Rev. 3/2021 Sourcewell RFP #110421
Public Utility Equipment with Related Accessories and Supplies
RFP #110421
REQUEST FOR PROPOSALS
for
Public Utility Equipment with Related Accessories and Supplies Proposal Due Date: November 4, 2021, 4:30 p.m., Central Time Sourcewell, a State of Minnesota local government unit and service cooperative, is requesting proposals for Public Utility Equipment with Related Accessories and Supplies to result in a contracting solution for use by its Participating Entities. Sourcewell Participating Entities include thousands of governmental, higher education, K-12 education, nonprofit, tribal government, and other public agencies located in the United States and Canada. A full copy of the Request for Proposals can be found on the Sourcewell Procurement Portal [https://proportal.sourcewellmn.gov]. Only proposals submitted through the Sourcewell Procurement Portal will be considered. Proposals are due no later than November 4, 2021, at 4:30 p.m. Central Time, and late proposals will not be considered.
Solicitation Schedule
Public Notice of RFP Published: September 16, 2021
Pre-proposal Conference: October 13, 2021, 10:00 a.m., Central Time Question Submission Deadline: October 28, 2021, 4:30 p.m., Central Time Proposal Due Date: November 4, 2021, 4:30 p.m., Central Time Late responses will not be considered.
Opening: November 4, 2021, 6:30 p.m., Central Time
See RFP Section V.G. “Opening”
Agenda Item #9.9.
Rev. 3/2021 Sourcewell RFP #110421
Public Utility Equipment with Related Accessories and Supplies
I. ABOUT SOURCEWELL
A. SOURCEWELL
Sourcewell is a State of Minnesota local government unit and service cooperative created under the laws of the State of Minnesota (Minnesota Statutes Section 123A.21) that facilitates a competitive public solicitation and contract award process for the benefit of its 50,000+ participating entities across the United States and Canada. Sourcewell’s solicitation process complies with State of Minnesota law and policies, conforms to Canadian trade agreements, and results in cooperative purchasing solutions from which Sourcewell’s Participating Entities procure equipment, products, and services.
Cooperative purchasing provides participating entities and suppliers increased administrative efficiencies and the power of combined purchasing volume that result in overall cost savings. At times, Sourcewell also partners with other purchasing cooperatives to combine the purchasing volume of their membership into a single solicitation and contract expanding the reach of contracted suppliers’ potential pool of end users.
Sourcewell uses a website-based platform, the Sourcewell Procurement Portal, through which all proposals to this RFP must be submitted.
B. USE OF RESULTING CONTRACTS
In the United States, Sourcewell’s contracts are available for use by:
• Federal and state government entities;
• Cities, towns, and counties/parishes;
• Education service cooperatives;
• K-12 and higher education entities;
• Tribal government entities;
• Some nonprofit entities; and
• Other public entities.
In Canada, Sourcewell’s contracts are available for use by:
• Provincial and territorial government departments, ministries, agencies, boards, councils, committees, commissions, and similar agencies; • Regional, local, district, and other forms of municipal government, municipal organizations, school boards, and publicly-funded academic, health, and social service entities referred to as MASH sector (this should be construed to include but not be limited to the Cities of Calgary, Edmonton, Toronto, Ottawa, and Winnipeg), as well as any corporation or entity owned or controlled by one or more of the preceding entities; • Crown corporations, government enterprises, and other entities that are owned or controlled by these entities through ownership interest; Agenda Item #9.9.
Rev. 3/2021 Sourcewell RFP #110421
Public Utility Equipment with Related Accessories and Supplies
• Members of the Rural Municipalities of Alberta (RMA) and their represented Associations: MASH (municipalities, academic institutions, schools and hospitals) and MUSH (municipalities, universities, schools and hospitals) sectors, and other governmental agencies eligible to use the Sourcewell contracts. MASH and MUSH sector refers to regional, local, district or other forms of municipal government, school boards, publicly-funded academic, health and social service entities, as well as any corporation or entity owned or controlled by one or more of the preceding entities, including but not limited to represented associations, Saskatchewan Association of Rural Municipalities ("SARM"), Association of Manitoba Municipalities ("AMM"), Local Authorities Services/Association of Municipalities Ontario ("LAS/AMO", excluding the cities of Toronto and Ottawa), Nova Scotia Federation of Municipalities (“NSFM”), Federation of Prince Edward Island Municipalities (“FPEIM”), Municipalities Newfoundland Labrador (“MNL”), Union of New Brunswick Municipalities (“UNBM”), North West Territories Association of Communities ("NWTAC") and their members.
RMA Participants may include all not-for-profit agencies for Canadian provinces and territories.
For a listing of current United States and Canadian Participating Entities visit Sourcewell’s website (note: there is a tab for each country): https://www.sourcewell-mn.gov/sourcewell-forvendors/agency-locator.
Participating Entities typically access contracted equipment, products, or services through a purchase order issued directly to the contracted supplier. A Participating Entity may request additional terms or conditions related to a purchase. Use of Sourcewell contracts is voluntary and Participating Entities retain the right to obtain similar equipment, products, or services from other sources.
To meet Participating Entities’ needs, Sourcewell broadly publishes public notice of all solicitation opportunities, including this RFP. In the United States each state-level procurement department receives notice for possible re-posting.
Proof of publication will be available at the conclusion of the solicitation process.
II. SOLICITATION DETAILS
A. SOLUTIONS-BASED SOLICITATION
This RFP and contract award process is a solutions-based solicitation; meaning that Sourcewell is seeking equipment, products, or services that meet the general requirements of the scope of this RFP and that are commonly desired or are required by law or industry standards.
Agenda Item #9.9.
Rev. 3/2021 Sourcewell RFP #110421
Public Utility Equipment with Related Accessories and Supplies
B. REQUESTED EQUIPMENT, PRODUCTS, OR SERVICES
It is expected that proposers will offer a wide array of equipment, products, or services at lower prices and with better value than what they would ordinarily offer to a single government entity, a school district, or a regional cooperative.
1. Sourcewell is seeking proposals for Public Utility Equipment with Related Accessories and Supplies including, but not limited to:
a. Chassis-mounted, trailer-mounted, and self-propelled (wheel or track):
i. Telescopic, articulated, mast, and boom, aerial lifts, towers, buckets, and platforms;
ii. Digger derricks, and cable placing, pulling, and tensioning equipment; and, iii. Directional drills, trenchless excavation equipment, thrust and boring machines, soil piercing tools, trenchers, rock wheels, and pile drivers. b. Utility locating equipment; and,
c. Accessories, supplies, replacement or wear parts, and services related to the offering of the solutions in subsections 1. a. and b. above.
2. The primary focus of this solicitation is on Public Utility Equipment with Related Accessories and Supplies. This solicitation should NOT be construed to include excavators principally intended for the cleaning of sewer lines, catch basins, and storm sewers, or for municipal pumping applications.
3. This solicitation does not include those equipment, products, or services covered under categories included in contracts currently maintained by Sourcewell:
a. Trailers with Related Equipment, Accessories, and Services (RFP #121918), except the trailer-mounted solutions identified in subsections 1. a. i. – iii. above; b. Heavy Construction Equipment with Related Accessories, Attachments, and Supplies (RFP #032119);
c. Medium Duty and Compact Construction Equipment with Related Attachments, Accessories, and Supplies (RFP #040319);
d. Ag Tractors with Related Attachments, Accessories, and Supplier (RFP #110719); e. Class 4-8 Chassis with Related Equipment, Accessories, and Services (RFP #060920), except the chassis-mounted solutions identified in subsections 1. a. i. – iii. above; f. Forklifts and Lift Trucks with Related Services (RFP #091520); and, g. Sewer Vacuum, Hydro-Excavation, and Municipal Pumping Equipment with Related Accessories and Supplies (RFP #101221).
Proposers may include related equipment, accessories, and services to the extent that these solutions are complementary to the equipment, products, or service(s) being proposed.
Agenda Item #9.9.
Rev. 3/2021 Sourcewell RFP #110421
Public Utility Equipment with Related Accessories and Supplies
Generally, the solutions for Participating Entities are turn-key solutions, providing a combination of equipment, products and services, delivery, and installation to a properly operating status. However, equipment or products only solutions may be appropriate for situations where Participating Entities possess the ability, either in-house or through local thirdparty contractors, to properly install and bring to operation the equipment or products being proposed.
Sourcewell prefers suppliers that provide a sole source of responsibility for the equipment, products, and services provided under a resulting contract. If proposer is including the equipment, products, and services of its subsidiary entities, the proposer must also identify all included subsidiaries in its proposal. If proposer requires the use of distributors, dealers, resellers, or subcontractors to provide the equipment, products, or services, the proposal must address how the equipment, products or services will be provided to Participating Entities, and describe the network of distributors, dealers, resellers, and/or subcontractors that will be available to serve Participating Entities under a resulting contract.
Sourcewell desires the broadest possible selection of equipment, products, and services being proposed over the largest possible geographic area and to the largest possible cross-section of Sourcewell current and future Participating Entities.
C. REQUIREMENTS
It is expected that proposers have knowledge of all applicable industry standards, laws, and regulations and possess an ability to market and distribute the equipment, products, or services to Participating Entities.
1. Safety Requirements. All items proposed must comply with current applicable safety or regulatory standards or codes.
2. Deviation from Industry Standard. Deviations from industry standards must be identified with an explanation of how the equipment, products, and services will provide equivalent function, coverage, performance, and/or related services.
3. New Equipment and Products. Proposed equipment and products must be for new, current model; however, proposer may offer certain close-out equipment or products if it is specifically noted in the Pricing proposal.
4. Delivered and operational. Unless clearly noted in the proposal, equipment and products must be delivered to the Participating Entity as operational.
5. Warranty. All equipment, products, supplies, and services must be covered by a warranty that is the industry standard or better.
D. ANTICIPATED CONTRACT TERM
Sourcewell anticipates that the term of any resulting contract(s) will be four years, with an optional one year extension that may be offered based on the best interests of Sourcewell and its Participating Entities.
Agenda Item #9.9.
Rev. 3/2021 Sourcewell RFP #110421
Public Utility Equipment with Related Accessories and Supplies
E. ESTIMATED CONTRACT VALUE AND USAGE
Based on past volume of similar contracts, the estimated annual value of all transactions from contracts resulting from this RFP are anticipated to be USD $90 Million; therefore, proposers are expected to propose volume pricing. Sourcewell anticipates considerable activity under the contract(s) awarded from this RFP; however, sales and sales volume from any resulting contract are not guaranteed.
F. MARKETING PLAN
Proposer’s sales force will be the primary source of communication with Participating Entities.
The proposer’s Marketing Plan should demonstrate proposer’s ability to deploy a sales force or dealer network to Participating Entities, as well as proposer’s sales and service capabilities. It is expected that proposer will promote and market any contract award.
G. ADDITIONAL CONSIDERATIONS
1. Contracts will be awarded to proposers able to best meet the need of Participating Entities. Proposers should submit their complete line of equipment, products, or services that are applicable to the scope of this RFP.
2. Proposers should include all relevant information in its proposal, since Sourcewell cannot consider information that is not included in the proposal. Sourcewell reserves the right to verify proposer’s information and may request clarification from a proposer, including samples of the proposed equipment or products.
3. Depending upon the responses received in a given category, Sourcewell may need to organize responses into subcategories in order to provide the broadest coverage of the requested equipment, products, or services to Participating Entities. Awards may be based on a subcategory.
4. A proposer’s documented negative past performance with Sourcewell or its Participating Entities occurring under a previously awarded Sourcewell contract may be considered in the evaluation of a proposal.
III. PRICING
A. REQUIREMENTS
All proposed pricing must be:
1. Either Line-Item Pricing or Percentage Discount from Catalog Pricing, or a combination of these:
a. Line-item Pricing is pricing based on each individual product or services. Each line must indicate the proposer’s published “List Price,” as well as the “Contract Price.” Agenda Item #9.9.
Rev. 3/2021 Sourcewell RFP #110421
Public Utility Equipment with Related Accessories and Supplies
b. Percentage Discount from Catalog or Category is based on a percentage discount from a catalog or list price, defined as a published Manufacturer’s Suggested Retail Price (MSRP) for the products or services. Individualized percentage discounts can be applied to any number of defined product groupings. Proposers will be responsible for providing and maintaining current published MSRP with Sourcewell, and this pricing must be included in its proposal and provided throughout the term of any Contract resulting from this RFP.
2. The proposer’s not to exceed price. A not to exceed price is the highest price for which equipment, products, or services may be billed to a Participating Entity. However, it is permissible for suppliers to sell at a price that is lower than the contracted price.
3. Stated in U.S. and Canadian dollars (as applicable).
4. Clearly understandable, complete, and fully describe the total cost of acquisition (e.g., the cost of the proposed equipment, products, and services delivered and operational for its intended purpose in the Participating Entity’s location).
Proposers should clearly identify any costs that are NOT included in the proposed product or service pricing. This may include items such as installation, set up, mandatory training, or initial inspection. Include identification of any parties that impose such costs and their relationship to the proposer. Additionally, proposers should clearly describe any unique distribution and/or delivery methods or options offered in the proposal.
B. ADMINISTRATIVE FEES
Proposers are expected to pay to Sourcewell an administrative fee in exchange for Sourcewell facilitating the resulting contracts. The administrative fee is normally calculated as a percentage of the total sales to Participating Entitiesfor all contracted equipment, products, or services made during a calendar quarter, and is typically one percent (1%) to two percent (2%). In some categories, a flat fee may be an acceptable alternative.
IV. CONTRACT
Proposers awarded a contract will be required to execute a contract with Sourcewell (see attached template). Only those modifications the proposer indicates in its proposal will be available for discussion. Much of the language in the Contract reflects Minnesota legal requirements and cannot be altered. Numerous and/or onerous exceptions that contradict Minnesota law may result in the proposal being disqualified from further review and evaluation.
To request a modification to the template Contract, a proposer must submit the Exceptions to Terms, Conditions, or Specifications table with its proposal. Only those exceptions noted at the time of the proposal submission will be considered.
Exceptions must:
1. Clearly identify the affected article and section.
Agenda Item #9.9.
Rev. 3/2021 Sourcewell RFP #110421
Public Utility Equipment with Related Accessories and Supplies
2. Clearly note the requested modification; and as applicable, provide requested alternative language.
Unclear requests will be automatically denied.
Only those exceptions that have been accepted by Sourcewell will be included in the contract document provided to the awarded supplier for signature.
If a proposer receives a contract award resulting from this solicitation it will have up to 30 days to sign and return the contract. After that time, at Sourcewell’s sole discretion, the contract award may be revoked.
V. RFP PROCESS
A. PRE-PROPOSAL CONFERENCE
Sourcewell will hold an optional, non-mandatory pre-proposal conference via webcast on the date and time noted in the Solicitation Schedule for this RFP and on the Sourcewell Procurement Portal. The purpose of this conference is to allow potential proposers to ask questions regarding this RFP and Sourcewell’s competitive contracting process. Information about the webcast will be sent to all entities that have registered for this solicitation opportunity through their Sourcewell Procurement Portal Supplier Account. Pre-proposal conference attendance is optional.
B. QUESTIONS REGARDING THIS RFP AND ORAL COMMUNICATION
All questions regarding this RFP must be submitted through the Sourcewell Procurement Portal.
The deadline for submission of questions is found in the Solicitation Schedule and on the Sourcewell Procurement Portal. Answers to questions will be issued through an addendum to this RFP. Repetitive questions will be summarized into a single answer and identifying information will be removed from the submitted questions.
All questions, whether specific to a proposer or generally related to the RFP, must be submitted using this process. Do not contact individual Sourcewell staff to ask questions or request information as this may disqualify the proposer from responding to this RFP. Sourcewell will not respond to questions submitted after the deadline.
C. ADDENDA
Sourcewell may modify this RFP at any time prior to the proposal due date by issuing an addendum. Addenda issued by Sourcewell become a part of the RFP and will be delivered to potential proposers through the Sourcewell Procurement Portal. Sourcewell accepts no liability in connection with the delivery of any addenda.
Agenda Item #9.9.
Rev. 3/2021 Sourcewell RFP #110421
Public Utility Equipment with Related Accessories and Supplies
Before a proposal will be accepted through the Sourcewell Procurement Portal, all addenda, if any, must be acknowledged by the proposer by checking the box for each addendum. It is the responsibility of the proposer to check for any addenda that may have been issued up to the solicitation due date and time.
If an addendum is issued after a proposer submitted its proposal, the Sourcewell Procurement Portal will WITHDRAW the submission and change the proposer’s proposal status to INCOMPLETE. The proposer can view this status change in the “MY BIDS” section of the Sourcewell Procurement Portal Supplier Account. The proposer is solely responsible to check the “MY BIDS” section of the Sourcewell Procurement Portal Supplier Account periodically after submitting its proposal (and up to the Proposal Due Date). If the proposer’s proposal status has changed to INCOMPLETE, the proposer is solely responsible to:
i) make any required adjustments to its proposal;
ii) acknowledge the addenda; and
iii) ensure the re-submitted proposal is received through the Sourcewell Procurement Portal no later than the Proposal Due Date and time shown in the Solicitation Schedule above.
D. PROPOSAL SUBMISSION
Proposer’s complete proposal must be submitted through the Sourcewell Procurement Portal no later than the date and time specified in the Solicitation Schedule. Any other form of proposal submission, whether electronic, paper, or otherwise, will not be considered by Sourcewell. Late proposals will not be considered. It is the proposer’s sole responsibility to ensure that the proposal is received on time.
It is recommended that proposers allow sufficient time to upload the proposal and to resolve any issues that may arise. The time and date that a proposal is received by Sourcewell is solely determined by the Sourcewell Procurement Portal web clock.
In the event of problems with the Sourcewell Procurement Portal, follow the instructions for technical support posted in the portal. It may take up to 24 hours to respond to certain issues.
Upon successful submission of a proposal, the Sourcewell Procurement Portal will automatically generate a confirmation email to the proposer. If the proposer does not receive a confirmation email, contact Sourcewell’s support provider at [email protected].
To ensure receipt of the latest information and updates via email regarding this solicitation, or if the proposer has obtained this solicitation document from a third party, the onus is on the proposer to create a Sourcewell Procurement Portal Supplier Account and register for this solicitation opportunity.
Within the Sourcewell Procurement Portal, all proposals must be digitally acknowledged by an authorized representative of the proposer attesting that the information contained in in the proposal is true and accurate. By submitting a proposal, proposer warrants that the information Agenda Item #9.9.
Rev. 3/2021 Sourcewell RFP #110421
Public Utility Equipment with Related Accessories and Supplies
provided is true, correct, and reliable for purposes of evaluation for potential contract award.
The submission of inaccurate, misleading, or false information is grounds for disqualification from a contract award and may subject the proposer to remedies available by law.
E. GENERAL PROPOSAL REQUIREMENTS
Proposals must be:
• In substantial compliance with the requirements of this RFP or it will be considered nonresponsive and be rejected.
• Complete. A proposal will be rejected if it is conditional or incomplete. • Submitted in English.
• Valid and irrevocable for 90 days following the Proposal Due Date.
Any and all costs incurred in responding to this RFP will be borne by the proposer.
F. PROPOSAL WITHDRAWAL
Prior to the proposal deadline, a proposer may withdraw its proposal.
G. OPENING
The Opening of proposals will be conducted electronically through the Sourcewell Procurement Portal. A list of all proposers will be made publicly available in the Sourcewell Procurement Portal after the Proposal Due Date, but no later than the Opening time listed in the Solicitation Schedule.
To view the list of proposers, verify that the Sourcewell Procurement Portal opportunities list search is set to “All” or “Closed.” The solicitation status will automatically change to “Closed” after the Proposal Due Date and Time.
VI. EVALUATION AND AWARD
A. EVALUATION
It is the intent of Sourcewell to award one or more contracts to responsive and responsible proposers offering the best overall quality, selection of equipment, products, and services, and price that meet the commonly requested specifications of Sourcewell and its Participating Entities. The award(s) will be limited to the number of proposers that Sourcewell determines is necessary to meet the needs of its Participating Entities. Factors to be considered in determining the number of contracts to be awarded in any category may include the following:
• The number of and geographic location of:
o Proposers necessary to offer a comprehensive selection of equipment, products, or services for Participating Entities’ use.
Agenda Item #9.9.
Rev. 3/2021 Sourcewell RFP #110421
Public Utility Equipment with Related Accessories and Supplies
o A proposer’s sales and service network to assure availability of product supply and coverage to meet Participating Entities’ anticipated needs. • Total evaluation scores.
• The attributes of proposers, and their equipment, products, or services, to assist Participating Entities achieve environmental and social requirements, preferences, and goals.
Information submitted as part of a proposal should be as specific as possible when responding to the RFP. Do not assume Sourcewell has any knowledge about a specific supplier or product.
B. AWARD(S)
Award(s) will be made to the proposer(s) whose proposal conforms to all conditions and requirements of the RFP, and consistent with the award criteria defined in this RFP.
Sourcewell may request written clarification of a proposal at any time during the evaluation process.
Proposal evaluation will be based on the following scoring criteria and the Sourcewell Evaluator Scoring Guide (a copy is available in the Sourcewell Procurement Portal):
Conformance to RFP Requirements 50
Financial Viability and Marketplace Success 75
Ability to Sell and Deliver Service 100
Marketing Plan 50
Value Added Attributes 75
Warranty 50
Depth and Breadth of Offered Equipment, Products, or Services 200 Pricing 400
TOTAL POINTS 1000
C. PROTESTS OF AWARDS
Any protest made under this RFP by a proposer must be in writing, addressed to Sourcewell’s Executive Director, and delivered to the Sourcewell office located at 202 12th Street NE, P.O.
Box 219, Staples, MN 56479. All documents that comprise the complete protest package must be received no later than 10 calendar days’ following Sourcewell’s notice of contract award(s) or non-award and must be time stamped by Sourcewell no later than 4:30 p.m., Central Time. A protest must allege a procedural, technical, or legal defect, with supporting documentation. A protest that merely requests a re-evaluation of a proposal’s content will not be entertained A protest must include the following items:
• The name, address, and telephone number of the protester; Agenda Item #9.9.
Rev. 3/2021 Sourcewell RFP #110421
Public Utility Equipment with Related Accessories and Supplies
• Identification of the solicitation by RFP number;
• A precise statement of the relevant facts;
• Identification of the alleged procedural, technical, or legal defect; • Analysis of the basis for the protest;
• Any additional supporting documentation;
• The original signature of the protester or its representative; and • Protest bond in the amount of $20,000 (except where prohibited by law or treaty).
Protests that do not address these elements will not be reviewed.
