer system. • Protecting the collection system and treatment plant from damage due to discharges which may be hazardous, corrosive, explosive, etc.
• Ensuring the wastewater discharges of categorical industrial users and significant industrial users comply with federal, state, and local regulations.

Categorical users include metal finishers, iron and steel manufacturers, paper and paperboard manufacturers, chemical manufacturers, etc. In addition to categorical users, large industrial dischargers with 25,000 gallons per day or more of wastewater flow and/or significant loadings of total suspended solids (TSS) and biochemical oxygen demand (BOD) are regulated through a Significant Industrial User (SIU) permit system. The permits specify conditions for the acceptance of wastewater in the sanitary sewer system, including limits for pollutant concentrations and total wastewater flow. Permit violations are subject to fines and penalties, including the possibility of termination of sewer service. The Environmental Control Section currently maintains approximately 48 Significant Industrial User Permits.

In addition to SIU permits, other smaller industrial users are regulated under Special Permits. Many of these Special Permits may be issued for infrequent discharges or because of potential concerns, such as a growing industry that may become significant or because of the materials processed by the industry.

Currently, 12 Special Permits are maintained in the Section.

The Environmental Control Division regulates truck hauled wastewater through both permits and a manifest system which requires documentation of the source and type of hauled wastewater. There are currently 11 haulers of wastewater, some with multiple trucks, which are permitted to discharge at the Wastewater Treatment Facility.

The Environmental Control Division staff conduct inspections, take samples of wastewater, review selfmonitoring reports, write permits, and enforce permit requirements as specified in Stockton Municipal Code, Chapter 13.08 (Pretreatment Ordinance). The Environmental Control annually conducts approximately 360 inspections, performs 300 sampling events, implements 80 enforcement actions, reviews 500 self-monitoring reports and tracks 2,400 manifests for hauled wastewater. 1293
2 The Environmental Control Division has developed and is implementing the Dental Amalgam Program. In 2017, the Environmental Protection Agency (EPA) enacted pretreatment standards to reduce discharges of dental amalgam containing mercury and other metals from dental offices into the sewer systems of publicly owned treatment works. This includes approximately 150 dental facilities in the City of Stockton area that discharge wastewater to the City of Stockton's sanitary sewer system. The Dental Office Category regulation is contained in the EPA Effluent Guidelines, 40 CFR Part 441, and requires dental offices to use amalgam separators and best management practices recommended by the American Dental Association.

The Environmental Control Division is also tasked with implementing the Fats, Oils and Grease (FOG) Control Program. This program involves inspecting 700+ Food Service Establishments (FSEs) to ensure compliance with Stockton Municipal Code Chapter 13.40 (FOG Control Ordinance). Discharges from FSEs are potential sources for grease related sanitary sewer blockages and overflows in the sewer collection system. FSEs include restaurants, retail markets, institutions, schools, licensed health care facilities, city owned facilities, flea markets and commissaries. Currently, there are approximately 700 FSEs identified within the City's regional wastewater service area, of which approximately 400 have approved grease interceptors.

2.0 SCOPE OF SERVICES
The City is seeking a qualified firm with United States based offices and resources with the with the experience, expertise, and qualifications to provide a single software solution (System) that is a cloud-based, commercial program to automate and streamline the City’s compliance with EPA requirements for all the following programs:
• Industrial Pre-treatment
• Fats, Oil, and Grease (FOG)
• Dental Amalgam
• Septic Hauler
• Sewer Spill Response
Each of these programs have unique monitoring, inspection, and tracking requirements. The program chosen shall have the capabilities to automate the tracking, documentation, and followup needed for each of the above programs in compliance with State and Federal EPA requirements.

The cloud-based program shall be all-inclusive for all of the above programs. User manuals and training shall be provided by the successful proponent in addition to periodic program updates.

The program is required to be a commercial cloud-based program ready to log-in and use, with elements that can be customized. Proposals to develop programs based on our needs are not acceptable and will not be considered.

The successful proponent shall provide migration support to import up to five (5) years historical data (e.g., inspection information, photos, correspondence, violation notices, wastewater infrastructure at industries, underground infrastructure, etc.) from existing systems (which 1294
3 include HTE (IBM AS400), Microsoft Access, and Microsoft Excel). Technical support shall be included in the annual maintenance cost and the successful proponent’s staff must respond to technical support requests within 24-hours.

The high-level goals of implementing a system include:
• Streamline processes through automation, integration, and workflows • Enhance reporting to improve decision making including meeting reporting requirements of the State and Federal EPA
• Increase data integrity and system reliability
• Provide a user friendly and intuitive user interface
• Promote implementation of best practice processes

2.1 System Training Requirements
Proponent shall:
• Specify the amount of training recommended for each level of user. Typical users would be administrators, office data entry, field data entry, etc. There are an estimated 10 users projected at this time.

2.2 General Requirements
The System shall:
• Allow the user to add, update, delete, store, or display information in any module without exiting the initial system.
• Have the ability to selectively download information into Excel, Word, or to standard ASCII format.
• Have querying capabilities that allows the user to sort and filter on essentially all appropriate data in each module.
• Have a reporting system that allows the user to easily print out desired information pertaining to just the records that are queried (as described above) or pertaining to active records or all records in the database.
• Have the ability to store and show images for each module, and name and attach image files to specific records in multiple popular formats. Example: PDF, JPG, etc. • Have user-defined fields for each module to store and track additional information as needed.
• Provide a context-sensitive help selection that can be accessed from any screen, and displays help related to the screen in use.
• Include a comprehensive user’s manual for each user/site license documenting all operations of the system including System Administration functions. Manuals must include sample reports, screen illustrations and instructions, and example problems. 1295
4 • Provide for automatically generated e-mail notification including notification to multiple persons (e.g., registered business, City staff, etc.) via the City’s standard email system, Outlook.
• Provide for text notification (e.g., SMS text), including notification to multiple persons. • Allow the user to name and save developed queries for processing multiple times during future use.
• Remain current with EPA requirements.
• Have application Support provided to trouble-shoot issues as they arise. (Note: thirdparty contractors are not acceptable.)

2.3 Data Integrity and Security Requirements
The System shall:
• Provide an audit trail that captures the user’s ID, a date and time stamp, and before/after values whenever changes are posted to the system database. • Have an “Administrator” module that allows the administrator to set user-level security access to the database.
• Have an administrator module that provides a means to set up user accounts, assign user passwords, and assign users to access-defined groups.
• Permit the ability to provide view, read, write, update, and delete security at multiple levels including menu function, file, record, and field. • Utilize a field sized to capture detailed comments and descriptions throughout the system and have basic word processing features such as word-wrap, spell check, cut, copy, and paste.

2.4 GIS Integration Requirements
• Integration of the system with the City’s Geographic Information System (GIS) is an extremely important part of the overall project. City staff will need to be able to see above-ground and below ground features such as sewer and storm drain lines adjacent to the subject property utilizing the existing GIS system. • The System shall be compatible with the City’s current ESRI products (v ESRI’s ArcGIS Enterprise 10.8.1).
• The System shall be able to import and export data to and from GIS. • The user needs be able to query a location and display in the map frame adjacent sanitary and storm drain infrastructure.
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5 2.5 Reporting Requirements
The System shall:
• Come with report templates “out of the box” ready to use. • Be capable of producing a variety of reports and support ad-hoc queries such as:
• Open Inspections
• Scheduled Inspections
• Inspection History report
• Include an ad-hoc report writer.
• Enable customized reports to be saved by a specific username or employee number. • Have PDF, DOC (MS Word), and XLS (MS Excel) data export options. • Provide reports that meet CAL-EPA and EPA reporting requirements. • Allow for electronic document submittal from outside the City environment (e.g., from industries and facility users outside the City’s internet network). • Have the capability of sending calendar reminders to users outside the City environment of reporting requirements and due dates.

2.6 Field/Mobile System Requirements
The System shall:
• Enable the efficient use of a variety of portable computing devices including: Desktop Computer, Laptop Computer, Pen-based Computer, Handheld Computer, Tablet, and PDA.
• Enable full functionality when using field (portable) equipment including accessing and updating records.

2.7 Ease of Use Requirements
The System shall:
• Provide the ability to move from one module or function without logging into each module (regardless of login privileges) or returning to a “main menu”. • Provide a toolbar with graphical buttons to perform common functions. • Include a comprehensive user’s manual documenting all functions and operations of the system.
• Utilize a Find command function to search for selected data using a variety of simultaneous user-selectable search criteria.
• Visually distinguish between fields that are required, fields that are optional and fields that are display only.
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6 2.8 Ease of Use Questions:
• Does the system have any other integrations and compatibilities with other applications? If yes, proponent shall provide a list describing each of the applications? • Does the system allow the users to define which fields are required and which fields are not required?
• Does the system provide the ability to search the on-line help for a specific topic? • Does the user have the ability to access the on-line help files? • Does the system give clear and concise error messages? Can error messages be customized?
• Does the system allow user level preferences to be setup and saved? • Does the system include a menu item that allows the user to view all open forms and select a form to bring to the top of the workspace?
• Does the system provide help for every form with a brief description of how to use the form?
• Does the system provide a calendar pop-up for date fields? • Does the system documentation include step-by-step demonstrations or training aides for all forms in the system?
• Does the Find command function button have the ability to search the database for a data name in ascending or descending sequence?
• Does the system offer spell-checking features throughout the system? • Does the system allow column titles on data display forms to be changed? • Does the system offer data validation for data entry? For example, street endings Ave and not AV.

3.0 PROJECT SCHEDULE OF EVENTS
The dates indicated on page i of this RFP are the anticipated milestones for this project. All dates are subject to change.

4.0 SUBMITTAL REQUIREMENTS

4.1 PROPOSAL GUIDELINES, CONTENT AND FORMAT
The City of Stockton uses a qualifications-based selection process in obtaining these services. In order for the City to properly evaluate the Proponents’ qualification to perform this work, the proposals shall include, as a minimum, the following information:

A. Evidence of the Proponent’s ability to be responsive to this project in regard to timeliness and expertise, including availability of staff proposed to be assigned.

B. The Proponents are encouraged to expand on the Scope of Work to demonstrate their expertise.

Evaluation of the proposals will be based on qualifications, the experience of staff proposed to be assigned to the project, references, and thoroughness of the Proponent’s response to the Scope of Services.
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7 C. Such additional information that the Proponent may feel would be pertinent to assist the City of Stockton in making its final decision.

D. Please submit one (1) original and 4 copies of your proposal/qualifications. Additionally, submit one (1) electronic version of the proposal via one (1) USB, or emailed electronically to [email protected]. The original should be unbound to allow us to reproduce your proposal, as needed.

E. The proposal must be submitted, typewritten on 8½” X 11” white paper.

F. Material and data not specifically requested for consideration, but which the Proponent wishes to submit must not appear with the Proposal but may appear only in an “Additional Data” section.

This has specific reference to the following types of data: Generalized narrative of supplementary information; and Supplementary graphic material.

G. All proposals must be signed with the full name of the Proponent, if an individual; by an authorized general partner, if a partnership; or by an authorized officer, if a corporation.

H. When proposals are signed by an agent other than an officer of a corporation or a member of a general partnership, a power of attorney authorizing the signature must be submitted with the proposal.

I. Electronic proposal must have wet ink signatures. Modification to a proposal after the proposal submittal deadline will not be accepted by the City.

4.2 COVER LETTER
Submit a letter on your company letterhead addressing the proposal and format. The letter should be signed by an officer of the firm authorized to bind the firm to all comments made in the proposal, and shall include the name, address, phone number and e-mail address of the person(s) to contact who will be authorized to represent your firm.

In no more three (3) pages, the Cover Letter and Executive Summary shall include:

A. The names of the key members of the Proponent team;
B. The mailing address, telephone number, and the name of the main point of contact for the Proponent team;
C. A summary of the consultant’s experience and qualifications as it relates to the Scope of Work of this solicitation and the significant advantages to selecting the Proponent; D. An acknowledgement of receiving any addendum(s) to the solicitation document.

4.3 REFERENCES
Provide a list of references with current contact person, e-mail address and phone number who may be contacted regarding firm performance.

The review team will conduct a background reference review of each respondent. Please include the following information for three (3) projects that the proposed consultant team worked on together:

A. Name of the Project/Study
B. Location of the Project
C. Name, title, and contact information for the client.

D. Project Budget
E. Date of Completion of the Project
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8 4.4 FINANCIAL STATEMENT
The Proponent must be able to demonstrate a good record of performance and have sufficient financial resources to ensure that they can satisfactorily provide the services required herein.

Proponent shall submit a full and detailed presentation of the true condition of the Proponent’s assets, liabilities and net worth. The report should include a balance sheet and income statement. If the Proponent is a new partnership or joint venture, individual financial statements must be submitted for each general partner or joint venture thereof. If firm is a publicly held corporation, the most current annual report should be submitted.

Any Proponent who, at the time of submission, is involved in an ongoing bankruptcy as a debtor, or in a reorganization, liquidation, or dissolution proceeding, or if a trustee or receiver has been appointed over all or a substantial portion of the property of the Proponent under federal bankruptcy law or any state insolvency, may be declared non-responsive.

4.5 CORPORATE STRUCTURE, ORGANIZATION
Describe how your firm is organized, noting major divisions and any parent/holding companies, as well as brief history of the firm and all personnel potentially to be involved in the project including all subconsultants. Designate the Principal in Charge and other key personnel. Include résumés. Also provide a description of the experience your firm has had with similar processes.

4.6 PROPOSAL FEE
Submit the proposal fee under sealed, separate envelope. Fee table located in Exhibit 1. Do not include with the technical proposal response. Provide detailed basic fee structure and break-down of any other charges related to your firm’s proposal as specified. Finalist’s fee structure may be subject to negotiation.

5.0 SELECTION CRITERIA & EVALUATION
The City is interested in selecting a qualified firm with the ability to provide the scope of work described in this solicitation and resulting awarded contract. A key component for the successful firm will be the ability to meet the performance desires of the City while minimizing the cost.

