City Council and Concurrent Authorities
August 22, 2023

1 (Rev. 10.27.22)

STANDARD AGREEMENT

CITY OF STOCKTON
STANDARD AGREEMENT Agreement Number:

1. This Agreement is entered into between the City of Stockton (“City”) and HDR Engineering, Inc. (“Contractor”) to provide Wastewater and Stormwater Cost of Service Rate Studies as set forth in Exhibit A to this Agreement.

2. The term of this Agreement is as follows, unless amended as described in Exhibit A and Exhibit C section 8:

Commences on: July 1, 2023 Termin ates on: December 31, 2024

3. The maximum not to exceed amount to be paid to Contractor for the term of this Agreement, including if authorized, reimbursement of expenses, is: $ 334,995.00

4. The complete Agreement consists of all the following Agreement documents which by reference are incorporated and made a part of this Agreement. The parties agree to comply with the terms and conditions of this Agreement.
(a) Exhibit A – Statement of Work
(b) Exhibit B – Insurance
(c) Exhibit C – General Terms and Conditions
(d) Exhibit D – Goods and Services Special Terms & Conditions (e) Exhibit E – Compensation Schedule
(f) Exhibit F – Timeline
(g) Exhibit G – Discrimination and Harassment Policy (HR-15) (h) Exhibit H – Request for Proposal Documents
IN WITNESS WHEREOF, the authorized parties hav e executed this Agreement.

CONTRACTOR
HDR Engineering, Inc
Contractor’s Name (if other than an individual, state whether a corporation, partnership, etc.):

Authorized Signature Date
P
rinted Name and Title of Person Signing
Address

CITY OF STOCKTON
Harry Black, City Manager Date
ATTEST:

Eliza R. Garza CMC, City Clerk
APPROVED AS TO FORM:

Lori M. Asuncion, City A
ttorney
BY:

June 16, 2023
Holly Kennedy, Senior Vice President
2365 Iron Point Road, Suite 300, Folsom, CA 95630
EXHIBIT 1
Contract for WW & SW Rate Studies

1 (Rev. 10.30.18)

EXHIBIT A

STATEMENT OF WORK

1. Project Scope
Contractor shall provide professional and technical assistance in the development of comprehensive wastewater and stormwater cost of service rate studies in complianc
e with Proposition 218 requirements.

City will provide documentation or reports to the Contract or as necessary for the completion of the tasks in Section 3 Task s That Support the Deliverables in this Exhibit.

The rate study shall have the following three (3) analytical elements:
a. Revenue Requirement Analysis: The revenue requirement analysis evaluates the adequacy of the City’s existing rates to meet the financial policies and/or financial planning targets (e.g., DS C, minimum reserves, replacement funding). The key component shall be developing a funding plan for the capital improvement plan for each utility.
b. Cost of Service Analysis: The cost of service analysis shall proportionally distribute the costs to the identified customer groups served by the City. A detailed review of the City’s custom er classes for each utility shall be undertaken and any recommended class adjustments shall be discussed with the City. The cost of service shall provide the City with the cost-based level of revenue necessary for each customer class of service.
c. Rate Design Analysis: Finally, giv en an appropriate level of funding for Operations and Maintenance (O&M) and capital needs, along with a proportional distribution of the allocated costs (i.e., revenue requirement), the rate design analysis shall develop the proposed rates. In designing the proposed rates, consideration shall be given to establishing cost-based rates (fixed/volumetric charges), in complianc e with California cons titution Article XIII D, Section 6 (Article XIII D), or Proposition 218.

2. Major Deliverables
Contractor shall provide a written report, public outreach, presentations to the Water Advisory Group and the Council Water Committee, and public hearings.

EXHIBIT 1
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2 (Rev. 10.30.18)

3. Tasks That Support the Deliverables

Task 1 – Project Management
This task includes the general project managem ent activities that are required to manage schedule, budget, resources and to comm unicate with the City. Contractor shall work with the City’s Project Manager to schedule project activities and provide regular communication (e.g., bi-weekly conference calls) and monthly invoicing and progress reports.

Task 2 – Initial Kick-Off Meeting
An initial project “kick-off” meeting shall be held at the City’s offices with Contractor and City project team. At this meeting Contractor shall be prepared to discuss study goals, objectives, and review data needs to develop and review the overall methodology. This shall include an eval uation of the current wastewater and stormwater rates and the customer cla sses of service to be analyzed within the study.

Task 3 – Data Collection and Review
Contractor shall provide an initial written data re quest detailing the data and information (e.g., financial, statistical, customer) required to conduct each rate study.

For those areas where the data is not readily available or will require significant labor and expense on the City’s part to provide, Contractor and the City shall determine the “sensitivity” or “importance” of the data required and whet her alternative data sources are available.

Task 3A – Wastewater Utility Data Collection
The data required for the wastewater utility should be readily available. The City shall provide wastewater billing on volumes, and for those customers billed on the basis of strength levels, the billed strengths. As a part of the study, information on strength levels by customer class of service will be requested.

Task 3B – Stormwater Utility Data Collection
The data required for the stormwater ut ility will be focused on parcel data and information. Data will be provided to the Cont ractor in a format that is easily transferred to a usable format. For the impe rvious lot area information, the City will provide individual parcel data and impervious area (density development factors) for those customers billed under the impervious area method.

Contractor shall work with the City to select the appropriate method to accumulate and receive data in a manner that is usable to the rate study.

Task 4 – Review of the City’s Financial and Rate Setting Policies Contractor shall work with Cit y staff to review the exis ting financial and rate setting policies. Contractor, in collaboration with the City, sha ll update or supplement the existing policies with industry standard policies to establish an updated set of written EXHIBIT 1
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3 (Rev. 10.30.18)

financial policies. These polic ies then become an input into, and the basis for, the development of technical anal ysis. At the completion of th is task a project meeting (Virtual Meeting #1) shall be held to review and discuss the updated policies.

Task 5 – Baseline Revenue Requirement Analysis
Contractor shall develop the “baseline” revenue requirement for each utility using generally accepted rate-setting methodology, while also incorporating best industry financial planning and rate practices, and the City’s unique customer and system characteristics. Contractor shall review the various sources of funds (revenues) and compare them to the applic ations of funds (expenses ) of each utility, while considering the prudent and proper fundi ng for operating and maintenance (O&M) and capital expenditures.

The revenue requirement shall be developed for a 20- year time period, with a focus, for rate-setting purposes, on the initial five-year period.

Contractor shall review water consumpt ion history for the City’s commercial and industrial customers and work with the Cit y to develop a reasonable projection for wastewater billing volumes and the resulting wastewater revenues.

For stormwater, the proposed revenues are based on the current rate structure and the impervious area and equivalent resi dential unit (ERU) calculation. The stormwater revenue shall be projected based on the data provided by the City.

The Contractor shall projec t the City’s O&M expenses from an adopted budget, or prior year actual expenditure levels, and adjusted for known changes in levels of service or personnel for each utility. Futu re projections of O&M expenses shall be based on historical inflati onary factors experienced by the City and projections of future impacts. This approach is used to establish the level of O&M expenditures for the projected 20-year period. The projection of the capital projects shall be based upon the City’s current capital improvement plan for each utility. Emphasis shall be placed upon adequately and consistently funding from rates an amount for renewal and replacement facilities. In addition to the funding provided from rate revenues, the analysis shall also review other capital improvement funding sources (e.g., grants, long-term debt, reserves, connection fees, developer contributions). Given a better understanding of the overall magnitude of the needed capital projects, a final capital funding plan shall be developed t hat meets the City’s goals and objectives, while attempting to minimize the impacts to rates over time.

In developing the overall revenue requiremen t, consideration shall also be given to the City’s financial policies and other financial planning criteria as identified in Task

4. These may be items such as the minimu m funding of capital pr ojects from rates (≥ annual depreciation expense), minimum target for debt service coverage (e.g., ≥

1.15 DSC), or minimum reserve levels.

EXHIBIT 1
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4 (Rev. 10.30.18)
Once a draft of the revenue requirement has been developed, an internal project meeting with the City’s project team shall be held to revi ew the analysis (City Staff Meeting #1). This meeting is intended to review the overall methodology used, review the analyses on a line-by-line basis to confirm with the City the appropriateness of the data and assumptions used within the anal ysis for each utility. This will provide an opportunity for the City to review the development of the rate model and provide suggestions/ changes. Given the input and direction during the project meeting, the final revenue requirement shall be developed for discussion with City staff. A project meeting (Virtual Meeting #2) shall be held to review and discuss the updated policies.

Task 6 – Development of Alternative Revenue Requirements At the conclusion of Task 5, the “baseline” revenue requirement shall be developed and reviewed with the City project team. Based on the results, Contractor shall work with the City project team to determine alte rnative analyses to c onsider the overall revenue (rate) impacts based on changes in c apital projects, funding, and O&M for each utility. Contractor s hall provide up to three alte rnative revenue requirement analyses for review and discussion with t he City project team for each utility.

Contractor shall work with the City to determine the alternatives and at the completion of the draft analyses a single half-day meeting shall be held at the City’s offices (City Staff Meeting #2) to review the results of the requested alternatives and develop the final revenue requirement alte rnative(s). Based on the direction for developing the alternative revenue require ments, the final revenue requirement alternatives for each utility shall be developed for discussion with City staff. A project meeting (Virtual Meeting #3) shall be held to review and discuss the final revenue requirement analyses.

Optional Task – Stormwater Public Opinion Survey
If needed in the scope, an optional task includes a customer opinion survey at the start of the project given obtaining sufficient property owner ballot support for increased stormwater rates can be very challenging. Depending upon the results of the revenue requirement analysis, it may be important for the City to gain a better understanding of the potential level of support for incr eased stormwater rates, prior to the City making the important decision to proceed with a balloting process.

As an optional task, Contractor shall collaborate with the City to develop a survey of property owners to better measure and gauge the potential level of support and gain an understanding of the potential stormwat er rate that is acceptable to the community. If the City selects for this task, Contractor shall develop a survey and a determination of how the survey shall be conducted (e.g., virtual, emailed, mailed).

If mailed by Contractor, this would be an additional cost based on the actual cost of mailing the survey. Based on survey results, Contractor and the City will review the public outreach approach and determine the nex t steps to gain public approval for the proposed stormwater rates.

EXHIBIT 1
Contract for WW & SW Rate Studies

5 (Rev. 10.30.18)

Task 7 – Water Advisory Group Presentation (#1)
The scope of services presented herein has been developed with tasks placed in a relative sequential order. At this point of the project, Contractor would present the selected alternative(s) to the Water Advisory Group (WAG) for review and comment.

Contractor would start the presentation with a summary of the rate setting process and outline the key policy areas for input.

Next, a review of the revenue requirement alternative(s) for each utility (assuming a simultaneous completion) would be presented to gain input from the WAG. This is an important stopping and check-in point as the overall results of the revenue requirement need to be used in the development of the cost of service analysis.

Therefore, it is recommended th at preliminary policy direct ion be provided at this point of the study so that the cost of service c an be developed based on the recommended alternative. This will allow t he WAG to provide preliminary policy direction based on the developed alternative(s).

At this WAG meeting, Contractor would also present an overview of the approach for developing the cost of service analysis and rate designs. Contractor would address input and feedback that the WA G provides on key cost of service policy level discussions, which would include a review of the customer classes of service and alternative rate structures. This discu ssion and feedback will help provide direction and “jump start” the next two tasks. This will not result in the “final” decision for the cost of service and rate structures, but rather, simply provide a starting point for the analysis and future review and discussions.