D. RIGHTS RESERVED
This RFP does not commit Sourcewell to award any contract, and a proposal may be rejected if it is nonresponsive, conditional, incomplete, conflicting, or misleading. Proposals that contain false statements or do not support an attribute or condition stated by the proposer may be rejected.
Sourcewell reserves the right to:
• Modify or cancel this RFP at any time;
• Reject any and all proposals received;
• Reject proposals that do not comply with the provisions of this RFP; • Select, for contracts or for discussion, a proposal other than that with the lowest cost; • Independently verify any information provided in a proposal; • Disqualify any proposer that does not meet the requirements of this RFP, is debarred or suspended by the United States or Canada, State of Minnesota, Participating Entity’s state or province; has an officer, or other key personnel, who have been charged with a serious crime; or is bankrupt, insolvent, or where bankruptcy or insolvency are a reasonable prospect;
• Waive or modify any informalities, irregularities, or inconsistencies in the proposals received;
• Clarify any part of a proposal and discuss any aspect of the proposal with any proposer; and negotiate with more than one proposer;
• Award a contract if only one responsive proposal is received if it is in the best interest of Participating Entities; and
• Award a contract to one or more proposers if it is in the best interest of Participating Entities.
E. DISPOSITION OF PROPOSALS
All materials submitted in response to this RFP will become property of Sourcewell and will become public record in accordance with Minnesota Statutes Section 13.591, after negotiations are complete. Sourcewell considers that negotiations are complete upon execution of a resulting contract. It is the proposer’s responsibility to clearly identify any data submitted that Agenda Item #9.9.
Rev. 3/2021 Sourcewell RFP #110421
Public Utility Equipment with Related Accessories and Supplies
it considers to be protected. Proposer must also include a justification for the classification citing the applicable Minnesota law. Sourcewell may reject proposals that are marked confidential or nonpublic, either substantially or in their entirety.
Sourcewell will not consider the prices submitted by the proposer to be confidential, proprietary, or trade secret materials. Financial information, including financial statements, provided by a proposer is not considered trade secret under the statutory definition.
Agenda Item #9.9.
9/20/2021
Addendum No. 1
Solicitation Number: RFP 110421
Solicitation Name: Public Utility Equipment with Related Accessories and Supplies Consider the following Question and Answer to be part of the above-titled solicitation documents. The remainder of the documents remain unchanged.
Question 1:
Are radio batteries and accessories considered in-scope for this contract? Answer 1:
Each proposer, in its discretion, will propose the equipment, products, and services that it deems to fall within Sourcewell’s requested equipment, products, and services as stated in RFP Section II. B. - Requested Equipment, Products or Services. However, only those products within the scope of the RFP will be included in any contract awarded by Sourcewell as a result of this solicitation. Proposals are evaluated based on the criteria stated in the RFP.
End of Addendum
Acknowledgement of this Addendum to RFP 110421 posted to the Sourcewell Procurement Portal on 9/20/2021, is required at the time of proposal submittal.
Agenda Item #9.9.
9/24/2021
Addendum No. 2
Solicitation Number: RFP 110421
Solicitation Name: Public Utility Equipment with Related Accessories and Supplies Consider the following Question and Answer to be part of the above-titled solicitation documents. The remainder of the documents remain unchanged.
Question 1:
Can we submit a bid response that includes the body, with installation, and excludes the chassis? Can chassis pricing be added later?
Answer 1:
Sourcewell will not advise a proposer on the content of the proposal. Each proposer, in its discretion, will propose the equipment, products, and services that it deems to fall within Sourcewell’s requested equipment, products, and services as described in RFP Section II. B (Requested Equipment, Products and Services). The solicitation is a competitive process and proposals are evaluated on the content submitted.
The Proposer’s complete proposal must be submitted through the Sourcewell Procurement Portal no later than the date and time specified in the Solicitation Schedule (RFP Section V. D.), and all relevant information should be included in the proposal (RFP Section II., G.).
For additional guidance on the process for pricing changes during the contract term refer to Section 4. – Product and Pricing Change Requests in the Sourcewell template contract available on the Sourcewell Procurement Portal.
End of Addendum
Acknowledgement of this Addendum to RFP 110421 posted to the Sourcewell Procurement Portal on 9/24/2021, is required at the time of proposal submittal.
Agenda Item #9.9.
9/27/2021
Addendum No. 3
Solicitation Number: RFP 110421
Solicitation Name: Public Utility Equipment with Related Accessories and Supplies Consider the following Question and Answer to be part of the above-titled solicitation documents. The remainder of the documents remain unchanged.
Question 1:
We saw a posting for this solicitation on a website other than the Sourcewell Procurement Portal. Are the products or commodities listed on the other site part of this opportunity, or is the opportunity only for the equipment or products included in the Sourcewell RFP?
Answer 1:
The requested equipment, products, or services for this solicitation are as stated in RFP Section II. B. – Requested Equipment, Products, or Services. The contents of a posting on a site other than the Sourcewell Procurement Portal have no impact on the scope of the Sourcewell RFP.
End of Addendum
Acknowledgement of this Addendum to RFP 110421 posted to the Sourcewell Procurement Portal on 9/27/2021, is required at the time of proposal submittal.
Agenda Item #9.9.
10/14/2021
Addendum No. 4
Solicitation Number: RFP 110421
Solicitation Name: Public Utility Equipment with Related Accessories and Supplies Consider the following Questions and Answers to be part of the above-titled solicitation documents. The remainder of the documents remain unchanged.
Question 1:
Would bulk water dispensing and wastewater receiving systems be in scope for this RFP?
Answer 1:
Each proposer, in its discretion, will propose the equipment, products, and services that it deems to fall within Sourcewell’s requested equipment, products, and services as stated in RFP Section II. B. - Requested Equipment, Products or Services. However, only those products within the scope of the RFP will be included in any contract awarded by Sourcewell as a result of this solicitation. Proposals are evaluated based on the criteria stated in the RFP.
Question 2:
We have already been awarded an agreement by Canoe Procurement Group of Canada.
Can it be transferred to this Sourcewell opportunity, or will we have to bid again? Answer 2:
The solicitation issued by Sourcewell is independent of contracts that have been previously awarded by Canoe Procurement Group of Canada.
To participate in the Sourcewell competitive solicitation, a proposal must be submitted through the Sourcewell Procurement Portal. Guidance on preparing a response in the Portal can be found in the “Submit Response Guide” found on the “Bids Homepage” in the Resource Materials section. After selecting “Start Submission” from the Bid Details page, a proposer will navigate to Step 1 to begin the submission.
Agenda Item #9.9.
End of Addendum
Acknowledgement of this Addendum to RFP 110421 posted to the Sourcewell Procurement Portal on 10/14/2021, is required at the time of proposal submittal.
Agenda Item #9.9.
110421-ALT
Rev. 3/2021 1
Solicitation Number: RFP #110421
CONTRACT
This Contract is between Sourcewell, 202 12th Street Northeast, P.O. Box 219, Staples, MN 56479 (Sourcewell) and Altec Industries, Inc., 210 Inverness Center Drive, Birmingham, AL 35242 (Supplier).
Sourcewell is a State of Minnesota local government unit and service cooperative created under the laws of the State of Minnesota (Minnesota Statutes Section 123A.21) that offers cooperative procurement solutions to government entities. Participation is open to eligible federal, state/province, and municipal governmental entities, higher education, K-12 education, nonprofit, tribal government, and other public entities located in the United States and Canada.
Sourcewell issued a public solicitation for Public Utility Equipment with Related Accessories and Supplies from which Supplier was awarded a contract.
Supplier desires to contract with Sourcewell to provide equipment, products, or services to Sourcewell and the entities that access Sourcewell’s cooperative purchasing contracts (Participating Entities).
1. TERM OF CONTRACT
A. EFFECTIVE DATE. This Contract is effective upon the date of the final signature below.
B. EXPIRATION DATE AND EXTENSION. This Contract expires December 27, 2025, unless it is cancelled sooner pursuant to Article 22. This Contract may be extended one additional year upon the request of Sourcewell and written agreement by Supplier.
C. SURVIVAL OF TERMS. Notwithstanding any expiration or termination of this Contract, all payment obligations incurred prior to expiration or termination will survive, as will the following: Articles 11 through 14 survive the expiration or cancellation of this Contract. All other rights will cease upon expiration or termination of this Contract.
2. EQUIPMENT, PRODUCTS, OR SERVICES
A. EQUIPMENT, PRODUCTS, OR SERVICES. Supplier will provide the Equipment, Products, or Services as stated in its Proposal submitted under the Solicitation Number listed above.
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Supplier’s Equipment, Products, or Services Proposal (Proposal) is attached and incorporated into this Contract.
Except as expressly agreed in the participating addendum or transaction document with the participating entity, all Equipment and Products provided under this Contract must be new and the current model. Supplier may offer close-out or refurbished Equipment or Products if they are clearly indicated in Supplier’s product and pricing list. Unless agreed to by the Participating Entities in advance, Equipment or Products must be delivered as operational to the Participating Entity’s site.
This Contract offers an indefinite quantity of sales, and while substantial volume is anticipated, sales and sales volume are not guaranteed.
B. WARRANTY. Supplier warrants that all new Equipment, Products, and Services furnished (which does not include equipment or products that are solely financed) are free from liens and encumbrances, and are free from defects in design, materials, and workmanship. In addition, Supplier warrants the Equipment, Products, and Services are suitable for and will perform in accordance with the ordinary use for which they are intended. Supplier’s dealers and distributors must agree to assist the Participating Entity in reaching a resolution in any dispute over warranty terms with the manufacturer. Any manufacturer’s warranty that extends beyond the expiration of the Supplier’s warranty will be passed on to the Participating Entity.
C. DEALERS, DISTRIBUTORS, AND/OR RESELLERS. Upon Contract execution and throughout the Contract term, Supplier must provide to Sourcewell a current means to validate or authenticate Supplier’s authorized dealers, distributors, or resellers relative to the Equipment, Products, and Services offered under this Contract, which will be incorporated into this Contract by reference. It is the Supplier’s responsibility to ensure Sourcewell receives the most current information.
3. PRICING
All Equipment, Products, or Services under this Contract will be priced at or below the price stated in Supplier’s Proposal.
When providing pricing quotes to Participating Entities, all pricing quoted must reflect a Participating Entity’s total cost of acquisition. This means that the quoted cost is for delivered Equipment, Products, and Services that are operational for their intended purpose, and includes all costs to the Participating Entity’s requested delivery location.
Regardless of the payment method chosen by the Participating Entity, the total cost associated with any purchase option of the Equipment, Products, or Services must always be disclosed in the pricing quote to the applicable Participating Entity at the time of purchase.
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A. SHIPPING AND SHIPPING COSTS. All delivered Equipment and Products must be properly packaged. Damaged Equipment and Products may be rejected. If the damage is not readily apparent at the time of delivery, Supplier must permit the Equipment and Products to be returned within a reasonable time at no cost to Sourcewell or its Participating Entities.
Participating Entities reserve the right to inspect the Equipment and Products at a reasonable time after delivery where circumstances or conditions prevent effective inspection of the Equipment and Products at the time of delivery. In the event of the delivery of nonconforming Equipment and Products, the Participating Entity will notify the Supplier as soon as possible and the Supplier will replace nonconforming Equipment and Products with conforming Equipment and Products that are acceptable to the Participating Entity.
Supplier must arrange for and pay for the return shipment on Equipment and Products that arrive in a defective or inoperable condition.
Sourcewell may declare the Supplier in breach of this Contract if the Supplier intentionally delivers substandard or inferior Equipment or Products.
B. SALES TAX. Each Participating Entity is responsible for supplying the Supplier with valid taxexemption certification(s). When ordering, a Participating Entity must indicate if it is a taxexempt entity.
C. HOT LIST PRICING. At any time during this Contract, Supplier may offer a specific selection of Equipment, Products, or Services at discounts greater than those listed in the Contract.
When Supplier determines it will offer Hot List Pricing, it must be submitted electronically to Sourcewell in a line-item format. Equipment, Products, or Services may be added or removed from the Hot List at any time through a Sourcewell Price and Product Change Form as defined in Article 4 below.
Hot List program and pricing may also be used to discount and liquidate close-out and discontinued Equipment and Products as long as those close-out and discontinued items are clearly identified as such. Current ordering process and administrative fees apply. Hot List Pricing must be published and made available to all Participating Entities.
4. PRODUCT AND PRICING CHANGE REQUESTS
Supplier may request Equipment, Product, or Service changes, additions, or deletions at any time. All requests must be made in writing by submitting a signed Sourcewell Price and Product Change Request Form to the assigned Sourcewell Supplier Development Administrator. This approved form is available from the assigned Sourcewell Supplier Development Administrator.
At a minimum, the request must:
x Identify the applicable Sourcewell contract number;
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x Clearly specify the requested change;
x Provide sufficient detail to justify the requested change; x Individually list all Equipment, Products, or Services affected by the requested change, along with the requested change (e.g., addition, deletion, price change); and x Include a complete restatement of pricing documentation in Microsoft Excel with the effective date of the modified pricing, or product addition or deletion. The new pricing restatement must include all Equipment, Products, and Services offered, even for those items where pricing remains unchanged.
A fully executed Sourcewell Price and Product Change Request Form will become an amendment to this Contract and will be incorporated by reference.
5. PARTICIPATION, CONTRACT ACCESS, AND PARTICIPATING ENTITY REQUIREMENTS
A. PARTICIPATION. Sourcewell’s cooperative contracts are available and open to public and nonprofit entities across the United States and Canada; such as federal, state/province, municipal, K-12 and higher education, tribal government, and other public entities.
The benefits of this Contract should be available to all Participating Entities that can legally access the Equipment, Products, or Services under this Contract. A Participating Entity’s authority to access this Contract is determined through its cooperative purchasing, interlocal, or joint powers laws. Any entity accessing benefits of this Contract will be considered a Service Member of Sourcewell during such time of access. Supplier understands that a Participating Entity’s use of this Contract is at the Participating Entity’s sole convenience and Participating Entities reserve the right to obtain like Equipment, Products, or Services from any other source.
Supplier is responsible for familiarizing its sales and service forces with Sourcewell contract use eligibility requirements and documentation and will encourage potential participating entities to join Sourcewell. Sourcewell reserves the right to add and remove Participating Entities to its roster during the term of this Contract.
B. PUBLIC FACILITIES. Supplier’s employees may be required to perform work at governmentowned facilities, including schools. Supplier’s employees and agents must conduct themselves in a professional manner while on the premises, and in accordance with Participating Entity policies and procedures, and all applicable laws.
6. PARTICIPATING ENTITY USE AND PURCHASING
A. ORDERS AND PAYMENT. To access the contracted Equipment, Products, or Services under this Contract, a Participating Entity must clearly indicate to Supplier that it intends to access this Contract; however, order flow and procedure will be developed jointly between Sourcewell and Supplier. Typically, a Participating Entity will issue an order directly to Supplier or its authorized
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subsidiary, distributor, dealer, or reseller. If a Participating Entity issues a purchase order, it may use its own forms, but the purchase order should clearly note the applicable Sourcewell contract number. All Participating Entity orders under this Contract must be issued prior to expiration or cancellation of this Contract; however, Supplier performance, Participating Entity payment obligations, and any applicable warranty periods or other Supplier or Participating Entity obligations may extend beyond the term of this Contract.
Supplier’s acceptable forms of payment are included in its attached Proposal. Participating Entities will be solely responsible for payment and Sourcewell will have no liability for any unpaid invoice of any Participating Entity.
B. ADDITIONAL TERMS AND CONDITIONS/PARTICIPATING ADDENDUM. Additional terms and conditions to a purchase order, or other required transaction documentation, may be negotiated between a Participating Entity and Supplier, such as job or industry-specific requirements, legal requirements (e.g., affirmative action or immigration status requirements), or specific local policy requirements. Some Participating Entities may require the use of a Participating Addendum; the terms of which will be negotiated directly between the Participating Entity and the Supplier. Any negotiated additional terms and conditions for the direct purchase of new equipment or products must never be less favorable to the Participating Entity than what is contained in this Contract.
C. SPECIALIZED SERVICE REQUIREMENTS. In the event that the Participating Entity requires service or specialized performance requirements not addressed in this Contract (such as ecommerce specifications, specialized delivery requirements, or other specifications and requirements), the Participating Entity and the Supplier may enter into a separate, standalone agreement, apart from this Contract. Sourcewell, including its agents and employees, will not be made a party to a claim for breach of such agreement.
D. TERMINATION OF ORDERS. Participating Entities may terminate an order, in whole or in part, immediately upon notice to Supplier in the event of any of the following events:
1. The Participating Entity fails to receive funding or appropriation from its governing body at levels sufficient to pay for the equipment, products, or services to be purchased; or
2. Federal, state, or provincial laws or regulations prohibit the purchase or change the Participating Entity’s requirements.
E. GOVERNING LAW AND VENUE. The governing law and venue for any action related to a Participating Entity’s order will be determined by the Participating Entity making the purchase.
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7. CUSTOMER SERVICE
A. PRIMARY ACCOUNT REPRESENTATIVE. Supplier will assign an Account Representative to Sourcewell for this Contract and must provide prompt notice to Sourcewell if that person is changed. The Account Representative will be responsible for:
x Maintenance and management of this Contract;
x Timely response to all Sourcewell and Participating Entity inquiries; and x Business reviews to Sourcewell and Participating Entities, if applicable.
B. BUSINESS REVIEWS. Supplier must perform a minimum of one business review with Sourcewell per contract year. The business review will cover sales to Participating Entities, pricing and contract terms, administrative fees, sales data reports, supply issues, customer issues, and any other necessary information.
8. REPORT ON CONTRACT SALES ACTIVITY AND ADMINISTRATIVE FEE PAYMENT A. CONTRACT SALES ACTIVITY REPORT. Each calendar quarter, Supplier must provide a contract sales activity report (Report) to the Sourcewell Supplier Development Administrator assigned to this Contract. Reports are due no later than 45 days after the end of each calendar quarter. A Report must be provided regardless of the number or amount of sales during that quarter (i.e., if there are no sales, Supplier must submit a report indicating no sales were made).
The Report must contain the following fields:
x Participating Entity Name (e.g., City of Staples Highway Department); x Participating Entity Physical Street Address;
x Participating Entity City;
x Participating Entity State/Province;
x Participating Entity Zip/Postal Code;
x Participating Entity Contact Name;
x Participating Entity Contact Email Address;
x Participating Entity Contact Telephone Number;
x Sourcewell Assigned Entity/Participating Entity Number; x Item Purchased Description;
x Item Purchased Price;
x Sourcewell Administrative Fee Applied; and
x Date Purchase was invoiced/sale was recognized as revenue by Supplier.
B. ADMINISTRATIVE FEE. In consideration for the support and services provided by Sourcewell, the Supplier will pay an administrative fee to Sourcewell on all Equipment, Products, and
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Services provided to Participating Entities. The Administrative Fee must be included in, and not added to, the pricing. Supplier may not charge Participating Entities more than the contracted price to offset the Administrative Fee.
The Supplier will submit payment to Sourcewell for the percentage of administrative fee stated in the Proposal multiplied by the total sales of all Equipment, Products, and Services purchased by Participating Entities under this Contract during each calendar quarter. Payments should note the Supplier’s name and Sourcewell-assigned contract number in the memo; and must be mailed to the address above “Attn: Accounts Receivable” or remitted electronically to Sourcewell’s banking institution per Sourcewell’s Finance department instructions. Payments must be received no later than 45 calendar days after the end of each calendar quarter.
Supplier agrees to cooperate with Sourcewell in auditing transactions under this Contract to ensure that the administrative fee is paid on all items purchased under this Contract.
In the event the Supplier is delinquent in any undisputed administrative fees, Sourcewell reserves the right to cancel this Contract and reject any proposal submitted by the Supplier in any subsequent solicitation. In the event this Contract is cancelled by either party prior to the Contract’s expiration date, the administrative fee payment will be due no more than 30 days from the cancellation date.
9. AUTHORIZED REPRESENTATIVE
Sourcewell's Authorized Representative is its Chief Procurement Officer.
Supplier’s Authorized Representative is the person named in the Supplier’s Proposal. If Supplier’s Authorized Representative changes at any time during this Contract, Supplier must promptly notify Sourcewell in writing.
10. AUDIT, ASSIGNMENT, AMENDMENTS, WAIVER, AND CONTRACT COMPLETE A. AUDIT. Pursuant to Minnesota Statutes Section 16C.05, subdivision 5, the books, records, documents, and accounting procedures and practices relevant to this Agreement are subject to examination by Sourcewell or the Minnesota State Auditor for a minimum of six years from the end of this Contract. This clause extends to Participating Entities as it relates to business conducted by that Participating Entity under this Contract.
B. ASSIGNMENT. Neither party may assign or otherwise transfer its rights or obligations under this Contract without the prior written consent of the other party and a fully executed assignment agreement. Such consent will not be unreasonably withheld. Any prohibited assignment will be invalid.
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C. AMENDMENTS. Any amendment to this Contract must be in writing and will not be effective until it has been duly executed by the parties.
D. WAIVER. Failure by either party to take action or assert any right under this Contract will not be deemed a waiver of such right in the event of the continuation or repetition of the circumstances giving rise to such right. Any such waiver must be in writing and signed by the parties.
E. CONTRACT COMPLETE. This Contract represents the complete agreement between the parties. No other understanding regarding this Contract, whether written or oral, may be used to bind either party.For any conflict between the attached Proposal and the terms set out in Articles 1-22 of this Contract, the terms of Articles 1-22 will govern.
F. RELATIONSHIP OF THE PARTIES. The relationship of the parties is one of independent contractors, each free to exercise judgment and discretion with regard to the conduct of their respective businesses. This Contract does not create a partnership, joint venture, or any other relationship such as master-servant, or principal-agent.
11. INDEMNITY AND HOLD HARMLESS
Supplier must indemnify, defend, save, and hold Sourcewell and its Participating Entities, including their agents and employees, harmless from any claims or causes of action, including attorneys’ fees incurred by Sourcewell or its Participating Entities, arising out of any negligent act or omission or willful misconduct in the performance of this Contract by the Supplier or its agents or employees; this indemnification includes injury or death to person(s) or property alleged to have been caused by some defect in the Equipment, Products, or Services under this Contract to the extent the Equipment, Product, or Service has been used according to its specifications. Sourcewell’s responsibility will be governed by the State of Minnesota’s Tort Liability Act (Minnesota Statutes Chapter 466) and other applicable law.
12. GOVERNMENT DATA PRACTICES
Supplier and Sourcewell must comply with the Minnesota Government Data Practices Act, Minnesota Statutes Chapter 13, as it applies to all data provided by or provided to Sourcewell under this Contract and as it applies to all data created, collected, received, stored, used, maintained, or disseminated by the Supplier under this Contract.