The Evaluation Panel will consist of City of Stockton staff and any other person(s) designated by the City.

Following review of the proposals, the Panel may invite one or more Proponents to make an oral presentation. During these presentations, the Proponent will be allowed to present such information as may be appropriate in order that the Panel can effectively and objectively analyze all materials and documentation submitted as part of the proposals.

Each firm must be represented by an individual who will be the prime contact person to the City and any other individuals whom the firm may select. The highest-rated proposal(s) will then be further scrutinized through financial analysis and reference checks.

Proposals shall be evaluated according to; demonstrated understanding of tasks required, technical approach to specified operations, qualifications of staff, experience of company, demonstrated knowledge of best practices for identified scope, financial business strength and fee schedule proposal.

Proper format and demonstrated experience will merit consideration. 1300
9 To that end, the Panel will evaluate the proposals based on, but not limited to, the following criteria:

1. Proponent’s approach and schedule to provide all services as outlined in the Scope of Services and related documents;

2. Related experience with similar projects, company background and personnel qualifications;

3. Proponent’s Fee Schedule - completed and signed under separate, sealed cover;

4. Proponent’s Covenant;

5. Non-Collusion Affidavit;

6. References;

7. Submitted and signed Addendums;

8. Financials Review;

9. Interview/Presentation, if applicable; and

10. Any other criteria as best suits the City of Stockton.

6.0 CITY REQUIREMENTS

6.1 CITY RESPONSIBILITIES
City will provide all readily available plans, documentation, and data necessary for completing the above tasks.

Staff will be available as needed and will assist with coordination of stakeholder meetings and public outreach.

6.2 LOCAL BUSINESS PREFERENCE
Stockton Municipal Code Section 3.68.090 reads as follows:

Preference shall be given to the purchase of supplies, materials, equipment, and contractual services from local merchants, quality and price being equal. Local merchants who have a physical business location within the boundaries of San Joaquin County, and who have applied for and paid a business license tax and registration fee pursuant to Stockton Municipal Code Title 5, Chapter 5.08, License Taxes, shall be granted two (2) percent bid preference. Local merchants who have a physical business location within the boundaries of the City of Stockton, and who have applied for and paid a business license tax and registration fee pursuant to Stockton Municipal Code Title 5, Chapter 5.08, License Taxes, shall be granted five (5) percent bid preference. This section is intended to provide preference in the award of certain City contracts in order to encourage businesses to move into and expand within the City. (Ord. 2014-03-18- 1601 C.S. § 1; prior code § 3-106.1)

6.3 MANDATORY/OPTIONAL PRE-SUBMITTAL MEETING
There is no mandatory/optional pre-submittal meeting.

6.4 TERM
The City intends to award a five (5) year term for this contract.

6.5 OTHER GOVERNMENT AGENCIES
If mutually agreeable to all parties, the use of any resultant contract/purchase order may be extended to other political subdivisions, municipalities, or tax supported agencies. 1301
10 Such participating governmental bodies shall make purchases in their own name, make payment directly to successful Proponent and be liable directly to the successful Proponent, holding the City of Stockton harmless.

6.6 INSURANCE REQUIREMENTS
Proponent, at Proponent’s sole cost and expense and for the full term of the resultant contract or any extension thereof, shall obtain and maintain at least all of the insurance requirements listed in attached Exhibit B.

All coverage shall be provided by a carrier authorized to transact business in California and shall be primary. All policies, endorsements, and certificates shall be subject to approval by the Risk Manager of the City to Stockton as to form and content. These requirements are subject to amendment or waiver if so approved in writing by the Risk Manager.

Maintenance of proper insurance coverage is a material element of this contract, and failure to maintain or renew coverage or to provide evidence of renewal may be treated as a material breach of contract.

The Proponent shall assert that these insurance requirements will be met as part of their proposal response. Failure to comply with these insurance requirements may result in a proposal being deemed unresponsive. Proponent shall satisfy these insurance requirements concurrently with the signing of the contract prior to commencement of work. It is strongly suggested that insurance requirements be reviewed with Proponent’s broker to ensure any additional costs are included in the proposal pricing component.

Any questions pertaining to insurance requirements, please contact City of Stockton Risk Services at (209) 937-5037.

6.7 APPLICABLE LAW
Applicable law shall be governed by the laws of the State of California. Venue shall be proper in the Superior Court of the State of California, County of San Joaquin, Stockton Branch, or, for actions brought in Federal Court, the United States District Court for the Eastern District of California, Sacramento Division.

Deliverables must conform with all applicable federal, state, and local laws. Such conformity includes compliance with federal sanctions, and Contractor certifies that it has not and will not engage in prohibited transactions with sanctioned persons or entities.

6.8 METHOD OF PAYMENT
Payment will be made within thirty (30) days after invoices are received and accepted by the City.

Invoices are to be rendered monthly, unless prescribed differently per contract.

6.9 NOTICE TO OUT OF STATE BUSINESS
It is the policy of the City of Stockton to pay all applicable California sales/use tax directly to the State Board of Equalization (BOE) pursuant to California Revenue and Taxation Code 7051.3. The City of Stockton will self-accrue all sales/use tax on purchases made from out-of-state business, unless documentation is provided by Proponent evidencing the business is registered with the state of California.

Sales and use tax on purchases made by the City of Stockton from all companies located outside California, not registered with the state and whose products are shipped from out of state will be remitted to the 1302
11 BOE directly by the City under permit number SR KHE 28-051174 DP. Please do not include sales/use tax on the invoice that you submit to the City of Stockton.

Questions regarding the City of Stockton’s payment of sales/use tax can be directed to the City of Stockton’s Procurement Division at (209) 937-8357.

6.10 CONFIDENTIALITY
If Proponent believes that portions of a proposal constitute trade secrets or confidential commercial, financial, geological, or geophysical data, then the Proponent must so specify by, at a minimum, stamping in bold red letters the term "CONFIDENTIAL" on that part of the proposal which the Proponent believes to be protected from disclosure. The Proponent must submit in writing specific detailed reasons, including any relevant legal authority, stating why the Proponent believes the material to be confidential or a trade secret. Vague and general claims as to confidentiality will not be accepted. The City will be the sole judge as to whether a claim is general and/or vague in nature. All offers and parts of offers that are not marked as confidential may be automatically considered public information after the contract is awarded. The Proponent is hereby put on notice that the City may consider all or parts of the offer public information under applicable law even though marked confidential.

6.11 PROTEST POLICY
Protest and Appeal Procedures. In order to maintain fairness and impartiality, the City of Stockton has established a solicitation protest policy and procedure.

6.11.A Protest Procedure

6.11.1 All protests must be in writing and stated as a formal protest.

6.11.2 A casual inquiry, complaint, or a statement of intent to protest that does not provide the facts and issues and does not comply with the content requirements or deadlines, will not be considered or acted upon as a protest.

6.11.3 The protest must contain a complete statement of the basis for the protest and must include all relevant supporting documentation.

6.11.4 The solicitation process and procedures, including evaluation criteria, shall not be proper grounds for protest. Concerns related to the solicitation process and procedures, including evaluation criteria, should be raised and addressed, if at all, prior to the bid/proposal due date and time to allow adjustments before evaluation of the solicitation.

6.11.5 Protests must be filed with the City's Chief Financial Officer, or designee, at the address listed in the Solicitation Protest FAQ sheet and Procurement Procedure Manual, not later than five (5) days after the date the City mails the Letter of Intent to Award.

6.11.6 Deliveries of the protest by hand, mail, email or fax are acceptable.

6.11.7 The City is not responsible for lost or misplaced protests, or to assure the protest is received within the protest deadlines

6.11.8 The party challenging the award decision to bear the burden of proof of material error to justify invalidation of the proposed award.

6.11.B Protest Review

6.11.1 The Chief Financial Officer or designee shall respond in writing at least generally to each material issue raised in the protest.
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12 6.11.2 The Chief Financial Officer's, or designee 's, administrative decision may be appealed in writing to the City Manager no later than (5) business days after the date the Chief Financial Officer's, or designee's, the decision is mailed to the protesting party.

6.11.3 The City Manager shall review and decide the appeal based on the grounds and documentation set forth in the original protest to the Chief Financial Officer, or designee.

6.11.4 Each party shall bear its own costs and expenses involved in the protest and appeal process, including any subsequent litigation.

6.11.5 The City Manager's administrative decision is final. After the City Manager issues the final administrative decision, the time in which judicial review of the decision must be sought shall be governed by California Code of Civil Procedure Section 1094 or as such section may be amended from time to time.

6.11.6 If the protested procurement involves state or federal funds, the Chief Financial Officer, or designee, shall give notice to the interested party that he or she has the right to appeal to the appropriate agency, which shall be identified by name and address. An appeal hereunder shall be filed with the appropriate agency within five (5) working days of the dispatch of rejection notices to the interested party(ies).

6.11.7 The City may require the protesting party to submit a City Council approved non-refundable protest fee to cover the administrative cost of processing the protest.

Bidders, Proponents, and contractors wishing to protest or appeal a procurement or contracting decision by the City must follow the procedures provided by this section. The City will not review protests or appeals that are not submitted in accordance with these provisions and procedures.

A copy of this policy can be requested from the procurement specialist by emailing [email protected].

7.0 GENERAL REQUIREMENTS, TERMS & CONDITIONS

7.1 CONSEQUENCE OF PROPOSAL SUBMISSION
A. The City shall not be obligated to respond to any proposal submitted nor be legally bound in any manner by the submission of a proposal.

B. Acceptance by the City of a proposal obligates the Proponent to enter into an agreement with the City.

C. An agreement shall not be binding or valid against the City unless or until it is executed by the City and the Proponent.

D. Statistical information contained in these documents is for informational purposes only. The City shall not be responsible for the accuracy of said data. City reserves the right to increase or decrease the project scope.

7.2 ACCEPTANCE OR REJECTION OF PROPOSAL
A proposal shall be prepared and submitted in accordance with the provisions of these RFP instructions and specifications. Any alteration, omission, addition, variance, or limitation of, from, or to a proposal may be sufficient grounds for rejection of the proposal. The City has the right to waive any defects in a 1304
13 proposal if the City chooses to do so. The City may not accept a proposal if any document or item necessary for the proper evaluation of the proposal is incomplete, improperly executed, indefinite, ambiguous, or missing.

The City reserves the right to select the successful proposal and negotiate an agreement as to the scope of services, the schedule for performance and duration of the services with Proponent whose proposal is most responsive to the needs of the City. Further, the City reserves the right to reject any and all proposals, or alternate proposals, or waive any informality or irregularity in the proposal as is in the City's best interest.

The City reserves the right to reject any and all proposals, or portions thereof, received in response to the solicitation or to negotiate separately with any source whatsoever, in any manner necessary, to serve the best interests of the City. Additionally, the City may, for any reason, decide not to award an agreement as a result of this RFP.

Non-acceptance of any proposal shall not imply that the proposal was deficient. Rather, non-acceptance of any proposal will mean that another proposal was deemed to be more advantageous to the City or that the City decided not to award an agreement as a result of this RFP.

7.3 RIGHT TO CHANGE OR AMEND REQUEST
The City reserves the right to change the terms and conditions of this RFP. The City will notify potential Proponent of any material changes by posting on the City’s website. No one is authorized to amend any of the RFP requirements in any respect, by an oral statement, or to make any representation or interpretation in conflict with its provisions. If necessary, supplementary information and/or clarifications/questions/answers will be posted on the City’s website at www.stocktonca.gov/mudbid.

Failure of any Proponent to not have received such information and/or clarifications/questions/answers shall not relieve such Proponent from any obligation under his/her proposal as submitted.

Any exceptions to this Proposal shall be clearly stated in writing.

7.4 CANCELLATION
The City reserves the right to rescind award of the contract at any time before execution of the contract by both parties if rescission is deemed to be in City’s best interest. In no event shall City have any liability for the rescission of award. The Proponent assumes the sole risk and responsibility for all expenses connected with the preparation of its proposal.

7.5 EXAMINATION OF PROPOSAL MATERIALS
The submission of a proposal shall be deemed a representation and warranty by the Proponent that it has investigated all aspects of the RFP, that it is aware of the applicable facts pertaining to the RFP process and its procedures and requirements, and that it has read and understands the RFP. No request for modification of the provisions of the proposal shall be considered after its submission on the grounds the Proponent was not fully informed as to any fact or condition. Statistical information which may be contained in the Solicitation or any addendum is for informational purposes only. The City disclaims any responsibility for this information which may subsequently be determined to be incomplete or inaccurate. 1305
14 7.6 ADDENDA AND INTERPRETATION
The City will not be responsible for, nor be bound by, any oral instructions, interpretations, or explanations issued by the City or its representatives. Any request for clarifications, questions, or answers of this RFP shall be made in writing/e-mail and deliverable to:

CITY OF STOCKTON
ATTN: PATRICIA MONESI

PROCUREMENT DIVISION
400 E MAIN, 3RD FLOOR
STOCKTON, CA 95202
[email protected]
Such request for clarifications/questions/answers shall be delivered to the City in accordance with the date identified on page i of this Solicitation. Any City response to a request for clarifications/questions/answers will be posted on the City’s website at www.stocktonca.gov/mudbid the date identified on page i of this Solicitation, and will become a part of the Solicitation. The Proponent should await responses to inquiries prior to submitting a proposal. .

7.7 DISQUALIFICATION
a. Any of the following may be considered cause to disqualify a Proponent without further consideration:
b. Evidence of collusion among Proponents;
c. Any attempt to improperly influence any member of the evaluation panel; d. Any attempt to communicate in any manner with a City of Stockton elected official during the RFP process will, and shall be, just cause for disqualification/rejection of Proponent’s proposal/Proponent’s bid submittal and considered non-responsive. e. A Proponent's default in any operation of a professional services agreement which resulted in termination of that agreement; and/or
f. Existence of any lawsuit, unresolved contractual claim, or dispute between Proponent and the City.
g. No person, firm, or corporation shall be allowed to make or file or be interested in more than one bid for the same supplies, services, or both; provided, however, that subcontract bids to the principal bidders are excluded from the requirements of this section: Section

3.68.120 of the Municipal Code.