Task 8 – Cost of Service Analysis
Contractor shall address the legal requi rements of Proposit ion 218 (California Constitution Article XIII D) to develop the cost basis for the rate structure and customer classes of service. Contractor shall provide clear documentation of the cost basis and proportionality of the City’s proposed rates.

The objective of a cost-of-service study shall be to proportionally distribute the revenue requirement between the customer classes of service (for wastewater single-family, multi-family, commercial, industrial, and stormwater on an ERU basis).

The cost of service analysis shall provide calculated average unit costs, which is the cost basis for the proposed rates.

Contractor shall review t he customer characteristics and current customer classes of service, and work with the City project team at the start of the analysis to determine the appropriate customer classes of service.

The selected revenue requirement alternative developed in the previous tasks shall be proportionally distributed bet ween the identified customer classes of service of each utility. For cost of service purposes, a single year is used to allocate costs. The results of this task will be a proportional distribution of costs to the identified customer EXHIBIT 1
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6 (Rev. 10.30.18)

classes of service for each utility to establish the proposed rates. As noted above, the cost of service approach is similar for the wastewater and st ormwater utilities.

However, the stormwater utility approach is simplified given the billing approach on an ERU basis.

From the above process, a summary page of the cost of service study will be developed. The summary page compares the difference between the current level of rate revenues received from each class of service, and the distributed costs to each customer class of service for each utility. This provides the City with an understanding of the relationship between the costs each customer class of service places on the system and the revenues receiv ed from the customer s. The cost of service will also provide average unit costs, or cost-based rates, which are used in the development of the final proposed wastewater rate designs.

At the completion of the draft cost of service analysis, a half-day project meeting will be held at the City’s offices (City Staff Meeting #3) to review and discuss the draft results for each utility. This will allow Co ntractor to walk the City through the methodology and approach to the cost distri bution and for the City to review the assumptions and provide input and feedback on the development of the final cost of service analysis. Based on the input and direction during the proj ect meeting, the final cost of service analysis for each utility will be developed for discussion with City staff. A project meeting (V irtual Meeting #4) will be hel d to review and discuss the final cost of service analysis for each utility.

Task 9 – Rate Design Analysis
The City’s present wastewater and stormwater rate designs shall be reviewed to confirm how well they align (perform) wit h the City’s current rate-setting goals and objectives. Based on the ident ified customers classes of service developed in the cost of service analysis, up to two alternative rate designs shall be prepared for each customer class of service for review and consideration by the City. Each alternative shall meet the targeted revenue needs (i.e., revenue requirement) over the projected time period and be cost-based.

Contractor shall confirm billing system limitations during the rate design process. For all rate structure alternatives developed, bill comparisons shall be developed that demonstrate the impacts to customers across various levels of usage. These shall be presented in both table and graphical fo rmat. Contractor shall work with the City to review the alternative rate structures . The study shall also include a comparison to up to ten other comparable wastewater utilities in Northern California, with a focus on utilities in Northern San Joaquin County.

Task 9A – Wastewater Utility Rate Design Analysis
Contractor shall design the rates for the wastewater utility following the existing rate structures. For residential customers, volume-based billing methods may be EXHIBIT 1
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explored. For high-strength customers, a review shall be undertaken of the rates for high strength BOD and SS.

Task 9B – Stormwater Utility Rate Design Analysis
Within the cost of service analysis, the definition of an ERU shall be reviewed and brought forward to the rate design pr ocess. The City’s current approach for stormwater rate design is reasonable in t hat it takes into account lot size and development density. As part of the rate designs, Contra ctor shall review these density factors (groupings) with the City for reasonableness.

At the conclusion of the dr aft rate designs, a half-day pr oject meeting at the City’s offices (City Staff Meeting #4) shall be hel d to review and discuss the draft rate design analysis and alternatives for each ut ility. The final rate designs shall be developed based on the input and direction during the city staff meeting and a project meeting (Virtual Meeting #5) shall be held to review and discuss the proposed rates for each utility.

Task 10 – Water Advisory Group Presentation (#2)
At the conclusion of Tasks 8 and 9, Contract or shall work with City staff to present the draft results of the cost of service and rate alternat ive(s) to the WAG to gain policy direction and feedback. This meeting with the WAG will review the identified customer classes of service and revisit the purpose and approach for the cost of service analysis. Contractor shall reques t input from the WAG on the key policy decisions for the cost of service. Additi onally, rate design alternative(s) shall be reviewed and discussed with the WAG to gain direction on their preferred alternative.

Task 11 – Development of the Final Draft Study Recommendations Based on the input from the WAG, Contractor shall work with the City project team to develop the final draft study recommendations. This shall include the final revenue requirement alternative, and subsequent rate transition plan for the next five-year period, along with the cost of service analysis and selected rate structure alternative.

This draft final analysis shall become the basis for the next steps (tasks) of the study.

Contractor and the City project team shall meet with City administration (Key Study Recommendation) to present the draft final findings and conclusions of the study.

Task 12 – Council Water Committee Presentation (#1)
Contractor shall present the draft final study results to the Council Water Committee to gain policy direction on the draft final study recommendations for each utility. This presentation will include a summary of the revenue requirement, cost of service, rate design findings, conclusions, and reco mmendations for each utility. This presentation will also discuss the alternatives considered and the advantages/disadvantages of the recommended approach so that the Council Water Committee gains a full understanding of the breadth of the study and considerations of each study.

EXHIBIT 1
Contract for WW & SW Rate Studies

8 (Rev. 10.30.18)

Task 13 – Written Documentation
Upon completion of the technical analysis, Contractor shall develop a draft written report of each rate study (separate report for wastewater rand stormwater). The written report is key to dev eloping the administrative reco rd to meet the intent of Proposition 218. Contractor’s comprehensive report shall document the activities undertaken as a part of the study, along with findings, conclusions, and recommendations to support the final propos ed wastewater rates. The initial draft written report shall be reviewed by the City and comments/corrections included within the draft final report.

Contractor shall develop a dr aft final report for the City to make publicly available during the Proposition 218 process for each utility. The report sha ll stay at a draft final level, given the study results are not final until the Propos ition 218 process is complete and the City Council adopts the final proposed rates. At the completion of the final rate hearing, and final City Co uncil direction on the proposed rates, Contractor shall develop a final report documenting the City Council discussion and direction. Draft, draft final, and final written reports shall be provided electronically.

Task 13A – Wastewater Utility Written Report
The written report for the wastewater utility shall be similar to the report prepared by Contractor for the most rec ent wastewater rate study completed for the City. An Engineer’s Report is not required under Proposition 218 proceedings for wastewater.

Task 13B – Stormwater Utility Written Report and Engineer’s Report The stormwater utility will require an Engineer’s Report. The Contractor shall prepare a written report similar to the report prepar ed for the wastewater utility to provide documentation of the activities and tec hnical analyses undertaken. In addition, the Contractor shall prepare an Engineer’s Report which contains, at a minimum, an explanation of the method of assessment, a description of the properties affected, and an assessment roll (Note: Due to the size of the assessment roll, it is often referenced in the report as being available at the City Clerk’s office).

Task 14 – Proposition 218 Assistance
Contractor shall assist the City in the development of Pr oposition 218 material and customer notification. Contractor shall work collaboratively with the City project team, and City Attorney’s department, to develop the initial Proposit ion 218 customer notification. Customer notification is one of the primary requirements of meeting the intent of Proposition 218. This notification must state the basis for the proposed rates, outline the overall proposed rates, and state the date and time of the public hearing.

The wastewater customer notification does not need to be parcel specific, while the stormwater customer notific ation does. For both utilities, the customer notification must be received by the customer at least 45 days prior to the noticed public hearing date and time.

EXHIBIT 1
Contract for WW & SW Rate Studies

9 (Rev. 10.30.18)

Task 15 – Proposition 218 Customer Notification Mailing and Balloting To adopt new wastewater and stormwater rates, the City will undertake a Proposition 218 process for each utility. Contractor understands the different Proposition 218 procedures or processes that shall be used for the wastewater utility and the stormwater utility. For that reason, this task is separated between the two utilities. In addition, based on the prior studies Contractor has completed for the City, this scope and fee have assumed that t he City will be responsible for printing, mailing and tabulation/ verification, while Contractor shall contribute content, as well as layout and preparation.

Task 15A – Wastewater Proposition 218 Noticing Services Noticing shall provide an opportunity for customers/property owners to provide a protest to the proposed rates/fees. For t he wastewater utility, the customer notification is not parcel s pecific under the requirement s of Proposition 218. Given that, the City’s billing records shall be the starting point of the customer mailing list.

Contractor shall work with the City and City legal counsel, in developing the mailing list for the wastewater Proposition 218 notification.

Task 15B – Stormwater Proposition 218 Balloting Services The Proposition 218 requirements for stormwater include balloting services for each parcel served by the City’s stormwater utility.

For this task, Contractor shall work collaboratively with City staff to develop the final customer notification mailing list for each utility based on guidance from the City Attorney’s department.

Task 16 – Public Outreach
The City has noted at least two public outr each meetings to provide information to the public on the study results and reco mmendations. Contractor shall design meaningful, focused, and equitable st akeholder and community engagement with the integration of tr aditional, social media, and on line meeting tools to expand coverage and engage under-served populations in the process. Materials shall be designed and translated in other languages, as appropriate, to make sure materials are culturally sensitive and appropriate for the target population in the project areas.

Contractor shall consistently communicate with project partners, stakeholders, and the public through email updates, webinar presentations and in-person briefings are critical to share the project’s progress, and to maintain project support.

Contractor Shall complete a stakeholder analysis. Contractor shall work with the City to map a variety of risk and stakeholder considerations including current and historical social, political and regulator y risks in the study area and past major development projects (positive or negativ e) as well as identification of key influencers/decision makers and addressing potential unique socioeconomic issues.

Findings from this assessment shall be used to develop a tailored and comprehensive Public Outreach Strategy. This roadmap shall include who will be EXHIBIT 1
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engaged, how they will be engaged, key messages, desired outcomes, strategies by audience, tools and materials, tactic al action steps, schedules, and success measurement methodology. The Public Outr each Strategy shall also incorporate targeted activities towards environmental justice populations and work with key community and civic organizations to reach those audiences.

TRADITIONAL TOOLS: Stakeholder Coordination
Stakeholder groups such as business or ganizations, residential associations, advocacy groups, faith-based or educational leaders shall be asked to partner with the City to help spread the word about th e rate study, provide information, and encourage them to engage their friends, colleagues, and nei ghbors. Initial communications with these groups will be conducted through one-on-one meetings, email correspondences or phone calls to discuss level of participation and coordination efforts as well as the appropr iate communication tools to reach the target audiences. These advocates/influen cer partners will act as a conduit to disseminate updates and key messaging to a wider audience than those included in the stakeholder database. Ex amples of coordination and communication activities that will occur through the rate study include:

• Preparation of electronic email newsletters
• Rate study promotion and updates (through organization publications and social media site such as posting and/or sharing)
• Addition of website link or graphic on organization websites • Presentations to estab lished organization members
• Distribution of informational ma terials to organization members

Public Open House Meetings (2)
In addition to stakeholder outreach, two P ublic Open House meetings shall be held to build awareness and garner feedback from the general public about the rate study.