13. INTELLECTUAL PROPERTY, PUBLICITY, MARKETING, AND ENDORSEMENT A. INTELLECTUAL PROPERTY
1. Grant of License. During the term of this Contract:
a. Sourcewell grants to Supplier a royalty-free, worldwide, non-exclusive right and license to use thetrademark(s) provided to Supplier by Sourcewell in advertising and
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promotional materials for the purpose of marketing Sourcewell’s relationship with Supplier.
b. Supplier grants to Sourcewell a royalty-free, worldwide, non-exclusive right and license to use Supplier’s trademarks in advertising and promotional materials for the purpose of marketing Supplier’s relationship with Sourcewell.
2. Limited Right of Sublicense. The right and license granted herein includes a limited right of each party to grant sublicenses to their respective subsidiaries, distributors, dealers, resellers, marketing representatives, and agents (collectively “Permitted Sublicensees”) in advertising and promotional materials for the purpose of marketing the Parties’ relationship to Participating Entities. Any sublicense granted will be subject to the terms and conditions of this Article. Each party will be responsible for any breach of this Article by any of their respective sublicensees.
3. Use; Quality Control.
a. Neither party may alter the other party’s trademarks from the form provided and must comply with removal requests as to specific uses of its trademarks or logos.
b. Each party agrees to use, and to cause its Permitted Sublicensees to use, the other party’s trademarks only in good faith and in a dignified manner consistent with such party’s use of the trademarks. Upon written notice to the breaching party, the breaching party has 30 days of the date of the written notice to cure the breach or the license will be terminated.
4. As applicable, Supplier agrees to indemnify and hold harmless Sourcewell and its Participating Entities against any and all suits, claims, judgments, and costs instituted or recovered against Sourcewell or Participating Entities by any person on account of the use of any Equipment or Products by Sourcewell or its Participating Entities supplied by Supplier in violation of applicable patent or copyright laws.
5. Termination. Upon the termination of this Contract for any reason, each party, including Permitted Sublicensees, will have 30 days to remove all Trademarks from signage, websites, and the like bearing the other party’s name or logo (excepting Sourcewell’s pre-printed catalog of suppliers which may be used until the next printing). Supplier must return all marketing and promotional materials, including signage, provided by Sourcewell, or dispose of it according to Sourcewell’s written directions.
B. PUBLICITY. Any publicity regarding the subject matter of this Contract must not be released without prior written approval from the Authorized Representatives. Publicity includes notices, informational pamphlets, press releases, research, reports, signs, and similar public notices prepared by or for the Supplier individually or jointly with others, or any subcontractors, with respect to the program, publications, or services provided resulting from this Contract.
C. MARKETING. Any direct advertising, marketing, or offers with Participating Entities must be approved by Sourcewell. Send all approval requests to the Sourcewell Supplier Development Administrator assigned to this Contract.
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D. ENDORSEMENT. The Supplier must not claim that Sourcewell endorses its Equipment, Products, or Services.
14. GOVERNING LAW, JURISDICTION, AND VENUE
The substantive and procedural laws of the State of Minnesota will govern this Contract. Venue for all legal proceedings arising out of this Contract, or its breach, must be in the appropriate state court in Todd County, Minnesota or federal court in Fergus Falls, Minnesota.
15. FORCE MAJEURE
Neither party to this Contract will be held responsible for delay or default caused by acts of God or other conditions that are beyond that party’s reasonable control. A party defaulting under this provision must provide the other party prompt written notice of the default.
16. SEVERABILITY
If any provision of this Contract is found by a court of competent jurisdiction to be illegal, unenforceable, or void then both parties will be relieved from all obligations arising from that provision. If the remainder of this Contract is capable of being performed, it will not be affected by such determination or finding and must be fully performed.
17. PERFORMANCE, DEFAULT, AND REMEDIES
A. PERFORMANCE. During the term of this Contract, the parties will monitor performance and address unresolved contract issues as follows:
1. Notification. The parties must promptly notify each other of any known dispute and work in good faith to resolve such dispute within a reasonable period of time. If necessary, Sourcewell and the Supplier will jointly develop a short briefing document that describes the issue(s), relevant impact, and positions of both parties.
2. Escalation. If parties are unable to resolve the issue in a timely manner, as specified above, either Sourcewell or Supplier may escalate the resolution of the issue to a higher level of management. The Supplier will have 30 calendar days to cure an outstanding issue.
3. Performance while Dispute is Pending. Notwithstanding the existence of a dispute, the Supplier must continue without delay to carry out all of its responsibilities under the Contract that are not affected by the dispute. If the Supplier fails to continue without delay to perform its responsibilities under the Contract, in the accomplishment of all undisputed work, the Supplier will bear any additional costs incurred by Sourcewell and/or its Participating Entities as a result of such failure to proceed.
B. DEFAULT AND REMEDIES. Either of the following constitutes cause to declare this Contract, or any Participating Entity order under this Contract, in default:
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1. Nonperformance of contractual requirements, or
2. A material breach of any term or condition of this Contract.
The party claiming default must provide written notice of the default, with 30 calendar days to cure the default. Time allowed for cure will not diminish or eliminate any liability for liquidated or other damages. If the default remains after the opportunity for cure, the non-defaulting party may:
x Exercise any remedy provided by law or equity, or
x Terminate the Contract or any portion thereof, including any orders issued against the Contract.
18. INSURANCE
A. REQUIREMENTS. At its own expense, Supplier must maintain insurance policy(ies) in effect at all times during the performance of this Contract with insurance company(ies) licensed or authorized to do business in the State of Minnesota having an “AM BEST” rating of A- or better, with coverage and limits of insurance not less than the following:
1. Workers’ Compensation and Employer’s Liability.
Workers’ Compensation: As required by any applicable law or regulation.
Employer's Liability Insurance: must be provided in amounts not less than listed below:
Minimum limits:
$500,000 each accident for bodily injury by accident
$500,000 policy limit for bodily injury by disease
$500,000 each employee for bodily injury by disease
2. Commercial General Liability Insurance. Supplier will maintain insurance covering its operations, with coverage on an occurrence basis, and must be subject to terms no less broad than the Insurance Services Office (“ISO”) Commercial General Liability Form CG0001 (2001 or newer edition), or equivalent. At a minimum, coverage must include liability arising from premises, operations, bodily injury and property damage, independent contractors, products-completed operations including construction defect, contractual liability, blanket contractual liability, and personal injury and advertising injury. All required limits, terms and conditions of coverage must be maintained during the term of this Contract.
Minimum Limits:
$1,000,000 each occurrence Bodily Injury and Property Damage $1,000,000 Personal and Advertising Injury
$2,000,000 aggregate for Products-Completed operations
$2,000,000 general aggregate
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3. Commercial Automobile Liability Insurance. During the term of this Contract, Supplier will maintain insurance covering all owned, hired, and non-owned automobiles in limits of liability not less than indicated below. The coverage must be subject to terms no less broad than ISO Business Auto Coverage Form CA 0001 (2010 edition or newer), or equivalent.
Minimum Limits:
$1,000,000 each accident, combined single limit
4. Umbrella Insurance. During the term of this Contract, Supplier will maintain umbrella coverage over Employer’s Liability, Commercial General Liability, and Commercial Automobile.
Minimum Limits:
$2,000,000
5. Network Security and Privacy Liability Insurance. During the term of this Contract, Supplier will maintain coverage for network security and privacy liability. The coverage may be endorsed on another form of liability coverage or written on a standalone policy. The insurance must cover claims which may arise from failure of Supplier’s security resulting in, but not limited to, computer attacks, unauthorized access, disclosure of not public data – including but not limited to, confidential or private information, transmission of a computer virus, or denial of service.
Minimum limits:
$2,000,000 per occurrence
$2,000,000 annual aggregate
Failure of Supplier to maintain the required insurance will constitute a material breach entitling Sourcewell to immediately terminate this Contract for default.
B. CERTIFICATES OF INSURANCE. Prior to commencing under this Contract, Supplier must furnish to Sourcewell a certificate of insurance, as evidence of the insurance required under this Contract. Prior to expiration of the policy(ies), renewal certificates must be mailed to Sourcewell, 202 12th Street Northeast, P.O. Box 219, Staples, MN 56479 or sent to the Sourcewell Supplier Development Administrator assigned to this Contract. The certificates must be signed by a person authorized by the insurer(s) to bind coverage on their behalf.
Failure to request certificates of insurance by Sourcewell, or failure of Supplier to provide certificates of insurance, in no way limits or relieves Supplier of its duties and responsibilities in this Contract.
C. ADDITIONAL INSURED ENDORSEMENT AND PRIMARY AND NON-CONTRIBUTORY INSURANCE CLAUSE. Supplier agrees to list Sourcewell and its Participating Entities, including their officers, agents, and employees, as an additional insured under the Supplier’s commercial general liability insurance policy with respect to liability arising out of activities, “operations,” or
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“work” performed by or on behalf of Supplier, and products and completed operations of Supplier. The policy provision(s) or endorsement(s) must further provide that coverage is primary and not excess over or contributory with any other valid, applicable, and collectible insurance or self-insurance in force for the additional insureds.
D. WAIVER OF SUBROGATION. Supplier waives and must require (by endorsement or otherwise) all its insurers to waive subrogation rights against Sourcewell and other additional insureds for losses paid under the insurance policies required by this Contract or other insurance applicable to the Supplier or its subcontractors. The waiver must apply to all deductibles and/or self-insured retentions applicable to the required or any other insurance maintained by the Supplier or its subcontractors. Where permitted by law, Supplier must require similar written express waivers of subrogation and insurance clauses from each of its subcontractors.
E. UMBRELLA/EXCESS LIABILITY/SELF-INSURED RETENTION. The limits required by this Contract can be met by either providing a primary policy or in combination with umbrella/excess liability policy(ies), or self-insured retention.
19. COMPLIANCE
A. LAWS AND REGULATIONS. All Equipment, Products, or Services provided under this Contract must comply fully with applicable federal laws and regulations, and with the laws in the states and provinces in which the Equipment, Products, or Services are sold.
B. LICENSES. Supplier must maintain a valid and current status on all required federal, state/provincial, and local licenses, bonds, and permits required for the operation of the business that the Supplier conducts with Sourcewell and Participating Entities.
20. BANKRUPTCY, DEBARMENT, OR SUSPENSION CERTIFICATION
Supplier certifies and warrants that it is not in bankruptcy or that it has previously disclosed in writing certain information to Sourcewell related to bankruptcy actions. If at any time during this Contract Supplier declares bankruptcy, Supplier must immediately notify Sourcewell in writing.
Supplier certifies and warrants that neither it nor its principals are presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from programs operated by the State of Minnesota; the United States federal government or the Canadian government, as applicable; or any Participating Entity. Supplier certifies and warrants that neither it nor its principals have been convicted of a criminal offense related to the subject matter of this Contract. Supplier further warrants that it will provide immediate written notice to Sourcewell if this certification changes at any time.
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21. PROVISIONS FOR NON-UNITED STATES FEDERAL ENTITY PROCUREMENTS UNDER
UNITED STATES FEDERAL AWARDS OR OTHER AWARDS
Participating Entities that use United States federal grant or FEMA funds to purchase goods or services from this Contract may be subject to additional requirements including the procurement standards of the Uniform Administrative Requirements, Cost Principles and Audit Requirements for Federal Awards, 2 C.F.R. § 200. Participating Entities may have additional requirements based on specific funding source terms or conditions. Within this Article, all references to “federal” should be interpreted to mean the United States federal government.
The following list only applies when a Participating Entity accesses Supplier’s Equipment, Products, or Services with United States federal funds.
A. EQUAL EMPLOYMENT OPPORTUNITY. Except as otherwise provided under 41 C.F.R. § 60, all contracts that meet the definition of “federally assisted construction contract” in 41 C.F.R. § 60-
1.3 must include the equal opportunity clause provided under 41 C.F.R. §60-1.4(b), in accordance with Executive Order 11246, “Equal Employment Opportunity” (30 FR 12319, 12935, 3 C.F.R. §, 1964-1965 Comp., p. 339), as amended by Executive Order 11375, “Amending Executive Order 11246 Relating to Equal Employment Opportunity,” and implementing regulations at 41 C.F.R. § 60, “Office of Federal Contract Compliance Programs, Equal Employment Opportunity, Department of Labor.” The equal opportunity clause is incorporated herein by reference.
B. DAVIS-BACON ACT, AS AMENDED (40 U.S.C. § 3141-3148). When required by federal program legislation, all prime construction contracts in excess of $2,000 awarded by nonfederal entities must include a provision for compliance with the Davis-Bacon Act (40 U.S.C. § 3141-3144, and 3146-3148) as supplemented by Department of Labor regulations (29 C.F.R. § 5, “Labor Standards Provisions Applicable to Contracts Covering Federally Financed and Assisted Construction”). In accordance with the statute, contractors must be required to pay wages to laborers and mechanics at a rate not less than the prevailing wages specified in a wage determination made by the Secretary of Labor. In addition, contractors must be required to pay wages not less than once a week. The non-federal entity must place a copy of the current prevailing wage determination issued by the Department of Labor in each solicitation. The decision to award a contract or subcontract must be conditioned upon the acceptance of the wage determination. The non-federal entity must report all suspected or reported violations to the federal awarding agency. The contracts must also include a provision for compliance with the Copeland “Anti-Kickback” Act (40 U.S.C. § 3145), as supplemented by Department of Labor regulations (29 C.F.R. § 3, “Contractors and Subcontractors on Public Building or Public Work Financed in Whole or in Part by Loans or Grants from the United States”). The Act provides that each contractor or subrecipient must be prohibited from inducing, by any means, any person employed in the construction, completion, or repair of public work, to give up any part of the compensation to which he or she is otherwise entitled. The non-federal entity must report all suspected or reported violations to the federal awarding agency. Supplier must be in compliance with all applicable Davis-Bacon Act provisions.
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C. CONTRACT WORK HOURS AND SAFETY STANDARDS ACT (40 U.S.C. § 3701-3708). Where applicable, all contracts awarded by the non-federal entity in excess of $100,000 that involve the employment of mechanics or laborers must include a provision for compliance with 40 U.S.C. §§ 3702 and 3704, as supplemented by Department of Labor regulations (29 C.F.R. § 5).
Under 40 U.S.C. § 3702 of the Act, each contractor must be required to compute the wages of every mechanic and laborer on the basis of a standard work week of 40 hours. Work in excess of the standard work week is permissible provided that the worker is compensated at a rate of not less than one and a half times the basic rate of pay for all hours worked in excess of 40 hours in the work week. The requirements of 40 U.S.C. § 3704 are applicable to construction work and provide that no laborer or mechanic must be required to work in surroundings or under working conditions which are unsanitary, hazardous or dangerous. These requirements do not apply to the purchases of supplies or materials or articles ordinarily available on the open market, or contracts for transportation or transmission of intelligence. This provision is hereby incorporated by reference into this Contract. Supplier certifies that during the term of an award for all contracts by Sourcewell resulting from this procurement process, Supplier must comply with applicable requirements as referenced above.
D. RIGHTS TO INVENTIONS MADE UNDER A CONTRACT OR AGREEMENT. If the federal award meets the definition of “funding agreement” under 37 C.F.R. § 401.2(a) and the recipient or subrecipient wishes to enter into a contract with a small business firm or nonprofit organization regarding the substitution of parties, assignment or performance of experimental, developmental, or research work under that “funding agreement,” the recipient or subrecipient must comply with the requirements of 37 C.F.R. § 401, “Rights to Inventions Made by Nonprofit Organizations and Small Business Firms Under Government Grants, Contracts and Cooperative Agreements,” and any implementing regulations issued by the awarding agency. Supplier certifies that during the term of an award for all contracts by Sourcewell resulting from this procurement process, Supplier must comply with applicable requirements as referenced above.
E. CLEAN AIR ACT (42 U.S.C. § 7401-7671Q.) AND THE FEDERAL WATER POLLUTION CONTROL ACT (33 U.S.C. § 1251-1387). Contracts and subgrants of amounts in excess of $150,000 require the non-federal award to agree to comply with all applicable standards, orders or regulations issued pursuant to the Clean Air Act (42 U.S.C. § 7401- 7671q) and the Federal Water Pollution Control Act as amended (33 U.S.C. § 1251- 1387). Violations must be reported to the Federal awarding agency and the Regional Office of the Environmental Protection Agency (EPA).
Supplier certifies that during the term of this Contract will comply with applicable requirements as referenced above.
F. DEBARMENT AND SUSPENSION (EXECUTIVE ORDERS 12549 AND 12689). A contract award (see 2 C.F.R. § 180.220) must not be made to parties listed on the government wide exclusions in the System for Award Management (SAM), in accordance with the OMB guidelines at 2 C.F.R. §180 that implement Executive Orders 12549 (3 C.F.R. § 1986 Comp., p. 189) and 12689 (3 C.F.R. § 1989 Comp., p. 235), “Debarment and Suspension.” SAM Exclusions contains the names
Agenda Item #9.9.
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Rev. 3/2021 16
of parties debarred, suspended, or otherwise excluded by agencies, as well as parties declared ineligible under statutory or regulatory authority other than Executive Order 12549. Supplier certifies that neither it nor its principals are presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participation by any federal department or agency.
G. BYRD ANTI-LOBBYING AMENDMENT, AS AMENDED (31 U.S.C. § 1352). Suppliers must file any required certifications. Suppliers must not have used federal appropriated funds to pay any person or organization for influencing or attempting to influence an officer or employee of any agency, a member of Congress, officer or employee of Congress, or an employee of a member of Congress in connection with obtaining any federal contract, grant, or any other award covered by 31 U.S.C. § 1352. Suppliers must disclose any lobbying with non-federal funds that takes place in connection with obtaining any federal award. Such disclosures are forwarded from tier to tier up to the non-federal award. Suppliers must file all certifications and disclosures required by, and otherwise comply with, the Byrd Anti-Lobbying Amendment (31 U.S.C. § 1352).
H. RECORD RETENTION REQUIREMENTS. To the extent applicable, Supplier must comply with the record retention requirements detailed in 2 C.F.R. § 200.333. The Supplier further certifies that it will retain all records as required by 2 C.F.R. § 200.333 for a period of 3 years after grantees or subgrantees submit final expenditure reports or quarterly or annual financial reports, as applicable, and all other pending matters are closed.
I. ENERGY POLICY AND CONSERVATION ACT COMPLIANCE. To the extent applicable, Supplier must comply with the mandatory standards and policies relating to energy efficiency which are contained in the state energy conservation plan issued in compliance with the Energy Policy and Conservation Act.
J. BUY AMERICAN PROVISIONS COMPLIANCE. To the extent applicable, Supplier must comply with all applicable provisions of the Buy American Act. Purchases made in accordance with the Buy American Act must follow the applicable procurement rules calling for free and open competition.
K. ACCESS TO RECORDS (2 C.F.R. § 200.336). Supplier agrees that duly authorized representatives of a federal agency must have access to any books, documents, papers and records of Supplier that are directly pertinent to Supplier’s discharge of its obligations under this Contract for the purpose of making audits, examinations, excerpts, and transcriptions. The right also includes timely and reasonable access to Supplier’s personnel for the purpose of interview and discussion relating to such documents.
L. PROCUREMENT OF RECOVERED MATERIALS (2 C.F.R. § 200.322). A non-federal entity that is a state agency or agency of a political subdivision of a state and its contractors must comply with Section 6002 of the Solid Waste Disposal Act, as amended by the Resource Conservation
Agenda Item #9.9.
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and Recovery Act. The requirements of Section 6002 include procuring only items designated in guidelines of the Environmental Protection Agency (EPA) at 40 C.F.R. § 247 that contain the highest percentage of recovered materials practicable, consistent with maintaining a satisfactory level of competition, where the purchase price of the item exceeds $10,000 or the value of the quantity acquired during the preceding fiscal year exceeded $10,000; procuring solid waste management services in a manner that maximizes energy and resource recovery; and establishing an affirmative procurement program for procurement of recovered materials identified in the EPA guidelines.
M. FEDERAL SEAL(S), LOGOS, AND FLAGS. The Supplier not use the seal(s), logos, crests, or reproductions of flags or likenesses of Federal agency officials without specific pre-approval.
N. NO OBLIGATION BY FEDERAL GOVERNMENT. The U.S. federal government is not a party to this Contract or any purchase by an Participating Entity and is not subject to any obligations or liabilities to the Participating Entity, Supplier, or any other party pertaining to any matter resulting from the Contract or any purchase by an authorized user.
O. PROGRAM FRAUD AND FALSE OR FRAUDULENT STATEMENTS OR RELATED ACTS. The Contractor acknowledges that 31 U.S.C. 38 (Administrative Remedies for False Claims and Statements) applies to the Supplier’s actions pertaining to this Contract or any purchase by a Participating Entity.
P. FEDERAL DEBT. The Supplier certifies that it is non-delinquent in its repayment of any federal debt. Examples of relevant debt include delinquent payroll and other taxes, audit disallowance, and benefit overpayments.
Q. CONFLICTS OF INTEREST. The Supplier must notify the U.S. Office of General Services, Sourcewell, and Participating Entity as soon as possible if this Contract or any aspect related to the anticipated work under this Contract raises an actual or potential conflict of interest (as described in 2 C.F.R. Part 200). The Supplier must explain the actual or potential conflict in writing in sufficient detail so that the U.S. Office of General Services, Sourcewell, and Participating Entity are able to assess the actual or potential conflict; and provide any additional information as necessary or requested.
R. U.S. EXECUTIVE ORDER 13224. The Supplier, and its subcontractors, must comply with U.S.
Executive Order 13224 and U.S. Laws that prohibit transactions with and provision of resources and support to individuals and organizations associated with terrorism.
S. PROHIBITION ON CERTAIN TELECOMMUNICATIONS AND VIDEO SURVEILLANCE SERVICES OR EQUIPMENT. To the extent applicable, Supplier certifies that during the term of this Contract it will comply with applicable requirements of 2 C.F.R. § 200.216.
Agenda Item #9.9.
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Rev. 3/2021 18
T. DOMESTIC PREFERENCES FOR PROCUREMENTS. To the extent applicable, Supplier certifies that during the term of this Contract will comply with applicable requirements of 2 C.F.R. § 200.322.
22. CANCELLATION
Sourcewell or Supplier may cancel this Contract at any time, with or without cause, upon 60 days’ written notice to the other party. However, Sourcewell may cancel this Contract immediately upon discovery of a material defect in any certification made in Supplier’s Proposal. Cancellation of this Contract does not relieve either party of financial, product, or service obligations incurred or accrued prior to cancellation.