7.8 CONDITIONS IF WORK IS SUBCONTRACTED
The Proponent assumes full responsibility, including insurance and bonding requirements, for the quality and quantity of all work performed.

If Proponent's supplier(s) and/or subcontractor's involvement requires the use of a licensed, patented, or proprietary process, the proponent of the process is responsible for assuring that the subcontractor, supplier, and/or operator have been properly authorized to use the process or for providing another process which is comparable to that which is required prior to submission of a proposal. 1306
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Any professional certifications or licenses that may be required to perform the scope of work will be the sole cost and responsibility of the successful Proponent.

A City of Stockton Business license may be required for this project. Please contact the City of Stockton Business License Division at (209) 937-8313.

7.10 INDEMNITY AND HOLD HARMLESS
To the fullest extent permitted by law, Contractor shall hold harmless, defend and indemnify City of Stockton and its officers, officials, employees and volunteers from and against any and all liability, loss, damage, expense, costs (including without limitation costs and fees of litigation) of every nature arising out of or in connection with Contractor’s performance of work hereunder or its failure to comply with any of its obligations contained in the agreement, except such loss or damage which was caused by the sole negligence or willful misconduct of the City of Stockton. This obligation is independent of, and shall not in any way be limited by, the minimum Insurance obligations contained in this agreement. These obligations shall survive the completion or termination of this agreement.

7.11 COMPETITIVE PRICING
Proponent warrants and agrees that each of the charges, economic or product terms or warranties granted pursuant to this Contract are comparable to or better than the equivalent charge, economic or product term or warranty being offered to any similarly situated commercial or other government customer of Proponent. If Proponent enters into any arrangements with another customer of Proponent to provide product under more favorable charges, economic or product terms or warranties, Proponent shall immediately notify City of such change and this Contract shall be deemed amended to incorporate the most favorable charges, economic or product terms or warranties.

7.12 AVAILABLE FUNDING
Any contract which results from this RFP will terminate without penalty at the end of the fiscal year in the event funds are not appropriated for the next fiscal year. If funds are appropriated for a portion of the fiscal year, this contract will terminate without penalty, at the end of the term for which funds are appropriated.

7.13 TERMINATION FOR CONVENIENCE
The City may terminate the resultant Agreement for convenience at any time by mailing a notice in writing to the Contractor.

7.14 AUDITING CHARGES AND SERVICES
The City reserves the right to periodically audit all charges and services made by the successful Proponent to the City for services provided under the contract. Upon request, the Proponent agrees to furnish the City with necessary information and assistance.

7.15 CHANGES
The City’s Representative has the authority to review and recommend or reject change orders and cost proposals submitted by the Proponent or as recommended by the Proponent’s project manager, pursuant 1307
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7.16 AWARD
Upon conclusion of the Solicitation process, the City may award a contract may for services identified in the Solicitation. The City reserves the right to select the successful Proponent and to negotiate terms of a contract with the Proponent whose proposal is most responsive to the needs of the City. Further, the City reserves the right to reject any and all proposals, or alternate proposals, or waive any informality in the proposal as is in the City's best interest.
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8.0 PROPOSAL DOCUMENTS

ENVIRONMENTAL CONTROL ENFORCEMENT SOFTWARE PROGRAM
PUR-23-013
SUBMITTAL DUE: THURSDAY, MARCH 2, 2023 AT 2:00 PM
RFP Submittal
Mailing, Delivery Address
and Electronic Mail
Office of the City Clerk
425 North El Dorado Street, First Floor
Stockton, CA, 95202-1997
[email protected] (if applicable)
Proponent Business Name
Proponent Contact Name
Proponent Address
Proponent Phone Number
Proponent Email Address
Department of Industrial
Relations ID Number (if
applicable)
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ATTACHMENT A – PROJECT SUBMITTAL CHECKLIST
THIS CHECKLIST IS FOR PROVIDED FOR YOUR CONVENIENCE ONLY. IT IS NOT REQUIRED TO BE SUBMITTED WITH PROPOENT PROPOSAL.
 Complete the following proposal attachments (FROM THIS PACKET ONLY SUBMIT PAGES FROM SECTION 8 AND PLACE IN THE FRONT OF YOUR PROPOSAL).
 Sign and notarize by jurat certificate the "Non-Collusion Affidavit" form. An "All-Purpose Acknowledgment" form will not be sufficient.
 Complete and sign a "Proponent's Fee Schedule" form, Exhibit 1, (under separate cover).  Sign the "Proponent’s Covenant" form. Include (with proposal) name and e-mail address for City contact, if different from signatoree.
 Include your proposal, as outlined in these specifications.  Submit one (1) ORIGINAL (unbound, no staples) and 4 COPIES of all proposal documents.

Additionally, submit one (1) USB with an electronic version of the proposal or electronically to [email protected].
 Review, print and sign all clarifications/questions/answers on the City’s website at www.stocktonca.gov/mudbid and submit with proposal response.  Use Section 8.0 Proposal Documents to deliver sealed proposal timely to City Hall, City Clerk's Office (1st floor), 425 North El Dorado Street, Stockton, CA 95202.

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ATTACHMENT B- PROPONENT’S COVENANT
In submitting this proposal, as herein described, the Proponent agrees that:

1. They have carefully examined the Scope of Work and all other provisions of this document and understand the meaning, intent and requirements of same.

2. They will enter into contract negotiations and furnish the services specified.

3. They have signed and notarized the attached Non-Collusion Affidavit form, whether individual, corporate or partnership. Must be ‘A Jurat’ notarization.

4. They have reviewed all clarifications/questions/answers on the City’s website at www.stocktonca.gov/mudbid.

5. Confidentiality: Successful Proponent hereby acknowledges that information provided by the City is personal and confidential and shall not be used for any purpose other than the original intent outlined in the Request for Proposal. Breach of confidentiality shall be just cause for immediate termination of contract agreement.

FIRM

ADDRESS

SIGNED BY & DATE

TITLE OR AGENCY

PHONE/FAX NUMBER
EMAIL
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ATTACHMENT C - NON-COLLUSION AFFIDAVIT
No. 1 AFFIDAVIT FOR INDIVIDUAL PROPONENT
STATE OF ____________, )ss.

County of )
(insert)
being first duly sworn, deposes and says: That on behalf of any person not named herein; that said Proponent has not colluded, conspired, connived or agreed, directly or indirectly with, or induced or solicited any other bid or person, firm or corporation to put in a sham bid, or that such other person, firm or corporation shall or should refrain from bidding; and has not in any manner sought by collusion to secure to themselves any advantage over or against the City, or any person interested in said improvement, or over any other Proponent.
(Signature Individual Proponent)
Subscribed and sworn to (or affirmed) before me on this day of , 20 by , proved to me on the basis of satisfactory evidence to be the person(s) who appeared before me.

Seal __________________________________________
Signature ____________________________
No. 2 AFFIDAVIT FOR CORPORATION PROPONENT
STATE OF ____________, )ss.

County of )
(insert)
being first duly sworn, deposes and says: That they
are the of a corporation, which
corporation is the party making the foregoing bid, that such bid is genuine and not sham or collusive, or made in the interest or behalf of any person not named herein; that said Proponent has not colluded, conspired, connived or agreed, directly or indirectly with, or induced or solicited any other bid or person, firm or corporation to put in a sham bid, or that such other person, firm or corporation shall or should refrain from bidding; and has not in any manner sought by collusion to secure to themselves any advantage over or against the City, or any person interested in said improvement, or over any other Proponent.
(Signature Corporation Proponent)
Subscribed and sworn to (or affirmed) before me on this day of , 20 by ______, proved to me on the basis of satisfactory evidence to be the person(s) who appeared before me.

Seal _____________________________
Signature ____________________________
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No. 3 AFFIDAVIT FOR FIRM, ASSOCIATION, OR CO-PARTNERSHIP STATE OF _____________, )ss.

County of )
(insert)
, each being first duly sworn, depose and say: That they are a member of the firm, association or co-partnership, designated as _____who is the party making the foregoing bid; that the other partner, or partners, are that such bid is genuine and not sham or collusive, or made in the interest or behalf of any person not named herein; that said Proponent has not colluded, conspired, connived or agreed, directly or indirectly with, or induced or solicited any other bid or person, firm or corporation shall or should refrain from proposing; and has not in any manner sought by collusion to secure to themselves any advantage over or against the City, or any person interested in said improvement, or over any other Proponent. (Signature)
(Signature)
Subscribed and sworn to (or affirmed) before me on this day of , 20 by , proved to me on the basis of satisfactory evidence to be the person(s) who appeared before me.

Seal
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9.0 PROPOSAL EXHIBITS

9.1 Exhibit 1 – Fee Schedule Tables
Enter any additional technical, performance or functional specifications for the request.

9.2 Exhibit 2 – Sample Contract
Any major provision changes to the sample contract should be submitted by the Proponent along with the proposal response.
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SwiftComply Service Agreement
This SwiftComply Service Agreement (the “Agreement”) is made and entered into by and between SwiftComply, Inc. (“SwiftComply”), a Delaware corporation with its principal offices at 6701 Koll Center Pkwy Suite 250, Pleasanton, CA 94566 and Customer (as defined in the applicable SwiftComply Service Order) (each a “Party” and collectively the “Parties”). This Agreement governs the terms and conditions under which Customer may utilize the SwiftComply Service as set forth herein and as specified in one or more applicable SwiftComply Service Order(s) executed by Customer in connection herewith and incorporated herein (the “SwiftComply Service Order(s)”).

WHEREAS SwiftComply owns and operates the SwiftComply Service, a Web-based SaaS solution that includes a variety of SwiftComply Module(s) and provides various features and functionality via such SwiftComply Module(s); and WHEREAS Customer wishes to utilize the SwiftComply Service in order to help optimize Customer’s regulatory programs as well as to leverage the functionality of such SwiftComply Module(s);
NOW THEREFORE, in consideration of the mutual covenants contained herein and other good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, SwiftComply and Customer hereby agree as follows:
1) Definitions. Capitalized terms used in this Agreement, and not otherwise defined herein, shall have the following meanings:

1.1) "Account" means an access point for the SwiftComply Service that requires registration by the Customer.

1.2) “SwiftComply API” means an Application programming interface that provides access to specified content and functionality within certain SwiftComply Modules.

1.3) “SwiftComply Modules” means collectively all of the Web Applications hosted by SwiftComply and available via the SwiftComply Service, including but not limited to:
a) SwiftComply Backflow: An Application that enables Cross Connection Control Environmental Program Management. b) SwiftComply Reclaimed Water: An Application that enables Reclaimed/Recycled/Auxiliary Water Program Management. c) SwiftComply Pretreatment: An Application that enables Industrial Pretreatment Program Management. d) SwiftComply FOG: An Application that enables Fat, Oils & Greases Environmental Program Management. e) SwiftComply Stormwater: An Application that enables Stormwater Environmental Program Management. f) SwiftComply Forms: An Application that provides a workflow automation platform that allows Customer to create web-based forms for their internal operations and for their constituents to transact with Customer. g) SwiftComply Multi-Modules: An Application that provides dashboards and reporting across multiple SwiftComply Modules.

All features, functionality, reports, etc. for each SwiftComply Module are included as material elements of the applicable SwiftComply Module. SwiftComply may modify, combine, add or delete SwiftComply Modules from the SwiftComply Service from time to time at its sole discretion, provided that in the event that SwiftComply terminates or deletes any SwiftComply Module to which Customer is actively subscribing, SwiftComply shall provide a pro-rata refund for applicable portion of the Subscription Service Fee for the remainder of the then current Service Period.

1.4) “SwiftComply Data” means any aggregated and normalized key metrics and data collected by SwiftComply for the delivery of the SwiftComply Service.

1.5) “SwiftComply Service” means the complete set of SwiftComply software and related materials including but not limited to the SwiftComply Modules, SwiftComply Data, SwiftComply Websites, the Documentation and the Software.

1.6) “SwiftComply Web Site” means the Websites owned and operated by SwiftComply and made available at the following URL:
http://customer.swiftcomply.com, https://customer.c3swift.com/, and/or any successor site(s).

1.7) “Customer Data” means any data provided to SwiftComply by or on behalf of Customer or any data entered or uploaded into the SwiftComply Service by or on behalf of Customer, including Sensitive Data entered or provided by Customer. Customer Data specifically excludes SwiftComply Data as well as any anonymized, customized, modified or derivative works related to the Customer Data.

1.8) “Customer State” means the state, commonwealth or territory in which the Customer is located.

1.9) “Customer Web Site” means any Web site owned and operated by Customer.

1.10) "Documentation" means any accompanying proprietary documentation made available to Customer by SwiftComply for use with the SwiftComply Service, including any documentation available online or otherwise.

1.11) “Sensitive Data: means any Customer Data that may reasonably be deemed sensitive and/or private in nature, including but not limited to personal wage garnishments, individual healthcare-related expenses, data protected by HIPAA, etc.

1.12) "Software" means the source code and/or other code which are material elements of the SwiftComply Modules and SwiftComply Service. 2) Service Usage & Licenses.

2.1) Account Password and Security. Customer shall protect its passwords and take full responsibility for Customer's own, as well as any third-party, use of the Customer Account(s). Customer is solely responsible for any and all activities that occur under such Customer Account(s), except for any activities performed by SwiftComply as set forth herein. Customer agrees to notify SwiftComply immediately upon learning of any unauthorized use of a Customer Account or any other breach of security. From time to time, SwiftComply's support staff may log in to the Customer Account in order to maintain or improve service, including providing Customer assistance with technical or billing issues. Customer hereby acknowledges and consents to such access.