Each open house shall be hoste d in the evening for the larger general public and include possible display boards, a presentation, and facilitated question and answer session. The public will be able to talk one-on-one with projec t team members, review information, and provide input via comment card submittal or verbally through the question and answer session. The meetings shall occur at critical milestones in the rate study process, but after each WAG meeting, and before each City Council meeting and hearing. The open houses shall cover the same topics as the WAG meetings, but will have a broad “bigger picture” perspective.

Online Public Open Houses (2)
Contractor shall take each of the in-person Public Open House meetings and create an Online Public Open House meeting to complement them. The online meeting shall house the same information; however, it offers the public a more convenient alternative to the traditional, one-time opportunity of attending the evening meeting.

This online environment shall be available for attendance 24/7 for up to four weeks and will allow the participants to view t he information and provide input from the EXHIBIT 1
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convenience of their personal mobile dev ice or computer. Information shall be displayed on the online meetings using such methods as video, online comment cards, voiceover, and presentations.

Informational Materials
Development of creative and concise informati onal materials will be critical to the effective education of the public about the rate study process and results. Materials include approved key messages and high-level graphics to make sure consistent and effective communication is delivered. Materials shall be posted on the website, distributed electronically via e- blasts, social media as well as mailed or passed out at meetings (Table 4-1).

TABLE 4‐1: Informational Materials
TOOL OBJECTIVE
TABLE 4- 1: INFORMATIONAL MATERIALS

TOOL OBJECTIVE
Fact Sheet (1) Visually provides overview of the rate study process, benefits and time-line
FAQ Document (1) Answers to frequently asked questions Postcards (1) Provides a quick update, but mostly acts as invitation to the in-person Public Open House
meetin
g
PowerPoint Presentations
(1)
For use at to the in-person Public Open House
meeting at both locations
Display Boards (up to 20) For use during to the in-person and online Public Open House meeting
Proposition 218 Newsletter
(1)
Provides notification to customers about the
proposed rates and reason for increase as well as
notice of public hearin
g date
Utility Bill Insert (up to 2) Provides notification to customers about the study rate process, pro-posed rates and reason for
increase
Proposition 218
Advertisement (1)
Created for the City to place in print and/or online
local news publications (i.e. The Stockton Record)
to publicize public hearin
g

Media Relations Support (Up to 3 News Releases)
As needed, Contractor shall provide the Cit y with media relations support to make sure key information related to the rate study and Proposition 218 noticing is released to the local media at key milestones. The media outlets that shall be included in the list range from major publications to community papers or newsletters, online outlets, as well as radio and television stations . Additionally, Contra ctor can prepare and disseminate news releases on behalf of the City as well as coordinate with local media outlets to manage the flow of information.

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To promote the kickoff of the rate study and first Public Open House meeting, creation of at least one news release shall be distributed. An additional news release shall be created and distributed appropriately to communicate the major milestones completed as well as promoting the second Public Open Houses meeting. A final news release shall be distributed 45 days prior to the public hearing to announce the proposed rates and publicize the Propositi on 218 public hearing. Media releases shall also be posted to the website.

ELECTRONIC TOOLS: Website Support (Up to 20 Updates)
Contractor shall work closel y with the City’s webmaster to make sure a rate study webpage is created and housed on the City’ s website. The webpage shall be updated regularly throughout the study and act as the main resource for information.

Updates shall occur at key milestones in the process and include an overview of the rate study process, alternatives, meet ing notices, schedule up dates, collateral materials, comment form and contact informa tion. Contractor shall provide the key information and graphics to the City webmaste r for upload to the site in a timely manner and recommend adding an RSS feed to the webpage so that when updates to the site occur, a notice is sent out to those who sign up to receive them.

Social Media Support (up to 10 posts)
The City’s existing Facebook and Twitter accounts will be anothe r excellent online tool to provide information to the public about the rate study process and results.

Contractor shall support the City to ut ilize these social media sites and post information as well as monitor and track comments, complaints, or questions and report back to the team as necessary.

Team Meetings (up to 6)
Contractor Public Involvement and Communications staff shall attend project team meetings and/or calls as necessary to make sure there is a proper understanding of technical issues, schedules, and upcoming activities that may impact the public. It is assumed that Contractor shall participate in up to six in-person or virtual meetings or calls throughout the course of the study.

Task 17 – Council Water Committee Presentation (#2)
Based on the public outreach and feedback re ceived from customers through the public outreach meetings, Contractor shall present the final results and recommendations of each study to the Council Water Committee. This meeting shall be designed and intended to gain the final policy direction and guidance for the study recommendations to the City Council.

Task 18 – City Council Presentations
The overall quality and value of a rate study is often measured by the quality of the public presentation process. In addition, the ability of the consultant to present this technical material in a manner that is easily understandable to the City Council is EXHIBIT 1
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paramount. For this study, the City has spec ified the need for up to two meetings with the City Council.

The first City Council meeting shall be to present the study results and recommendations and set the pub lic hearing date. Contract or shall provide a high- level summary of the study at this m eeting and present the proposed rates. The second meeting, the public hearing, shall be a presentation of the summary overview of the study and the proposed wastewater rates. Contra ctor shall be ready and available to answer questions from the Cit y Council. Contractor shall develop the presentation and handout materials for these public meetings in collaboration with City staff. Meetings in addition to the two public presentations/meetings noted above shall be provided on a time-and-materials basis.

Task 19 – Computer/Rate Model
As a part of this study, Cont ractor shall develop a wastew ater and stormwater rate model specific to the City. At the initial kick-off meeting, Contractor shall review with the City some of the key structural elements of the non-proprietary, Microsoft Excel- based model. At the conclusion of the study, Contractor shall provide a copy of the models developed as a part of this study . If requested, as an additional task, Contractor can develop a user manual for the rate models and provide a half-day of training to City staff on the use of the models.

4. Notices
Pursuant to Exhibit C – General Terms and Conditions, Paragraph 15 – Notices, the mailing address for all required notices is as follows:

Contractor: HDR Engineering City: City of Stockton
Attn: Olivier Terrien Attn: City Manager
6701 Koll Center Parkway 425 N. El Dorado Street
Suite 250 Stockton, CA 95202
Pleasanton, CA 94566

5. Key Personnel

Principal-in-Charge: Marco Padilla, PE, PMP
Project Manager: Shawn Koorn
Assistant Project Manager: Josiah Close
Quality Assurance/Control: Tom Gould
Senior Analyst: Kevin Lornetzen
Wastewater Engineers: Mike Falk, PE
Tom Hoffman, PE
Stormwater Engineers: Anal ette Ochoa, PE, QSD/P, ToR
Christine Boschen, QISP
Public Outreach: Lisa Marie Alley
Melissa Diamant
EXHIBIT 1
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Exhibit B:

Insurance Requirements for Professional Services

Consultant shall procure and maintain for the duration of the contra ct insurance against claims for injuries to persons or damages to property which may arise from or in connection with the performance of the work hereunder by the Consultant, its agents, representatives, or employees.

MINIMUM SCOPE AND LIMIT OF INSURANCE

Coverage shall be at least as broad as:

1. Commercial General Liability (CGL): Insurance Servi ces Office Form CG 00 01 covering CGL on an “occurren ce” basis, including products and completed operations, property damage, bodily injury and personal & advertising injury with limits no less than $2,000,000 per occurrence. If a general aggregat e limit applies, either the general aggregate limit shall apply separately to this project/location (ISO CG 25 03 or 25 04) or the general aggregate limit shall be twice the required occurrence limit.

2. Automobile Liability: Insurance Services Office Form Number CA 0001 covering, Code 1 (any auto), or if Consultant has no owned autos, Code 8 (hired) and 9 (non-owned), with limit no less than $1,000,000 per accident for bodily injury and property damage.

3. Workers’ Compensation insurance as required by th e State of California, with Statutory Limits, and Employer’s Liability Insurance with limit of no less than $1,000,000 per accident for bodily injury or disease.
(Not required if consultant provides written verification it has no employees)

4. Professional Liability/Errors and Omissions insurance approp riates to the Consultant’s profession, with limit no less than $1,000,000 per occurrence or claim, $1,000,000 aggregate.

If the Consultant maintains broader coverage and/or higher limits than the minimums shown above, the City of Stockton requires an d shall be entitled to the broader coverage and/or the higher limits maintained by the contractor. Any available insurance proceeds in excess of the specified minimum limits of insurance and coverage shall be available to the City of Stockton.

Other Insurance Provisions

The insurance policies are to contain, or be endorsed to contain, the following provisions:

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Additional Insured Status
The City of Stockton, its officers, officials, employees, and volunteers are to be covered as additional insureds on the CGL policy with respect to liability arising out of work or operations performed by or on behalf of th e Contractor including materials, parts, or equipment furnished in connection with such work or operations. General liability coverage can be provided in the form of an endorsement to the Contractor’s insurance (at least as broad as ISO Form CG 20 10 11 85 or if not available, through the addition of both CG 20 10, CG 20 26, CG 20 33, or CG 20 38; and CG 20 37 if a later editio n is used). Additional insured Name of Organization shall read “City of Stockton, its officers, officials, employees, and volunteers.” Policy shall cover City of Stockton, its officer s, officials, employees, and volunteers for all locations work is done under this contract.

Primary Coverage
For any claims related to this contract, the Contractor’s insurance coverage shall be primary and non-contributory and at least as broad as ISO CG 20 01 04 13 as respects the City of Stockton, its officers, officials, employees, and volunteers. Any insurance or self- insurance maintained by the City of Stockton, its officers, officials, employees, or volunteers shall be excess of the Contractor’s insuran ce and shall not contri bute with it. This requirement shall also apply to any Excess or Umbrella liability policies. The City of Stockton does not accept endorsements limiting the Contractor’s insu rance coverage to the sole negligence of the Named Insured.

Umbrella or Excess Policy
The Contractor may use Umbrella or Excess Policies to provide the liability limits as required in this agreement. This form of insurance will be acceptable provided that all of the Primary and Umbrella or Excess Policies shall provide all of the insurance coverages herein required, including, but not limited to, primary and non-contributory, additional insured, Self-Insured Retentions (SIRs), indemnity, and defense requirements. Th e Umbrella or Excess policies shall be provided on a true “fol lowing form” or broader coverage basis, with coverage at least as broad as provided on the underlying Commercial General Liability insurance. No insurance policies maintained by the Additional Insureds, wh ether primary or excess, and which also apply to a loss cove red hereunder, shall be called up on to contribute to a loss until the Contractor’s primary and excess liability policies are exhausted.

Notice of Cancellation
Each insurance policy required above shall provide that coverage shall not be canceled, except with notice to the City of Stockton.

Waiver of Subrogation
Contractor hereby grants to City of Stockton a waiver of any right to subrogation which any insurer of said Contractor may acquire against the City of Stockton by virtue of the payment of any loss under such insurance. Contractor agrees to obtain any endorsement that may be necessary to affect this waiver of subrog ation, but this provisio n applies regardless of EXHIBIT 1
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whether or not the City of Stockton has received a waiver of subrogation endorsement from the insurer.

Self-Insured Retentions
Self-insured retentions must be declared to and approved by the City of Stockton. The City of Stockton may require the Contractor to provide proof of ability to pay losses and related investigations, claim administration, and defense expenses within the retention. The policy language shall provide, or be endorsed to provide, that the self-insured retention may be satisfied by either the named insured or City of Stockton. Any and all deductibles and SIRs shall be the sole responsibility of Contractor or subcontractor who procured such insurance and shall not apply to the Inde mnified Additional Insured Part ies. City of Stockton may deduct from any amounts otherwise due Contra ctor to fund the SIR/deductible. Policies shall NOT contain any self-insur ed retention (SIR) provision th at limits the satisfaction of the SIR to the Named. The policy must also provide that Defense costs, including the Allocated Loss Adjustment Expenses, will satisf y the SIR or deductible. City of Stockton reserves the right to obtain a redacted copy of any po licies and endorsements for verification.