Sourcewell Altec Industries, Inc.
By: __________________________ By: __________________________ Jeremy Schwartz Riley Browne
Title: Chief Procurement Officer Title: Contract Specialist Date: ________________________ Date: ________________________ Approved:
By: __________________________
Chad Coauette
Title: Executive Director/CEO
Date: ________________________
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Bid Number: RFP 110421 Vendor Name: Altec Industries, Inc.
Agenda Item #9.9.
Bid Number: RFP 110421 Vendor Name: Altec Industries, Inc.
Exceptions to Terms, Conditions, or Specifications Form Only those Proposer Exceptions to Terms, Conditions, or Specifications that have been accepted by Sourcewell have been incorporated into the contract text.
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Agenda Item #9.9.
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7KH%LGGHUDFNQRZOHGJHVDQGDJUHHVWKDWWKHDGGHQGXPDGGHQGDEHORZIRUPSDUWRIWKH%LG'RFXPHQW Bid Number: RFP 110421 Vendor Name: Altec Industries, Inc.
Agenda Item #9.9.
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Bid Number: RFP 110421 Vendor Name: Altec Industries, Inc.
Agenda Item #9.9.
Report to the City Council
Regular City Council - 27 Jun 2023
Agenda Section: CONSENT ITEMS
Subject: Consideration and approval of a resolution approving Amendment #1 to the Professional Services Agreement in
connection with the project described as Professional Audit Services with Brown Armstrong Accountancy Corporation in the amount of $35,850 per year for audit services for a total of $71,700 over a two-year term for audits for Fiscal Years 2022-2023 and 2023-2024.
CEQA
Determination:
Not a CEQA project
Prepared By: Yosselyn Valencia, Finance Manager
Reviewed By: April Mitts, Assistant City Manager
Approved By: Anil Comelo, City Manager
BACKGROUND
State law requires local government publish a complete set of audited financial statements by December 31st of each year. The Annual Comprehensive Financial Report (ACFR) is published annually to fully disclose the City’s financial information, as well as to comply with state and federal requirements and bond covenants.
The financial audit and the preparation of the financial statements takes place over several months, beginning just after the end of the fiscal year and continuing through the time the books are closed and the ACFR is published. Staff coordinates with the auditors to ensure work is completed accurately and timely.
In 2020, the City of St. Helena issued an RFP for qualified firms of Certified Public Accountants to prepare and audit City financial statements for fiscal years ending June 30, 2020, 2021, and 2022 with an option to extend the contract for fiscal years ending June 30, 2023, and 2024.
Agenda Item #9.10.
A total of seven proposals were received and after conducting interviews Brown Armstrong Accountancy Corporation was selected. On April 28, 2020, via Resolution No 2020-85, the City entered into a Professional Services Agreement with Brown Armstrong to prepare and audit the City’s financial statements for fiscal years ending June 30, 2020, 2021, and 2022.
DISCUSSION
After working with Brown Armstrong for the past three years, staff is recommending the City of St. Helena exercise the option to extend the contract for fiscal years ending June 30, 2023 and 2024.
FISCAL IMPACT
The cost to extend the contract is $35,850 per year for a total of $71,700 over a twoyear term. If approved, this cost will be included in fiscal years 2022-23 and 2023-24 annual budgeting cycles.
RECOMMENDED ACTION
Staff recommends City Council approve the attached resolution.
ATTACHMENTS
Attachment #1 Resolution
Attachment #2 Amendment
Agenda Item #9.10.
Attachment 1
CITY OF ST. HELENA
RESOLUTION NO. 2023-
Authoring the City Manager to Execute Amendment #1 to the Professional Services Agreement in connection with the project described as Professional Audit Services with Brown Armstrong Accountancy Corporation for an amount of $35,850 per year for a total of $71,700 over a two-year term for audits for Fiscal Years 2022-23 and 2023-24.
RECITALS
A. On April 28, 2020, City Council Approved Resolution No. 2020-85, authorizing the City Manager to execute a three-year Professional Services Agreement with Brown Armstrong Accountancy Corporation for professional auditing services for an annual amount of $32,260 the first year and $35,850 the second and third year for a total of $103,960 over a three-year term; and B. Brown Armstrong has represented they have the necessary expertise, experience, and qualifications to complete the Annual Comprehensive Financial Report; and
C. The original proposal from Brown Armstrong included Fiscal Years FY 2022-23 and FY 2023-24 as optional years for an amount of $35,850 per year for a total of $71,700 over a two-year term; and
D. City and Consultant desire to amend the Agreement to provide two additional years of auditing services.
RESOLUTION
NOW, THEREFORE, the City Council of the City of St. Helena resolves as follows:
1. Authorize the City Manager to execute Amendment #1 to the Professional Services Agreement with Brown Armstrong Accountancy Corporation for $35,850 per year for a total of $71,700 over a two-year term for a total contract amount not to exceed $175,660.
Approved at a Regular Meeting of the St. Helena City Council on June 27, 2023, by the following vote:
Mayor Paul Dohring: __________
Vice Mayor Eric Hall: __________
Council Member Anna Chouteau: __________
Council Member Lester Hardy: __________
Agenda Item #9.10.
Attachment 1
Councilmember Billy Summers: _________
APPROVED: ATTEST:
Paul Jamison Dohring, Mayor Cindy Tzafopoulos, City Clerk Agenda Item #9.10.
Attachment 2
AMENDMENT #1 TO AGREEMENT FOR PROFESSIONAL SERVICES IN
CONNECTION WITH THE PROJECT DESCRIBED AS PROFESSIONAL AUDIT
SERVICES
A. Pursuant to the terms of the written Agreement between City of Consultant, approved on April 28, 2020, via Resolution No. 2020-085 the City entered into a Professional Services Agreement with Brown Armstrong Accountancy Corporation (Consultant) for professional auditing services for an annual amount of $32,260 the first year and $35,850 the second and third year for a total of $103,960 over a three-year term; and B. The Consultant has represented they have the necessary expertise, experience, and qualifications to complete the Annual Comprehensive Financial Report; and C. The original proposal from the Consultant included Fiscal Years FY 2022-23 and FY 2023-24 as optional years for an amount of $35,850 per year for a total of $71,700 over a two-year term; and
D. City and Consultant desire to amend the Agreement to provide two additional years of auditing services; and
E. Amendment No. 1 in the amount of $71,700 to the Agreement for Consultant Services with Brown Armstrong Accountancy Corporation is hereby approved; and F. The total amended contract not to exceed $175,660
IN WITNESS WHEREOF, the parties hereto have accepted, made, and executed this Agreement upon the terms, conditions, and provisions above stated, the day and year first above written.
Date: _________
Consultant: City:
By: ________________________________ By: ________________________ Name: ______________________________ Name: Anil Comelo
Title:______________________________ Title: City Manager Approved as to Form:
By: ________________________________
Name: Ethan Walsh
Title: City Attorney
Agenda Item #9.10.
Report to the City Council
Regular City Council - 27 Jun 2023
Agenda Section: PUBLIC HEARINGS
Subject: Public Hearing for consideration and proposed adoption of a resolution approving revised additions to the Measure T project list.
CEQA
Determination:
Not a CEQA project
Prepared By: Mario Traverso, Public Works Assistant Engineer Reviewed By: Joseph Leach, Public Works Director and City Engineer Approved By: April Mitts, Assistant City Manager
BACKGROUND
The Napa Countywide Road Maintenance Act, commonly known as "Measure T", is a 25- year period half-cent sales tax to fund improvements and maintenance of under-funded local streets and roads as well as supporting road infrastructure.
To be made eligible for Measure T funding and expenditure, a project must be publicly vetted, supported by a resolution by public hearing, and obtain concurrence with the Napa Valley Transportation Authority Tax Authority Board.
The City's most recent project list submittal and approval occurred in December 2021.
This list of projects included a listing of street segments scheduled for restoration treatments as defined by the City's current 5-Year Pavement Management Plan exhibits.
City staff has identified the need to update this list to reflect additional projects that are identified as Measure T funded in the current CIP and to implement revisions to the 5- Year Pavement Management Plan.
A public forum was held at City Hall on Wednesday, May 17, 2023 to provide for community engagement with the City's streets capital improvement strategy and comment on the proposed additions and revisions. On May 23, 2023, City Council approved a resolution requesting additions to the Measure T 5-Year project list.
Agenda Item #10.1.
Currently, Staff has identified areas to update the 5-Year project list and is requesting City Council consider the revised list with a public hearing, as required by Napa Valley Transportation Tax Authority Policies and Procedures.
The City will be submitting a updated project list to the Napa Valley Transportation Authority Tax Authority Board in December of 2023, which will reflect the expected updates to the City's 5-Year Pavement Management Plan and updated to the City's 5- Year CIP.
DISCUSSION
Public Works staff requests City Council to confirm and approve additions to the current Measure T project list to reflect changes to the existing 5-Year Pavement Management Plan and to include projects that the City had budgeted for Measure T funding and expenditure prior to the recent list update in December 2021. The request is as follows:
Include R19-05 Grayson and South Crane Rehab Project: R19-05 is a CIP project that has been in development since 2019 and is part of the current 5-year CIP and the FY23/24 budget. This project was listed on the Measure T project list prior to 2021, but was not included in the December 2021 project list. Staff request City Council approve the inclusion of the project to the Measure T project list to be made eligible for funding and expenditure.
Currently, $75,000 is allocated for Fund 3160 - Construction Contract in the FY22-23 budget, funded by Measure T. Staff requests this balance be transferred to Design which will allow for the completion of the S. Crane portion of the plans.
Engineers estimate of Measure T expenditure: $1,100,000.
Include the St. Helena Active Transportation and Safe Routes to Schools Plan to the Measure T Project List.
In 2020, the City commissioned GHD Engineers to prepare an Active Transportation and Safe Routes to School Plan. The plan provides a 15 item work plan detailing various safety improvements along the Spring Street and Madrona Avenue corridors within the City. These improvements, resulting from traffic engineering analysis, recommendations from Napa County Bike Coalition and community feedback, include installation of high visibility crosswalk striping, ADA accessible curb ramps and crossing warning devices such as RRFBs. The report was presented to the Active Transportation and Sustainability Committee on November 3, 2021. Staff was provided a copy of this work plan in August 2022, and incorporated the 4 high priority items into the scope of the R22-79 Pavement Restoration Year 2 project. Staff intends on incorporating the remaining 11 work plan items into the scope of the FY23/24 pavement restoration project. Staff requests that the 15 work plan items be included in the Measure T project list to be made eligible for funding and expenditure.
Engineers estimate of Measure T expenditure: $90,000.
Agenda Item #10.1.
Include R21-04 Pope Street Crosswalk Improvements at College Avenue to the Measure T Project List. This project is part of the current 5-year CIP and the FY22/23 budget. This project is partially funded by a 2021 Lifeline Transportation Program Cycle 6 grant for $94,000. Staff request City Council approve the inclusion of this project to the Measure T project list to be made eligible for supplemental funding and expenditure from Measure T.
Engineers estimate of Measure T expenditure: $25,000.
Include R21-02 Crosswalk Improvements on Main Street/Highway 29 and Pratt Avenue and Elmhurst Avenue to the Measure T Project List. This project is part of the current 5-year CIP and the FY22/23 budget. The current budget cites Measure T funding, but the project is not currently listed on the Measure T project List. This project is partially funded by a 2021 Transportation Development Act grant for $50,000. Staff request City Council approve the inclusion of this project to the Measure T project list to be made eligible for supplemental funding and expenditure from Measure T.
Engineers estimate of Measure T expenditure: $65,000.
Include Pratt Avenue to the Measure T Project List. It is anticipated that Pratt Avenue will be listed in the December 2023 5-Year Pavement Management Plan update, staff requests that Pratt Avenue be included in the current Measure T project list to be made eligible to secure opportunities to continue rehabilitation efforts.
Engineers estimate of Measure T expenditure: $250,000
Extend the project limits of the R23-79 Silverado Trail Segment.
According to the current 5-Year Pavement Management Plan, the scheduled restoration for the City owned segment of Silverado Trail only includes the Pope Street / Old Howell Mountain intersection. Staff recommends including the entire City owned stretch, extending roughly 1000' south of Pope Street to the List.
Engineers estimate of Measure T expenditure: $250,000
FISCAL IMPACT
No net fiscal impact. This request only provides an update for projects eligible for funding and expenditure through Measure T. Actual fiscal impacts and expenditures are authorized through subsequent Council actions.
RECOMMENDED ACTION
Adopt a resolution approving the requested project additions to the Five-Year Measure T Expenditure Plan for Fiscal Year 2022-23 through Fiscal Year 2026-27.
Agenda Item #10.1.
ATTACHMENTS
Resolution - Measure T Project List
Exhibit - 2021 Measure T Project List
Agenda Item #10.1.
CITY OF ST. HELENA
RESOLUTION NO. 2023-
Resolution Approving Projects
to be included to the Five-Year
Expenditure Plan under Napa
Countywide Road Maintenance
Act Program, Measure T
RECITALS
A. On November 6, 2012, the voters of Napa County
passed the Napa Countywide Road Maintenance Act,
also known as Measure T, which imposes a half cent
transaction and use tax to provide supplemental funding for road maintenance as detailed in the Measure T
Expenditure Plan; and
B. The Napa Valley Transportation Authority (NVTA) is the designated agency that administers and oversees the
Measure T revenues; and
C. The City of St. Helena is an eligible recipient of Measure T funds; and
D. The tax proceeds will be used to pay for the projects outlined in the Measure T Expenditure Plan allocated to the County of Napa and the cities and town within Napa
County (“Local Agencies”) as set forth in Measure Ts;
and
E. Under the Measure T Expenditure Plan, Measure T funds are provided to the Local Agencies to be used for streets and roads projects as defined in the Measure policies
and procedures; and
F. The City of St. Helena has entered into a Master
Agreement with NVTA that outlines procedures for
Measure T expenditures; and
G. In December of 2021, the City of St. Helena submitted to NVTA a list of projects to be made eligible for Measure T expenditures; and
Agenda Item #10.1.
H. Updates to the project list are required to align with the current 5 Year Capital Improvement Program; and
I. A public forum occurred on May 17, 2023, during which the proposal was presented; and
J. Measure T project(s) will comply with the requirements under the California Environmental Quality Act (California Code Sections 21000 et seq.; as implemented through
California Regulations Title 14, Chapter 3, Sections
15000 et seq.); and
RESOLUTION
The City Council of the City of St. Helena hereby resolves as follows:
1. Approves the project additions of the Grayson and
South Crane Rehab project, St. Helena Active
Transportation and Safe Routes to Schools Plan
project, Pope Street Crosswalk Improvements at
College Avenue project, Crosswalk Improvements on
Main Street/Highway 29 and Pratt Avenue and
Elmhurst Avenue project, Pratt Avenue and Silverado
Trail Extension to the Measure T project list; and
2. Authorizes staff to submit the project additions to the Napa Valley Transportation Authority Tax Authority
Board for approval.
Approved at a Regular Meeting of the St. Helena City
Council on June 27, 2023 by the following vote:
Mayor Dohring: __________
Vice Mayor Hall: __________
Councilmember Chouteau:__________
Councilmember Hardy: __________
Councilmember Summers: __________
APPROVED: ATTEST:
Agenda Item #10.1.
________________ _____________________________
Paul Jamison Dohring, Mayor Cindy Tzafopoulos, City
Clerk
Agenda Item #10.1.
Measure T Napa Countwide Road Maintenance Act
Jurisdiction Name:
Primary Contract #1 Email: Phone:
Secondary Contract #2 Email: Phone:
Fiscal Years Included: FY #1 2022-23 FY #2 2023-24 FY#3 2024-25 FY#4 2025-26 FY#5 2026-27 Maintenance of Effort (MOE)
Please provide the following information to establish MOE amount and to validate information:
1. Attach copies of Local Streets and Roads State Controller Reports for three years - FY 2007-08, FY 2008-09, FY 2009-10
2. Attach independent auditors validation for each Local Streets and Roads State Controller Report
3. Enter MOE Amounts Claiming: FY 2007-08 $261,217 FY 2008-09 $510,388 FY 2009-10 $365,963
4. Enter Certified MOE Amount: Total MOE: $379,189
Planned Measure T Expenditures
Please provide Five (5) year planned streets and road maintenance projects beginning in FY 2022-27 (add rows as needed):
Project # Fiscal Year Total Project
Cost
Measure T
Amount
Federal
Funds State Funds Other Local Funds Project Phase
2022/23 $ 28,584 $ 28,584 $ - $ 3,813.32 $ - Design/Construction 2022/23 $ 37,250 $ 37,250 $ - $ 4,969.43 $ - Design/Construction 2022/23 $ 7,200 $ 7,200 $ - $ 960.53 $ - Design/Construction 2022/23 $ 79,300 $ 79,300 $ - $ 10,579.21 $ - Design/Construction 2022/23 $ 73,847 $ 73,847 $ - $ 9,851.74 $ - Design/Construction 2022/23 $ 133,794 $ 133,794 $ - $ 17,849.12 $ - Design/Construction 2022/23 $ 163,613 $ 163,613 $ - $ 21,827.19 $ - Design/Construction 2022/23 $ 47,278 $ 47,278 $ - $ 6,307.24 $ - Design/Construction 2022/23 $ 64,400 $ 64,400 $ - $ 8,591.44 $ - Design/Construction 2022/23 $ 10,306 $ 10,306 $ - $ 1,374.90 $ - Design/Construction 2022/23 $ 11,439 $ 11,439 $ - $ 1,526.05 $ - Design/Construction 2022/23 $ 6,284 $ 6,284 $ - $ 838.33 $ - Design/Construction 2022/23 $ 13,085 $ 13,085 $ - $ 1,745.64 $ - Design/Construction 2022/23 $ 26,013 $ 26,013 $ - $ 3,470.33 $ - Design/Construction 2022/23 $ 197,107 $ 197,107 $ - $ 26,295.54 $ - Design/Construction 2022/23 $ 379,189 $ - $ - $ - $ 379,189 Construction
$ 1,278,689 $ 899,500 $ - $ 120,000 $ 379,189
2023/24 $ 90,109 $ 90,109 $ - $ - $ - Design/Construction 2023/24 $ 70,947 $ 70,947 $ - $ - $ - Design/Construction 2023/24 $ 15,862 $ 15,862 $ - $ - $ - Design/Construction 2023/24 $ 34,094 $ 34,094 $ - $ - $ - Design/Construction 2023/24 $ 23,603 $ 23,603 $ - $ - $ - Design/Construction 2023/24 $ 297,098 $ 297,098 $ - $ - $ - Design/Construction 2023/24 $ 14,203 $ 14,203 $ - $ - $ - Design/Construction 2023/24 $ 15,439 $ 15,439 $ - $ - $ - Design/Construction 2023/24 $ 6,860 $ 6,860 $ - $ - $ - Design/Construction 2023/24 $ 6,352 $ 6,352 $ - $ - $ - Design/Construction Mark A. Rincón-Ibarra
City of St. Helena
Mandy Kellogg
Please note: Eligible expenses include local streets and roads maintenance and supporting infrastructure within the public right of way for pavement, sealing, overlays, reconstruction, associated infrastructure, as required, excluding any local revenues expended for the pupose of storm damage repair as verified by an independent auditor. One time allocations that have been expended for local streets and road maintenance, but which may not be available on an ongoing basis shall not be considered when calculating an Agency's annual maintenance of effort.
Project Scope
[email protected] 707-968-2649
[email protected]
rg
707-968-2629
Valley View Street - Birche Ave to 315' N/O Grayson Ave, 932' Valley View Street - Spring St to Birche Ave, 1,043'
Stockton Street - Adams St to Tainter St, 447'
Stralla Court - Pope St to End (S), 90'
Voorhees Circle - Mitchell Dr (E) to Mitchell Dr (W), 915' Tainter Street - Stockton St to Kearney St, 710'
Location (intersection, mile marker, length of alignment) June Lane - Hunt Ave to Chiles Ave, 245'
Railroad Avenue - Hunt Ave to Adams St, 530'
Tainter Street - Kearney St to Oak Ave, 390'
Tainter Street - Allyn Ave to Stockton St, 740'
Library Lane - Adams St to End (N), 460'
Pope Street - Starr Ave to Peppertree Cir, 575'
Chiles Avenue - Signorelli Cir to End (E), 530'
Oak Avenue - Adams St to Adams St (intersection), 65'
College Avenue - Pope St to Pvmt Change, 874'
Dowdell Lane - House 759 to House 679, 350’
Dowdell Lane - Montessori @ Cop to House 867, 260’
2" AC OL w/Fabric
2" AC OL w/Fabric
2" AC OL w/Fabric
2" AC OL w/Fabric
2.5" AC OL w/Fabric
2.5" AC OL w/Fabric
2.5" AC OL w/Fabric
2" AC OL
2" AC OL
MicroSurfacing
Allyn Avenue - Tainter St to Spring St, 560’
Andrea Avenue - Kearney St to Oak Ave, 410’
MicroSurfacing Adams Street - Cop @ Business Center Dwy to Cop @ Library Ln, 300’
2.5" AC OL w/Fabric
2.5" AC OL w/Fabric
2.5" AC OL w/Fabric
MicroSurfacing
MicroSurfacing
MicroSurfacing
Reconstruct Structure (AC)
Reconstruct Structure (AC)
2.5" AC OL w/Fabric
Street Maintenance Progam: Pothole Patching Various locations as needed Total FY 2022/23
2.5" AC OL w/Fabric Dowdell Lane - House 867 to House 759, 450’
2.5" AC OL w/Fabric Silverado Trail 175' N/O Howell Mountain Rd to City Limits (S), 1,475’ MicroSurfacing Adams Street - Allyn Ave to Stockton St, 730’ MicroSurfacing Adams Street - Stockton St to Kearney St, 710’ MicroSurfacing Adams Street - Cop @ Library Ln to Cop Before Railroad Ave, 324’ Agenda Item #10.1.