2.2) SwiftComply License. Subject to the terms and conditions of this Agreement and as specifically set forth in the applicable SwiftComply Service Order(s), SwiftComply grants Customer a limited, revocable, non-exclusive, non-transferable, non-distributable, worldwide license to utilize the SwiftComply Service for the following functionality:
a) Content Delivery. Customer may integrate, link and publish applicable public-facing content from the applicable SwiftComply Modules SwiftComply, Inc. Service Agreement ver. 08.01.22 Page 1 of 4 1327
within one or more Customer Web Site(s);
b) Application Access. Customer may access the SwiftComply Modules via Customer’s Account to utilize the functionality provided within such SwiftComply Modules; and
c) API Access. Customer may access the SwiftComply API to share data from the SwiftComply Modules within one or more Customer(s) database(s).
3) Term and Termination.

3.1) Term. The duration of this Agreement shall be defined in accordance with the Term set forth in all applicable Service Order(s). The Term shall commence upon the Start Date set forth in the first SwiftComply Service Order executed between the Parties and shall continue in full force and effect until the termination or expiration of all applicable SwiftComply Service Order(s) (the “Term”).

3.2) Termination. This Agreement and/or any applicable SwiftComply Service Order may be terminated prior to the expiration of the term as follows:
a) Either Party may terminate this Agreement if the other Party fails to cure a material breach of the Agreement within fifteen (15) days after receipt of written notice thereof.
b) Either Party may terminate this Agreement if the other Party is involved in insolvency proceedings, receivership, bankruptcy, or assignment for the benefit of creditors.

3.3) Obligations. Upon expiration or termination of this Agreement:
a) Each Party shall promptly return to the other all of the Confidential Information of the other Party in its possession or control; b) Customer shall cease use of the SwiftComply Service and shall remove all links from the Customer Web Site(s) to any content provided by the SwiftComply Modules; and
c) Any outstanding fees shall become immediately due and payable, and termination of this Agreement shall not relieve Customer from its obligation to pay to SwiftComply any such fees.

3.4) Survival. Sections 3.3, 3.4 and 4 through 8 inclusive shall survive any termination or expiration of this Agreement. 4) Fees and Billing.

4.1) Fees. Customer shall pay the Fees in accordance with the terms set forth in the applicable SwiftComply Service Order.

4.2) Interest and Collections. Customer will be charged $50 for payments by checks that are returned due to insufficient funds. Any late payments will accrue interest equal to one and one-half percent (1.5%) per month, or the maximum amount allowable under law, whichever is less, compounded monthly. SwiftComply shall be entitled to recover all reasonable costs of collection (including agency fees, attorneys’ fees, in-house counsel costs, expenses and costs) incurred in attempting to collect payment from Customer.

4.3) Taxes. Customer is solely responsible for all applicable sales, use and other taxes and similar charges based on or arising from this Agreement or any SwiftComply Service Order. In the event that Customer is exempt from sales tax, Customer will provide SwiftComply with a tax-exempt certificate upon request.
5) Intellectual Property.

5.1) General. Both Parties may only use the other Party’s intellectual property as expressly set forth herein. Nothing in this Agreement shall be construed in any manner to affect or modify either Party’s ownership rights in any pre existing or future works, trademarks, copyrights or technologies developed or created by either Party, including without limitation, their respective proprietary software used in connection with the development and provision of their respective Websites, databases, systems, products and/or services. Unless specifically agreed by the Parties in writing, all intellectual property, including without limitation information that could become the subject of a patent, copyright or trade secret, developed by a Party in the context of performing its obligations under this Agreement shall be exclusively owned by that Party and the other Party shall cooperate with any reasonable requests to execute documents confirming such ownership.

5.2) Data Ownership and License.
a) Customer represents and warrants that it has obtained all data subjects’ consent or otherwise has the full legal right necessary to provide the Customer Data to SwiftComply for SwiftComply’s use as contemplated by this Agreement. Customer acknowledges that SwiftComply shall have no legal liability for its use and/or the display of the Customer Data as contemplated by this Agreement. b) Customer represents and warrants that Customer shall not provide or enter Sensitive Data to be displayed in any publicly available element of the SwiftComply Service. To the extent that Customer enters or uploads any Sensitive Data into the SwiftComply Service, Customer shall assume full responsibility for the disclosure of such Sensitive Data. SwiftComply is under no obligation to review and/or verify whether or not Customer Data includes Sensitive Data. c) Customer Data shall remain the property of Customer, and Customer hereby grants SwiftComply a limited, perpetual, irrevocable and royalty-free right to use, copy, modify, and display the Customer Data within any SwiftComply Module(s) and for the purpose of providing the SwiftComply Service.

5.3) Proprietary Rights Notice. The SwiftComply Service and all intellectual property rights in the SwiftComply Service are, and shall remain, the property of SwiftComply. All rights in and to the SwiftComply Service not expressly granted to Customer in this Agreement are hereby expressly reserved and retained by SwiftComply without restriction, including, without limitation, SwiftComply's right to sole ownership of the SwiftComply API, SwiftComply Modules, SwiftComply Data, SwiftComply Websites, Documentation and Software. Without limiting the generality of the foregoing, Customer agrees not to (and to not allow any third party to): (a) sublicense, copy, distribute, rent, lease, lend or use the SwiftComply Service outside of the scope of the license granted herein or make the SwiftComply Service available to any third party or use the SwiftComply Service on a service bureau time sharing basis; (b) copy, modify, adapt, translate, prepare derivative works from, reverse engineer, disassemble, or decompile the SwiftComply Service or otherwise attempt to discover or reconstruct any source code, underlying ideas, algorithms, file formats, program interfaces or other trade secrets related to the SwiftComply Service; (c) use the trademarks, trade names, service marks, logos, domain names and other distinctive brand features or any copyright or other proprietary rights associated with the SwiftComply Service for any purpose without the express written consent of SwiftComply; (d) register, attempt to register, or assist anyone else to register any trademark, trade name, service marks, logos, domain names and other distinctive brand features, copyrights or other proprietary rights associated with SwiftComply other than in the name of SwiftComply; or (e) modify, remove, obscure, or alter any notice of copyright, trademark, or other proprietary right or legend appearing in or on any item included with the SwiftComply US OpCo, Inc. Service Agreement ver. 01.01.2023 Page 2 of 4 1328
SwiftComply Service. If the use of the SwiftComply Service is being purchased by or on behalf of the U.S. Government or by a U.S.

Government prime contractor or subcontractor (at any tier), in accordance with 48 C.F.R. 227.7202-4 (for Department of Defense (DOD) acquisitions) and 48 C.F.R. 2.101 and 12.212 (for non-DOD acquisitions), the Government's rights in the SwiftComply Service, including its rights to use, modify, reproduce, release, perform, display or disclose any elements of the SwiftComply Service, will be subject in all respects to the commercial license rights and restrictions provided in this Agreement. 6) Representations, Warranties, Indemnification and Liability.

6.1) By SwiftComply. SwiftComply represents and warrants that: (i) the SwiftComply Service shall be provided in accordance with, and shall not violate applicable laws, rules or regulations; and (ii) by using the SwiftComply Service, Customer will not violate or in any way infringe upon the personal or proprietary rights of any third party, (iii) to SwiftComply’s knowledge, the SwiftComply Service does not contain any virus, worm, Trojan horse, time bomb or similar contaminating or destructive feature; and (iv) SwiftComply holds all necessary rights to permit the use of the SwiftComply Service and all components thereof provided to Customer under this Agreement.

6.2) By Customer. Customer represents and warrants that: (i) it has all right, title, and interest in and to the Customer Data necessary for its use in connection with the SwiftComply Service; and (ii) it shall not use the SwiftComply Service in a manner or in connection with any activity that would violate this Agreement or any law, rule or regulation or rights of any third party.

6.3) By Both. SwiftComply and Customer both represent and warrant that (i) each has full power and authority to enter into and perform its obligations under this Agreement; (ii) this Agreement is a legal, valid and binding obligation, enforceable against each Party in accordance with its terms; and (iii) entering into this Agreement will not knowingly violate the Agreement or any laws, regulations or third-party contracts.

6.4) Indemnification by SwiftComply. At SwiftComply’s cost, SwiftComply agrees to indemnify, hold harmless and defend Customer against any cost, loss or expense (including attorney’s fees) resulting from any claims by third parties for loss, damage or injury (each, a “Claim”) arising out of or relating to (i) SwiftComply’s breach of any term, condition, representation or warranty of this Agreement, (ii) SwiftComply’s violation of any third party rights in connection with the SwiftComply Service or (iii) SwiftComply’s violations of applicable laws, rules or regulations in connection with the SwiftComply Service. In such a case, Customer will provide SwiftComply with written notice of such Claim. Customer shall cooperate as fully as reasonably required in the defense of any Claim. Customer reserves the right, at its own expense, to assume the exclusive defense and control of any matter subject to indemnification by SwiftComply. Notwithstanding the foregoing, unless the settlement involves no cost, loss or continuing liability to Customer, SwiftComply shall not settle any Claim, without the written consent of Customer, such consent not to be unreasonably withheld.

6.5) Limited Warranty. SwiftComply warrants that the SwiftComply Service will be delivered in a professional and workmanlike manner substantially in accordance with the statement of work set forth in the applicable SwiftComply Service Order and that the SwiftComply Service will operate in all material respects as described in its product descriptions and/or documentation. EXCEPT FOR THE EXPRESS WARRANTIES STATED IN THIS AGREEMENT, INCLUDING ANY applicable SwiftComply SERVICE ORDER, SwiftComply MAKES NO

ADDITIONAL WARRANTY, EXPRESS OR IMPLIED, STATUTORY OR OTHERWISE, INCLUDING WITHOUT LIMITATION ANY IMPLIED

WARRANTIES OF MERCHANTABILITY, FITNESS FOR A PARTICULAR PURPOSE OR NON-INFRINGEMENT, GUARANTEES, REPRESENTATIONS, PROMISES, STATEMENTS, ESTIMATES, CONDITIONS, OR OTHER INDUCEMENTS.

6.6) Limitation of Liability. NEITHER SwiftComply NOR CUSTOMER WILL BE LIABLE TO THE OTHER PARTY FOR ANY INDIRECT, SPECIAL,

PUNITIVE, CONSEQUENTIAL (INCLUDING, WITHOUT LIMITATION, LOST PROFITS), OR INCIDENTAL DAMAGES, WHETHER BASED ON A

CLAIM OR ACTION OF CONTRACT, WARRANTY, NEGLIGENCE, STRICT LIABILITY, OR OTHER TORT, BREACH OF ANY STATUTORY DUTY, INDEMNITY OR CONTRIBUTION, OR OTHERWISE, EVEN IF THE PARTY HAS BEEN ADVISED OF THE POSSIBILITY OF SUCH DAMAGES.

THE EXCLUSION CONTAINED IN THIS PARAGRAPH SHALL apply REGARDLESS OF THE FAILURE OF THE EXCLUSIVE REMEDY PROVIDED IN THE FOLLOWING SENTENCE. BOTH PARTIES’ TOTAL CUMULATIVE LIABILITY TO THE OTHER PARTY FOR ANY LOSS OR DAMAGES

RESULTING FROM ANY CLAIMS, DEMANDS OR ACTIONS ARISING OUT OF OR RELATING TO THIS AGREEMENT SHALL NOT EXCEED THE CUMULATIVE FEES PAID BY CUSTOMER TO SwiftComply IN THE PRECEDING TWELVE (12) MONTHS. THE FOREGOING SHALL NOT LIMIT A PARTY'S (A) PAYMENT OBLIGATIONS UNDER THE AGREEMENT; (B) LIABILITY FOR INDEMNIFICATION OBLIGATIONS UNDER SECTION

6.3; (C) LIABILITY FOR ANY BREACH OF ITS CONFIDENTIALITY OBLIGATIONS UNDER SECTION 7; OR (D) LIABILITY FOR ITS INFRINGEMENT OR MISAPPROPRIATION OF ANY PROPRIETARY RIGHTS OF THE OTHER PARTY. NOTHING IN THIS AGREEMENT SHALL BE CONSTRUED AS EXCLUDING OR LIMITING A PARTY’S LIABILITY FOR FRAUD OR ITS LIABILITY FOR DEATH OR PERSONAL INJURY ARISING FROM ITS NEGLIGENCE.

6.7) Essential Element. The provisions of this Section 6 are an essential element of the benefit of the consideration reflected in this Agreement. 7) Confidentiality.

7.1) Subject to any applicable open public records laws in the Customer State, each Party will keep the specific terms of this Agreement confidential, including the contents of the schedules and exhibits, and not disclose any portion of them to any third party (other than to its attorneys, accountants, advisors and potential investors who are bound to keep such information confidential) without the other Party’s prior written consent, except as required by law, including but not limited to open public record laws.

7.2) In addition, in connection with the negotiation and performance of this Agreement, a Party (the “Receiving Party”) may receive information from the other Party (the “Disclosing Party”) which is confidential or proprietary in nature, including without limitation information about a Party’s products, systems and services (“Confidential Information”). The Receiving Party agrees that, during the term of this Agreement and for a period of three (3) years thereafter, it will keep the Confidential Information in strictest confidence and protect such Confidential Information by similar security measures as it takes to protect its own Confidential Information of a similar nature, but in no event shall the Receiving Party take less than reasonable care with the Confidential Information of the Disclosing Party.

The Receiving Party also agrees that it will not use any Confidential Information for any purpose other than in connection with the performance of its obligations under this Agreement.

7.3) The term “Confidential Information” shall not include information which A) is or becomes generally available to the public without breach of this Agreement, B) is in the possession of the Receiving Party prior to its disclosure by the Disclosing Party, C) becomes available from a third party not in breach of any obligations of confidentiality, D) is independently developed by the Receiving Party, or E) is required to be disclosed by the Receiving Party pursuant to law, rule, regulation, subpoena or court order, including but not limited to open public SwiftComply US OpCo, Inc. Service Agreement ver. 01.01.2023 Page 3 of 4 1329
record laws.

7.4) The Parties recognize that the disclosure or use of a Disclosing Party’s Confidential Information by the Receiving Party in violation of the provisions of this Section 7 may cause irreparable injury to the Disclosing Party; therefore, in the event either Party breaches the provisions of this Section 7, the other Party, in addition to any other remedies it may have, shall be entitled to seek preliminary and permanent injunctive relief without the necessity of posting a bond. 8) Miscellaneous.