Acceptability of Insurers
Insurance is to be placed with insurers authorized to conduct business in the state with a current A.M. Best’s rating of no less than A:VII, unless otherwise acceptable to the City of Stockton.

Claims Made Policies
If any of the required policies provide claims-made coverage:

1. The Retroactive Date must be shown, and must be before the date of the contract or the beginning of contract work.

2. Insurance must be maintained and evidence of insurance must be provided for at least five (5) years after completion of the contract of work.

3. If coverage is canceled or non-renewed, and not replaced with another claims-made policy form with a Retroactive Date prior to the contract effective date, the Contractor must purchase “extended reportin g” coverage for a minimum of five (5) years after completion of work.

Verification of Coverage

Contractor shall furnish the City of Stockton with original certificates and amendatory endorsements or copies of th e applicable policy language e ffecting coverage required by this clause All certificates an d endorsements are to be recei ved and approved by the City of Stockton before work commences. However, failure to obtain the required documents EXHIBIT 1
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prior to the work beginning shall not waive the Contractor’s obligation to provide them. The City of Stockton reserves the right to require redacted copi es of all required insurance policies, including endorsements required by these specifications, at any time. City of Stockton reserves the right to modify these requirements, in cluding limits, based on the nature of the risk, prior expe rience, insurer, coverage, or other special circumstances, provided that any modification of these insurance requirements will require the approval of Contractor.

Subcontractors
Consultant shall require and verify that all subcontractors maintain insurance meeting all the requirements stated herein, and Contractor shall ensure th at City of Stockton is an additional insured on insurance required from subcontractors.

Duration of Coverage
CGL & Excess liability policies for any construction related work, including, but not limited to, maintenance, se rvice, or repair work , shall continue coverage for a minimum of 5 years for Completed Operations liability coverage. Such Insurance must be maintained and evidence of insurance must be provided for at least five (5) years after completion of the contract of work.

Special Risks or Circumstances
City of Stockton reserves the right to modify these requirements, including limits, based on the nature of the risk, prior experience, insurer, coverage, or other special circumstances, provided that any modification of these insurance requirements will require the approval of Contractor.

Certificate Holder Address

The address for mailing certificates, endorsements and notices shall be:

City of Stockton
Its Officers, Officials, Employees, and Volunteers
400 E Main Street, 3
rd Floor – HR
Stockton, CA 95202
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EXHIBIT C

GENERAL TERMS AND CONDITIONS

1. Goods, Equipment and Services. Subject to the terms and conditions set forth in this Agreement, Contractor shall provide to City the services described in Exhibit A of the Agreement. Contractor shall provide said serv ices at the time, place and in the manner specified in Exhibit A of the Agreement.

2. City Assistance, Facilities, Equipment and Clerical Support. Except as set forth in Exhibit A, Contractor shall, at its sole cost and expense, furnish and maintain all facilities and equipment that may be required for furnishing services pursuant to this Agreement. If applicable, City shall furnish to Contractor only the facilities and equipment listed in Exhibit A to the Agreement.

3. Compensation . City shall pay Contractor for se rvices rendered pursuant to this Agreement as described more particularly in Exhibit A and Exhibit E to the Agreement.

3.1 Invoices submitted by Contractor to City must contain a brief description of work performed, time spent and City reference number. Within thirty (30) days of receipt of Contractor’s invoice, City will review invoice, and if acceptable make payment on approved invoice.

3.2 Upon completion of work and acceptance by City, Contractor shall have sixty (60) days in which to submit final invoicing for payment. An extension may be granted by City upon receiving a written request thirty (30) days in advance of said time limitation. The City shall have no obligation or liability to pay any invoice for work performed which the Contractor fails or neglects to submit within sixty (60) days, or any extension thereof granted by the City, after the work is accepted by the City.

4. Sufficiency of Contractor’s Work . All Contractor services, work, and deliverables shall be performed in a prof essional manner with due diligenc e in accordance with the degree of skill normally exercised by similar contractors supplying services and work of a similar nature, and in conformance with applicable laws, codes and professional standards.

Contractor’s work shall be performed in accordance with the r equirements of this Agreement.

5. Ownership of Work . All reports, work product, all other documents completed or partially completed by Contra ctor or its approved subcontract ors, in performance of this Agreement, and if applicable, drawings, designs, and plan review comments shall become the property of the City. Any and all copyrightable subject matter in all materials is hereby assigned to the City and the Contractor and its approved subcontractors agree to execute any additional documents that may be necessary to evidence such assignment. Any modification or reuse of such materials for purposes other than those intended by this Agreement shall be at City’s sole rick and without liability to Contractor. All materials shall be delivered to the City upon completion or termination of the work under

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this Agreement. If any materials are lost, damaged or destroyed before final delivery to the City, the Contractor shall r eplace them at its own expense. Contractor and its approved subcontractors shall keep materials confidenti al. Materials shall not be used for purposes other than performance of serv ices under this Agreement and shall not be disclosed to anyone not connected with these services, unless the City provides prior written consent.

6. Timeliness. Time is of the essence in this Agreement. Further, Contractor acknowledges that the failure of Contractor to comply with the time limits described in Exhibit A and Exhibit F may result in economic or other losses to the City.

7. Changes. Both parties to this Agreement understand that it may become desirable or necessary during the term of this Agreem ent for City to modify the scope of services provided for under this Agreement. Any material extension or change in the scope of work shall be discussed with City and the change and cost shall be memorialized in a written amendment to the original contract prior to the performance of the additional work. Until the amendment is so executed, City will not be responsible to pay any charges Contractor may incur in performing such additional services, and Contractor shall not be required to perform any such additional services.

8. Amendment. No variation of the terms of this Agreement shall be valid unless an amendment is made in writing and signed by both parties.

9. Contractor’s Status.

9.1 In performing the obligations set fort h in this Agreement, Contractor shall have the status of an independent contractor and Contractor shall not be considered to be an employee of the City for any purpose. All per sons working for or under the direction of Contractor are its agents and employees and are not agents or employees of City.

Contractor by virtue of this Agreement, has no authority to bind or incur any obligation on behalf of City. Except as expressly provided in Exhibit A, Contractor has no authority or responsibility to exercise any rights or pow er vested in the City. No agent, officer or employee of the City is to be considered an employee of t he Contractor. It is understood by both Contractor and City that this Agreement shall not be construed or considered under any circumstances to create an employer-employee relationship or a joint venture.

9.2 Contractor shall dete rmine the method, details and means of performing the work and services to be provided by Contractor under this Agreement. Contractor shall be responsible to City only for t he requirements and results specif ied in this Agreement and, except as expressly provided in this Agreement, shall not be subjected to City's control with respect to the physical action or activities of Contractor in fulfillm ent of this Agreement.

Contractor has control over the manner and m eans of performing the services under this Agreement. If necessary, Contractor has the responsibility for employing other persons or firms to assist Contractor in fulfilling the terms and obligations under this Agreement.

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9.3 If in the performance of this Agreem ent any third persons are employed by Contractor, such persons shall be entirely and exclusively under the direction, supervision and control of Contractor. All terms of em ployment including hours, wages, working conditions, discipline, hiring and discharging or any other term of employment or requirements of law shall be determined by the Contractor.

9.4 It is further understood and agreed that Contractor must issue W-2 forms or other forms as required by law for income and employment tax purposes for all of Contractor's assigned personnel under the terms and conditions of this Agreement.

10. Subcontractor.

10.1 Subcontractors shall not be recognized as having any direct or contractual relationship with City. Contractor shall be responsible for the work of subcontractors, which shall be subject to the provisions of this Agreement. Subcontractors will be provided with a copy of the Agreement and be bound by its terms. Contractor is responsible to City for the acts and omissions of its subcontractors and per sons directly or indirectly employed by them.

10.2 If in the performance of this Agreement any thir d persons are employed by Contractor, such persons shall be enti rely and exclusively under the direction, supervision and control of Contractor. A ll terms of employment including hours, wages working conditions, discipline, hiri ng, and discharging or any other term of employment or requirement of law shall be determined by Contractor.

10.3 It is further understood and agreed that Contractor must issue W-2 forms or other forms as required by law for income and employment tax purposes for all of Contractor’s personnel.

11. Termination.

11.1 Termination for Convenience of City. The City may terminate this Agreement at any time by mailing a notic e in writing to Contractor. The Agreement shall then be deemed terminated, and no further work sha ll be performed by Contractor. If the Agreement is so terminated, the Contractor shall be paid for the work actually completed at the time the notice of termination is received.

11.2 Should either party default in the perfo rmance of this Agreement or materially breach any of its provisions, t he other party, at that party’ s option, may terminate this Agreement by giving written notification to the other part y as outlined in Exhibit D Section

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11.3 Funding- Non-Appropriation. It is mu tually understood between the Parties that payment to the Contractor for performance shall be dependent upon the availability of appropriations by the City Council for the purposes of this Agreement. No legal liability on the part of the City for any pay ment may arise under this Agreement until funds are made available and until the Contractor has received funding availability, which will be confirmed in writing. If funding for any fiscal year is reduced or deleted, or if the City loses funding for any reason, the City, in its sole discretion, shall have the opt ion to either (a) cause this Agreement to be canceled or terminated pur suant to applicable provisions of the Agreement; or (b) offer to amend the Agreement to reflect the reduced funding for this Agreement.

12. Non-Assignability . The Contractor shall not assi gn, sublet, or transfer this Agreement or any interest or obligation in the Agreement without the prior written consent of the City, and then only upon such terms and c onditions as City may set forth in writing.

Contractor shall be solely responsible for reimbursing subcontractors.

13. Indemnity and Hold Harmless. To the fullest extent pe rmitted by law, Contractor shall hold harmless, defend and indemnify Cit y of Stockton and its officers, officials, employees and volunteers from and against any and all liability, loss, damage, expense, costs (including without limitation costs and fees of litigation) of every nature to the extent arising out of or in connec tion with Contractor’s negligent performance of work hereunder or its failure to comply with any of its obligations contained in this agreement, except such loss or damage which was caused by the sole negligence, active negligence, or willful misconduct of the City of Stockt on. This obligation is independent of, and shall not in any way be limited by, the minimum insurance obligations contained in this agreement. These obligations shall survive the completion or termination of this agreement.

14. Insurance . During the term of this Agreement, Contractor shall maintain in full force and effect at its own cost and expense the insurance coverage as set forth in the attached Exhibit B to this Agreement and shall otherwise comply with the other provisions of Exhibit B to this Agreement.

15. Notices . All notices herein required shall be in writing and shall be sent by certified or registered mail, postage prepaid, addressed in Exhibit A to this Agreement.

16. Conformance to Applicable Laws . Contractor shall comply with all applicable Federal, State, and Municipal laws, rules, and ordinances. Contractor shall not discriminate in the employment of persons or in the provision of servic es under this Agreement on the basis of any legally protected classification, including race, color, national origin, ancestry, sex or religion of such person.

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17. Licenses, Certifications and Permits . Prior to the City’s execution of this Agreement and prior to the Cont ractor’s engaging in any operation or activity set forth in this Agreement, Contractor shall obtain a City of Stockton business license, which must be kept in effect during the term of this Agreement. Contractor covenants that it has obtained all certificates, licenses, permits and the like required to perform the services under this Agreement. Such licenses, certificates and pe rmits shall be maintained in full force and effect during the term of this Agreement.