2023/24 $ 6,107 $ 6,107 $ - $ - $ - Design/Construction 2023/24 $ 6,189 $ 6,189 $ - $ - $ - Design/Construction 2023/24 $ 84,734 $ 84,734 $ - $ - $ - Design/Construction 2023/24 $ 322,400 $ 322,400 $ - $ - $ - Design/Construction 2023/24 $ 379,189 $ - $ - $ - $ 379,189 Construction
$ 1,373,186 $ 993,997 $ - $ - $ 379,189
2024/25 $ 53,900 $ 53,900 $ - $ - $ - Design/Construction 2024/25 $ 58,421 $ 58,421 $ - $ - $ - Design/Construction 2024/25 $ 35,767 $ 35,767 $ - $ - $ - Design/Construction 2024/25 $ 33,334 $ 33,334 $ - $ - $ - Design/Construction 2024/25 $ 48,719 $ 48,719 $ - $ - $ - Design/Construction 2024/25 $ 40,334 $ 40,334 $ - $ - $ - Design/Construction 2024/25 $ 68,620 $ 68,620 $ - $ - $ - Design/Construction 2024/25 $ 70,020 $ 70,020 $ - $ - $ - Design/Construction 2024/25 $ 27,316 $ 27,316 $ - $ - $ - Design/Construction 2024/25 $ 95,779 $ 95,779 $ - $ - $ - Design/Construction 2024/25 $ 59,750 $ 59,750 $ - $ - $ - Design/Construction 2024/25 $ 36,114 $ 36,114 $ - $ - $ - Design/Construction 2024/25 $ 101,624 $ 101,624 $ - $ - $ - Design/Construction 2024/25 $ 46,800 $ 46,800 $ - $ - $ - 2" AC OL Design/Construction 2024/25 $ 73,823 $ 73,823 $ - $ - $ - Design/Construction 2024/25 $ 96,480 $ 96,480 $ - $ - $ - Design/Construction 2024/25 $ 2,774 $ 2,774 $ - $ - $ - Design/Construction 2024/25 $ 15,692 $ 15,692 $ - $ - $ - Design/Construction 2024/25 $ 2,909 $ 2,909 $ - $ - $ - Design/Construction 2024/25 $ 27 $ 27 $ - $ - $ - Design/Construction
2024/25 $ 44 $ 44 $ - $ - $ - Design/Construction
2024/25 $ 193 $ 193 $ - $ - $ - Design/Construction
2024/25 $ 90 $ 90 $ - $ - $ - Design/Construction
2024/25 $ 190 $ 190 $ - $ - $ - Design/Construction
2024/25 $ 95 $ 95 $ - $ - $ - Design/Construction
2024/25 $ 271 $ 271 $ - $ - $ - Design/Construction
2024/25 $ 111 $ 111 $ - $ - $ - Design/Construction
2024/25 $ 379,189 $ - $ - $ - $ 379,189 Construction
$ 1,348,386 $ 969,197 $ - $ - $ 379,189
2025/26 $ 22,037 $ 22,037 $ - $ - $ - Design/Construction 2025/26 $ 47,600 $ 47,600 $ - $ - $ - Design/Construction 2025/26 $ 41,174 $ 41,174 $ - $ - $ - Design/Construction 2025/26 $ 35,969 $ 35,969 $ - $ - $ - Design/Construction 2025/26 $ 61,455 $ 61,455 $ - $ - $ - Design/Construction 2025/26 $ 49,738 $ 49,738 $ - $ - $ - Design/Construction 2025/26 $ 28,848 $ 28,848 $ - $ - $ - Design/Construction 2025/26 $ 44,154 $ 44,154 $ - $ - $ - Design/Construction 2025/26 $ 81,054 $ 81,054 $ - $ - $ - Design/Construction 2025/26 $ 208,834 $ 208,834 $ - $ - $ - Design/Construction 2025/26 $ 128,902 $ 128,902 $ - $ - $ - Design/Construction 2025/26 $ 2,477 $ 2,477 $ - $ - $ - Design/Construction 2025/26 $ 4,038 $ 4,038 $ - $ - $ - Design/Construction 2025/26 $ 10,256 $ 10,256 $ - $ - $ - Design/Construction 2025/26 $ 5,683 $ 5,683 $ - $ - $ - Design/Construction 2025/26 $ 4,918 $ 4,918 $ - $ - $ - Design/Construction 2025/26 $ 379,189 $ - $ - $ - $ 379,189 Construction
$ 1,156,326 $ 777,137 $ - $ - $ 379,189
2026/27 $ 63,686 $ 63,686 $ - $ - $ - Design/Construction 2026/27 $ 138,532 $ 138,532 $ - $ - $ - Design/Construction 2026/27 $ 84,140 $ 84,140 $ - $ - $ - Design/Construction 2026/27 $ 79,172 $ 79,172 $ - $ - $ - Design/Construction 2026/27 $ 47,272 $ 47,272 $ - $ - $ - Design/Construction 2" AC OL w/Fabric Kidd Ranch Road - McCorkle Ave to End (S), 485' 2" AC OL w/Fabric Signorelli Circle - Chiles Ave to Chiles Ave, 1,055' 2" AC OL w/Fabric Spring Mountain Court - Spring Mountain Rd to End (S), 700'
2.5" AC OL w/Fabric Allyn Avenue - Pine St to Adams St, 440' Total FY 2025/26
MicroSurfacing Doris Court - Vineyard Ave to End (E), 190' MicroSurfacing Fulton Lane - 25 MPH Sign to End (E) City Limits, 1,420' MicroSurfacing Kearney Street - Tainter St to Spring St, 390' MicroSurfacing McCorkle Avenue - End (W) to Allison Ave, 300' Street Maintenance Progam: Pothole Patching Various locations as needed Total FY 2024/25
Hillview Place - Scott St to Vineyard Ave, 350'
North Crane Avenue - Mitchell Dr to End (S), 717'
Oak Avenue - Hillview Pl to Madrona St, 550'
Vineyard Avenue - End (N) to Road Widens, 1,030'
South Crane Avenue - Vallejo St to Sulphur Springs Ave, 2,015’ Adams Street - End (E) to Cop @ Business Center Dwy, 280’ Pope Street - Begin Bridge to Silverado Trail, 500’
South Crane Avenue - Grayson Ave to Vallejo St, 410’
Reconstruct Structure (AC)
MicroSurfacing
MicroSurfacing
Reconstruct Structure (AC)
North Crane Avenue - Spring St to Mitchell Dr, 715'
Chablis Circle - Pinot Way to 500' NE/O Pint Way (E), 500'
2.5" AC OL w/Fabric Chablis Circle - Pinot Way to End, 102'
2.5" AC OL w/Fabric Chardonnay Way - Spring St to Pinot Wy, 610'
2.5" AC OL w/Fabric
Hunt Avenue - Church St to Edwards St, 325'
2" AC OL Hunt Avenue - June Ln to Grove Ct, 670'
Charter Oak Avenue - Carwash to End (E), 640'
2.5" AC OL w/Fabric Charter Oak Avenue - Main St to Carwash, 230'
2.5" AC OL w/Fabric
MicroSurfacing Pine Street - Main St to Fire Station, 154' Seal Cracks Doris Avenue - Vineyard Ave to End (W), 120' Edwards Street - Hunt Ave to Pope St, 750'
Various locations as needed
Chablis Circle - Pinot Wy to 500' NE/O Pinot (E), 490'
Street Maintenance Progam: Pothole Patching
2" AC OL w/Fabric
Seal Cracks
Seal Cracks
Seal Cracks
Seal Cracks
Street Maintenance Progam: Pothole Patching
2" AC OL
MicroSurfacing
2.5" AC OL w/Fabric
Total FY 2023/24
Seal Cracks Hillview Place - Spring Mountain Rd to Oak Ave, 770' Seal Cracks
2.5" AC OL w/Fabric Brown Street - Allison Ave to End (W), 490'
2.5" AC OL w/Fabric
2" AC OL w/Fabric
Seal Cracks Doris Court - Vineyard Ave to End (E), 190' North Crane Avenue - Mitchell Dr to End (S), 717'
2" AC OL w/Fabric Pine Street - Oak Ave to Main St, 314' 2" AC OL w/Fabric Stockton Street - Madrona St to Pine St, 395'
2.5" AC OL w/Fabric Fountain Street - Dowdell Ln to End (N), 380'
2.5" AC OL w/Fabric Fulton Lane - Main St to Railroad Ave, 380'
2.5" AC OL w/Fabric Fulton Lane - Railroad Ave to RR Tracks, 300'
2.5" AC OL w/Fabric Spring Street - Oak Ave to BCR @ Main St, 330'
2.5" AC OL w/Fabric
2" AC OL w/Fabric Kearney Street - Pine St to Adams St, 590' 2" AC OL w/Fabric Kearney Street - Madrona St to Pine St, 370' 2" AC OL w/Fabric Pine Street - Kearney St to Oak Ave, 400' 2" AC OL w/Fabric Columbard Court - Chardonnay Wy to End (W), 430' 2" AC OL Quail Court - Elmhurst Ave to End (N), 440'
2.5" AC OL w/Fabric Hunt Avenue - Edwards St to June Ln, 485' MicroSurfacing Magnolia Avenue - Rosebud Ln to E End, 181' Vineyard Avenue - Road Widens to Hillview Pl, 515'
Various locations as needed
Fulton Lane - RR Tracks to 25 MPH Sign, 1,020'
Harvest Lane - Starr Ave to End (W), 220'
Starr Avenue - Harvest Ln to Pope St, 385'
2.5" AC OL w/Fabric Starr Avenue - Hunt Ave to Harvest Ln, 935'
2.5" AC OL w/Fabric Vintage Avenue - McCormick St to End (E), 780' MicroSurfacing Doris Avenue - Vineyard Ave to End (W), 120' Agenda Item #10.1.
2026/27 $ 48,622 $ 48,622 $ - $ - $ - Design/Construction 2026/27 $ 18,883 $ 18,883 $ - $ - $ - Design/Construction 2026/27 $ 42,835 $ 42,835 $ - $ - $ - Design/Construction 2026/27 $ 44,871 $ 44,871 $ - $ - $ - Design/Construction 2026/27 $ 58,024 $ 58,024 $ - $ - $ - Design/Construction 2026/27 $ 152,972 $ 152,972 $ - $ - $ - Design/Construction 2026/27 $ 9,661 $ 9,661 $ - $ - $ - Design/Construction 2026/27 $ 10,130 $ 10,130 $ - $ - $ - Design/Construction 2026/27 $ 94,067 $ 94,067 $ - $ - $ - Design/Construction 2026/27 $ 133,734 $ 133,734 $ - $ - $ - Design/Construction 2026/27 $ 113,467 $ 113,467 $ - $ - $ - Design/Construction 2026/27 $ 104,000 $ 104,000 $ - $ - $ - Design/Construction 2026/27 $ 18 $ 18 $ - $ - $ - Design/Construction
2026/27 $ 13 $ 13 $ - $ - $ - Design/Construction
2026/27 $ 128 $ 128 $ - $ - $ - Design/Construction
2026/27 $ 31 $ 31 $ - $ - $ - Design/Construction
2026/27 $ 47 $ 47 $ - $ - $ - Design/Construction
2026/27 $ 44 $ 44 $ - $ - $ - Design/Construction
2026/27 $ 379,189 $ - $ - $ - $ 379,189 Construction
$ 1,623,538 $ 1,244,349 $ - $ - $ 379,189
Equivalent Fund Class 1 Multi-Purpose Paths:
Please provide a five year multi-purpose Expenditures beginning in FY 2022-27 (add rows as needed):
Project # Fiscal Year Total Project
Amount
Measure T
Amount
Federal
Funds State Funds Other Local Funds
Project Phase (Env,
PS&E, Construction)
Comment: Please provide any additional information to explaing your project list. E.g. This project list is the jurisdiction's CIP, the jurisdiction opted to include additional projects to have flexibility in completing a variety of projects Total FY 2026/27
MicroSurfacing
MicroSurfacing
Seal Cracks
Reconstruct Structure (AC)
Reconstruct Structure (AC)
Reconstruct Structure (AC)
Reconstruct Structure (AC)
Oak Avenue - Madrona St to Pine St, 415'
Oak Avenue - Pine St to Adams St, 590'
Oak Avenue - Adams St to Tainter St, 460'
Oak Avenue - Tainter St to Spring St, 390'
Location (intersection, mile marker, length of alignment) Kennedy Court - La Quinta Wy to End (W), 390'
La Quinta Way - End (N) to End (S), 360'
Various locations as needed
Project Description
Hillview Place - Stockton St to Spring Mountain Rd, 360' Hillview Place - End (W) to Scott St, 160'
Hillview Place - Vineyard Ave to Stockton St, 350'
Pope Street - Main St to Church St, 230'
Spring Street - Hudson Ave (W) to Allyn Ave, 370'
Spring Street - Allyn Ave to Stockton St, 870'
Vineyard Avenue - Road Widens to Hillview Pl, 515'
Vineyard Avenue - Hillview Pl to Madrona St, 540'
El Bonita Avenue - La Quinta Wy to COP (Change of Pavement), 150' Note: The amount of a jurisdiction's annual bike expenditure must be a minimum of 6.67% of the anticipated revenue amount received from Measure T each year. Estimates by jurisdiction are shown on the table labeled "Measure T Revenue Estimates". Funding for Class 1 Multi-use path projects that are funded by philanthropy, state discretionary funding or federal discretionary funding shall not count as part of the 6.67 % expenditure obligation required to be eligible to receive Measure T revenues.
Note: The list will serve as the five-year list of projects required for submittal by each jurisdiction as stated in the Measure T Ordinance. These will be projects that will be delivered, depending on available revenues and when revenues become available. Prior to any allocation, jurisdictions will also be required to submit all of the necessary documentation requested as evidence of a public hearing to ensure that the members of the public were able to comment on the proposed project list as well as a Resolution in support of the proposed project list.
El Bonita Court - El Bonita Ave to End, 120'
El Bonita Avenue - Dahlia St to BCR @ Main St, 1,036'
Seal Cracks
Seal Cracks
Seal Cracks
Street Maintenance Progam: Pothole Patching
Seal Cracks
2.5" AC OL w/Fabric
2.5" AC OL w/Fabric
2.5" AC OL w/Fabric
2.5" AC OL w/Fabric
2.5" AC OL w/Fabric
2.5" AC OL w/Fabric
Seal Cracks El Bonita Avenue - COP (Change of Pvmt) to Dahlia St, 108' Agenda Item #10.1.
Is the Project
Included in the
Countywide
Transportation
Plan?
Is the Project in the
Jurisdiction's Capital
Improvement Plan?
No Yes
No Yes
No Yes
No Yes
No Yes
No Yes
No Yes
No Yes
No Yes
No Yes
No Yes
No Yes
No Yes
No Yes
No Yes
No No
No Yes
No Yes
No Yes
No Yes
No Yes
No Yes
No Yes
No Yes
No Yes
No Yes
Agenda Item #10.1.
No Yes
No Yes
No Yes
No Yes
No No
No Yes
No Yes
No Yes
No Yes
No Yes
No Yes
No Yes
No Yes
No Yes
No Yes
No Yes
No Yes
No Yes
No Yes
No Yes
No Yes
No Yes
No Yes
No Yes
No Yes
No Yes
No Yes
No Yes
No Yes
No Yes
No Yes
No Yes
No No
No Yes
No Yes
No Yes
No Yes
No Yes
No Yes
No Yes
No Yes
No Yes
No Yes
No Yes
No Yes
No Yes
No Yes
No Yes
No Yes
No No
No Yes
No Yes
No Yes
No Yes
No Yes
Agenda Item #10.1.
No Yes
No Yes
No Yes
No Yes
No Yes
No Yes
No Yes
No Yes
No Yes
No Yes
No Yes
No Yes
No Yes
No Yes
No Yes
No Yes
No Yes
No Yes
No No
Project
Included in
Countywide
Bike Plan?
Project in
Jurisdiction's Capital
Improvement Plan?
Measure T Revenue Estimates". Funding for Class 1 Multi-use n revenues become available. Prior to any allocation,
as a Resolution in support of the proposed project list.
Agenda Item #10.1.
Report to the City Council
Regular City Council - 27 Jun 2023
Agenda Section: PUBLIC HEARINGS
Subject: Consideration and proposed adoption of resolutions as follows:
1. Consideration and proposed approval of a resolution
accepting the City of St. Helena 2023 Water and
Wastewater Cost of Service and Rate Study Final
Report; and
2. Consideration and proposed approval of a resolution
approving
a. Changes to the water base rates, water use
rates, fire line rates, and rate structure effective
September 1, 2023; and
b. Changes to the wastewater base rates,
wastewater use rates, and rate structure
effective September 1, 2023; and
c. Approving Drought Surcharges and rate
structure effective September 1, 2023: and
d. This Resolution shall take effect immediately.
The charges for water, wastewater, and drought
surcharge rates will become effective on
September 1, 2023, and a rate increase will
occur every subsequent year on July 1st for the
next (5) years as follows:
i. September 1, 2023
ii. July 1, 2024
iii. July 1, 2025
iv. July 1, 2026
v. July 1, 2027
CEQA
Determination:
Not a CEQA project
Prepared By: Mandy Kellogg, Administrative Services Director Reviewed By: April Mitts, Assistant City Manager
Agenda Item #10.2.
Approved By: Anil Comelo, City Manager
BACKGROUND
The purpose of a Water and Wastewater Rate Study ("rate study") is to determine the level of funding required over the next five years to ensure that each utility is meeting financial obligations for ongoing operations and maintenance, debt service, and capital improvements while maintaining prudent reserves. Updating the water and wastewater rates to keep up with the rising costs of providing safe and high-quality drinking water and wastewater services is a key component of maintaining the financial viability of the utilities, including maintaining healthy fund balances/reserves for emergencies and applicable bond covenants, debt coverage ratios for bond covenants, and strong credit ratings. Updates to the rate study are also necessary to fund investments in infrastructure maintenance and improvements which are mandated or otherwise necessary for safe and efficient operation of the utilities.
California's Proposition 218 requires that rates be equitably apportioned and proportional to the cost of providing services. The rate study conducts a cost-of-service analysis, which evaluates the cost of providing water and wastewater and allocates those costs to rate structure components to ensure the proposed rates are aligned with the costs to provide service and that all customer classes are subject to the equitable cost recovery whether they are located inside or outside of City limits.
On March 25, 2022, the City Council approved a resolution authorizing the City Manager to execute a Professional Services Agreement with Raftelis Financial Consultants to provide services associated with a Water and Wastewater Rate Study based on their experience as one of the largest firms in California, and the country, specializing in financial, rate, and management consulting for water, wastewater, and stormwater utilities. In addition, Raftelis has assisted numerous agencies in California implementing conservation-based rate structures, with special consideration for climate variation, cyclical drought conditions, and long-term passive conservation.
The City's key objective of the current rate study is to minimize the growth of the rates while ensuring that sufficient funds are generated to provide for a stable and wellfunctioning water and wastewater system. To ensure that this objective is achieved, the City engaged a Water and Wastewater Rate Study Advisory Committee to collaborate in the following:
Reviewing and confirming financing assumptions and options presented by staff and the consultant for CIP projects in the first five years of the Rate Study, giving due consideration to project prioritization (immediate need, and estimated cost) and the proper balance of using cash versus debt.
Agenda Item #10.2.
Reviewing and confirming significant financial assumptions in the Study, such as reserves, adequacy of sinking funds, and designated and undesignated fund balances in accordance with generally accepted municipal financial principles. Review findings and recommendations to ensure equitable allocation of costs related to industrial, commercial, and residential users, rate models, and recommend appropriate rates and changes with consideration given to location, setting, special demands or unique conditions.
The Water & Wastewater Rate Study Advisory Committee participated in a total of eleven meetings to review materials related to the rate study and make recommendations to City Council regarding key components of the study.
In collaboration with the appointed members of the Water and Wastewater Advisory committee, Raftelis presented several recommendations pertaining to the Financial Plan, Cost of Service Analysis, and Rate Design to City Council on March 14, 2023, included here: March 14, 2023 Presentation of Water and Wastewater Rate Study Recommendations. City Council approved the recommendations, which are included in the Water and Wastewater Rate Study Final Report.
On May 9, 2023, the City Council accepted the Final Rate Study report and authorized staff to begin the Proposition 218 noticing.
Proposition 218 requires that notices be mailed to property owners at least 45 days before the scheduled public hearing. Notice to tenants are not required by law. The City mailed Proposition 218 notices to both affected property owners and tenants 46 days prior to the public hearing. In order to ensure a transparent and inclusive process, the City out notices in English and Spanish to all properties and exceeded the legal notice required by Proposition 218 by sending to tenants as well.
The City cannot impose the new rates if 50% plus one unique parcel protests are submitted to, and validated by, the City Clerk. Immediately after the close of the public hearing, the City Clerk will determine if a majority protest exists and report the results to the City Council. Any property owner or tenant may protest the rates, however only one protest per parcel may be counted. The City has 2,471 unique parcels with water accounts and 1,757 unique parcels with wastewater (sewer) accounts. If the City receives 1,237 letters of protest for water the 50% plus one threshold will be met and if the City receives 880 letters of protest for wastewater the 50% plus one threshold will be met.
DISCUSSION
Water Rate Study
Raftelis developed a water rate model to project financial calculations over the next ten fiscal years with projections shown in the Final Report through the five-year rate-setting period of FY 2027-28. This included inflationary assumptions, water connection growth projections, and projected water sales. In addition, a Water Enterprise Capital Improvement Plan was developed identifying $35.86 million in water improvement Agenda Item #10.2.
projects to be rate funded with future cash and revenue bond proceeds, which is shown in Table 4-14: Water Capital Improvement Plan (page 43) in the Final Report. The proposed capital project funding is as follows:
Descriptio
n
FY
202
3 FY 2024 FY 2025 FY 2026 FY 2027 FY 2028
GO-Bond
Funded $ - $302,400 $315,706 $327,702 $338,189 $349,011 Rate
Funded $ - $ - $ - $ - $ - $726,366
Bond
Funded $ - $3,019,940
$7,160,51
3 $11,502,58
0 $9,885,943 $1,931,47
4 Total
Funded
CIP
$ - $3,321,89
0 $7,476,21
9 $11,830,28
2 $10,224,13
2 $3,006,85
1 In order to generate adequate revenue over the rate study period to fund the operating and capital expenditures, meet required debt coverage, and maintain sufficient reserve funding, the following water rate adjustments are being proposed:
Descriptions FY 2024 FY 2025 FY 2026 FY 2027 FY 2028
Effective
Month
Sept. 1,
2023
July 1,
2024
July 1,
2025
July 1,
2026
July 1,
2027
Rate
Adjustments 28% 8% 8% 8% 8%
A cost-of-service analysis was conducted by Raftelis to allocate the revenue requirements to the different customer classes. In addition, Raftelis worked closely with City staff, the Water and Wastewater Rate Study Advisory Committee, and the City Council to evaluate potential changes to the existing rate structure, which included variable rate tiers and tier allotments. The proposed three-tier structure is defined by water source of supply from low cost to high-cost water. The sources in order of tiers are:
Tier 1: Bell Canyon Surface Water
Tier 2: Stonebridge Wells Groundwater
Tier 3: Purchased Water from the City of Napa
The allotment in each tier represents the average available volume of water, per connection (or residential dwelling unit where master-metered), in normal supply conditions and are proposed as follows:
Tier 1 0 - 11 HCF*
Tier 2 12 - 15 HCF*
Tier 3 16+ HCF*
* One Hundred Cubic Feet (HCF) = 748.05 gallons
Agenda Item #10.2.