8.1) General. If any provision of this Agreement is held to be unenforceable for any reason, such provision shall be reformed to the extent necessary to make it enforceable to the maximum extent permissible so as to implement the intent of the Parties, and the remainder of this Agreement shall continue in full force and effect. A waiver of any default is not a waiver of any subsequent default. The relationship between SwiftComply and Customer is one of independent contractors, not partnership, joint venture or agency. This Agreement shall be binding upon and inure to the benefit of the respective successors and permitted assigns of the Parties hereto. The United Nations Convention on Contracts for the International Sale of Goods and the Uniform Computer Information Transactions Act shall not apply to this Agreement. The Software is controlled by U.S. Export Regulations, and it may not be exported to or used by embargoed countries or individuals.

8.2) Entire Agreement. This Agreement and the accompanying SwiftComply Service Order(s), together, constitute a valid and binding agreement between the Parties and are intended to be the Parties’ complete, integrated expression of the terms of their agreement with respect to the SwiftComply Service, and any prior agreements or understandings with respect to such subject matter are superseded hereby and fully merged herein.

8.3) Assignment. Neither Party will assign this Agreement in whole or in part to any third party without the prior written consent of the other Party; provided, however, either Party may assign this Agreement without such consent to any subsidiary or parent company of such Party or to any successor by way of any merger, consolidation or other corporate reorganization of such Party or sale of all or substantially all of the assets of such Party or to an entity that assumes, by sale, license or otherwise, the business activities that are the subject of this Agreement, provided that such subsidiary or parent company or successor assumes or is otherwise fully bound by all of the obligations of the assigning Party under this Agreement.

8.4) Marketing Materials. Customer agrees that SwiftComply may utilize Customer’s name solely to identify it as a SwiftComply Customer on the SwiftComply Web site, in client lists and other marketing materials. Any other uses of Customer’s name and/or logo (other than as included in the content and/or other items furnished to SwiftComply by Customer) shall require Customer’s prior written consent.

8.5) Insurance. SwiftComply shall maintain commercial general liability insurance, cybersecurity insurance, professional liability insurance and auto liability insurance in amounts that are consistent with industry standards. SwiftComply shall maintain Worker’s Compensation insurance as required by law.

8.6) No Boycott of Israel. SwiftComply hereby certifies that SwiftComply is not currently engaged in and shall not, for the duration of the Term of this Agreement, engage in a boycott of goods or services from the State of Israel; companies doing business in or with the State of Israel or authorized by, licensed by or organized under the laws of the State of Israel; or persons or entities doing business in the State of Israel.

8.7) Jurisdiction. This Agreement shall be governed by the applicable laws in the Customer State, without regard to conflict of laws rules. Any dispute, claim or controversy arising out of or relating to this Agreement or the breach, termination, enforcement, interpretation or validity thereof, including the determination of the scope or applicability of this agreement to arbitrate, shall be determined by arbitration in the Customer State before a panel of three arbitrators. Such arbitration shall be administered by JAMS pursuant to JAMS’ Streamlined Arbitration Rules and Procedures. Judgment on an award, if any, may be entered in any court having jurisdiction. This clause shall not preclude parties from seeking provisional remedies in aid of arbitration from a court of appropriate jurisdiction. The Parties acknowledge that this Agreement evidences a transaction involving interstate commerce. Notwithstanding the provision with respect to applicable substantive law, any arbitration conducted pursuant to the terms of this Agreement shall be governed by the Federal Arbitration Act (9 U.S.C., Secs. 1-16).

8.8) Modification. SwiftComply shall have the right to modify this Agreement at any time by posting revised terms and conditions at the following URL: http://www.SwiftComply.com/terms-and-conditions. In the event that such modifications involve a material change to the Agreement, SwiftComply will provide notice via email that this Agreement has been materially modified. Changes will be binding on the date they are posted (or as otherwise stated in any notice of such changes). Continued use of the SwiftComply Service will be considered acceptance by the Customer of the then current Agreement.

8.9) Force Majeure. If the performance of this Agreement or any obligations hereunder is prevented or interfered with by reason of fire or other casualty or accident, strikes or labor disputes, war or other violence, any law, proclamation, regulation, or requirement of any government agency, or any other act or condition beyond the reasonable control of a Party hereto, that Party upon giving prompt notice to the other Party shall be excused from such performance during such occurrence.

8.10) Notices. All notices, requests, or other communications between the Parties that are required or permitted hereunder will be in writing and will be given by: (a) delivery in person or by prepaid courier service with a nationally recognized courier company, (b) delivery by registered or certified mail, postage prepaid, return receipt requested, (c) by confirmed fax, or (d) email to the address and/or fax number set forth in the applicable SwiftComply Service Order. A Party may change the street or email address or fax number to which notice is to be sent by giving written notice of such change. Notices will be deemed given when received as evidenced by verification from the courier company, the mail or confirmation of email receipt or fax confirmation.

8.11) Titles & Subtitles. The titles and subtitles in this Agreement are used for convenience only and are not to be considered in construing it.

SwiftComply US OpCo, Inc. Service Agreement ver. 01.01.2023 Page 4 of 4 1330
Service Order/Quote
SwiftComply, Inc. 6701 Koll Center Pkwy Suite 250, Pleasanton, CA 94566 - 619.304.6022 - www.swiftcomply.com Created by Amesia Harris Create Date 09/16/2024
Contact Phone 832-331-3359 Valid Until
Contact Email [email protected] Customer Ref# Customer Information
Customer Name City of Richmond Primary Contact Bradley Harms Billing Contact Street Address 450 Civic Center Plaza Title Senior Environmental Compliance Inspector Email City, St, Zip Richmond, CA, 98404 Email [email protected] Phone Phone 804-646-7000 Phone 510-307-8094 Tax Exempt ? Yes
SKU Set up Services Service Fees
SKU# TIER TYPE MODULE FEATURE ITEM QTY UNIT PRICE TOTAL CURRENCY D-3-503 D Setup FOG Services-Implementation Data Migration, Training, Set up 1 $5,000.00 $5,000.00 USD D-3-503 D Setup Industrial Pretreatment Services-Implementation Data Migration, Training, Set up 1 $32,500.00 $32,500.00 USD D-3-503 D Setup Stormwater Services-Implementation Data Migration, Training, Set up 1 $10,000.00 $10,000.00 USD SKU Subscription Services Service Fees
A-1-202 D Saas FOG FOG-SaaS Annual Subscription 1 $5,000.00 $5,000.00 USD C-1-201 D Setup Industrial Pretreatment Pretreatment-Saas Annual Subscription up to 40 Permitted IUs 1 $34,100.00 $34,100.00 USD D-1-205 D Saas Stormwater Stormwater-Saas
Annual Subscription-Baseline 6 control
measures +MS4 metrics and P2 Pollution
Prevention
1 $13,000.00 $13,000.00 USD
C-1-208 D Saas Industrial Pretreatment Surcharcg calculation tool Exportable-CSV 1 $5,000.00 $5,000.00 USD TOTAL TO BE INVOICED $104,600.00

EXTRA/OPTIONS NOT INCLUDED
SKU# TIER TYPE MODULE FEATURE ITEM QTY UNIT PRICE TOTAL CURRENCY C-3-503 D Services Industrial Pretreatment System Integrations (LIMS) LIMS integration subject to Scope of Work 1 $9,000.00 $9,000.00 USD C-3-504 D Services Industrial Pretreatment CROMERR Application Assistance Consulting services (50% Bundle discount-One Time) 1 $8,500.00 $8,500.00 USD
TOTAL TO BE INVOICED $17,500.00
Grand Total SwiftComply for 5 (five) years $368,208.00
To be clear, you will initially be billed as follows...

Billing
Date(s)
Amount(s) Notes
Invoice #1 TBD $122,100 Year 1 - Implementation, User Training and 1st year Subscription Services - FOG ,Industrial Pretreatment, Stormwater Invoice #2 TBD $57,100 Year 2 Annual subscription/Maintenance Fee Invoice #3 TBD $59,955 Year 3 Annual subscription/Maintenance Fee Invoice #4 TBD $62,953 Year 4 Annual subscription/Maintenance Fee Invoice #5 TBD $66,100 Year 5 Annual subscription/Maintenance Fee Billing Terms and Conditions
SCHEDULE STANDARD TERMS If Non-Standard/Exceptions
Imp. Start Date 2 weeks after signature Annual Contract Invoice Date 4 weeks after signature Net 30 After Invoice Date Renewal Date 1 year after Go Live Date 2.5% Annual Adjustment SPECIAL SCOPE OF WORK AND/OR DELIVERY AND/OR PAYMENT TERMS:
1331
General Terms & Conditions
Taxes
The Service Fees and Billing amounts set forth above in this SwiftComply Service Order DO NOT include applicable taxes. In accordance with the laws of the applicable state, in the event that sales, use or other taxes apply to this transaction, SwiftComply shall include such taxes on applicable invoices and Customer is solely responsible for such taxes, unless documentation is provided to SwiftComply demonstrating Customer's exemption from such taxes.

Customer Deliverables Customer shall provide all deliverables and respond to all approval requests within three (3) business days of such requests. Any delay by Customer in meeting these deliverable requirements may result in a delayed launch of the applicable Service(s), but such delay shall not affect or change the Service Period(s) as set forth in this Service Order.

Term & Termination Subject to the termination rights and obligations set forth in the SwiftComply Service Agreement, this SwiftComply Service Order commences upon the Order Date set forth herein and shall continue until the completion of the Service Period(s) for the Service(s) set forth herein. Each Service shall commence upon the Start Date set forth herein and shall continue until the completion of the applicable Service Period.

Renewal Unless specified above, after the Initial Period, the Service Period for any SwiftComply Annual Subscription Services shall automatically renew for successive annual periods (each an "Annual Term”), unless either Party provides written notice of its desire not to renew at least sixty (60) days prior to the end of the then current Annual Term.

Pricing Pricing set forth herein is valid only if SwiftComply Service Order is executed on or before this date.

Agreement
This SwiftComply Service Order shall become binding upon execution by both Parties. The signature herein affirms your commitment to pay for the Service(s) ordered in accordance with the terms set forth in this SwiftComply Service Order and also acknowledges that you have read and agree to the terms and conditions set forth in the SwiftComply Service Agreement found at the following URL: http://www. swiftComply.com/terms-and-conditions. This Service Order incorporates by reference the terms of such SwiftComply Service Agreement.

Customer SwiftComply
Signature Signature
Name Name
Amesia Harris
Title Title
Account Executive
Date Signed Date Signed 09/16/2024
Please e-mail signed Service Order to [email protected] 1332
Service Order/Quote
SwiftComply, Inc. 6701 Koll Center Pkwy Suite 250, Pleasanton, CA 94566 - 619.304.6022 - www.swiftcomply.com Created by Amesia Harris Create Date 09/16/2024
Contact Phone 832-331-3359 Valid Until
Contact Email [email protected] Customer Ref# Customer Information
Customer Name City of Richmond Primary Contact Bradley Harms Billing Contact Street Address 450 Civic Center Plaza Title Senior Environmental Compliance Inspector Email City, St, Zip Richmond, CA, 98404 Email [email protected] Phone Phone 804-646-7000 Phone 510-307-8094 Tax Exempt ? Yes
SKU Set up Services Service Fees
SKU# TIER TYPE MODULE FEATURE ITEM QTY UNIT PRICE TOTAL CURRENCY D-3-503 D Setup FOG Services-Implementation Data Migration, Training, Set up 1 $5,000.00 $5,000.00 USD D-3-503 D Setup Industrial Pretreatment Services-Implementation Data Migration, Training, Set up 1 $32,500.00 $32,500.00 USD D-3-503 D Setup Stormwater Services-Implementation Data Migration, Training, Set up 1 $10,000.00 $10,000.00 USD SKU Subscription Services Service Fees
A-1-202 D Saas FOG FOG-SaaS Annual Subscription 1 $5,000.00 $5,000.00 USD C-1-201 D Setup Industrial Pretreatment Pretreatment-Saas Annual Subscription up to 40 Permitted IUs 1 $34,100.00 $34,100.00 USD D-1-205 D Saas Stormwater Stormwater-Saas
Annual Subscription-Baseline 6 control measures +MS4 metrics and P2 Pollution Prevention
1 $13,000.00 $13,000.00 USD
C-1-208 D Saas Industrial Pretreatment Surcharchge calculation tool Exportable-CSV 1 $5,000.00 $5,000.00 USD TOTAL TO BE INVOICED $104,600.00

EXTRA/OPTIONS NOT INCLUDED
SKU# TIER TYPE MODULE FEATURE ITEM QTY UNIT PRICE TOTAL CURRENCY C-3-503 D Services Industrial Pretreatment System Integrations (LIMS) LIMS integration subject to Scope of Work 1 $9,000.00 $9,000.00 USD C-3-504 D Services Industrial Pretreatment CROMERR Application Assistance Consulting services (50% Bundle discount-One Time) 1 $8,500.00 $8,500.00 USD
TOTAL TO BE INVOICED $17,500.00
Grand Total SwiftComply for 3 (three) years $239,155.00 To be clear, you will initially be billed as follows...

Billing
Date(s)
Amount(s) Notes
Year 1 See sched $122,100.00 Year 1 - Implementation, User Training and 1st year Subscription Services - FOG ,Industrial Pretreatment, Stormwater Year 2 See sched $57,100.00 Year 2 Annual subscription/Maintenance Fee Year 3 See sched $59,955.00 Year 3 Annual subscription/Maintenance Fee (Optional)Year 4 See sched $62,952.75 Year 4 Annual subscription/Maintenance Fee (Optional)Year 5 See sched $66,100.39 Year 5 Annual subscription/Maintenance Fee Billing Terms and Conditions
SCHEDULE STANDARD TERMS If Non-Standard/Exceptions
Imp. Start Date 4 weeks after signature Annual Contract Three year term with an optional 2 (1 ) year extensions Invoice Year 1 4 weeks after signature Net 30 After Invoice Date Invoice Year 2 1 year after Go Live Date 2.5% Annual Adjustment Invoice Year 3 2 year after Go Live Date Payment Setup and SaaS is Prepaid for the full year SPECIAL SCOPE OF WORK AND/OR DELIVERY AND/OR PAYMENT TERMS:

Three year term contract with optional 2 (1) year extensions.* 1333
Three year term contract with optional 2 (1) year extensions.* General Terms & Conditions
Taxes
The Service Fees and Billing amounts set forth above in this SwiftComply Service Order DO NOT include applicable taxes. In accordance with the laws of the applicable state, in the event that sales, use or other taxes apply to this transaction, SwiftComply shall include such taxes on applicable invoices and Customer is solely responsible for such taxes, unless documentation is provided to SwiftComply demonstrating Customer's exemption from such taxes.