18. Records and Audits . Contractor shall maintain all records regarding this Agreement and the services performed for a period of three (3 ) years from the date that final payment is made. At any time during normal business hours, the records shall be made available to the City to inspect and audit. To the extent Contractor renders services on a time and materials basis, Contractor shall maintain complete and accurate accounting records, in a form prescribed by City or, if not prescribed by City, in accordance with generally accepted accounting principles, such records to include, but not be limited to, payroll records, attendance cards, time sheets, and job summaries.

19. Confidentiality . Contractor shall exercise reas onable precautions to prevent the unauthorized disclosure and use of City reports, information or conclusions.

20. Conflicts of Interest. Contractor covenants that other than this Agreement, Contractor has no financial intere st with any official, employee or other representative of the City. Contractor and its pr incipals do not have any financial interest in real property, sources of income or invest ment that would be affected in any manner of degree by the performance of Contractor’s services under this Agreement. If such an interest arises, Contractor shall immediately notify the City.

21. Waiver . In the event either City or Contractor at any time waive any breach of this Agreement by the other, such waiver shall not constitute a waiver of any other or succeeding breach of this Agreement, whether of the same or of any other covenant, condition or obligation. No payment, partial payment, acceptance, or partial acceptance by City shall operate as a waiver on the part of City of any of its rights under this Agreement.

22. Governing Law . California law shall govern any legal action pursuant to this Agreement with venue for all claims in the Superior Court of the County of San Joaquin, Stockton Branch or, where applicable, in the Feder al District Court of California, Eastern District, Sacramento Division.

23. No Personal Liability . No official or employee of City shall be personally liable to Contractor in the event of any default or breach by the City or for any amount due Contractor.

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24. Severability. If any portion of this Agreement or application thereof to any person or circumstance shall be declared invalid by a court of competent jurisdiction or if it is found in contravention of any federal, state or city statue, or dinance or regulation the remaining provisions of this Agreement or the application thereof shall not be invalidated thereby and shall remain in full force and effect to the ext ent that the provisions of this Agreement are severable.

25. Non-Discrimination. During the performance of this Agreement, Contractor and its officers, employees, agents, representatives or subcontractors shall not unlawfully discriminate in violation of any federal, state, or local law, rule or regulation against any employee, applicant for employment or person receiving services under this Agreement because of race, religion, color, national origin, ancestry, ph ysical or mental disability, medical condition (including genetic characteristics), marital status, age, political affiliation, gender identity, gender expression, sex or sex ual orientation, fam ily and medical care leave, pregnancy leave, or disability leave. Contractor and its officers, employees, agents, representative or subcontractors shall comply with all app licable Federal, State and local laws and regulations related to non-discrimination and equal opportunity, including without limitation the City’s nondiscrim ination policy; the Fair Employment and Housing Act (Government Code sections 12990 (et seq.); California Labor Code sections 1101, 1102 and 1102.1; the Federal Civil Ri ghts Act of 1964 (P.L. 88-35 2), as amended; and all applicable regulations promulgated in the California Code of Regulation or Code of Federal Regulations. Title VI of the Civil Rights Act of 1964 requires that “no person in the United States shall, on the grounds of race, color, or national origin be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving federal financial assistance.” (42 USC Section 2000d). http://www.dol.gov/oasam/regs/statutes/titlevi.htm. The City requires compliance with the requirements of Title VI in all of its programs and activities regardless of funding source.

26. Force Majeure . Neither party shall be responsib le for delays or failures in performance resulting from acts of God, acts of civil or military authority, terrorism, fire, flood, strikes, war, epidemics, pandemics, quar antine restrictions, shortage of power or other acts or causes reasonably beyond the control of that party. The party experiencing the force majeure event agrees to give the other party notice promptly following the occurrence of a force majeure event, and to use diligent efforts to re-commence performance as promptly as commercially practicable.

27. Taxes and Charges. Contractor shall be responsible for payment of all taxes, fees, contributions or charges applicable to the conduct of the Contractor’s business.

28. Cumulative Rights. Any specific right or remedy provided in this Agreement will not be exclusive but will be cumulative of all other rights and remedies to which may be legally entitled.

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29. Advice of Attorney. Each party warrants and represent s that in executing this Agreement, it has received independent legal advice fr om its attorneys or the opportunity to seek such advice.

30. Heading Not Controlling. Headings used in this Agreement are for reference purposes only and shall not be considered in construing this Agreement.

31. Entire Agreement, Integration, and Modification.

31.1 This Agreement represents the entire integrated agreement between Contractor and the City; supersedes all prior negotiations, representations, or agreements, either written or oral between the parties and may be amended only by a written Amendment signed by the Contractor and City Manager.

31.2 All Exhibits to this Agreement and this Agreement ar e intended to be construed as a single document.

32. Counterparts. This Agreement may be executed in one or more counterparts, each of which shall be deemed an original. All counterparts shall be construed together and shall constitute one agreement.

33. Authority. The individual(s) executing this Ag reement represent and warrant that they have the legal capacity and authority to do so on behalf of their respective legal entities.

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EXHIBIT D

PROFESSIONAL SERVICES SPECIAL TERMS AND CONDITIONS

1. Definitions. The following words and phrases have the following meanings for purposes of this Agreement:

1.1 "Services" means, collectively, the services, duties and responsibilities described in Exhibit A of this Agreement and any and all work necessary to complete them or carry them out fu lly and to the standard of per formance required in this Agreement.

1.2 “Deliverable” means quantifiable goods or services that will be provided upon completion of a project. A deliverable is any tangible materi al, work or thing delivered by one party to the other, includi ng associated technical documentation. A deliverable can be tangible or intangible parts of the development process, and often are specified functions or characteristics of the project.

2. General. The following terms and conditions ar e applicable for the Professional Services only. The special conditions sh all be read in conjunc tion with the Standard Agreement, General Terms and Conditions (“GT C”) Exhibit C, and all other Exhibits identified in the Standard Agreement.

2.1 Where any portion of the GTC is in conflict to or at variance with any provisions of the Special C onditions of the Agreement, t hen unless a different intention stated, the provision(s) of t he Special Conditions of the Agreement shall be deemed to override the provision(s) of GTC only to the ext ent that such conflict or variations in the Special Conditions of the Agreement are not possible of being reconciled with the provisions of the GTC.

2.2 In the case of modification of a part or provision of the GTC, the unaltered part or provision, or both shall remain in effect. T he Special Conditions shall relate to a particular project and be peculiar to that proj ect but shall not weaken the character or intent of the GTC.

3. Time for Performance.

3.1 Contractor shall perform the services a ccording to the schedule contained in Exhibit F.

3.2 Timeliness of Perform ance i) Contractor shall provide the Services, and Deliverables within the term and within t he time limits required under this Agreement, pursuant to the provisions of Exhibit A and Exhibit F. ii) Neit her Contractor nor Contractor’s agents, employees nor subcontractors are entitled to any damages from the City, nor is any party entitled to be reimbursed by the City, for damages, charges or other losses or expenses incurred by Contractor by reason of delays or hindrances in the performance of the Services, whether or not caused by the City, provided that the parties EXHIBIT 1
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will negotiate an equitable adjustment to Contractor’s schedule and/or fee for any delays caused by the City or events or conditions that were bey ond Contractor’s reasonable control.

4. Standard of Performance.

In addition to Exhibit C, Section 4 and 17, Contractor agrees as follows:

4.1 Contractor’s Services shall be performed in accordance with generally accepted professional practices and principles and in a manner consistent with the level of care and skill ordinarily exercised by me mbers of Contractor’s profession currently practicing under similar conditions. Contractor shall comply with the profession’s standard of performance, applicable laws, regulations, and industry standards. By delivery of completed work, Contractor certifies that the work conforms to the requirements of this Agreement and all applicable feder al, state, and local laws. If Contractor is retained to perform services requiring a license, certification, registration or other similar requirement under California law, Contractor shall maintain that license, certification, registration, or other similar requirement throughout the term of this Agreement.

4.2 In the course of perfo rming its contractual obligations under this Agreement, Contractor acknowledges that it will receive, be entrusted with, or have access to valuable and confidential City information and records and will take all appropriate measures to ensure such information remains confidential except for disclosures which are required by law or with the prior written consent of the City. Contractor shall assure that all services that require the exercise of professional skills or judgment are accomplished by professionals qualified and co mpetent in the applicable discipline and appropriately licensed, if required by law. Contractor must provide c opies of any such licenses.

Contractor remains responsible for the professional and technical accuracy of all Services or Deliverables furnished, whether by Contract or or its subcontractors or others on its behalf. All Deliverables must be prepared in a form and content required by this Agreement and delivered in a timely manner consistent with the r equirements of this Agreement.

4.3 If Contractor fails to comply wit h the foregoing standards, Contractor must perform again, at its own expense, all Services required to be re-performed as a direct or indirect result of that failure. Any review, approval, acceptance, or payment for any of the Services by the City does not relieve Contract or of its responsibility for the professional skill and care and technical accuracy of its Serv ices and Deliverables. This provision in no way limits the City’s rights against Contractor either under this Agreement, at law or in equity.

5. Compensation.

5.1 In addition to Section 3 Compensation in Ex hibit C – GTC, the Contractor shall be compensated for the services provided under this Agreement as follows:

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5.1.1 Contractor shall be com pensated for services rendered and accepted under this Agreement and shall be paid monthly, in arrears on a not to exceed basis, based upon the rates set forth in Exhibit E attached hereto and made a part of this Agreement. Contractor may vary the compens ation for each task in Exhibit E provided that the total project compensation listed in Exhibit E and the Standard Agreement is not exceeded.

6. Personnel

6.1 None of the work or services co vered by this Agreement shall be subcontracted without the prior wr itten approval of the City. Any work or services subcontracted hereunder shall be specified by written agreement and shall be subject to each provision of this Agreement . Contractor shall provide s ubcontractor a copy of this fully executed Agreement.

6.2 Contractor agrees to assign only competent personnel according to the reasonable and customary standards of training and experience in the relevant field to perform services under this Agreement. Failure to assign such competent personnel shall constitute grounds for terminat ion of this Agreement. The payment made to Contractor pursuant to this Agreement shall be the full and complete compensation to which Contractor and Contractor’s officers, employees, agents, and subcontractors are entitled for performance of any work under this Agreem ent. Neither Contractor nor Contractor’s officers or employees are entitled to any sala ry or wages, or retirement, health, leave or other fringe benefits appl icable to employees of the Cit y. The City will not make any federal or state tax withholdings on behalf of Contractor. The City shall not be required to pay any workers' compensation insurance on behalf of Contractor. Contractor shall pay, when and as due, any and all taxes incurred as a result of Contra ctor’s compensation hereunder, including estimated taxes, and shall provide City with proof of such payments upon request.

6.3 Key Personnel: Because of the special skills required to satisfy the requirements of this Agreemen t, Contractor shall not reassign or replace key personnel without the written consent of the City, which consent the City will not unreasonably withhold. "key personnel" means those job titl es and the persons assigned to those positions in accordance with the provisions of this Agreem ent. The City may at any time in writing notify Contractor that the City will no longer accept performance of Services under this Agreement by one or more Key Personnel listed. Upon that notice Contractor shall immediately suspend the services of the key person or persons and must replace him or them in accordance wit h the terms of this Agreemen t. A list of key personnel is found in Exhibit A, Scope of Services.