It is important to note that the allotment in each tier is per connection (or residential dwelling unit where master-metered).
The proposed Five-Year Water Rate Schedule is as follows:
Description Current
Rates
Proposed
FY 2024
Proposed
FY 2025
Proposed
FY 2026
Proposed
FY 2027
Proposed
FY 2028
Bi-Monthly Fixed Charges
Meter Size
5/8" $139.78 $135.50 $146.34 $158.05 $170.70 $184.36
3/4" $139.78 $135.50 $146.34 $158.05 $170.70 $184.36
SFR 1" $139.78 $135.50 $146.34 $158.05 $170.70 $184.36
1" $256.44 $288.70 $311.80 $336.75 $363.69 $392.79
1 1/2" $451.28 $544.05 $587.58 $634.59 $685.36 $740.19
2" $648.00 $850.46 $918.50 $991.98 $1,071.34 $1,157.05
3" $1,309.44 $1,820.76 $1,966.43 $2,123.75 $2,293.65 $2,477.15 4" $2,023.96 $3,250.68 $3,510.74 $3,791.60 $4,094.93 $4,422.53 6" $3,963.26 $7,182.95 $7,757.59 $8,378.20 $9,048.46 $9,772.34 Fireline Size
4" $26.66 $116.78 $126.13 $136.23 $147.13 $158.91
6" $77.46 $285.71 $308.57 $333.26 $359.93 $388.73
8" $165.06 $586.82 $633.77 $684.48 $739.24 $798.38
Volumetric Charges - Water Use per Hundred Cubic Feet (HCF) All Customer Classes
Tier 1: 0 -
11 HCF $6.50 $5.99 $6.47 $6.99 $7.55 $8.16
Tier 2: 12 -
15 HCF $7.23 $12.06 $13.03 $14.08 $15.21 $16.43
Tier 3: 16 or
more HCF $12.91 $13.95 $15.07 $16.28 $17.59
Below shows Single Family Residential estimated bill impacts for FY 2024 based on a 5/8" meter:
Agenda Item #10.2.
The new water rates will be effective September 1, 2023. The revenue generated from the rate increase will allow the City to generate sufficient revenue to meet bond covenants, rebuild reserve levels, fund critical capital improvements, and to fully water operations without using other city funds. Without the rate increase the City would be unable to fund the critical capital improvement projects outlined in the rate study.
Drought Rates
Water Shortage Surcharges Water shortage rates are designed to recover net revenue shortfalls during periods of reduced water sales due to mandatory water conservation.
Raftelis analyzed the potential loss in revenue that would be incurred based on projected water use reduction in response to water restrictions during drought periods.
The following chart shows the proposed five-year schedule of the Water Shortage Surcharges for FY 2024 through FY 2028.
Fiscal Year and
Tier Phase I Phase II Phase III
FY 2024
Tier 1: 0 - 11
HCF $0.89 $2.99 $5.97
Tier 2: 12 - 15
HCF $1.79 $6.01 $12.02
Tier 3: 16 or
more HCF $1.92 $6.43 $12.87
FY 2025
Tier 1: 0 - 11 $0.97 $3.23 $6.45
Agenda Item #10.2.
HCF
Tier 2: 12 - 15
HCF $1.94 $6.50 $12.99
Tier 3: 16 or
more HCF $2.08 $6.95 $13.90
FY 2026
Tier 1: 0 - 11
HCF $1.05 $3.49 $6.97
Tier 2: 12 - 15
HCF $2.10 $7.02 $14.03
Tier 3: 16 or
more HCF $2.25 $7.51 $15.02
FY 2027
Tier 1: 0 - 11
HCF $1.14 $3.77 $7.53
Tier 2: 12 - 15
HCF $2.27 $7.59 $15.16
Tier 3: 16 or
more HCF $2.43 $8.12 $16.23
FY 2028
Tier 1: 0 - 11
HCF $1.24 $4.08 $8.14
Tier 2: 12 - 15
HCF $2.46 $8.20 $16.38
Tier 3: 16 or
more HCF $2.63 $8.77 $17.53
Wastewater Rate Study
Raftelis developed a water rate model to project financial calculations over the next ten fiscal years with projections shown in the Final Report through the five-year rate-setting period of FY 2027-28. This included inflationary assumptions and wastewater connection growth projections. In addition, a Wastewater Enterprise Capital Improvement Plan was developed identifying $16.30 million in water improvement projects to be rate funded with future cash and revenue bond proceeds, which is shown in Table 5-11: Wastewater Capital Improvement Plan (page 100) in the Final Report.
The proposed capital project funding is as follows:
Descriptio
n
FY 2023 FY 2024 FY 2025 FY 2026 FY 2027 FY 2028
GO-Bond
Funded $ - $493,500 $1,563,181
$930,766 $291,218 $300,537
Bond
Funded $ - $2,462,040
$537,960 $ - $ - $ -
Rate
Funded
$5,699,80
0 $ - $278,271 $892,762 $1,432,13
6 $1,417,37
2 Agenda Item #10.2.
Total
Funded
CIP
$5,699,80
0 $2,955,54
0 $2,379,41
2 $1,823,52
7 $1,723,35
4 $1,717,90
9 In order to generate adequate revenue over the rate study period to fund the operating and capital expenditures, meet required debt coverage, and maintain sufficient reserve funding, the following wastewater rate adjustments are being proposed:
Description FY 2024 FY 2025 FY 2026 FY 2027 FY 2028
Effective
Month
Sept. 1,
2023
July 1,
2024
July 1,
2025
July 1,
2026
July 1,
2027
Rate
Adjustments 50% 4% 4% 4% 4%
Raftelis performed a cost-of-service analysis for the Wastewater Enterprise, which is used to allocate the overall rate revenue requirement to customer classes based on their proportion of burden on the wastewater system. In addition, flow and strength loadings of the City's wastewater treatment plant is attributed to various user classifications.
The proposed Five-Year Wastewater Rate Schedule is detailed in the chart below.
Description Current
Rates
Propose
d FY
2024
Propose
d FY
2025
Propose
d FY
2026
Propose
d FY
2027
Propose
d FY
2028
Bi-monthly Base Charges
Residential
Base Charge $127.35 $179.26 $186.44 $193.90 $201.66 $209.73 Use Charge $5.58 $9.89 $10.29 $10.71 $11.14 $11.59
Non-Residential
Base Charge
5/8" $176.68 $250.51 $260.54 $270.97 $281.81 $293.09
1" $441.72 $567.57 $590.28 $613.90 $638.46 $664.00
1 1/2" $883.42 $1,096.00 $1,139.84 $1,185.44 $1,232.86 $1,282.18 2" $1,413.4
8 $1,730.12 $1,799.33 $1,871.31 $1,946.17 $2,024.02
3" $2,826.9
8 $3,738.16 $3,887.69 $4,043.20 $4,204.93 $4,373.13
4" $4,417.1
4 $6,697.37 $6,965.27 $7,243.89 $7,533.65 $7,835.00
6" $8,834.2
8 $14,835.2
2 $15,428.6
3 $16,045.7
8 $16,687.6
2 $17,355.1
3 Use Charge
Car Wash $3.86 $6.73 $7.00 $7.28 $7.58 $7.89
Religious
Places/Commun $4.29 $7.28 $7.58 $7.89 $8.21 $8.54
Agenda Item #10.2.
ity Centers
Commercial $5.07 $8.42 $8.76 $9.12 $9.49 $9.87
Groceries and
Mortuaries $13.62 $20.65 $21.48 $22.34 $23.24 $24.17
Laundry $4.42 $7.46 $7.76 $8.08 $8.41 $8.75
Mixed Retail $8.52 $13.50 $14.04 $14.61 $15.20 $15.81
Lodging with
Food $10.22 $15.83 $16.47 $17.13 $17.82 $18.54
Lodging without
Food $5.54 $9.00 $9.36 $9.74 $10.13 $10.54
Restaurant $13.50 $20.30 $21.12 $21.97 $22.85 $23.77
Napa Valley
College $4.22 $7.18 $7.47 $7.77 $8.09 $8.42
Service Station $5.83 $9.55 $9.94 $10.34 $10.76 $11.20
Winery PreTreated $5.39 $8.87 $9.23 $9.60 $9.99 $10.39 Winery NonTreated $23.75 $34.27 $35.65 $37.08 $38.57 $40.12 Schools $2.10 $7.18 $7.47 $7.77 $8.09 $8.42
Below shows Single Family Residential estimated bill impacts for FY 2024:
The new wastewater rates will be effective September 1, 2023. The revenue generated from the rate increase will allow the City to generate sufficient revenue to meet bond covenants, rebuild reserve levels, fund critical capital improvements, and to fully fund wastewater operations without using other city funds. Without the rate increase the wastewater fund is projected to have a negative fund balance within the next fiscal year.
Agenda Item #10.2.
This means that the City's General Fund would need to contribute funding to the wastewater enterprise fund in order to operate and maintain the wastewater system.
FISCAL IMPACT
There is no Fiscal Year 2022-23 impact associated with this report.
RECOMMENDED ACTION
Staff recommends the following to the City Council:
1. By resolution, accept the City of St. Helena 2023 Water and Wastewater Cost of Service and Rate Study Final Report; and
2. Adopt a resolution approving:
a. Changes to the water base rates, water use rates, fire line rates, and rate structure effective September 1, 2023; and
b. Changes to the wastewater base rates, wastewater use rates, and rate structure effective September 1, 2023; and
c. Approving Drought Surcharges and rate structure effective September 1, 2023: and
d. This Resolution shall take effect immediately. The charges for water, wastewater, and drought surcharge rates will become effective on September 1, 2023, and a rate increase will occur every subsequent year on July 1st for the next (5) years as follows:
i. September 1, 2023
ii. July 1, 2024
iii. July 1, 2025
iv. July 1, 2026
v. July 1, 2027
ATTACHMENTS
Attachment 1 - Water and Wastewater Cost of Service and Rate Study Final Report Resolution - Accepting Water and Wastewater Cost of Service and Rate Study Final Report
Resolution - Approving Revised Rate Schedules
Exhibit A - Water Rates Schedule
Exhibit B - Wastewater Rates Schedule
Exhibit C - Drought Surcharges Schedule
City of St. Helena Water and Wastewater Rate Study Presentation Agenda Item #10.2.
CITY OF ST. HELENA
Water and Wastewater
Cost of Service and
Rate Study
FINAL REPORT / APRIL 20, 2023
ATTACHMENT 1
Agenda Item #10.2.
Agenda Item #10.2.
445 S. Figueroa St, Suite 1925, Los Angeles, CA 90071
www.raftelis.com
April 20, 2023
Ms. Mandy Kellogg
Administrative Services Director
City of St. Helena
1088 College Avenue
St. Helena, CA 94574
Subject: Water and Wastewater Cost of Service and Rate Design Study Dear Ms. Kellogg,
Raftelis is pleased to provide this Water and Wastewater Cost of Service and Rate Design Study Report to the City of St. Helena. The purpose of the study was to develop a proposed five-year schedule of water and wastewater rates for Fiscal Year (FY) 2023-24 through FY 2027-28 that are cost-justified, consider the community’s values, based on industry standard rate setting frameworks, and align with the substantive requirements of California’s Proposition 218.
The primary objectives of the study included:
» Development of a ten-year financial plan for the City’s Water and Wastewater Enterprises to ensure financial sufficiency, meet operating costs, fund long-term capital needs, and maintain prudent reserves » Conduct water and wastewater cost of service analyses to ensure a nexus between proposed rates and the cost to provide services to customers
» Design drought surcharge rates for times of declared water shortages » Develop five years of water and wastewater rates for adoption This report details results and recommendations related to the development of the proposed financial plans, cost of service analyses, and proposed rate calculations. It has been a pleasure working with you and we thank you, City staff, the Rate Study Advisory Committee, City Council, and members of the community for the support provided to Raftelis during this study.
Sincerely,
Kevin Kostiuk
Senior Manager
Agenda Item #10.2.
City of St. Helena / Water and Wastewater / Cost of Service and Rate Study Report Contents
1. Executive Summary ................................................................... 12
1.1. Study Overview ........................................................................................................... 12
1.2. Rate Study Process .................................................................................................... 12
1.3. Proposed Water Financial Plan .................................................................................. 13
1.4. Proposed Water Rates ................................................................................................ 17
1.5. Proposed Water Shortage Surcharges...................................................................... 19
1.6. Proposed Wastewater Financial Plan ........................................................................ 20
1.7. Proposed Wastewater Rates ...................................................................................... 24
2. Introduction ................................................................................ 27
2.1. Agency Overview ........................................................................................................ 27
2.2. Study Overview ........................................................................................................... 27
3. Legal Requirements and Rate Setting Methodology ................ 30
3.1. Legal Requirements .................................................................................................... 30
3.2. Rate-Setting Methodology .......................................................................................... 31
4. Water Rate Study ....................................................................... 33
4.1. Key Inputs and Assumptions ..................................................................................... 33
4.1.1. Current Water Rates ........................................................................................................ 33
4.1.2. Water Enterprise Financial Assumptions ......................................................................... 35
4.1.3. Projected Water Service Connections ............................................................................. 35
4.1.4. Projected Water Sales ..................................................................................................... 36
4.2. Financial Plan .............................................................................................................. 37
4.2.1. Water Enterprise Revenue Under Current Rates ............................................................ 37
4.2.2. Water Operations & Maintenance Expenses ................................................................... 41
4.2.3. Water Debt ....................................................................................................................... 41
4.2.4. Water Enterprise Capital Improvement Plan .................................................................... 42
4.2.5. Water Financial Policies................................................................................................... 45
4.2.6. Status Quo Water Financial Plan ..................................................................................... 45
4.2.7. Proposed Water Financial Plan ....................................................................................... 48
4.3. Water Cost of Service Analysis ................................................................................. 53
4.3.1. Methodology .................................................................................................................... 53 Agenda Item #10.2.
City of St. Helena / Water and Wastewater / Cost of Service and Rate Study Report
4.3.2. Water Rate Revenue Requirement .................................................................................. 53
4.3.3. Water System Peaking Factors ....................................................................................... 54
4.3.4. Functionalization and Allocation of Expenses .................................................................. 55
4.3.5. Water O&M Expense Allocation ....................................................................................... 58
4.3.6. Water Capital Allocation .................................................................................................. 61
4.3.7. Water Non-Rate Revenue (Revenue Offset) Allocation ................................................... 64
4.3.8. Preliminary Water Cost of Service Allocation .................................................................. 66
1.2.9. Allocation of Fire Protection Costs ................................................................................... 67
4.3.9. Peaking Units of Service .................................................................................................. 70
4.3.10. Adjusted Water Cost of Service .......................................................................... 72
4.3.11. Cost of Service Reallocation ............................................................................... 74
4.3.12. Unit Cost Calculation .......................................................................................... 76
4.3.13. Water Cost Allocation to Rate Components ....................................................... 77
4.4. Proposed Water Rates ................................................................................................ 79
4.4.1. Proposed Rate Structure Modification ............................................................................. 79
4.4.2. Water Service Charges (Test Year FY 2023-24) ............................................................. 79
4.4.3. Fire Line Service Charges (Test Year FY 2024) .............................................................. 81
4.4.4. Water Volume Rates (Test Year FY 2023-24) ................................................................. 83
4.5. Proposed Water Shortage Surcharges...................................................................... 85
4.5.1. Calculation of Proposed Water Shortage Surcharges ..................................................... 85
5. Wastewater Rate Study ............................................................. 90
5.1. Key Inputs and Assumptions ..................................................................................... 90
5.1.1. Current Wastewater Rates............................................................................................... 90
5.1.2. Wastewater Enterprise Financial Assumptions ................................................................ 91
5.1.3. Projected Wastewater Billing Units of Service ................................................................. 93
5.2. Wastewater Financial Plan ......................................................................................... 95
5.2.1. Wastewater Enterprise Revenue under Current Rates .................................................... 95
5.2.2. Wastewater Operations & Maintenance Expenses .......................................................... 98
5.2.3. Wastewater Debt ............................................................................................................. 98
5.2.4. Wastewater Enterprise Capital Improvement Plan ........................................................ 100 Wastewater Enterprise Financial Policies ................................................................................ 102
5.2.5. Status Quo Wastewater Financial Plan ......................................................................... 102
5.2.6. Proposed Wastewater Financial Plan ............................................................................ 106 Agenda Item #10.2.
City of St. Helena / Water and Wastewater / Cost of Service and Rate Study Report
5.3. Wastewater Cost of Service Analysis ..................................................................... 111
5.3.1. Methodology .................................................................................................................. 111
5.3.2. Wastewater Rate Revenue Requirement ...................................................................... 111
5.3.3. Functionalization and Allocation of Expenses ................................................................ 112
5.3.4. Wastewater Enterprise O&M Expense Allocation .......................................................... 113
5.3.5. Wastewater Enterprise Capital Allocation ...................................................................... 114
5.3.6. Wastewater Cost of Service Allocation .......................................................................... 115
5.3.7. Mass Balance Analysis .................................................................................................. 117
5.3.8. Wastewater Unit Costs .................................................................................................. 119
5.3.9. Wastewater Cost Allocation to Customer Classes ......................................................... 119
5.3.10. Wastewater Revenue Recovery within Customer Classes ............................... 121
5.4. Proposed Wastewater Rates .................................................................................... 125
5.4.1. Proposed Wastewater Rates (Test Year FY 2023-24) .................................................. 125
6. Customer Bill Impacts.............................................................. 128
6.1. Bi-Monthly Water Bill Impacts .................................................................................. 128
6.2. Bi-Monthly Wastewater Bill Impacts ........................................................................ 128 Agenda Item #10.2.
City of St. Helena / Water and Wastewater / Cost of Service and Rate Study Report Tables
Table 1-1: Proposed Water Revenue Adjustments ................................................................................... 13 Table 1-2: Proposed Changes to Tiers and Tier Allotments ..................................................................... 18 Table 1-3: Proposed Five-Year Water Rate Schedule – Base Rates ....................................................... 18 Table 1-4: Proposed Five-Year Schedule of Water Shortage Surcharges ............................................... 19 Table 1-5: Proposed Wastewater Revenue Adjustments ......................................................................... 20 Table 1-6: Proposed Five-Year Wastewater Rate Schedule .................................................................... 25 Table 4-1: Current Water Rates ................................................................................................................ 34 Table 4-2: Current Tier Allotments for Water Volume Rates ..................................................................... 34 Table 4-3: Water Inflationary Assumptions ............................................................................................... 35 Table 4-4: Projected New Water Connection Growth ............................................................................... 36 Table 4-5: Count of Water Connections .................................................................................................... 36 Table 4-6: Projected Water Use Under Existing Rate Structure ............................................................... 37 Table 4-7: Projected Fixed Charge Revenue from Existing Rates ............................................................ 38 Table 4-8: Projected Commodity Charge Revenues Under Current Water Rates .................................... 39 Table 4-9: Projected Raw Water Rate Revenues ..................................................................................... 39 Table 4-10: Other Water Enterprise Revenues ......................................................................................... 40 Table 4-11: Summary of Projected Water Enterprise Revenues Under Current Rates ............................ 40 Table 4-12: Projected Water Enterprise O&M Expenses .......................................................................... 41 Table 4-13: Water Debt Service ................................................................................................................ 41 Table 4-14: Water Capital Improvement Plan ........................................................................................... 43 Table 4-15: Water Capital Improvement Plan Proposed Funding ............................................................. 44 Table 4-16: Projected Water Reserve Targets .......................................................................................... 45 Table 4-17: Water Operating Cash Flow (Fund 561)– Status Quo Financial Plan ................................... 46 Table 4-18: Status Quo Water Financial Plan Pro Forma (Funds 561, 763, 764) .................................... 47 Table 4-19: Proposed Water Revenue Adjustments ................................................................................. 48 Table 4-20: Water Operating Cash Flow (Fund 561) – Proposed Financial Plan ..................................... 49 Table 4-21: FY 2023-24 Water Rate Revenue Requirement .................................................................... 54 Table 4-22: Water System Peaking Factor Allocations ............................................................................. 55 Table 4-23: Allocation of Functional Categories to Water Cost Causation Components .......................... 57 Table 4-24: Summary of Water O&M Expenses by Functional Category ................................................. 58 Table 4-25: Allocation of Water O&M Expenses to Cost Causation Components .................................... 60 Table 4-26: Summary of Water Enterprise Capital Assets by Functional Category .................................. 61 Table 4-27: Allocation of Functionalized Water Capital Assets to Cost Causation Components .............. 63 Table 4-28: Allocation of Revenue Offsets to Cost Causation Components ............................................. 65 Agenda Item #10.2.
City of St. Helena / Water and Wastewater / Cost of Service and Rate Study Report Table 4-29: Preliminary Water Cost of Service Allocation (FY 2024) ....................................................... 67 Table 4-30: Private Fire Line Equivalent Fire Demand ............................................................................. 69 Table 4-31: Public Fire Hydrant Equivalent Fire Demand ......................................................................... 69 Table 4-32: Fire Protection Allocation Basis ............................................................................................. 69 Table 4-33: Peaking Units of Service ........................................................................................................ 71 Table 4-34: Peaking Units for Fire Protection ........................................................................................... 72 Table 4-35: Adjusted Cost of Service Allocation (Test Year FY 2024) ..................................................... 74 Table 4-36: Reallocation of Cost of Service by Cost Causation Component ............................................ 75 Table 4-37: Units of Service – Equivalent Meters ..................................................................................... 76 Table 4-38: Unit Cost of Service by Cost Causation Component ............................................................. 76 Table 4-39: Recovery of Cost Causation Components by Charge Type .................................................. 77 Table 4-40: Cost to Serve by Water Customer Class ............................................................................... 78 Table 4-41: Proposed Changes to Tiers and Tier Allotments ................................................................... 79 Table 4-42: Water Service Charge Calculation (Test Year FY 2024) ....................................................... 80 Table 4-43: Bi-Monthly Water Service Charges (Test Year FY 2024) ...................................................... 80 Table 4-44: Fire Line Service Charge Unit Charge Calculation (Test Year FY 2024) ............................... 82 Table 4-45: Fire Line Service Charge Unit Charge Calculation (Test Year FY 2024) ............................... 82 Table 4-46: Water Supply Unit Rate ......................................................................................................... 83 Table 4-47: Conservation Unit Rate .......................................................................................................... 83 Table 4-48: Water Volume Rates Calculation (Test Year FY 2023-24) .................................................... 84 Table 4-49: Proposed Five-Year Water Rate Schedule ............................................................................ 85 Table 4-50: Projected Water Use Reduction by Water Shortage Stage (FY 2023-24) ............................. 86 Table 4-51: Calculation of Water Shortage Surcharges (Test Year FY 2023-24) ..................................... 86 Table 4-52: Calculated Water Shortage Phase Rates per HCF (Test Year FY 2024) .............................. 87 Table 4-53: Proposed Five-Year Schedule of Water Shortage Surcharges ............................................. 88 Table 5-1: Current Wastewater Rate Schedule ........................................................................................ 91 Table 5-2: Wastewater Inflationary Assumptions ...................................................................................... 92 Table 5-3: Projected New Wastewater Connection Growth ...................................................................... 93 Table 5-4: Projected Wastewater Demand Factors .................................................................................. 93 Table 5-5: Projected Wastewater Billing Units Under Existing Rate Structure ......................................... 94 Table 5-6: Projected Rate Revenues under Current Wastewater Rates .................................................. 96 Table 5-7: Other Wastewater Revenues ................................................................................................... 97 Table 5-8: Summary of Projected Wastewater Revenues Under Current Rates ...................................... 97 Table 5-9: Projected Wastewater O&M Expenses .................................................................................... 98 Table 5-10: Wastewater Debt Service ...................................................................................................... 99 Table 5-11: Wastewater Capital Improvement Plan ................................................................................ 100 Agenda Item #10.2.