Customer Deliverables Customer shall provide all deliverables and respond to all approval requests within three (3) business days of such requests. Any delay by Customer in meeting these deliverable requirements may result in a delayed launch of the applicable Service(s), but such delay shall not affect or change the Service Period(s) as set forth in this Service Order.

Term & Termination Subject to the termination rights and obligations set forth in the SwiftComply Service Agreement, this SwiftComply Service Order commences upon the Order Date set forth herein and shall continue until the completion of the Service Period(s) for the Service(s) set forth herein. Each Service shall commence upon the Start Date set forth herein and shall continue until the completion of the applicable Service Period.

Renewal Unless specified above, after the Initial Period, the Service Period for any SwiftComply Annual Subscription Services shall automatically renew for successive annual periods (each an "Annual Term”), unless either Party provides written notice of its desire not to renew at least sixty (60) days prior to the end of the then current Annual Term.

Pricing Pricing set forth herein is valid only if SwiftComply Service Order is executed on or before this date.

Agreement
This SwiftComply Service Order shall become binding upon execution by both Parties. The signature herein affirms your commitment to pay for the Service(s) ordered in accordance with the terms set forth in this SwiftComply Service Order and also acknowledges that you have read and agree to the terms and conditions set forth in the SwiftComply Service Agreement found at the following URL: http://www. swiftComply.com/terms-and-conditions. This Service Order incorporates by reference the terms of such SwiftComply Service Agreement.

Customer SwiftComply
Signature Signature
Name Name Amesia Harris
Title Title Account Executive
Date Signed Date Signed 09/16/2024
Please e-mail signed Service Order to [email protected] 1334
Reso. No. XX-XX

DocID #31775v1
RESOLUTION NO. 24-XX

RESOLUTION OF THE CITY COUNCIL OF THE CITY OF RICHMOND,

CALIFORNIA, TO AUTHORIZE A THREE-YEAR CONTRACT WITH TWO

OPTIONAL ONE-YEAR EXTENSIONS WITH SWIFTCOMPLY FOR FATS, OILS,

AND GREASE (FOG), INDUSTRIAL PRETREATMENT, AND STORMWATER

SERVICES
WHEREAS, the City of Richmond is required to comply with federal regulations regarding the pretreatment of industrial wastewater discharges under the Clean Water Act, specifically 40 CFR Part 403, which mandates proper program administration, recordkeeping, and reporting for industrial users; and.

WHEREAS, 40 CFR 403.8(f)(1) requires the City to maintain comprehensive records of industrial user discharges, compliance monitoring, and enforcement actions, and 40 CFR 403.12(j) requires the City to maintain a database of significant industrial users (SIUs) and Categorical Industrial Users (CIUs) to track their compliance status; and.

WHEREAS, 40 CFR 403.12(p) further mandates that the City submit annual reports to the Approval Authority summarizing the results of compliance efforts and any violations of pretreatment standards; and
WHEREAS, SwiftComply, Inc. offers a software platform that provides the tools necessary for the City to meet its obligations under 40 CFR Part 403, including data migration, compliance tracking, real-time monitoring, and automated report generation for submission to state and federal regulatory authorities; and
WHEREAS, the City of Richmond proposes to enter into a three-year contract with SwiftComply, with an initial cost of $122,100 for Year 1, which includes implementation, user training, and the first year of subscription services for FOG, Industrial Pretreatment, and Stormwater monitoring, followed by subsequent annual fees for Years 2 and 3, bringing the total contract value to $239,155, with two optional one-year extensions; and WHEREAS, the selection of SwiftComply, Inc. is based on the piggyback procurement method, utilizing the existing contract awarded to SwiftComply by the City of Stockton through a competitive bidding process; and
WHEREAS, the piggyback procurement is aligned to the Richmond Municipal Code Section 2.52.330; and
WHEREAS, this contract will ensure that the City fulfills its obligations under 40 CFR Part 403 and the Municipal Regional Permit (MRP) by enhancing the City's ability to monitor, report, and enforce compliance with FOG, Industrial Pretreatment, and Stormwater regulations; NOW, THEREFORE, BE IT RESOLVED by the City Council of the City of Richmond, as follows:

Section 1: The foregoing recitals are true and correct, and this City Council hereby so finds and determines.

Section 2: The City Council hereby authorizes the award of a three-year contract with SwiftComply, Inc., for a term of three years in an amount not to exceed $239,155.00 for the contract term, with two optional one-year extensions for a not to exceed total amount of $129,053.00 for both extensions years for FOG, Industrial Pretreatment, and Stormwater compliance services.

Section 3: The Public Works Director is authorized to approve change orders, if necessary, for a contingency amount of up to $35,873.25 which is 15% of the base contract amount, for a potential total contract amount of $275,028.25.

Section 4: This resolution shall take effect immediately upon its passage. 1335
Reso. No. XX-XX

DocID #31775v1
*********************
I certify that the foregoing resolution was passed and adopted by the City Council of the City of Richmond at a regular meeting thereof held [enter date], by the following vote:

AYES:

NOES:

ABSTENTIONS:

ABSENT:

CLERK OF THE CITY OF RICHMOND
(SEAL)
Approved:

Mayor
Approved as to form:

City Attorney
State of California }
County of Contra Costa : ss.

City of Richmond }
I certify that the foregoing is a true copy of Resolution No. XX-XX, finally passed and adopted by the City Council of the City of Richmond at a regular meeting held on [enter date].

Pamela Christian, Clerk of the City of Richmond
1336
Reso. No. XX-XX

DocID #31775v1
CLERK’S

CERTIFICATE
I, Pamela Christian, City Clerk of the City of Richmond, do hereby certify as follows:

The foregoing resolution is a full, true and correct copy of Resolution No. XX-XX duly adopted at a regular meeting of the City Council of said City duly and regularly held at the regular meeting place thereof on the [X day of Month Year], of which meeting all the members of said City Council had due notice and at which a majority thereof were present; and that at said meeting said resolution was adopted by the following vote:

AYES:

NOES:

ABSTENTIONS:

ABSENT:

An agenda of said meeting was posted before said meeting at City Hall, 450 Civic Center Plaza in the City of Richmond, California, a location freely accessible to members of the public, and a brief description of said resolution appeared on said agenda.

I have carefully compared the foregoing with the original on file and of record in my office, and the foregoing is a full, true and correct copy of the original resolution adopted at said meeting.

Said resolution has not been amended, modified or rescinded since the date of its adoption and the same is now in full force and effect.

Dated: , 2024.

City Clerk of the City of Richmond
[SEAL]
1337

December 3, 2024
Finance Department
DATE: December 3, 2024
TO: Mayor Martinez and Members of the City Council
FROM: Andrea Miller, Director of Finance
Mubeen Qader, Deputy Director of Finance
Jerry Gurule, Accounting Manager
SUBJECT: City Council’s Direction for Investment Policy Update FINANCIAL IMPACT: There is no fiscal impact due to this agenda item

PREVIOUS COUNCIL
ACTION:

April 30, 2024

STATEMENT OF THE
ISSUE:

On April 30, 2024, City Council directed staff to review and modify the City of Richmond’s Investment Policy.

City staff is bringing the revised Policy and associated resolution before City Council for review and approval.

RECOMMENDED ACTION: REVIEW the City’s Investment Policy and ADOPT a resolution to approve the updated policy – Finance
Department (Andrea Miller 510-620-6740).

AGENDA
REPORT
1338

December 3, 2024
DISCUSSION:

The City of Richmond’s Investment Policy is an integral part of the Finance Department, setting standards and procedures regarding how the City's funds are invested. The Investment Policy is consistent with the guidelines of the California Municipal Treasurers Association (CMTA) Certification Program. The Investment Policy addresses the 19 sections that the Association deems as critical elements, which are as follows:

1. Policy

2. Scope

3. Prudence

4. Objective

5. Delegation of Authority

6. Ethics and Conflicts of Interest

7. Authorized Financial Dealers and Institutions

8. Authorized and Suitable Investments

9. Review of Investment Portfolio

10. Investment Pools/Mutual Funds

11. Collateralization

12. Safekeeping and Custody

13. Diversification

14. Maximum Maturities

15. Internal Controls

16. Performance Standards

17. Reporting

18. Investment Policy Adoption

19. Glossary
The Investment Policy provides for the City to invest public funds in a manner which prioritizes safety and liquidity over yield, while meeting the daily cash flow demands of the City and conforms to all state and local statutes governing the investment of public funds per California Government Code Section 53601. The investment policy further provides that the policy shall be reviewed annually and adopted by resolution of the City Council (last updated October 17, 2023).

At the special City Council meeting on April 30, 2024, City Council directed City staff to review and modify the City of Richmond’s Investment Policy to add additional restrictions eliminating the investment of City funds in industries that facilitate violence, war, oppression, and apartheid. City staff has been directed to present Investment Policy modifications and recommendations for socially responsible investments to City Council for consideration.

Following the special City Council meeting, City staff reached out to the neighboring City of Hayward to discuss policy changes as the City of Hayward approved similar restrictions in January 2024. During the meeting with City of Hayward, concerns were brought up around Assembly Bill (AB) 2844 that relates to Public Contracts and 1339

December 3, 2024
Discrimination. To ensure the additional restrictions comply with the AB 2844 text, City staff developed four new restrictions to address City Council’s concerns around socially responsible investments while complying with the text included in AB 2844.

Based on City staff’s research and City Council direction, the following restrictions are added to the City’s Investment Policy:

4. The City will not invest in companies that develop and manufacture commodities that facilitate violence, war, oppression, and apartheid.

5. The City will not invest in companies that develop and manufacture arms and weapons.

6. The City will not invest in companies that develop and manufacture commodities involved in border and mass surveillance industries.

7. The City will not invest in companies involved in mass incarceration and detention industries, nor those companies that use prison labor to manufacture products.

In addition, the Director of Finance has sent a letter to the California State Treasurers’ Office requesting the state eliminate the investment of Local Agency Investment Funds (LAIF) in industries that facilitate violence, war, oppression, and apartheid.

DOCUMENTS ATTACHED:

Attachment 1 – Investment Policy
Attachment 2 – Investment Policy Resolution
1340
Page | 1

CITY OF RICHMOND

INVESTMENT POLICY
UPDATED DECEMBER 2024
I. Mission Statement
It is the policy of the City of Richmond (City) to invest public funds in a manner which prioritizes safety and liquidity over yield while meeting the daily cash flow demands of the City and conforming to all state and local statutes governing the investment of public funds.

II. Scope
This investment policy covers the City's pooled funds which include the General Fund, Special Revenue, Debt Service, Capital Projects, Enterprise, Internal service, Trust & Agency, Redevelopment/Successor Agency and any other Funds investment activities under the direction of the City.

The investment of bond and note proceeds will be in accordance with policy contained in the relevant bond documents approved by the City Council at the time of the issuance of the debt. To the extent not inconsistent with such bond documents, bond or note proceeds and in accordance with Government Code, sections 53601(I) and 5922(d), proceeds may be invested in (i) Guaranteed Investment Contracts or other debt issuance proceeds with an investment provider rated in a category of "A" or better and with downgrade protection or (ii) Investment instruments described herein.

The investment policy for the Police and Fire Pension Fund and the General Pension Fund are contained in the City Charter.

III. Objectives
The City's investment activities are designed to accurately monitor and forecast expenditures and revenues to ensure funds are always available when needed. The portfolio will be managed to take advantage of changing economic conditions that can aid in increasing the total return on the City's portfolio. The City will invest up to 100% of all idle funds.

The primary objectives of the investment activities, in priority order shall be:

1.Safety. Safety of principle is the foremost objective of the investment program. Investments of the City shall be undertaken in a manner that seeks to ensure preservation of capital in the portfolio. To attain this objective, the City will diversify its investments by investing funds among 1341
Page | 2
a variety of securities offering independent returns and financial institutions.

2.Liquidity. An adequate percentage of the portfolio will remain sufficiently liquid in short-term securities to enable the City to meet its cash flow requirements. Since all cost requirements cannot be anticipated, investment in securities with active secondary or resale markets is highly recommended. Emphasis should be on marketable securities with low sensitivity market risks.

3.Yield. The investment portfolio of the City should be designed with the objective of attaining a market rate of return, also known as the yield, on its investments. Yield should be considered only after safety and liquidity objectives have been met and measured against cash flow needs.

IV. Delegation of Authority
Management responsibility for the investment program is hereby delegated to the Director of Finance, acting in their capacity as Treasurer, or the Accounting Manager as designee who shall be responsible for all transactions undertaken and shall monitor and review all investments for consistency with this investment policy. The Director of Finance or their designee shall establish a system of controls to regulate the activities of subordinate officials, and their procedures in the absence of the Director of Finance.

V. Prudence
The standard of prudence to be used in the management of the City’s investment portfolio shall be the “prudent person” standard. The “prudent person” standard states that, “Investments shall be made with judgment and care under circumstances then prevailing, which persons of prudence, discretion, and intelligence exercise in the management of their own affairs, not for speculation, but for investment, considering the probable safety of their capital as well as the probable income to be derived. “ The City holds to the “prudent investor standard” as set forth in Section 53600.3 of the Government Code. in that all investments placed shall be made with a degree of judgment and care, The prudent investor standard states, “When investing, reinvesting, purchasing, acquiring, exchanging, selling, or managing public funds, a trustee shall act with care, skill, prudence, and diligence under the circumstances then prevailing, including, but not limited to, the general economic conditions and the anticipated needs of the agency, that a prudent person acting in a like capacity and familiarity with those matters would use in the conduct of funds of a like character and with like aims, to safeguard the principal and maintain the liquidity needs of the agency.”
1342
Page | 3
VI. Ethics and Conflict of Interest

1. All participants in the investment process shall act as custodians of public trust. Investment officials shall recognize that the investment portfolio is subject to public review and evaluation. The overall program shall be designed and managed with a degree of professionalism that is worthy of the public trust.