7. Reports and Information.

Contractor shall at such times and in su ch forms as the City may require furnish the City such periodic reports as it may request pertaining to the work or services undertaken pursuant to this Agreement, the costs and obligations incurred or to be EXHIBIT 1
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incurred in connection therewit h, and any other matters are covered by this Agreement as specified in Exhibit A and Exhibit E.

8. Findings Confidential.

All the reports, information, data, et cetera, prepared or assembled by the Contractor under this Agreement are confidential and the Cont ractor agrees that they shall not be made available to any individual or organiza tion without the prior written approval of the City. Contractor shall not be required under the pr ovisions of this paragraph to keep confidential any data or info rmation which is or becomes publicly available, is required by applic able law or by proper legal or governmental authority, is already rightfully in the Contractor’s possession without obligation of confidentiality, is independently developed by Contractor outside the scope of this Agreement or is rightfully obtained from third parties. Contractor shall give City prompt notice of any such legal or governmental demand and reasonabl y cooperate with City in any effort to seek a protective order or otherwise to contest such required disclosure.

9. Copyright

No materials, including but not limited to reports, maps, or documents produced as a result of this Agreement, in whole or in part, shall be avail able to Contractor for copyright purposes. Any such materials produced as a result of this Agreement that might be subject to copyright shall be the property of the City and all such rights shall belong to the City, and the City shall be sole and exclusive entity who may exercise such rights.

10. Deliverables

Contractor shall prepare or provide to the City various Deliverables. "Deliverables" include work product, such as written re views, recommendations, reports and analyses, produced by Contractor for the City. The City may reject Deliverables that do not include relevant information or data, or do not include all documents or other materials specified in this Agreement or reasonably necessary for the purpose for which the City made this Agreement or for which the Cit y intends to use the Deliverables. If the City determines that Contractor has failed to comply with the foregoing standards, it has 30 days from the discovery to notify Contractor of its failure. If Contractor does not correct the failure, or if it is possible to do so, within 30 days after re ceipt of notice from the City specifying the failure, then the City, by written notice, may treat the failure as a default of this Agreement.

Partial or incomplete Deliverables may be accepted for review only when required for a specific and well-defined purpose and when consented to in advance by the City. Such Deliverables will not be considered as satisfying the requirements of this Agreement and partial or incomplete Deliverables in no way relieve Contractor of its commitments under this Agreement.

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11. Applicable Laws

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

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EXHIBIT E

COMPENSATION SCHEDULE

The Contractor shall be compensated for t he services identified in Exhibit A, Exhibit C, and Exhibit D to this Agreement as follows:

1. Project Price

1.1 The maximum the Contractor sha ll be paid on this Agreement is $334,995.00 (hereafter the “not to exceed” amount). The “not to exceed” amount includes all payments to be made pursuant to this Agreement , including City approved reimbursable expenses, if any. Nothing in this Agreement requires the City to pay for work that does not meet the Standard of Performance identified in Exhibit D section 4 or other requirements of this Agreement.

1.2 Standard Reimbursable Items : Only the reimbursabl e items identified in Exhibit A, C, and D (Compensation), sha ll be compensated to the Contractor.

Reimbursable expenses will be reimbursed wit hout markup. Fees plus reimbursable expenses shall not exceed the am ount set forth in section 1.1 of this Exhibit and a copy of the original invoice for the items listed in i, ii or iii below shall be attached to the invoice submitted to the City for reimbursement. Payments shall be based upon work documents submitted by the Contractor to the City and accepted by the City as being satisfactory to City’s needs. The City shall not pay a markup on any of the items list ed in i, ii or iii.

Additionally, items such a telephone, fax, postage or freight are al ready included in the billable hourly rate. Contractor shall be reimbursed the direct expenses, which are the actual cost of the following items that are reas onable, necessary and actually incurred, by the Contractor in connection with the services:

i. Expenses, fees or charges for printing, reproduction or binding of documents at actual costs with no markup added to the actual cost.

ii. Any filing fees, permit fees, or other fees paid or advanced by the Contractor at actual costs with no markup added to the actual cost.

iii. Travel expenses shall be reimbur sed in accordance with the City’s travel policy, which is incorporated herein by reference.

Reimbursement shall be made at actual costs with no markup added to the actual cost.

1.3 The Contractor shall be entitled to receive payments for its work performed pursuant to the Agreement. The City wil l pay Contractor based on invoices for acceptable work performed and appr oved until the “not to exceed” amount is reached.

Thereafter, Contractor must complete se rvices based on the Agreement without additional compensation unless there is a material change to the Statement of Work and Scope by a written Amendment.

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1.4 If work is completed before the “ not to exceed” amount is reached, the Contractor’s compensation will be based on t he Contractor’s invoices previously submitted for acceptable work performed and approved.

1.5 Subcontractor Costs: There ar e no subcontractors for this work.

2. Task Price. Below is the price for the services as described in Exhibit A of this Agreement.

Task Description Task Price
1 Pro ject Management $10,160
2 Initial Kick-Off Meetin g $7,330
3 Data Collection and Review $2,580
4 Review of the Cit y's Financial and Rate Policies $4,755 5 Baseline Revenue Requirement Anal ysis $22,470
6 Development of Alternative Revenue Requirements $16,750 Optional Task Stormwater Public Opinion Surve y 28,860
7 Water Advisor y Group Presentation #1 $4,580
8 Cost of Service Anal ysis $25,690
9 Rate Desi gn Analysis $12,340
10 Water Advisor y Group Presentation #2 $4,580
11 Development of the Final Draft Study
Recommendations
$9,290
12 Council Water Committee Presentation #1 $4,580
13 Written Documentation $22,000
14 Proposition 218 Assistance $15,140
15 Proposition 218 Customer Notification Mailin g $24,620 16 Public Outreach $76,040
17 Council Water Committee Presentation #2 $4,580
18 Cit y Council Presentations $9,160
19 Computer/Rate Models $5,160
TOTAL LABOR $310,665
EXPENSES $24,330
TOTAL PRICE $334,995

3. Hourly Rates. The following is a list of hourly billa ble rates that Contractor shall apply for additional services requested of the Contractor. Cont ractor shall be compensated based on the hourly rates set forth below, on a time and material basis for those services that are within the general scope of services of this Agreement, but beyond the description of services required under Exhibit A, and a ll services are reasonably necessary to complete the standards of per formance required by this Agreement. Any changes and related fees shall be mutually agreed upon between the parties by a written amendment to this Agreement.

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Hourly Billable Rate Schedule

Individual

Project Role
Hourly
Rates
Shawn Koorn Pro ject Manager $315
Josiah Close Assistant PM $185
Kevin Lorentzen Senior Financial Anal yst $245
Mike Falk Wastewater Senior En gineering Support $365
Tom Hoffman Wastewater En gineering Support $195
Analette Ochoa Stormwater En gineering Support $355
Christine Boschen Stormwater En gineering Support $170
Lisa Marie Alley Public Outreach Support $305
Melissa Diamant Public Outreach Support $285
Tom Gould QA/QC $295
Marco Palilla Pro ject Principal/Local Liaison $370
Others Pro ject Administrative/Clerical Support $130
The billing rates shown above cover payroll cost, employee benefits, and HDR overhead and profit.

In House Expenses Unit Price
Vehicle Mileage Current Federal Travel Regulation (FTR) Black/white Photocopies (per copy) $0.05 to $0.09
Color Copies (per copy) $0.15 to $0.30

Direct Expenses:

No markup on direct expenses. Direct expenses (e.g., airfare, hotel car rental, parking, mileage) will be billed at cost.

4. Invoice to Address. Each invoice submitted shall identify the specific task(s) listed in Exhibit A and this Exhibit, and the completed work product/deliverable for the agreed upon price listed in this Exhibit. Invoices shall be submitted to the below address:

City of Stockton Municipal Utilities Department
Attention: Program Manager III - Wastewater
2500 Navy Drive
Stockton, CA 95206
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EXHIBIT F

TIMELINE
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EXHIBIT G – DISCRIMINATION AND HARASSMENT POLICY (HR-15)

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REQ
UEST FOR PROPOSALS (RFP) PUR 23-027

WASTEWATER AND STORMWATER COST OF

SERVICE RATE STUDY
PROPOSALS WILL BE RECEIVED UNTIL THE HOUR OF 2:00 PM, THURSDAY, APRIL 27, 2023, IN THE OFFICE OF THE CITY CLERK, FIRST FLOOR, CITY HALL, 425 NORTH EL DORADO STREET, STOCKTON, CALIFORNIA 95202-1997

EXHIBIT H

REQUEST FOR PROPOSAL DOCUMENTS
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REQUEST FOR PROPOSALS (RFP)
Wastewater and Stormwater Cost of Service Rate Study Services *Dates and Times are Subject to Change*

RFP INFORMATION
PUR-23-027
Contact LYNN SMITH
Email Address [email protected]
Pre-Submittal Meeting There is no Pre-Submittal Meeting.

MANDATORY/OPTIONAL
Site Tour
There is no Site Tour.

RFP Submittal
Mailing, Delivery Address
and Electronic Mail
Office of the City Clerk
425 North El Dorado Street, First Floor
Stockton, CA, 95202-1997
[email protected] (if applicable)
Due Date for Questions
and Clarifications
April 6, 2023; 5:00 PM (Local Time)
Due Date for Response to
Questions/Clarifications
April 13, 2023: 5:00 PM (Local Time)
RFP Submittal Due Date
& Time
April 27, 2023; 2:00 PM (Local Time)

Please note that some overnight delivery services
do not deliver directly to the City Clerk's Office. This could result in the proposal arriving in the City
Clerk's Office after the proposal opening deadline
and therefore not being accepted.

Short-List Interviews (if
applicable)
Anticipated to be the week of May 8, 2023

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NOTICE INVITING PROPOSALS

NOTICE IS HEREBY GIVEN that sealed proposals will be received no later than Thursday, April 27, 2023 at 2:00 pm (local time) by the City of Stockton, California for Wastewater and Stormwater Cost of Service Rate Study Services – PUR 23-027 in strict accordance with the specifications.

The City of Stockton, herein after referred to as the “City”, is requesting proposals from firms or individuals, herein after referred to as “Proponent” to provide a comprehensive cost of service rate study to the City. The City is seeking a Request for Proposal (RFP) from qualified firms interested in presenting their qualifications, capabilities, approach, and bid for providing a wastewater and stormwater cost of service rate study for the Municipal Utilities Department.