City of St. Helena / Water and Wastewater / Cost of Service and Rate Study Report Table 5-12: Wastewater Capital Improvement Plan Proposed Funding ................................................. 101 Table 5-13: Wastewater Reserve Targets .............................................................................................. 102 Table 5-14: Wastewater Operating Cash Flow (Fund 571) – Status Quo Financial Plan ....................... 103 Table 5-15: Status Quo Water Financial Plan Pro Forma (Funds 561, 763, 764) .................................. 105 Table 5-16: Proposed Wastewater Revenue Adjustments ..................................................................... 106 Table 5-17: Wastewater Operating Cash Flow (Fund 571) – Proposed Financial Plan .......................... 107 Table 5-18: FY 2024 Wastewater Rate Revenue Requirement .............................................................. 112 Table 5-19: Allocation of Functional Categories to Wastewater Cost Causation Components .............. 113 Table 5-20: Summary of Wastewater O&M Expenses by Functional Category ...................................... 113 Table 5-21: Allocation of Wastewater O&M Expenses to Cost Causation Components ........................ 114 Table 5-22: Summary of Wastewater Capital Assets by Functional Category ........................................ 114 Table 5-23: Allocation of Functionalized Wastewater Capital Assets to Cost Causation Components .. 115 Table 5-24: Wastewater Cost of Service Allocation (Test Year FY 2023-24) ......................................... 117 Table 5-25: FY 2021-22 Mass Balance Analysis .................................................................................... 118 Table 5-26: Wastewater Unit Costs (Test Year FY 2024) ....................................................................... 119 Table 5-27: Wastewater Cost Allocation to Customer Classes (Test Year FY 2023-24) ........................ 120 Table 5-28: Cost of Service Recovery – SFR Fixed & Variable .............................................................. 121 Table 5-29: Cost of Service Recovery – MFR Fixed & Variable ............................................................. 122 Table 5-30: Cost of Service Recovery – Non-Residential Fixed & Variable ........................................... 122 Table 5-31: Average Winter Consumption Costs – Residential .............................................................. 123 Table 5-32: Non-Residential Service Charge.......................................................................................... 123 Table 5-33: Non-Residential Flow Rate Calculation ............................................................................... 124 Table 5-34: Wastewater Cost of Service, by User Class ........................................................................ 124 Table 5-35: Proposed Residential Wastewater Rate Calculation (Test Year FY 2024) .......................... 126 Table 5-36: Proposed Non-Residential Fixed Wastewater Rate Calculation (Test Year FY 2024) ........ 126 Table 5-37: Proposed Non-Residential Variable Wastewater Rate Calculation (Test Year FY 2024) .... 127 Figures
Figure 1-1: Water Capital Improvement Plan ............................................................................................ 14 Figure 1-2: Proposed vs. Status Quo Water Financial Plan ...................................................................... 15 Figure 1-3: Proposed Water Financial Plan – Projected Ending Balances ............................................... 16 Figure 1-4: Proposed Water Financial Plan - Debt Coverage ................................................................... 17 Figure 1-5: Single Family Residential Bi-Monthly Water Bill Impacts (FY 2024) ...................................... 20 Figure 1-6: Wastewater Capital Improvement Plan .................................................................................. 21 Agenda Item #10.2.
City of St. Helena / Water and Wastewater / Cost of Service and Rate Study Report Figure 1-7: Proposed vs. Status Quo Wastewater Financial Plan ............................................................ 22 Figure 1-8: Proposed Wastewater Financial Plan – Projected Ending Balances ...................................... 23 Figure 1-9: Proposed Wastewater Financial Plan - Debt Coverage ......................................................... 24 Figure 1-10: Single Family Residential Bi-Monthly Wastewater Bill Impacts ............................................ 26 Figure 4-1: Water Capital Improvement Plan ............................................................................................ 44 Figure 4-2: Proposed Water Financial Plan - Debt Coverage ................................................................... 50 Figure 4-3: Proposed Water Financial Plan – Projected Ending Balances ............................................... 51 Figure 4-4: Proposed vs. Status Quo Water Financial Plan ...................................................................... 52 Figure 5-1: Wastewater Capital Improvement Plan ................................................................................ 101 Figure 5-2: Proposed Wastewater Financial Plan - Debt Coverage ....................................................... 108 Figure 5-3: Proposed Wastewater Financial Plan – Projected Ending Balances .................................... 109 Figure 5-4: Proposed vs. Status Quo Wastewater Financial Plan .......................................................... 110 Figure 2-1: Single Family Residential Bi-Monthly Water Bill Impacts (FY 2024) .................................... 128 Figure 2-2: Single Family Residential Bi-Monthly Wastewater Bill Impacts (FY 2024) ........................... 129 Appendices
Appendix A: Water Proposed Financial Plan 10-Year Pro Forma Appendix B: Wastewater Proposed Financial Plan 10-Year Pro Forma Agenda Item #10.2.
City of St. Helena / Water and Wastewater / Cost of Service and Rate Study Report
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Agenda Item #10.2.
City of St. Helena / Water and Wastewater / Cost of Service and Rate Study Report 12
1. Executive Summary
1.1. Study Overview
Public water and wastewater utilities in California typically perform a cost of service analysis every five to ten years to ensure that customers are appropriately charged for service commensurate with the cost to provide service. The City of St. Helena (City) last conducted a water and wastewater cost of service study in 2016, which established proposed rates over a five-year period through Fiscal Year (FY) 2021-22. The City engaged Raftelis to conduct an updated water and wastewater cost of service study to establish an additional five-year schedule of water and wastewater rates. Proposed rates cannot be implemented until formally adopted by City Council after a public hearing, and absent a majority protest by parcels served by the City’s water and wastewater system. Proposition 218 requires that City customers be postmarked a notice of the proposed rates and their rights to protest no fewer than 45 days before the public hearing.
The major objectives of this study are to:
» Develop a ten-year financial plan that sufficiently funds the City’s water and wastewater operations and maintenance (O&M) expenses, debt service payments, and capital expenditures, while adequately funding reserves and achieving debt coverage requirements
» Conduct cost of service analyses that establish a nexus between the cost to serve water and wastewater customers and the rates charged, per Proposition 218 and industry standards » Review the City’s existing water and wastewater rate structures and recommend changes and rate alternatives to ensure that proposed rates achieve the financial and policy objectives of the agency to the greatest degree possible
» Develop a five-year schedule of water and wastewater rates that are fair, cost-justified, provide full revenue recovery, and align with Proposition 218
» Develop a five-year schedule of drought surcharge rates that consider the City’s Water Emergency Plan
1.2. Rate Study Process
This study was conducted using industry-standard principles outlined by the American Water Works Association’s Manual M1 and the Water Environment Federation’s Financing and Charges for Wastewater Systems. The overall process outlined below applies to the development of both water and wastewater rates.
1. Financial Plan: Develop cash flow projections for the Water and Wastewater Enterprise to determine the amount of revenue required from water and wastewater rates to fully recover the costs of providing service.
2. Cost of Service Analysis: Allocate total costs to system components, and then to various user classes, based on unique characteristics.
3. Rate Design: Develop rates to different customers classes and sub-classes, based on cost of service, that generate sufficient revenues to recover costs, and communicate policy preferences of the agency.
4. Administrative Record Preparation: Develop an administrative record (this study report) to document the underlying inputs, assumptions, analyses, and results of the rate study.
5. Rate Adoption: Proposed rates may be adopted by City Council only after holding a public hearing in accordance with Proposition 218 requirements.
Agenda Item #10.2.
City of St. Helena / Water and Wastewater / Cost of Service and Rate Study Report 13
1.3. Proposed Water Financial Plan
Raftelis conducted a status quo cash flow analysis to evaluate whether existing water rates adequately fund the Water Enterprise’s various expenses over a ten-year planning period. Annual projections of revenues, O&M expenses, debt service payments, and capital expenditures through FY 2031-32 were developed with City staff. Raftelis projects that with no rate increases over the study period, the Water Enterprise’s reserves will fall below the target reserve policy and fail to meet minimum debt coverage in all years of the study period. Without revenue adjustments, fund balances are negative in every year of the study period and decrease greatly over time due to O&M and capital expenses. The exercise demonstrates a clear need for revenue adjustments (i.e. gross water rate revenue increases relative to existing rate revenues). Raftelis worked with City staff and the Water and Wastewater Rate Study Advisory Committee (RSAC) to develop the following proposed revenue adjustments over the five-year study period (see Table 1-1).
Table 1-1: Proposed Water Revenue Adjustments
A B C D E F
Line Description FY 2024 FY 2025 FY 2026 FY 2027 FY 2028 1 Effective Month Sept.1
1, 2023 July 1, 2024 July 1, 2025 July 1, 2026 July 1, 2027 2 Revenue Adjustments 28% 8% 8% 8% 8%
Key factors influencing the need for proposed revenue adjustments include:
» Cost inflation: Operating costs continue to increase year over year due to inflationary pressures. » Reduction in baseline water demand: Water sales are significantly lower relative to pre-drought years, resulting in lower baseline variable water rate revenues. » Planned capital expenditures: CIP project expenditures through FY 2031-32, including substantial repair and replacement (R&R) capital projects, total approximately $6.7M per year on average.
Figure 1-1 shows the proposed CIP financing plan over the study period. CIP is assumed to be funded by a mix of revenue bonds and rate revenue. The use of debt allows for lower rate increases over the long-term by financing significant capital reinvestment and repaying over a long time horizon. 1 Due to the implementation schedule, if adopted new rates will become effective September 1, 2023. However, all financial plan outputs in this report represent the full fiscal year (July 1 start).
Agenda Item #10.2.
City of St. Helena / Water and Wastewater / Cost of Service and Rate Study Report 14 Figure 1-1: Water Capital Improvement Plan
Figure 1-2 shows the proposed versus status quo Water Enterprise operating financial plan. Revenues under the proposed financial plan and status quo financial plan are represented by the black and light blue solid lines, respectively. Revenue requirements including O&M expenses, debt service, and reserve funding for CIP are represented by the various stacked bars. Revenue adjustments are required to generate additional revenue to recover O&M expenses and debt service payments over the study period while maintaining minimum debt coverage and reserve targets.
Agenda Item #10.2.
City of St. Helena / Water and Wastewater / Cost of Service and Rate Study Report 15 Figure 1-2: Proposed vs. Status Quo Water Financial Plan Figure 1-3 shows the Water Enterprise’s projected fiscal year-end balance under the proposed financial plan.
The light blue bars indicate the projected ending balance on June 30 of each year. The existing reserve targets are represented by the solid blue and yellow lines. The Water Enterprise is projected to increase its reserves through the study period. With the proposed rate increases and future debt issuances, the Water Enterprise’s reserves are projected to achieve the existing reserve policy target at the end of the rate-setting period.
Agenda Item #10.2.
City of St. Helena / Water and Wastewater / Cost of Service and Rate Study Report 16 Figure 1-3: Proposed Water Financial Plan – Projected Ending Balances Figure 1-4 shows projected debt coverage (dark blue line) relative to the debt coverage requirement (gray line) over the study period. Debt coverage is expected to decline in FY 2025-26 due to new debt issuances to finance capital project costs. This demonstrates the need for revenue adjustments early in the study period to ensure sufficient debt capacity with which to finance planned capital. Failure to meet debt service coverage results in a technical default, which without foreseeable remedial action such as implementing rate increases, could result in a downgrade of credit rating, higher costs in future debt issuance, or a denial of credit.
Agenda Item #10.2.
City of St. Helena / Water and Wastewater / Cost of Service and Rate Study Report 17 Figure 1-4: Proposed Water Financial Plan – Projected Debt Coverage
1.4. Proposed Water Rates
The City’s existing water rate structure consists of fixed Water Service Charges (based on meter size), fixed Fireline Service Charges (based on fireline size), and variable Water Volume Rates (per hundred cubic feet [HCF] of water delivered). Raftelis worked closely with City staff and the RSAC to evaluate alternatives to the existing water rate structure. The following changes are proposed:
» Variable Rate Tiers: The study proposes a single volumetric rate structure for all customer classes from a single, seasonal uniform rate for all classes. Current and proposed bi-monthly tier definitions (volume allotted in each tier) are shown below in Table 1-2. The current bi-monthly structure reflects the City’s existing rate structure, which has been in effect since January 2020.
Agenda Item #10.2.
City of St. Helena / Water and Wastewater / Cost of Service and Rate Study Report 18 Table 1-2: Proposed Changes to Tiers and Tier Allotments A B C
Line
Commodity Rates
($/HCF) Current Proposed
1 Tier 1 Off-Peak (Nov-Apr)
Peak (May-Oct)
0-11 HCF
2 Tier 2 12-15 HCF
3 Tier 3 >16 HCF
Table 1-3 shows proposed Water Service Charges, Fire Line Service Charges, and Volumetric Rates through FY 2027-28. All fixed charges are shown bi-monthly. Proposed Water Volumetric tiers are bi-monthly.
Proposed rates reflect base (non-shortage) conditions and new baseline supply and demand conditions.
Table 1-3: Proposed Five-Year Water Rate Schedule – Base Condition Rates
A B C D E F G
Line Description Current
Proposed
FY 2024
Proposed
FY 2025
Proposed
FY 2026
Proposed
FY 2027
Proposed
FY 2028
1 Bi-Monthly Fixed
Charges
2 Meter Size
3 5/8" $139.78 $135.50 $146.34 $158.05 $170.70 $184.36
4 3/4" $139.78 $135.50 $146.34 $158.05 $170.70 $184.36
5 SFR 1" $139.78 $135.50 $146.34 $158.05 $170.70 $184.36 6 1" $256.44 $288.70 $311.80 $336.75 $363.69 $392.79
7 1 1/2" $451.28 $544.05 $587.58 $634.59 $685.36 $740.19 8 2" $648.00 $850.46 $918.50 $991.98 $1,071.34 $1,157.05 9 3" $1,309.44 $1,820.76 $1,966.43 $2,123.75 $2,293.65 $2,477.15 10 4" $2,023.96 $3,250.68 $3,510.74 $3,791.60 $4,094.93 $4,422.53 11 6" $3,963.26 $7,182.95 $7,757.59 $8,378.20 $9,048.46 $9,772.34 12 13 Fireline Size
14 4" $26.66 $116.78 $126.13 $136.23 $147.13 $158.91
15 6" $77.46 $285.71 $308.57 $333.26 $359.93 $388.73
16 8" $165.06 $586.82 $633.77 $684.48 $739.24 $798.38
17 18 Volumetric Charges
19 All Classes
20 Tier 1 $6.50 $5.99 $6.47 $6.99 $7.55 $8.16
21 Tier 2 $7.23 $12.06 $13.03 $14.08 $15.21 $16.43
22 Tier 3 $12.91 $13.95 $15.07 $16.28 $17.59
Agenda Item #10.2.
City of St. Helena / Water and Wastewater / Cost of Service and Rate Study Report 19
1.5. Proposed Water Shortage Surcharges
With the prior rate study, the City established a schedule of volumetric Water Shortage Surcharges during declared water emergencies. This is necessary to recover revenue shortfalls resulting from reduced water sales in times of shortage. Water shortage stages are currently declared based on criteria outlined in the City’s Water Emergency Plan with surcharge rates implemented in all phases of shortage (Phase I-III).
Raftelis recommends that the City update the existing Water Shortage Surcharges. The current system of Water Shortage Rates utilize a single uniform surcharge that does not vary by volume of use or shortage phase. Raftelis recommends that the City maintain the Water Shortage Surcharges as a tool during water emergencies. However, we recommend that the City update the methodology to align with the proposed water rate structure, as well as the projected revenue shortfall and severity of shortage at each stage. This update aligns with the water cost of service analysis which is explained in later sections of this report. The proposed Water Shortage Surcharges maintain the same three-tier structure and the same allotments in shortage and non-shortage conditions.
Table 1-4 shows proposed Water Shortage Surcharges for all water shortage stages from FY 2024 through FY 2028.
Table 1-4: Proposed Five-Year Schedule of Water Shortage Surcharges
A B C D
Line Drought Rates Phase I Phase II Phase III
1 FY 2024
2 Tier 1 $0.89 $2.99 $5.97
3 Tier 2 $1.79 $6.01 $12.02
4 Tier 3 $1.92 $6.43 $12.87
5 6 FY 2025
7 Tier 1 $0.97 $3.23 $6.45
8 Tier 2 $1.94 $6.50 $12.99
9 Tier 3 $2.08 $6.95 $13.90
10 11 FY 2026
12 Tier 1 $1.05 $3.49 $6.97
13 Tier 2 $2.10 $7.02 $14.03
14 Tier 3 $2.25 $7.51 $15.02
15 16 FY 2027
17 Tier 1 $1.14 $3.77 $7.53
18 Tier 2 $2.27 $7.59 $15.16
19 Tier 3 $2.43 $8.12 $16.23
20 21 FY 2028
22 Tier 1 $1.24 $4.08 $8.14
23 Tier 2 $2.46 $8.20 $16.38
24 Tier 3 $2.63 $8.77 $17.53
Figure 1-5 shows a sample bi-monthly water bill for a typical Single Family Residential (SFR) customer with a 5/8 inch water meter at varying levels of water use under both current rates and proposed FY 2023-24 rates.
Agenda Item #10.2.
City of St. Helena / Water and Wastewater / Cost of Service and Rate Study Report 20 Figure 1-5: Single Family Residential Bi-Monthly Water Bill Impacts (FY 2024)
1.6. Proposed Wastewater Financial Plan
Raftelis conducted a status quo cash flow analysis to evaluate whether existing wastewater rates adequately fund the Wastewater Enterprise’s various expenses over the financial planning period. Projected operating and capital costs are accounted for in the financial plan analysis. Raftelis projects that with no rate increases over the five-year study period, the Wastewater Enterprise’s reserves will fall below the existing reserve policy and fail to meet its debt coverage requirement in each year of the study period. This demonstrates a need for revenue adjustments for the Wastewater Enterprise.
Raftelis worked with City staff and the RSAC to develop the following schedule of proposed revenue adjustments over the five-year study period (see Table 1-5).
Table 1-5: Proposed Wastewater Revenue Adjustments
A B C D E F
Line Description FY 2024 FY 2025 FY 2026 FY 2027 FY 2028 1 Effective Month Sept. 1, 2023 July 1, 2024 July 1, 2025 July 1, 2026 July 1, 2027 2 Revenue Adjustments 50% 4% 4% 4% 4%
Key factors influencing the need for proposed Wastewater Enterprise revenue adjustments include:
» Cost inflation: Operating costs continue to increase year over year due to inflationary pressures and the cost of staffing treatment facilities.
» Planned capital expenditures: CIP projects through FY 2027-28, including substantial repair and replacement (R&R) capital projects, total approximately $1.1M per year on average. » Reserve replenishment: the Wastewater Enterprise has reduced cash reserves during the past several fiscal years due to unforeseen operating costs as well as the completion of a significant capital project, which upgrades the wastewater treatment facilities.
Figure 1-6 shows the proposed CIP financing plan over the study period. CIP is assumed to be funded by a mix of revenue bonds, proceeds from the 2022 Measure H General Obligation (GO) bonds, cash reserves from future rate revenues.
Agenda Item #10.2.
City of St. Helena / Water and Wastewater / Cost of Service and Rate Study Report 21 Figure 1-6: Wastewater Capital Improvement Plan
Figure 1-7 shows the proposed versus status quo Wastewater Enterprise operating financial plan. Revenues under the proposed financial plan and status quo financial plan are represented by the black and light blue solid lines, respectively. Revenue requirements including O&M expenses, debt service, and reserve funding for CIP/other purposes are represented by the various stacked bars. Revenue adjustments and new debt issues are required to generate sufficient revenue to cover future O&M expenses, debt service payments, and cash reserves over the study period.
Agenda Item #10.2.
City of St. Helena / Water and Wastewater / Cost of Service and Rate Study Report 22 Figure 1-7: Proposed vs. Status Quo Wastewater Financial Plan Figure 1-8 shows the Wastewater Enterprise’s projected fiscal year-end balance under the proposed financial plan. The light blue bars indicate the ending balance on June 30 of each fiscal year. The existing reserve targets are represented by the solid blue and yellow lines. The Wastewater Enterprise is projected to utilize its reserves during the study period to fund capital improvements and O&M costs. At the end of the financial planning horizon, the Wastewater Enterprise’s reserves are projected to meet the existing reserve policy target with the proposed rate increases and debt issuances.
Agenda Item #10.2.
City of St. Helena / Water and Wastewater / Cost of Service and Rate Study Report 23 Figure 1-8: Proposed Wastewater Financial Plan – Projected Ending Balances Figure 1-9 shows projected debt coverage (blue line) relative to the debt coverage requirement (gray line) over the study period. Fluctuations in debt coverage over the study period are largely due to new debt service assumed to finance anticipated CIP project costs. Debt coverage remains above the requirement throughout the study period.
Agenda Item #10.2.