3. In a diversified portfolio it must be recognized that occasional measured losses are inevitable and must be considered within the context of the overall portfolio investment return provided that adequate diversification has been implemented. Each issuer shall be limited in terms of their percentage of the portfolio, to minimize risk exposure.

4. In accordance with California Government Code Sections 89502 and 89503, officers and employees of the City shall refrain from any activity that could conflict with the proper execution of the investment program or that could impair their ability to make impartial investment decisions.

All investment personnel shall comply with the reporting requirements of the Political Reform Act, to include the annual filing of their Statement of Economic Interest.

VII. Authorized Broker/Dealers
The Director of Finance will maintain a list of broker/dealers authorized to provide investment services. The broker/dealers will be selected by credit worthiness that is authorized to provide investment services in the State of California. These may include "primary" dealers or "regional" dealers that qualify under Securities and Exchange Commission Rule 15c3-1 (uniform net capital rule).

VIII. Authorized Investments and Maximum Maturities
With the above objectives and criteria in mind, the City of Richmond may invest in the following instruments with a rating of “A” or higher (when applicable) that have maturities of five (5) years or less at the time of purchase, unless otherwise stated below:

1. Government Bonds and Notes- Maximum of 100% invested no longer than 5 years
i. United States Treasury Notes, Bonds, Bills, or certificates of indebtedness or those for which the full faith and credit of the United States are pledged for the payment of principal and interest; and
ii. Treasury notes or bonds of the State of California; and iii. Bonds, Notes, Warrants or other evidence of indebtedness of Any local agency within California with a minimum rating 1343
Page | 4
threshold of an “A”.

2. Bonds and Notes of Federally Sponsored Agencies - Maximum of 100% invested no longer than 5 years, such as the Federal Farm Credit Bank, Federal Home Loan Bank, Federal National Mortgage Association, Government National Mortgage Association, or any other instruments issued by a federal agency, or a United States government sponsored enterprise.

3. Bankers’ Acceptance Bills of exchange or time drafts drawn on and accepted by a commercial bank insured by the FDIC, with a rating category of at least A-1 or the equivalent by a nationally recognized statistical rating organization (NRSRO). Purchases in this category may not exceed 180 days maturity or 40% of the City’s investment portfolio as provided by Government Code Section 53601(f)g.

4. Negotiable Certificates of Deposit issued by a Federal and State chartered bank or a Federal and State Savings and Loan Association or by any state licensed branch of a foreign bank. Purchases are not to exceed 30% of invested idle funds.

5. Repurchase Agreements Repurchase agreements are agreements between the local agency and seller for the local agency to purchase government securities to be resold back to the seller at a specific date and for a specific amount and are authorized by Government Code Section 53601(j). Although the legal maximum maturity on these investments is 360 days, repurchase agreements are generally shortterm investments varying from one day to two weeks. Investments in repurchase agreements must be collateralized, and collateral required for repurchase agreements is limited to Treasury and Agency securities.

In order to anticipate market changes and provide a level of security for all funds, the required collateralization level is 102% of the market value of principal and accrued interest.

6. Collateralize Bank Deposits As authorized in Government Code Section 53601(n), notes, bonds, or other obligations that are at all times secured by a valid first priority security interest in securities of the types listed by Section 53651 as eligible securities for the purpose of securing local agency deposits having a market value at least equal to that required by Section 53652 for the purpose of securing local agency deposits.

7. Local Agency Investment Fund (LAIF) - maximum of $75 million The City may invest in the Local Agency Investment Fund (LAIF) established by the State Treasurer for the benefit of local agencies up to the maximum permitted by State law but not to exceed the aggregate limit set by the City of 100%.
1344
Page | 5

8. CalTRUST a Joint Powers Authority created by public agencies to provide a convenient method for public agencies to pool their assets for investment purposes, not to exceed the aggregate limit set by the City of 100%. CalTRUST is governed by a Board of Trustees made up of experienced local agency treasurers and investment officers.

9. Medium Term Notes with a maximum of five years maturity issued by corporations organized and operating within the United States. Such securities must be rated in a rating category of "A" or better by a nationally recognized rating service. Purchases may not exceed 30% of invested idle funds in any single institution.

10. Commercial Paper of "prime quality" of the highest ranking or of the highest letter and numerical rating as provided by Moody's Investor Service, Inc., or Standard & Poor's Corporation. Eligible paper is further limited to issuing corporations that are organized and operating within the United States and have total assets in excess of five hundred million dollars ($500,000,000) and having an "A" or higher rating for the issuer's debt, other than commercial paper, if any, as provided for by Moody's Investors Service, Inc., or Standard & Poor's. Eligible commercial paper may not exceed 270 days maturity nor represent more than 10 percent of the outstanding paper of an issuing corporation. Purchases of commercial paper may not exceed 25% of the City’s surplus money that may be invested pursuant to this section.

11. Money Market Funds are eligible for investment if the companies providing the mutual funds invest only in instruments authorized by Government Code, Sections 53601 and 53630. To be an eligible money market investment under this section:
• The money market shall have attained the highest ranking, or the highest letter and numerical rating provided by not less than two nationally recognized statistical rating organizations and shall maintain these ratings for the duration of the investment. • Retain an investment advisor registered with the Securities and Exchange Commission (SEC) with not less than five (5) years' experience investing in securities and obligations.
• The fund shall have a minimum of $500 million to total asset size of portfolio at time of investment and should not drop below this threshold.
• The purchase price of the share of beneficial interest shall not include any commission that these companies charge.
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• Purchases shall not exceed 20 percent of the City's idle funds

12. Public Bank Obligations As authorized in Government Code Section 53601(r), 53635(c), and 57603 local agencies may invest in commercial paper, debt securities or other obligations of a public bank. The maximum remaining maturity is limited to five years.

Summary of Maximum Percentage Limitations of Investments, by Investment Type The following summary of maximum percentage limits, by instrument, is established for the City's total pooled fund's portfolio:

Investment Type: Percentage
U.S. Treasury Bills, Notes, and Bonds 0 to 100%
U.S. Government Agency Obligations 0 to 100%
Bankers’ Acceptance 0 to 40%
Negotiable Certificates of Deposit Local 0 to 30%
Repurchase Agreements 0 to 100%
Local Agency Investment Fund (LAIF) 0 to 100% (Max $75 million) CalTRUST(Joint Powers Authority) 0 to 100%
Medium Term Notes 0 to 30%
Commercial Paper 0 to 25%
Money Market Funds 0 to 20%
Collateralized Bank Deposits 0 to 100%
Public Bank Obligations 0 to 100%
IX. Reporting and Review of the Investment Portfolio
The Director of Finance shall report monthly on the City's pooled and Bond funds to the City Manager and City Council and shall report quarterly on other investments, such as pension funds. The following elements will be part of the investment report:

1. Type of investment

2. Institution/Issuer

3. Date of maturity

4. Cost of security (par amount) and dollar amount in all securities

5. Description of the funds, investments and programs managed by contracts

6. Current market value of securities

7. Rate of return

8. Statement of compliance to meet pool expenditure requirements for the next six months

9. If, in any case, pool expenditures are not met, an explanation of why sufficient monies will not be available.
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X. Investment Pools
Government sponsored investment pools (Pools) are permitted under California Government Code Section 53601 et seq. and an excellent short-term investment option for cash management facilities. These pools can provide safety, liquidity and yield in a single diversified investment. However, thoughtful investigation and due diligence are required both initially at the time of purchase and ongoing analysis to determine that the investment pool is being managed in a manner consistent with the objectives of the Policy.

State of California's Local Agency Investment Fund (LAIF) is an example of a Pool. The City may invest in the LAIF established by the State Treasurer for the benefit of local agencies up to the maximum permitted by State law under California Government Code Section 16429.1, Each agency is limited to an investment of $75 million per account currently, but subject to change.

XI. Collateralization
Collateral for Certificates of Deposit (CD) and Negotiated Certificates of Deposit (NCD) must comply with Government Code, Chapter 4, Bank Deposit law Section 16500 et seq. and the Savings and Loan and Credit Union Deposit Law Government Code Section 16600 et seq. In addition, if the CD is not FDIC insured or goes over the FDIC $250,000 limit, collateral is required to equal 100 percent of the principal of either U.S. Treasury securities or Federal Agency securities.

Collateral will always be held by an independent third party with whom the City has a current custodial agreement. A clearly marked evidence of ownership (safekeeping receipt) must be supplied to the City and retained. The right of collateral substitution is granted, within the parameters and constraints of the Policy.

XII. Safekeeping and Custody
Securities purchased from broker/dealers shall be held in third party safekeeping by the trust department of the City's bank or other designated third party, in the City's name and control. The basic premise underlying the City's investment philosophy is and will continue to be to ensure that money is always safe and available when needed. All trades executed by a dealer will settle delivery vs. payment (DVP) through the City's safekeeping agent. Securities held in custody for the City shall be independently audited on an annual basis to verify investment holdings.

XIII. Diversification and Risk Tolerance
The City of Richmond recognizes diversification is an investment strategy that will mitigate 1347
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risk in the investment portfolio. Portfolio diversification is employed as a way to control risk. The City's investment portfolio shall be diversified to avoid incurring unreasonable and avoidable risks regarding specific investment types. Within investment types, the City shall also maintain a mix of securities to avoid concentrations with individual financial institutions, geographic areas, industry types and maturities. No individual investment transaction shall be undertaken that jeopardizes the total capital position of the overall portfolio. The Treasurer shall periodically establish guidelines and strategies to control risks of default, market price changes, and illiquidity.

XIV. Internal Control
The Treasurer or designee shall maintain a system of internal controls designed to ensure compliance with the Investment Policy and to prevent losses due to fraud, employee error, and misrepresentations by third parties or unanticipated changes in financial markets.

All financial institutions and broker/dealers who desire to become qualified bidders for investment transactions must supply the Director of Finance with the following: audited financial statements, proof of FINRA certification, and proof of state registration, completed broker/dealer questionnaire, and certification of having read the City's investment policy.

A bi-annual review of the financial condition and registrations of qualified bidders will be conducted by the Director of Finance. The bidding process shall be conducted every four years. The current audited financial statement is required to be on file for each financial institution and broker/dealer in which the City invests.

XV. Performance Standards
A. The investment portfolio shall be designed with the objective of obtaining a rate of return throughout budgetary and economic cycles, commensurate with the investment risk constraints and the cash flow needs.

B. The investment performance objective for the portfolio shall be to earn a total rate of return over a market cycle which is approximately equal to the return on a market benchmark Index of similar securities, as determined by the Director of Finance.

XVI. Investment Policy Adoption
The investment policy shall be adopted by resolution of the City Council. The policy shall be reviewed annually by the Council and any modification made thereto must be approved by the City Council.

XVII. Interest Earnings
All moneys earned and collected from investments authorized in this policy shall be 1348
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allocated quarterly to pooled funds based on the daily cash balance in each fund as a percentage of the entire pooled portfolio. Should any fund not have a daily cash balance at the end of a quarter, it will receive none of the moneys earned and collected from the pooled investments. Furthermore, should any fund have a temporary negative daily cash balance at the end of a quarter, the negative amounts will be reallocated to provide earnings to the funds with a positive daily cash balance.

XVIII. Restrictions

1. The City will not invest any funds in inverse floaters, range notes, or interestonly STRIPS (Separate Trading of Registered Interest and Principal of Securities) that are derived from a pool of mortgages.

2. The City will not invest any funds in any security that could result in zero interest accrual if held to maturity. This limitation does not apply to investments in shares of beneficial interest (money market mutual funds) that are authorized elsewhere in the Investment Policy.

3. The City will not invest in companies involved in the manufacturing of tobacco and tobacco-related products such as cigarettes, cigars, pipe tobacco, chewing tobacco, etc.

4. The City will not invest in companies that develop and manufacturer commodities that facilitate violence, war, oppression, and apartheid.

5. The City will not invest in companies that develop and manufacture arms and weapons.

6. The City will not invest in companies that develop and manufacturer commodities involved in border and mass surveillance industries.

7. The City will not invest in companies involved in mass incarceration and detention industries, nor those companies that use prison labor to manufacture products.

8. In accordance with the Slavery Era Insurance Ordinance 14-05 N.S. Section

2.29.030 Social Disclosure on Gains from Slavery effective July 1, 2005, the City will not invest any funds in international financial instruments that benefited from slavery. The City Council prohibits, by social investment policy, such investments and reserves the absolute right to divest from such investments with the cost of divestment being borne by the contracting institution.

9. In accordance with Resolution 38-13 effective May 7, 2013, the City declared 1349
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it a policy of the City of Richmond to not invest in Fossil Fuel companies and urges the Board and Management of the City’s Pension funds to divest from publicly-traded Fossil Fuel Companies.

10. In accordance with the Sanctuary City Ordinance 12-18 N.S. Section 4 Prohibition on Investments effective June 5, 2018, the City shall not make any investments in stocks, bonds, securities, or other obligations issued by any provider of Data Broker or Extreme Vetting services to United States Immigration and Customs Enforcement (ICE).
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GLOSSARY
Agencies: Federal agency securities and/or Government-sponsored enterprises.

Bankers' Acceptance (BA): A draft or bill of exchange accepted by a bank or trust company. The accepting institution guarantees payment of the bill, as well as the issuer.

Benchmark: A comparative base for measuring the performance or risk tolerance of the investment portfolio. A benchmark should represent a close correlation to the level of risk and the average duration of the portfolio's investments.