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

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

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

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

EL

IZA GARZA, CMC, CITY CLERK

CITY OF STOCKTON

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Contents

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

2.0 SCOPE OF SERVICES .......................................................................................................................... 3

3.0 PROJECT SCHEDULE OF EVENTS ........................................................................................................ 3

4.0 SUBMITTAL REQUIREMENTS ............................................................................................................. 5

4.1 P ROPOSAL GUIDELINES, CONTENT AND FORMAT ........................................................................ 5

4.2 COVER LETTER ............................................................................................................................... 6

4.3 REFERENCES .................................................................................................................................. 6

4.4 FINANCIAL STATEMENT ................................................................................................................ 7

4.5 CORPORATE STRUCTURE, ORGANIZATION ................................................................................... 7

4.6 PROPOSAL FEE .............................................................................................................................. 7

5.0 SELECTION CRITERIA & EVALUATION................................................................................................ 7

6.0 CITY REQUIREMENTS ........................................................................................................................ 8

6.1 CITY RESPONSIBILITIES .................................................................................................................. 8

6.2 LOCAL BUSINESS PREFERENCE ...................................................................................................... 8

6.3 MANDATORY/OPTIONAL PRE-SUBMITTAL MEETING ................................................................... 8

6.4 TERM ............................................................................................................................................. 8

6.5 OTHER GOVERNMENT AGENCIES ................................................................................................. 8

6.6 INSURANCE REQUIREMENTS ........................................................................................................ 9

6.7 APPLICABLE LAW ........................................................................................................................... 9

6.8 METHOD OF PAYMENT ................................................................................................................. 9

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

6.10 C
ONFIDENTIALITY........................................................................................................................ 10

6.11 PROTEST POLICY .......................................................................................................................... 10

6.11.A Protest Procedure ............................................................................................................... 10

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

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

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

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

7.3 RIGHT TO CHANGE OR AMEND REQUEST ................................................................................... 12

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

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

7.6 ADDENDA AND INTERPRETATION ............................................................................................... 13 EXHIBIT 1
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7 .7 DISQUALIFICATION...................................................................................................................... 13

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

7.9 LICENSING REQUIREMENTS ........................................................................................................ 14

7.10 INDEMNITY AND HOLD HARMLESS ............................................................................................. 14

7.11 COMPETITIVE PRICING ................................................................................................................ 14

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

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

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

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

7.16 AWARD ........................................................................................................................................ 15

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

8.0 PROPOSAL EXHIBITS ....................................................................................................................... 9-1

8.1 Exhibit 1 – Insurance Limits ....................................................................................................... 9-1

8.2 Exhibit 2 – Sample Contract ....................................................................................................... 9-1

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1.0 BACKGROUND/SUMMARY
The City of Stockton (City) is a charter city incorporated in 1850 and located in California’s San Joaquin Valley. The City is the county seat of San Joaquin County and is 78 miles east of the San Francisco Bay Area, 337 miles north of Los Angeles and 40 miles south of Sacramento. The County is bound by Sacramento County to the north and by Stanislaus County to the south. Approximately 310,000 residents live in Stockton.

The Stockton Municipal Utilities Department (MUD) manages, operates, and maintains three (3) utility enterprises: Water, Wastewater, and Stormwater. The Wastewater and Stormwater Enterprises are the subject of this Request for Proposals (RFP).

The Wastewater Enterprise generally includes the regional wastewater collection system and the treatment and disposal facilities located at the Stockton Regional Wastewater Control Facility (RWCF).

The RWCF is permitted to collect, treat, and discharge up to 55 million gallons per day (mgd) of wastewater. The collection system conveys all wastewater for the service area to the Stockton RWCF through approximately 1,484 miles of sanitary pipelines. Wastewater generally flows by gravity (east to west) to the sewer pump stations located throughout the City where it is then pumped to the RWCF.

There are 35 sanitary pumping stations operating in the collection system. Wastewater is treated at the Stockton RWCF and discharged into the San Joaquin River. The RWCF currently processes wastewater in three steps: primary, secondary, and tertiary (advanc ed) which are required to meet environmental standards. Construction is nearing completion for the construction of the RWCF treatment processes as part of the RWCF Modifications project; scheduled to be completed by June 2024 in order to comply with new effluent limitations in the NPDES Permit.

The City established the Stormwater Utility in 1991 to provide a source of funding for stormwater management and adopted an interim stormwater rate in 1992. This rate was not developed nor intended to fund costs fo r the entire stormwater program. In 1993, the City of Stockton and the County of San Joaquin entered into an agreement to become co -permittees to administer the Stormwater National Pollutant Discharge Elimination (NPDES) Permit. The agreements are update d every five years with the issuance of new Stormwater Permits from the California Regional Water Quality Control Board, Central Valley Region. The storm drain system conveys stormwater through approximately 685 miles of stormwater pipelines, 76 pump stations, and more than 100 discharge pipes to our local rivers, creeks, and sloughs.

There is an urgent need to complete these rate studies in an expedited manner. The proposal should account for a proposed completion date of May 2024 for both studies and any potential ballot procedure.

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1.1 EXISTING RATE AND FEE STRUCTURE
Wastewater
The sewer rate structure is based on a user classification system consisting of four categories: residential, commercial, institutional, and industrial. The following are the current rates effective July 1, 2023:

Present Residential Wastewater Rates
City: Contract User, City Billed & Maintained
Single Family $55.68
Multi-Family $52.45
Apartments $47.57
Contract Users; County District Billing
Single Family $50.77
Multi-Family $47.05
Apartments $41.75

Present Commercial & Institutional Wastewater Rates
City: Contract User; City Billed & Maintained $26.83
Volumetric Charge
Low Strength ($/hcf) $2.22
Medium Strength ($/hcf) $2.70
High Strength ($/hcf) $4.54
Schools/Churches ($/hcf) $1.30
Contract Users; City Billed, County Maintained $23.56
Volumetric Charge
Low Strength ($/hcf) $2.22
Medium Strength ($/hcf) $2.70
High Strength ($/hcf) $4.54
Schools/Churches ($/hcf) $1.30

Present Industrial Wastewater Rates
Monthly Flat Rate Charge Per Customer $26.83
Volumetric Charge Capacity
Volume ($/MG/mo) $864.80
BOD ($/1,000 lbs/mo) $140.13
TSS ($/1,000 lbs/mo) $102.88
Annual Operations & Maintenance
Volume ($/MG/mo) $748.52
BOD ($/1,000 lbs/mo) $52.14
TSS ($/1,000 lbs/mo) $83.45
Stormwater
The rate structure is based on an estimated impervious area concept, where the impervious areas of a parcel are those that are covered by hard surfacing such as pavement and asphalt, as well as buildings and roofs. The concept employs the premise EXHIBIT 1
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at those who contribute more runoff to the system should pay more for the service the utility provides.

With the impervious area method, stormwater rates are calculated based on an equivalent residential unit (ERU), which is the base unit of measure in the stormwater rate structure.

The billing rate for all residential units is equal to the calculated charge for one ERU. For non-residential land uses, the spe cific charges vary. The billed amount is determined by multiplying the gross parcel size by a density of development factor. That result is then divided by the area of one ERU (2,347 ft2) and multiplied by the charge for a single ERU to determine the bill for that parcel.

The density of development factor is the average percent impervious coverage for parcels in a given class. These classes and their corresponding density of development factors include:

Commercial – 90%; Institutional – 62%; and Industrial – 79%.

2.0 SCOPE OF SERVICES
The work product must include wastewater and stormwater cost of service rate study, rate models, and Proposition 218 services for the evaluation of rate impacts from future efforts such as wastewater treatment alternatives, environmental compliance, or other legislative mandates imposed by regulatory agencies. The professional consulting firm shall conduct, but not be limited to performing the following services:

A. Evaluation of the City’s current policies, goals, and objectives of the utilities and development of a “baseline scenario” which will serve as the standard for measuring/evaluating the changes from alternative rate structures, including any changes that will result in typical monthly billings to customers.

B. Meeting(s) with City staff for determination of required data collection and analysis.

C. Evaluation of current rate classes, rate structure and assessment of appropriateness, and examination of potential alternatives.

D. Determination of a monthly service charge that fully supports operations an d maintenance, replacement, capital improvements, and potential debt service costs.

E. Review of projected maintenance repair or replacement costs of wastewater and stormwater utility assets, which will be built into the rate analysis.

F. Supply a project sc hedule for developing the recommended rate structure with identifiable deliverables including any preliminary and final reports.

G. Provide an easy-to-use electronic rate model in MS Excel that will be used to evaluate alternative scenarios.

H. Prepare any and all necessary reports required by law or otherwise (including but not limited to requirements set forth in California Government Code Section 66001) for the adoption of a recommended rate structure.

I. Provide a comparative rate analysis to at least ten (10) other comparable communities in the Northern California, particularly the Northern San Joaquin Valley.

J.

Meet or confer with staff and other consultants as needed and attend all public meetings, hearings and/or work sessions with the City Council and/or its Committees to present EXHIBIT 1
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terim and final recommendations in an effort to obtain input. The following are the expected meetings:

1. Two (2) Public Outreach

2. Two (2) Water Advisory Group

3. Two (2) Council Water Committee

4. Two (2) City Council

5. Three (3) City Staff

6. Four (4) webinar/conference calls (minimum)

2.1 Wastewater
A. Prepare a wastewater cost of service rate study including evaluation of funding options for wastewater utility maintenance and improvements over the next 10 to 20 years, and any requirements of the current wastewater NPDES.

B. Preparation of a comprehensive final report of the rate study which represents the current rate information and recommended rates over the next 1 to 5 years, with methodology and supporting analysis, connection f ees and rate comparisons, with consideration and recommendations for the 5 to 20-year time frame. The report shall be signed by a professional engineer certified by the State of California.

C. Incorporate Long Range Financial Plan for funding future capital improvements, including the 2022 Wastewater Master Plan and the Capital Improvement and Energy Management Plan for the wastewater fund to the cost of the service rate study.

D. Assist with public outreach; make outreach recommendations and schedule, including press releases and other media strategies for educating impacted property owners.

E. Conduct and coordinate all required mailings and fee notifications to all affected property owners impacted by the proposed changes to the rate structure and/or billing and facilitate handling of and tabulations of protests.

F. Provide additional assistance as it pertains to any applicable requirements set forth in Proposition 218.

G. Prepare Proposition 218 notifications and presentation materials for public hearings.

H. Any other related services not included, or specifically identified herein.

2.2 Stormwater
A. Development of a revenue sufficiency forecast for the stormwater enterprise fund, which will take into account current and projected expenditures, capital improvements including recommendations in the 2023 Stormwater Master Plan, requirements for compliance with the NPDES permit, and reserve requirements for managing the City o f Stockton Stormwater Management Program.

B. Obtain assessor data and other real property information required for preparation of benefit analysis, cost estimates, method of apportionment and other property related fee and engineering elements required for the required Engineer’s Report.

C. Prepare preliminary Engineer’s Report in accordance with requirements of Proposition 218.

D. Assist with the preparation and review of resolutions for the ballot proceeding to increase the stormwater fee, including preliminary approval of Engineer’s Report and all property related fee ballot proceeding requirements.

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E. D
evelop and implement outreach strategy to educate impacted property owners. This may include developing and implementing polling prior to balloting.

F. Design, print and mail all property related fee notices and ballots in accordance with the requirements of Proposition 218.

G. Facilitate mailing, return and tabulation of ballots.

H. Prepare required resolutions and materials needed for the final confirmation of the ballot results and stormwater fee.

I. Assist with public hearings.

2.3 Study Considerations
For each utility:

A. The recommended rate structure shall be consistent with industry practice for utility rates in California and comply with all government codes and regulations.

B. Meet or confer with City staff to discuss any findings, recommendations and potential legal concerns set forth by Proposition 218.

C. The recommended rate structure shall be based on actual cost of service and shall be sufficient to meet the revenue requirements of the utility including the capital costs and ongoing operations and maintenance costs for 10 years
D. The recommended rate structure shall be easy to administer and understand and take into consideration the City of Stockton’s billing system capabilities.

E. The recommended rate structure shall take into consideration the City’s existing and proposed reserve fund policies.

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

4.0 SUBMITTAL REQUIREMENTS

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

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

B. The Proponents are encouraged to expand on the Scope of Work to demonstrate their expertise. Evaluation of the proposals will be based on qualifications, the experience of staff proposed to be assigned to the project, references, and thoroughness of the Proponent’s response to the Scope of Services.

C. Such additional information that the Proponent may feel would be pertinent to assist the City of Stockton in making its final decision.