City of St. Helena / Water and Wastewater / Cost of Service and Rate Study Report 24 Figure 1-9: Proposed Wastewater Financial Plan – Projected Debt Coverage
1.7. Proposed Wastewater Rates
The City’s wastewater rate structure consists of Fixed Service Charges and Variable Flow Charges for all customer classes. Residential customers are charged a base rate (Fixed Service Charge) and a volumetric rate (Variable Flow Charge) based on average winter consumption (AWC). Commercial customers are charged a Fixed Service Charge based on the size of the meter serving the connection and Variable Flow Charges based on billed water use. Multi-Family Residential (MFR) customers which include Multi-Dwelling apartments, condos, and mobile home parks, are charged base rates as commercial customers (by meter size) and volumetric flow rates as residential customers (AWC). Raftelis worked with City staff and the RSAC to evaluate any changes to the existing wastewater rate structure. The result of the evaluation maintains the current wastewater rate structure. Table 1-6 shows proposed wastewater rates through FY 2027-28.
Agenda Item #10.2.
City of St. Helena / Water and Wastewater / Cost of Service and Rate Study Report 25 WATER AND WASTEWATER COST OF SERVICE AND RATE DESIGN STUDY 25 Table 1-6: Proposed Five-Year Wastewater Rate Schedule
A B C D E F G
Line Bi-Monthly Base Charges
Current Rates
Proposed FY
2024
Proposed FY
2025
Proposed FY
2026
Proposed FY
2027
Proposed FY
2028
1 Residential
2 Base Charge $127.35 $179.26 $186.44 $193.90 $201.66 $209.73 3 Use Charge (AWC) $5.58 $9.89 $10.29 $10.71 $11.14 $11.59 4 5 Non-Residential 6 Base Charge 7 5/8" $176.68 $250.51 $260.54 $270.97 $281.81 $293.09 8 1" $441.72 $567.57 $590.28 $613.90 $638.46 $664.00 9 1.5" $883.42 $1,096.00 $1,139.84 $1,185.44 $1,232.86 $1,282.18 10 2" $1,413.48 $1,730.12 $1,799.33 $1,871.31 $1,946.17 $2,024.02 11 3" $2,826.98 $3,738.16 $3,887.69 $4,043.20 $4,204.93 $4,373.13 12 4" $4,417.14 $6,697.37 $6,965.27 $7,243.89 $7,533.65 $7,835.00 13 6" $8,834.28 $14,835.22 $15,428.63 $16,045.78 $16,687.62 $17,355.13 14 15 Use Charge (per HCF) 16 Car Wash $3.86 $6.73 $7.00 $7.28 $7.58 $7.89 17 Religious Places/Community Centers $4.29 $7.28 $7.58 $7.89 $8.21 $8.54 18 Commercial $5.07 $8.42 $8.76 $9.12 $9.49 $9.87 19 Groceries and Mortuaries $13.62 $20.65 $21.48 $22.34 $23.24 $24.17 20 Laundry $4.42 $7.46 $7.76 $8.08 $8.41 $8.75 21 Mixed Retail $8.52 $13.50 $14.04 $14.61 $15.20 $15.81 22 Lodging with Food $10.22 $15.83 $16.47 $17.13 $17.82 $18.54 23 Lodging without Food $5.54 $9.00 $9.36 $9.74 $10.13 $10.54 24 Restaurant $13.50 $20.30 $21.12 $21.97 $22.85 $23.77 25 Napa Valley College $4.22 $7.18 $7.47 $7.77 $8.09 $8.42 26 Service Station $5.83 $9.55 $9.94 $10.34 $10.76 $11.20 27 Winery Pre-Treated $5.39 $8.87 $9.23 $9.60 $9.99 $10.39 28 Winery Non-Treated $23.75 $34.27 $35.65 $37.08 $38.57 $40.12 29 Schools $2.10 $7.18 $7.47 $7.77 $8.09 $8.42 Agenda Item #10.2.
City of St. Helena / Water and Wastewater / Cost of Service and Rate Study Report 26 WATER AND WASTEWATER COST OF SERVICE AND RATE DESIGN STUDY 26 Figure 1-10 shows sample bi-monthly wastewater bills for SFR customers at varying levels of AWC under both current rates and proposed FY 2023-24 rates. Note that actual SFR customer impacts in FY 2023-24 may vary based on each customer’s water use characteristics during winter months versus individual months. The average AWC amongst City SFR wastewater customers is approximately 8 HCF of AWC.
Figure 1-10: Single Family Residential Bi-Monthly Wastewater Bill Impacts Agenda Item #10.2.
City of St. Helena / Water and Wastewater / Cost of Service and Rate Study Report 27 WATER AND WASTEWATER COST OF SERVICE AND RATE DESIGN STUDY 27
2. Introduction
2.1. Agency Overview
The City of St. Helena’s (City) water and wastewater department provides water and wastewater service to a population of roughly 6,000 people through about 2,600 metered water connections and approximately 1,700 sewer connections. All of the City’s Wastewater customers are located within city limits.; however, the water system extends beyond City limits into areas that include Meadowood Napa Valley Resort, as well as the area between Chaix Lane and Zinfandel Lane along Main Street.
The water system consists of roughly 47 miles of active water distribution pipelines up to 24 inches in diameter, three main supply sources (Louis Stralla Water Treatment Plant (WTP), Stonebridge wells, and an interconnection with the City of Napa), five pressure zones, and six booster pump stations. The wastewater system consists of approximately 24 miles of active gravity sewer pipelines and two lift stations that flow to the Wastewater Treatment and Reclamation Plant (WWTRP).
2.2. Study Overview
Water and wastewater utilities in California typically perform a cost of service analysis every five to ten years to ensure that customers are appropriately charged for service commensurate with the cost to provide service.
The City last conducted a water and wastewater cost of service study in 2016, which established proposed rates over a five-year period through Fiscal Year (FY) 2021-22, which included updated drought rates to establish water shortage rates to recover sufficient rate revenue during periods of drought or other water supply shortages.
The City engaged Raftelis in 2021 to conduct a water and wastewater cost of service study to establish a proposed five-year schedule of water and wastewater rates through FY 2027-28. The results of the study are documented within this report. Note that proposed rates cannot be implemented until formally adopted by City Council after a public hearing. Proposition 218 requires that The City Water customers must be mailed a public hearing notice detailing any proposed rate changes no fewer than 45 days before the public hearing.
The notice includes a customer’s right to protest the rate proposal.
Study Objectives
The major objectives of this study are to:
» Develop a ten-year financial plan that sufficiently funds the City’s water and wastewater operations and maintenance (O&M) expenses, debt service payments, and capital expenditures, while adequately funding reserves and achieving debt coverage requirements.
» Conduct cost of service analyses that establish a nexus between the cost to serve water and wastewater customers and the rates charged, per Proposition 218 and industry standards. » Review the City’s existing water and wastewater rate structures and recommend changes and rate alternatives to ensure that proposed rates achieve the financial and policy objectives of the agency to the greatest degree possible.
Agenda Item #10.2.
City of St. Helena / Water and Wastewater / Cost of Service and Rate Study Report 28 WATER AND WASTEWATER COST OF SERVICE AND RATE DESIGN STUDY 28 » Develop a five-year schedule of water and wastewater rates that are fair, cost-justified, provide full revenue recovery, and align with Proposition 218.
» Develop a five-year schedule of drought surcharge rates that consider the City’s Water Emergency Plan.
Key Changes Since the Prior Rate Studies
Water Enterprise
Reduction in baseline water demand: Since the prior cost of service study was conducted in 2016, The City’s water supplies and demands have undergone substantial changes. The prior rate study assumed baseline water demand of approximately 1,500 acre-feet per year (AFY). Historical demands, prior to the 2016 study were even higher. Since 2016 the City had actively sought conservation from customers during a multi-year water shortage emergency and implemented water allocations, through the declaration of the Phase II Water Emergency, for the first time in calendar year 2021. Total water demand in FY 2021-22 was approximately 30 percent lower than in FY 2018-19. After analyses of historical data and significant discussion with City staff and the RSAC, baseline water demand for this study is assumed at approximately 1,300 AFY. The City collects approximately 60 percent of its water rate revenues through Water Volume Rates charged per unit of water delivered and 35 percent of its wastewater rate revenues through Flow Charges based on water use.
Reductions in baseline water demands results in fewer units of water with which to recover the total costs of the utility. Proposed water and wastewater rates are designed to reflect new normal water demands.
Capital Reinvestment: The City’s water utility has many CIPs that are necessary to maintain a high level of service, meet all regulatory requirements, ensure the availability and reliability of both local and imported water supplies, and prevent emergencies from infrastructure failure. Raftelis and the RSAC worked closely with the City’s Public Works department to incorporate the capital program into the rate study and execute these projects over the next ten or more years. Historically the City’s water utility has executed on average $1 million in capital projects each year. In this study the utility aims to execute over $6 million in annual capital projects.
Reserve Funding: Cash reserves mitigate risk, provide for working capital, can improve future borrowing terms, and ensure reliable service if an emergency were to occur on the system. Reserves have been utilized over the past several years to offset unexpected operating costs and mitigate the impacts of drought and reduced revenues. Replenishing reserves to adopted levels over the long-term is an added cost to the system.
Wastewater Enterprise
Operating Costs: Just like the Water utility, the wastewater enterprise has experienced increased costs due to inflation as well as unexpected operating costs in staffing the WWTP on a temporary, contractor basis. These increases reduce net cash to reserves and net operating revenues to achieve debt coverage (or conversely reducing future debt capacity).
Capital Projects and Cash Reserve Balance: Wastewater Treatment Plant Phase I Upgrades to produce recycled water is well over the original budget. With proceeds from the USDA loan finite, the difference, approximately $3 million, reduces the utility’s cash balance. Construction cost inflation (CCI) and supply chain disruptions experienced in FY 2021 and 2022 makes recent projects more expensive in absolute dollars, relative to their budgeted values.
Agenda Item #10.2.
City of St. Helena / Water and Wastewater / Cost of Service and Rate Study Report 29 WATER AND WASTEWATER COST OF SERVICE AND RATE DESIGN STUDY 29 Reduction in Rate Revenue Base: In this study, assumed wastewater flows from the City’s largest wastewater connection is reduced by greater than 95% from the prior rate study. This is due to wastewater being captured and treated onsite. Additional other changes and updates to the wastewater connection and flow generation assumptions results in adjustments to the revenue generated with existing rates.
Agenda Item #10.2.
City of St. Helena / Water and Wastewater / Cost of Service and Rate Study Report 30 WATER AND WASTEWATER COST OF SERVICE AND RATE DESIGN STUDY 30
3. Legal Requirements and
Rate Setting Methodology
3.1. Legal Requirements
California Constitution – Article XIII D, Section 6 (Proposition 218) Proposition 218, reflected in the California Constitution as Article XIII D, was enacted in 1996 to ensure that rates and fees are reasonable and proportional to the cost of providing service. The principal requirements, as they relate to public water and wastewater service are as follows:
1. A property-related charge (which includes water or wastewater rates) imposed by a public agency on a parcel shall not exceed the costs required to provide the property-related service.
2. Revenues derived by the charge shall not be used for any purpose other than that for which the charge was imposed.
3. The amount of the charge imposed upon any parcel shall not exceed the proportional cost of service attributable to the parcel.
4. No charge may be imposed for a service unless that service is actually used or immediately available to the owner of the property.
5. A written notice of the proposed charge shall be mailed to both the customer of record and owner of record of each parcel at least 45 days prior to the public hearing, when the agency considers all written protests against the charge.
As stated in the American Water Works Association’s (AWWA) Principles of Water Rates, Fees, and Charges:
Manual of Water Supply Practices – M1 Seventh Edition (Manual M1), “water rates and charges should be recovered from classes of customers in proportion to the cost of serving those customers.” Raftelis follows industry standard rate setting methodologies set forth by the AWWA’s Manual M1 to ensure the water cost of service analysis presented in this study meets Proposition 218 requirements and establishes rates that do not exceed the proportionate cost of providing water services on a parcel basis. The methodology in the Manual M1 is a nationally recognized industry ratemaking standard which courts have recognized as consistent with Proposition 218. Similarly, the wastewater cost of service presented in this study was conducted in accordance with principles established by the Water Environment Federation (WEF) and described in Financing and Charges for Wastewater Systems.
California Constitution Article X, Section 2
California Constitution Article X, Section 2 mandates that water resources be put to beneficial use and that the waste or unreasonable use of water be prevented. Section 106 of the Water Code declares that the highest priority use of water is for domestic purposes, with Non-Residential Irrigation the next highest priority. Thus, management of water resources is part of the property-related service provided by public water suppliers to ensure the resource is available over time. The City is proposing to implement inclining tiered (also known as inclining block) water rates to incentivize residential customers to conserve water. The inclining tiered rates must be based on the proportionate costs incurred to provide water to customers to achieve compliance with Proposition 218. “Inclining” tiered rate structures (which are synonymous with “increasing” tier rate Agenda Item #10.2.
City of St. Helena / Water and Wastewater / Cost of Service and Rate Study Report 31 WATER AND WASTEWATER COST OF SERVICE AND RATE DESIGN STUDY 31 structures and “tiered” rates), when properly designed, allow a water utility to send conservation price signals to customers. Due to heightened interest in water conservation and efficiency of water use, tiered water rates have gained widespread use, especially in relatively water-scarce regions like California. Tiered rates meet the requirements of Proposition 218 as long as they reasonably reflect the proportionate cost of providing service for each tier.
3.2. Rate-Setting Methodology
This study was conducted using industry-standard principles outlined by the AWWA’s Manual M1 and WEF’s Financing and Charges for Wastewater Systems. The process and approach Raftelis utilized in the study to determine rates is informed by The City Water’s policy objectives, the current system of rates, and the legal requirements in California (namely, Proposition 218). The resulting financial plans, cost of service analyses, and rate design process follows five key steps, outlined below, to determine proposed rates that fulfill The City Water’s objectives, meet industry standards, and comply with relevant regulations. The overall process outlined below applies to the cost of service analyses for both water and wastewater.
1. Financial Plan: The first study step is to develop a multi-year financial plan that projects the Water and Wastewater Enterprises’ revenues, expenses, capital project financing, annual debt service, and reserve funding. The financial plan is used to determine revenue adjustments needed to recover adequate revenues to fund expenses and reserves.
2. Revenue Requirement Determination: After completing the financial plan, the rate-making process begins with the determination of the revenue requirement for the test year, also known as the cost-of service year. The test year for this study is FY 2023-24. The revenue requirement should sufficiently fund the Water and Wastewater Enterprises’ operating costs, annual debt service (including coverage requirements), capital expenditures, and reserve funding needs.
3. Cost of Service Analysis: The annual cost of providing water or wastewater service (i.e., the revenue requirement) is then distributed to customer classes commensurate with their use of and burden on the system. A cost of service analysis involves the following steps:
» Functionalize costs – the different components of the revenue requirement are categorized into functions such as supply, transmission, storage, customer service, etc. (for water) and collection, treatment, customer, etc. (for wastewater).
» Allocate to cost causation components – the functionalized costs are then allocated to cost causation components such as supply, base delivery, peaking, etc. (for water) and flow, strength, etc. (for wastewater).
» Develop unit costs – unit costs for each cost causation component are determined using units of service. » Distribute cost components – the cost components are allocated to each customer class and tier using the unit costs in proportion to their demand and burden on the system.
A water cost of service analysis considers both the average water demand and peak demand. Peaking, or extracapacity, costs are incurred during periods of peak consumption, most often coinciding with summer water use. There are additional capacity-related costs associated with designing, constructing, operating, maintaining, and replacing facilities to meet peak demand. Patterns of use impose additional costs on a water utility and are used to determine the cost burden on peaking-related facilities. Similarly, a wastewater cost of service analysis considers the amount of wastewater treatment plant influent contributed by each customer class in order to account for customer differences in the quantity and strength of wastewater discharges.
Agenda Item #10.2.
City of St. Helena / Water and Wastewater / Cost of Service and Rate Study Report 32 WATER AND WASTEWATER COST OF SERVICE AND RATE DESIGN STUDY 32
4. Rate Design: After allocating the revenue requirement to each customer class, the rate design and calculation process can begin. Rates do more than simply recover costs; within the legal framework and industry standards, properly designed rates should support and optimize the City Water’s Policy Objectives. Rates also act as a public information tool in communicating policy objectives to customers. This process also includes a bill impact analysis.
5. Administrative Record Preparation and Rate Adoption: The final step in a rate study is to develop the administrative record in conjunction with the rate adoption process. This report serves as the administrative record for this study. The administrative record documents the study results and presents the methodologies, rationale, justifications, and calculations used to determine the proposed rates. A thorough and methodological administrative record serves two important functions:
maintaining defensibility in a stringent legal environment and communicating the rationale for revenue adjustments and proposed rates to customers and key stakeholders.
Agenda Item #10.2.
City of St. Helena / Water and Wastewater / Cost of Service and Rate Study Report 33 WATER AND WASTEWATER COST OF SERVICE AND RATE DESIGN STUDY 33
4. Water Rate Study
4.1. Key Inputs and Assumptions
Raftelis developed a water rate model in Microsoft Excel to project financial calculations over the next ten fiscal years with projections shown in this report through the five-year rate-setting period of FY 2027-28 (i.e., the “study period”). The City’s fiscal year spans from July 1 through June 30. Projections in future years were generally made based on actual or estimated data for FY 2021-22 and/or budgeted data for FY 2022-23 using key assumptions outlined below. Assumptions were discussed with, and reviewed by, City staff to ensure that the City water system’s unique characteristics are accurately accounted for. Model inputs and assumptions which underly the long-range financial plan were discussed at length with the RSAC over multiple meetings. Note that most table values shown throughout this report are rounded to the last digit shown and may therefore not sum precisely to the totals shown.
4.1.1. Current Water Rates
Table 4-1 shows the rates currently in effect in FY 2022-23, which were developed during the prior rate study in 2016. Customers are currently billed bi-monthly for two primary charges: 1) Water Service Charges and 2) Water Volume Rates per hundred cubic feet (HCF)2
of water delivered. The Water Service Charge is a fixed bimonthly charge that varies based on meter size. Additionally, customers with private fire lines are subject to a fixed bi-monthly Fire Line Service Charge. All customer classes are charged a fixed charge based on meter size that is billed bi-monthly. All customer classes are also charged a Water Volume Rate (volumetric charge) per HCF that is based on a peak or off peak and drought or non-drought basis. 2 One HCF equals approximately 748 gallons.
Agenda Item #10.2.
City of St. Helena / Water and Wastewater / Cost of Service and Rate Study Report 34 WATER AND WASTEWATER COST OF SERVICE AND RATE DESIGN STUDY 34 Table 4-1: Current Water Rates
A B
Line Description Current
1 Fixed Charges
2 Meter Size
3 5/8" $139.78
4 3/4" $139.78
5 SFR 1" $139.78
6 1" $256.44
7 1 1/2" $451.28
8 2" $648.00
9 3" $1,309.44
10 4" $2,023.96
11 6" $3,963.26
12 13 Fireline Size
14 4" & smaller $26.66
15 6" $77.46
16 8" $165.06
17 18 Volumetric Charges
19 All Classes
20 Treated Variable Charge (Non-Drought)
21 Off-Peak $6.50
22 Peak $7.23
23 24 Treated Variable Charge (Drought)
25 Off-Peak $6.87
26 Peak $7.63
Uniform current peak and off-peak tiers are defined below in Table 4-2.
Table 4-2: Current Structure for Water Volume Rates
A B
Line Water Customer Tiers All Customer Classes
1 Peak May - October
2 Off Peak November – April
Some water utilities include elevation electricity surcharges for customer parcels in elevated zones, but only if warranted by the water system’s design, if the costs applicable to the elevated zones can feasibly be calculated and assigned with relative certainty and consistent with cost of service principles, and if the relative differential costs are not outweighed by the administrative costs of evaluating and administering the elevation surcharge. Most utilities in California do not have these surcharges due to their complexity. City Water’s existing water rate structure does not include electricity surcharges for the City Water’s elevated distribution zones and we do not recommend that they be added for this study period. Raftelis reviewed the issue with Agenda Item #10.2.
City of St. Helena / Water and Wastewater / Cost of Service and Rate Study Report 35 WATER AND WASTEWATER COST OF SERVICE AND RATE DESIGN STUDY 35 City staff, the RSAC, and City Council and confirmed that the amount of revenue that would be recovered through elevation surcharges is immaterial to water rates, while significantly impacting a subset of customers and creating more administration for the City enterprise.
4.1.2. Water Enterprise Financial Assumptions
Inflationary assumptions shown in Table 4-3 are used to escalate projected non-rate revenues and operations and maintenance (O&M) expenses beyond FY 2022-23. For O&M expenses, the general inflation rate is consistent with long-term changes in the Consumer Price Index (CPI), with an expectation that inflation remains elevated through FY 2026. Similarly, capital inflation is based on the long-term average of the Engineering News-Record’s (ENR) Construction Cost Index (CCI). The capital inflation factor is used to adjust uninflated capital project cost estimates provided to Raftelis by City staff. Salary and benefit inflationary increases were provided by the City Water and Finance staff, as water utility personnel cost increases are typically agency-specific. The purchased water factor reflects a known escalator within the City’s water supply agreement with the City of Napa. All other O&M expense inflationary assumptions were developed by Raftelis based on professional judgement, experience with similar agencies, and after discussions with City staff and the RSAC.
Table 4-3: Water Inflationary Assumptions
A B C D E F
Line Inflationary Categories FY 2024 FY 2025 FY 2026 FY 2027 FY 2028 1 Revenue Inflation
2 Miscellaneous Revenues 0.0% 0.0% 0.0% 0.0% 0.0%
3 Reserve Interest Rate 1.0% 1.0% 1.0% 1.0% 1.0%
4 5 Expense Inflation
6 General 5.0% 4.2% 3.5% 2.8% 2.8%
7 Salary 7.0% 7.0% 5.0% 5.0% 5.0%
8 Benefits 6.0% 6.0% 6.0% 6.0% 6.0%
9 Supplies 5.0% 4.2% 3.5% 2.8% 2.8%
10 Utilities 5.0% 5.0% 5.0% 5.0% 5.0%
11 Purchased Water 6.6% 6.6% 3.0% 3.0% 3.0%
12 Capital 5.0% 4.4% 3.8% 3.2% 3.2%
4.1.3. Projected Water Service Connections
Water connection growth projections are necessary to estimate water demand and rate revenues over the study period. Raftelis relied on information within the City’s General Plan and projected housing units over the longterm. An assumption of 10 SFR units and 8 MFR dwelling units per year is translated into percentages relative to the existing connection base. Growth assumptions in Table 4-4 are applied to the respective customer connection types to project the number of water meters and fire lines in each year over the study period (Table 4-5).
Agenda Item #10.2.