Bid: The price offered by a buyer of securities. (When you are selling securities, you ask for a bid.) See Offer.

Broker: A broker brings buyers and sellers together for a commission.

Certificate of deposit (CD): A time deposit with a specific maturity evidenced by a Certificate.

Large-denomination CDs are typically negotiable.

Collateral: Securities, evidence of deposit or other property, which a borrower pledges to secure repayment of a loan. Also refers to securities pledged by a bank to secure deposits of public monies.

Collateralization of Deposits: Process by which a bank or financial institution pledges securities, or other deposits for the purpose of securing the repayment of deposit funds.

Annual Comprehensive Financial Report (ACFR): The official annual report for the government agency. It includes five combined statements for each individual fund and account group prepared in conformity with GAAP. It also includes supporting schedules necessary to demonstrate compliance with finance-related legal and contractual provisions, extensive introductory material, and a detailed Statistical Section.

Data Broker: Means either 1) the collection of information, including personal information about consumers, from a wide variety of sources for the purpose of reselling such information to their customers, which include both private-sector businesses and government agencies; 2) the aggregation of data that was collected for another purpose from that for which it is ultimately used.

Dealer: A dealer, as opposed to a broker, acts as a principal in all transactions, buying and selling for his own account.

Delivery versus Payment (DVP): There are two methods of delivery of securities:
delivery versus payment and delivery versus receipt. Delivery versus payment is delivery of securities with an exchange of money for the securities. Delivery versus receipt is delivery of securities with an exchange of a signed receipt for the securities. 1351
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Diversification: Investment contained within the portfolio will be diversified by security type, institution and maturity.

Extreme Vetting: Data mining, threat modeling, predictive risk analysis, or other similar services.

Federal Deposit Insurance Corporation (FDIC): A federal agency that insures bank deposits, currently up to $250,000 per deposit.

Federal Home Loan Banks (FHLB): Government sponsored wholesale banks (currently 12 regional banks), which lend funds and provide correspondent banking services to member commercial banks, thrift institutions, credit unions and insurance companies. The mission of the FHLBs is to liquefy the housing related assets of its members who must purchase stock in their district Bank.

Federal National Mortgage Association (FNMA): FNMA, like GNMA was chartered under the Federal National Mortgage Association Act in 1938. FNMA is a federal corporation working under the auspices of the Department of Housing and Urban Development (HUD). It is the largest single provider of residential mortgage funds in the United States. Fannie Mae, as the corporation is called, is a private stockholder-owned corporation. The corporation's purchases include a variety of adjustable mortgages and second loans, in addition to fixed-rate mortgages. FNMA's securities are also highly liquid and are widely accepted. FNMA assumes and guarantees that all security holders will receive timely payment of principal and interest.

Federal Reserve System: The central bank of the United States created by Congress and consisting of a seven-member Board of Governors in Washington, D.C., 12 regional banks and about 5,700 commercial banks that are members of the system.

Fossil Fuel: A fuel formed by natural processes, such as anaerobic decomposition of buried dead organisms, containing organic molecules originating in ancient photosynthesis that release energy in combustion such as: coal, oil, and gas reserves as measured by the gigatons of carbon dioxide that would be emitted if those reserves were extracted and burned.

Government National Mortgage Association (GNMA or Ginnie Mae): Securities influencing the volume of bank credit guaranteed by GNMA and issued by mortgage bankers, commercial banks, savings and loan associations, and other institutions. The security holder is protected by full faith and credit of the U.S. Government. Ginnie Mae securities are backed by the FHA, VA or FHA mortgages. The term "pass-through" is often used to describe Ginnie Maes.

Liquidity: A liquid asset is one that can be converted easily and rapidly into cash without a substantial loss of value. In the money market, a security is said to be liquid if the spread 1352
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between bid and asked prices is narrow and reasonable size can be done at those quotes.

Local Government Investment Pool (LGIP): The aggregate of all funds from political subdivisions that are placed in the custody of the State Treasurer for investment and reinvestment.

Market Value: The price at which a security is trading and could presumably be purchased or sold.

Maturity: The date upon which the principal or stated value of an investment becomes due and payable.

Money Market: The market in which short-term debt instruments (bills, commercial paper, bankers' acceptances, etc.) are issued and traded.

Offer: The price asked by a seller of securities. (When you are buying securities, you ask for an offer.) See Bid.

Portfolio: Collection of securities held by an investor.

Primary Dealer: A group of government securities dealers who submit daily reports of market activity and positions and monthly financial statements to the Federal Reserve Bank of New York and are subject to its informal oversight. Primary dealers include Securities and Exchange Commission (SEC)-registered securities broker-dealers, banks, and a few unregulated firms.

Prudent Person Rule: An investment standard. In some states the law requires that a fiduciary, such as a trustee, may invest money only in a list of securities selected by the custody state-the so-called legal list. In other states the trustee may invest in a security if it is one which would be bought by a prudent person of discretion and intelligence who is seeking a reasonable income and preservation of capital.

Public Bank: A corporation, organized as either a nonprofit mutual benefit corporation or a nonprofit public benefit corporation for the purpose of engaging in the commercial banking business or industrial banking business, that is wholly owned by a local agency, as specified, local agencies, or a joint powers authority.

Rate of Return: The yield obtainable on a security based on its purchase price or its current market price. This interest may be amortized yield to maturity on a bond or the current income return.

Repurchase Agreements: An agreement of one party (for example, a financial institution) to sell securities to a second party (such as a local agency) and simultaneous agreement by the first party to repurchase the securities at a specified price from the second party on demand or at a specified date.

Sanctuary City: A municipal jurisdiction that limits its cooperation with the national 1353
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government's effort to enforce immigration law.

Safekeeping: A service to customers rendered by banks for a fee whereby securities and valuables of all types and descriptions are held in the bank's vaults for protection.

Secondary Market: A market made for the purchase and sale of outstanding issues following the initial distribution.

Securities & Exchange Commission: Agency created by Congress to protect investors in securities transactions by administering securities legislation.

Securities and Exchange Commission (SEC) Rule 15C3-1: See Uniform Net Capital Rule.

Treasury Bills: A non-interest bearing discount security issued by the U.S. Treasury to finance the national debt. Most bills are issued to mature in three months, six months, or one year.

Treasury Notes: Medium-term coupon-bearing U.S. Treasury securities issued as direct obligations of the U.S. Government and having initial maturities from two to 10 years.

Uniform Net Capital Rule: Securities and Exchange Commission requirement that member firms as well as nonmember broker-dealers in securities maintain a maximum ratio of indebtedness to liquid capital of 15 to 1; also called net capital rule and net capital ratio. Indebtedness covers all money owed to a firm, including margin loans and commitments to purchase securities, one reason new public issues are spread among members of underwriting syndicates. Liquid capital includes cash and assets easily converted into cash.

United States Immigration and Customs Enforcement (ICE): A federal law enforcement agency under the U.S. Department of Homeland Security. ICE's stated mission is to protect America from the cross-border crime and illegal immigration that threaten national security and public safety.

Yield: The rate of annual income return on an investment, expressed as a percentage. (a) Income Yield is obtained by dividing the current dollar income by the current market price for the security. (b) Net Yield or Yield to Maturity is the current income yield minus any premium above par or plus any discount from par in purchase price, with the adjustment spread over the period from the date of purchase to the date of maturity of the bond.
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Reso No.____

RESOLUTION NO. ____

A RESOLUTION OF THE COUNCIL OF THE CITY OF RICHMOND, CALIFORNIA

REVISING THE CITY OF RICHMOND'S FINANCIAL POLICIES BY ADOPTING

UPDATES TO THE INVESTMENT POLICY
WHEREAS, the City of Richmond (the "City") is required to maintain and periodically update the City's Financial Policies consistent with the standards set forth by the California Municipal Treasurers Association (the "CMTA") Certification Program; and WHEREAS, a written investment policy is reviewed by the City's governing body annually and may be certified by the CMTA as often as needed according to relevance of importance; and
WHEREAS, the Investment Policy Certification Program (the "Program') of the CMTA was developed in 2012; and
WHEREAS, the Program was instituted in an effort to assist state and local governments interested in drafting or improving upon an existing investment policy; and WHEREAS, the CMTA Certification Committee is comprised of fellow CMTA members, many of whom have earned the Certified California Municipal Treasurers (CCMT) designation and who volunteer to serve as reviewers; and WHEREAS, for the policy to receive certification, it must be approved by all reviewers in all areas spelled out in the CMTA Certification Program; and WHEREAS, the CMTA Certification Program investment policy includes language and rationales for those 19 sections that the Association deems as critical elements; and
WHEREAS, those critical elements are:

1. Policy

2. Scope

3. Prudence

4. Objective

5. Delegation of Authority

6. Ethics and Conflicts of interest

7. Authorized Financial Dealers and Institutions

8. Authorized and Suitable Investments

9. Review of Investment Portfolio

10. Investment Pools/Mutual Funds

11. Collateralization

12. Safekeeping and Custody

13. Diversification

14. Maximum Maturities

15. Internal Controls

16. Performance Standards

17. Reporting
1355
Reso No.____

18. Investment Policy Adoption

19. Glossary; and
WHEREAS, prior to September 24, 2024, the investment policy had not been certified by CMTA; and
WHEREAS, the investment policy is reviewed and updated by the Finance department annually to meet the standards set forth by CMTA.

NOW, THEREFORE, BE IT RESOLVED, that the City Council of the City of Richmond, California, hereby amends the City's existing investment policy to adhere to the CMTA "Certification Program" Investment Policy guidelines which will be reviewed by the City Council annually and may be certified by CMTA as often as needed according to relevance of importance.

BE IT FURTHER RESOLVED, that this certification will serve to assure the City Council and the public that the City of Richmond is abiding by professional standards established to ensure prudent management of public funds.

BE IT FURTHER RESOLVED, that a copy of the new City of Richmond Investment Policy is attached hereto as Exhibit A.
* * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * 1356
Reso No.____

I certify that the foregoing resolution was passed and adopted by the Council of the City of Richmond at a regular meeting thereof held _______________, by the following vote:

AYES:

NOES:

ABSTENTIONS:

ABSENT:

CLERK OF THE CITY OF RICHMOND
(SEAL)
Approved:

Mayor
Approved as to form:

City Attorney
State of California }
County of Contra Costa : ss.

City of Richmond }
I certify that the foregoing is a true copy of Resolution No._____, finally passed and adopted by the City Council of the City of Richmond at a regular meeting held on ____________. 1357

December 3, 2024
Community Development
DATE: December 3, 2024
TO: Mayor Martinez and Members of the City Council
FROM: Lina Velasco, Director of Community Development
Eva Mann, Code Enforcement Manager
Subject: Code Enforcement Lien and Special Assessment List for May 1, 2023 – April 30, 2024
FINANCIAL IMPACT: This action will enable the City of Richmond to collect outstanding receivables against subject properties listed on EXHIBITS A and B that have outstanding fees related
to administrative citations, and/or nuisance abatement
costs. The outstanding fees on the two lists total
$589,620.59. These fees will offset the General Fund
expenditures related to Code Enforcement staffing and
operations and are assessed when properties fail to pay citation fees, or the City is forced to abate nuisance
conditions after warrants are obtained.

PREVIOUS COUNCIL
ACTION:

September 19, 2023 – EXHIBIT A includes properties for
the period between May 1, 2022 – April 30, 2023, that were removed from the adopted lien list approved by the Council for that same time period to allow additional staff time to work with owners. EXHIBIT B includes properties with fees assessed between May 1, 2023 – April 30, 2024.

STATEMENT OF THE
ISSUE:

Within the Richmond Municipal Code (RMC), the City
Council has provided enforcement officers tools to
ensure corrections of violations of the RMC. The RMC
also allows the City to assess late payment charges and to recover any past due administrative citation fines and late charges. The City Council must hold a public
hearing and approve a resolution to initiate the process of AGENDA
REPORT
1358

December 3, 2024
levying special assessments to recover fines and costs
for issuing administrative citations, and nuisance
abatement costs. Staff is recommending that the City
Council adopt a Resolution authorizing the City of
Richmond to levy special assessments against certain
properties with unpaid invoices related to administrative citations, and nuisance abatement costs pursuant to
Richmond Municipal Code Chapters 2.62, 6.38, 9.22, and

11.76 for the period of May 1, 2022, through April 30,
2024.

RECOMMENDED ACTION: HOLD a public hearing; and ADOPT a resolution authorizing the City of Richmond to levy special
assessments against certain properties with unpaid
invoices related to administrative citations, and nuisance abatement costs pursuant to Richmond Municipal Code
Chapters 2.62, 6.38, 9.22, and 11.76 – Community
Development Department (Lina Velasco/Eva Mann 510-
621-1283)
DISCUSSION:

Richmond Municipal Code (“RMC”) Chapter 2.62 and Section 9.22.100 authorize the City of Richmond to levy special assessment liens against properties for failure to pay administrative fines, and costs of abatement, including those imposed pursuant to Chapter 11.76, and 6.38. Recoverable costs include those related to unpaid administrative citations, non-compliance fees, late payment charges, and nuisance abatements. The properties with outstanding fees are provided in Exhibits A and B of the attached Resolution. The proposed lists covers the period of May 1, 2022, through April 30, 2024.

Richmond Municipal Code section 9.22.110(d) allows that, on a periodic basis, the City Manager or their designee prepare and file with the City Clerk a report and assessment list which identifies all real property at which abatement work was done by the City and for which the owner has not fully reimbursed the City, within 30 days of the date of billing for work performed. The report and assessment lists are required to provide a description of the real property at which the work was performed, the expenses incurred by the City and the names and addresses of the persons entitled to notice, as identified in Richmond Municipal Code Section 9.22.100(c). The list in Exhibits A and B of the attached Resolution includes these properties with outstanding abatement work fees.

Any owner who objects to the proposed assessment and who desires to challenge the proposed assessment at the City Council hearing must submit all objections in writing to the City Clerk at least one day prior to the date of hearing (by December 2, 2024). A notice of public hearing and the obligation of the owner to notify the City Clerk of their 1359