D. Please submit one (1) original and four (4) copies of your proposal/qualifications.

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mailed electronically to [email protected]. The original should be unbound to allow us to reproduce your proposal, as needed.

E. The proposal shall not exceed 10 pages on double sided paper using a minimum text font size of 10. The cover letter, table of contents, executive summary, project team resumes, Financial Statement and Non-Collusion Affidavit are not counted in the page limitation. Company brochures shall not be included in the proposal.

F. The proposal must be submitted, typewritten on 8½” X 11” white paper and must be bound in a secure manner.

G. Material and data not specifically requested for consideration, but which the Proponent wishes to submit must not appear with the Proposal but may appear only in an “Additional Data” section. This has specific reference to the following types of data:

Generalized narrative of supplementary information; and Supplementary graphic material.

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

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

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

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

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

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

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

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

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

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D
. Project Budget
E. Date of Completion of the Project

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

Proponent shall submit a full and detailed presentation of the true condition of the P roponent’s assets, liabilities and net worth. The report should include a balance sheet and income statement.

If the P roponent is a new partnership or joint venture, individual financial statements must be submitted for each general partner or joint venture thereof. If firm is a publicly held corporation, the most current annual report should be submitted.

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

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

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

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

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

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

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

Proposals shall be evaluated according to; demonstrated understanding of tasks required, technical approach to specified operations, qualifications of staff, experience of company, demonstrated EXHIBIT 1
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nowledge of best practices for identified scope , financial business strength and fee schedule proposal.

Proper format and demonstrated experience will merit consideration.

To that end, the Panel will evaluate the proposals based on, but not limited to, the following criteria:

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

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

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

4. Proponent’s Covenant;

5. Non-Collusion Affidavit;

6. References;

7. Submitted and signed Addendums;

8. Financials Review;

9. Interview/Presentation, if applicable; and

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

6.0 CITY REQUIREMENTS

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

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

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

Preference shall be given to the purchase of supplies, materials, equipment, and contractual services from local merchants, quality and price being equal. Local merchants who have a physical business location within the boundaries of San Joaquin County, and who have applied for and paid a business license tax and registration fee pursuant to Stockton Municipal Code Title 5, Chapter

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

6.3 MANDATORY/OPTIONAL PRE-SUBMITTAL MEETING
There is no Pre-Submittal meeting for this project.

6.4 TERM
The City intends to establish a two (2) year contract.

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inal term of contract will be negotiated with awarded proponent.

6.5 OTHER GOVERNMENT AGENCIES
If mutually agreeable to all parties, the use of any resultant contract/purchase order may be extended to other political subdivisions, municipalities, or tax supported agencies.

Such participating governmental bodies shall make purchases in their own name, make payment directly to successful Proponent and be liable directly to the successful Proponent, holding the City of Stockton harmless.

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

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

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

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

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

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

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

6.8 METHOD OF PAYMENT
Payment will be made within thirty (30) days after invoices are received and accepted by the City. Invoices are to be rendered monthly, unless prescribed differently per contract.

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

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

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

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

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

6.11.A Protest Procedure

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

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

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

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

6.11.5 Protests must be filed with the City's Chief Financial Officer, or designee, at the address listed in the Solicitation Protest FAQ sheet and Procurement Procedure EXHIBIT 1
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anual, not later than five (5) days after the date the City mails the Letter of Intent to Award.

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

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

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

6.11.B Protest Review

6.11.1 The Chief Financial Officer or designee shall respond in writing at least generally to each material issue raised in the protest.

6.11.2 The Chief Financial Officer's, or designee 's, administrative decision may be appealed in writing to the City Manager no later than (5) business days after the date the Chief Financial Officer's, or designee's, the decision is mailed to the protesting party.

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

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

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

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

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

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

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

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7.0 GENERAL REQUIREMENTS, TERMS & CONDITIONS

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

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

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

D. Statistical information contained in these documents is for informational purposes only.

The City shall not be responsible for the accuracy of said data. City reserves the right to increase or decrease the project scope.

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

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

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

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

7.3 RIGHT TO CHANGE OR AMEND REQUEST
The City reserves the right to change the terms and conditions of this RFP. The City will notify potential Proponent of any material changes by posting on the City’s website. No one is authorized to amend any of the RFP requirements in any respect, by an oral statement, or to make any representation or interpretation in conflict with its provisions. If necessary, supplementary information and/or clarifications/questions/answers will be posted on the City’s website at www.stocktonca.gov/mudbid. F
ailure of any Proponent to not have received such information and/or clarifications/questions/answers shall not relieve such Proponent from any obligation under his/her proposal as submitted.

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

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

7.5 EXAMINATION OF PROPOSAL MATERIALS
The submission of a proposal shall be deemed a representation and warranty by the Proponent that it has investigated all aspects of the RFP, that it is aware of the applicable facts pertaining to the RFP process and its procedures and requirements, and that it has read and understands the RFP. No request for modification of the provisions of the proposal shall be considered after its submission on the grounds the P roponent was not fully informed as to any fact or condition.

Statistical information which may be contained in the Solicitation or any addendum is for informational purposes only. The City disclaims any responsibility for this information which may subsequently be determined to be incomplete or inaccurate.

7.6 ADDENDA AND INTERPRETATION
The City will not be responsible for, nor be bound by, any oral instructions, interpretations, or explanations issued by the City or its representatives. Any request for clarifications, questions, or answers of this RFP shall be made in writing/e-mail and deliverable to:

CITY OF STOCKTON
ATTN: LYNN SMITH

PROCUREMENT DIVISION
400 E MAIN, 3RD FLOOR
STOCKTON, CA 95202
[email protected]

Such request for clarifications/questions/answers shall be delivered to the City in accordance with the date identified on page i of this Solicitation . Any City response to a request for clarifications/questions/answers will be posted on the City’s website at www.stocktonca.gov/mudbid the date identified on page i of this Solicitation , and will become a part of the Solicitatio n. The P roponent should await responses to inquiries prior to submitting a proposal. .

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

3.68.120 of the Municipal Code.

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

If Proponent's supplier(s) and/or subcontractor's involvement requires the use of a licensed, patented, or proprietary process, the proponent of the process is responsible for assuring that the subcontractor, supplier, and/or operator have been properly authorized to use the process or for providing another process which is comparable to that which is required prior to submission of a proposal.

7.9 LICENSING REQUIREMENTS
Any professional certifications or licenses that may be required to perform the scope of work will be the sole cost and responsibility of the successful Proponent.

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

7.10 INDEMNITY AND HOLD HARMLESS
To the fullest extent permitted by law, Contractor shall hold harmless, defend and indemnify City of Stockton and its officers, officials, employees and volunteers from and against any and all liability, loss, damage, expense, costs (including without limitation costs and fees of litigation) of every nature arising out of or in connection with Contractor’s performance of work hereunder or its failure to comply with any of its obligations contained in the agreeme nt, except such loss or damage which was caused by the sole negligence or willful misconduct of the City of Stockton.

This obligation is independent of, and shall not in any way be limited by, the minimum Insurance obligations contained in this agreement. These obligations shall survive the completion or termination of this agreement.

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

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

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

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

7.15 CHANGES
The City’s Representative has the authority to review and recommend or reject change orders and cost proposals submitted by the P roponent or as recommended by the Proponent’s project manager, pursuant to the adopted City of Stockton Standard Specifications.

7.16 AWARD
Upon conclusion of the Solicitation process, the City may award a contract may for services identified in the Solicitation. The City reserves the right to select the successful Proponent and to negotiate terms of a contract with the Proponent whose proposal is most responsive to the needs of the City. Further, the City reserves the right to reject any and all proposals, or alternate proposals, or waive any informality in the proposal as is in the City's best interest.

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8.0 PROPOSAL DOCUMENTS

Wastewater and Stormwater Cost of Service Rate Study Services PUR-23-027
SUBMITTAL DUE: THURSDAY, APRIL 27, 2023 AT 2:00 PM
RFP Submittal
Mailing, Delivery Address
and Electronic Mail
Office of the City Clerk
425 North El Dorado Street, First Floor
Stockton, CA, 95202-1997
[email protected] (if applicable)

Proponent Business Name
Proponent Contact Name
Proponent Address
Proponent Phone Number
Proponent Email Address
Department of Industrial
Relations ID Number (if
applicable)

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ATTACHMENT A – PROJECT SUBMITTAL CHECKLIST
THIS CHECKLIST IS FOR PROVIDED FOR YOUR CONVENIENCE ONLY. IT IS NOT REQUIRED TO BE SUBMITTED WITH PROPOENT PROPOSAL.
 Complete the following proposal attachments (FROM THIS PACKET ONLY SUBMIT PAGES FROM SECTION 8 AND PLACE IN THE FRONT OF YOUR PROPOSAL).
 Sign and notarize by jurat certificate the "Non-Collusion Affidavit" form. An "All-Purpose Acknowledgment" form will not be sufficient.
 Complete and sign a "Proponent's Fee Schedule" form, (under separate cover).  Sign the "Proponent’s Covenant" form. Include (with proposal) name and e-mail address for City contact, if different from signatoree.
 Include your proposal, as outlined in these specifications.  Submit one (1) ORIGINAL (unbound, no staples) and FOUR (4) COPIES of all proposal documents.

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

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

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

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

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

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

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

FIRM

ADDRESS

SIGNED BY & DATE

TITLE OR AGENCY

PHONE/FAX NUMBER

EMAIL

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ATTACHMENT C - NON-COLLUSION AFFIDAVIT
No. 1 AFFIDAVIT FOR INDIVIDUAL PROPONENT
STATE OF ____________, ) ss.

County of )
(insert)
being first duly sworn, deposes and says: That on behalf of any person not named herein; that said Proponent has not colluded, conspired, connived or agreed, directly or indirectly with, or induced or solicited any other bid or person, firm or corporation to put in a sham bid, or that such other person, firm or corporation shall or should refrain from bidding; and has not in any manner sought by collusion to secure to themselves any advantage over or against the City, or any person interested in said improvement, or over any other Proponent.

(Signature Individual Proponent)
Subscribed and sworn to (or affirmed) before me on this day of , 20 by , proved to me on the basis of satisfactory evidence to be the person(s) who appeared before me.

Seal __________________________________________
Signature ____________________________

No. 2 AFFIDAVIT FOR CORPORATION PROPONENT
STATE OF ____________, )ss.

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

(Signature Corporation Proponent)
Subscribed and sworn to (or affirmed) before me on this day of , 20 by ______, proved to me on the basis of satisfactory evidence to be the person(s) who appeared before me.

Seal _____________________________
Signature ____________________________

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

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

(Signature)

(Signature)
Subscribed and sworn to (or affirmed) before me on this day of , 20 by , proved to me on the basis of satisfactory evidence to be the person(s) who appeared before me.

Seal
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9.0 PROPOSAL EXHIBITS

9.1 Exhibit 1 – Insurance Requirements
The Risk Services Division develops insurance requirements for all contracts for the City of Stockton. The Division also reviews and approves all bonds and evidence of insurance, including Certificates of Insurance and endorsements for all contracts. Examples include:
• Contracts - Constructions, Professional Services, Supplier, Lease • Permits - Encroachment, Revocable, Street Closures, Block Parties • Bonds - Performance, Maintenance, Labor and Materials • Community Services – Special Events
This project is subject to Insurance Requirements for Wastewater and Stormwater Cost of Service Rate Study Services

9.2 Exhibit 2 – Sample Contract
A ny major provision changes to the sample contract should be submitted by the Proponent along with the proposal response.

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