American Canyon City Council
November 19, 2024

Traditional Teleconferencing Rules
The Brown Act’s traditional teleconferencing rules remain in effect, and are still an option.

The traditional (pre-COVID) Brown Act teleconferencing rules for public meetings requires: (1) at least a quorum to meet physically in-person within the City’s boundaries; (2) that location available to public to physically attend; (3) and that any member who participates remotely must have the address of their remote location listed on the Agenda and allow in-person public access at that remote location.

Because the traditional rules require listing any member’s remote location on the agenda and making it available to the public, it is not well equipped for unexpected events arising after the agenda is posted that may necessitate a member’s remote attendance.

Requirements and Limits of AB 2449
As stated above, AB 2449 marks a partial move back towards the traditional teleconferencing rules, while still giving a degree of flexibility for remote attendance. AB 2449 adds new teleconferencing procedures that do not require a state of emergency. (Government Code Section 54953(f)).
1 AB 2449 requires at least a quorum of members to participate in person from a single, publicly available location that is identified on the meeting agenda. (Section 54953(f)(1)). A member may no longer participate from a remote location within the City and cannot count as a part of the quorum.

If the physical quorum requirement is met, AB 2449 permits any absent member to attend virtually under two situations: (1) for “just cause;” and, (2) due to "emergency circumstances."

1. Virtual Attendance for “Just Cause”
Grounds for “Just Cause” - AB 2449 lists specific grounds that are considered “just cause.” • There is a childcare or caregiving need (for a child, parent, grandparent, grandchild, sibling, spouse, or domestic partner) that requires the member to participate remotely;
• A contagious illness prevents the member from attending in person; 1 Unless otherwise noted, all section references are to the Government Code. 225
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• There is a need related to a defined physical or mental disability that is not otherwise accommodated for; or
• Traveling while on official City business or for another state or local agency. (Section 54953(j)(2)).

Notification - For “just cause” remote attendance, a member must (1) notify the legislative/advisory body at the earliest opportunity of the need for remote participation, and (2) provide a general description of the circumstances justifying their virtual attendance. (Section 54953(f)(2)(A)(i)). This notification can be made as late as the start of a regular meeting. (Id.) No Vote or Approval Necessary – The legislative/advisory body does not need to vote on or approve a notification for “just cause” remote attendance. The member’s remote attendance, however, should be noted on the record and in the Meeting Minutes.

Limited to two (2) Annual Uses - A member can only utilize the “just cause” authorization twice per calendar year. (Section 54953(f)(2)(A)(i)).

2. Virtual Attendance Due to “Emergency Circumstances”
“Emergency Circumstance” Defined - AB 2449 defines “emergency circumstances” as “a physical or family medical emergency that prevents a member from attending the meeting in person.” (Section 54953(j)(1)).

Timing and Procedure: Unlike remote attendance for “just cause,” remote attendance due to “emergency circumstances” is not granted as a matter of course – instead it requires the remote member to submit a request and that a vote be conducted by the legislative/advisory body to approve or deny the request. That vote should be conducted at the start of the meeting. (Section 54953(f)(2)(A)(ii).

The member must further provide a general description of the emergency circumstance justifying such attendance. (Section 54953(f)(2)(A)(ii)). However, the member is not required to disclose any medical diagnosis, disability, or personal medical information. (Section 54953 (f)(2)(A)(ii)).

The request to participate remotely must be made “as soon as possible.” (Section 54953(f)(2)(A)(ii)(I)). However, if the request does not allow enough time for it to be placed on the agenda, the legislative body may still take action on the request. (Section 54954.2(b)(4)). If the legislative body votes not to accept the member’s basis for virtual attendance, then that member may only participate as a general member of the public and cannot vote on any agenda item. 226
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3. Additional Requirements for Remote Participation under AB 2449 In addition to requiring justification as either “just cause” or an “emergency circumstance” for remote appearance, AB 2449 imposes the following additional requirements:
• Quorum: As stated above, at least a quorum must participate from the same physical location that is available to the public.
• Noted for the Record: The request for remote attendance should be stated on the record at the beginning of each public meeting. Staff should keep a record of how many times each member has appeared remotely and the grounds for appearing remotely.
• Disclosure of other Individuals Present: Before any action is taken during the meeting, the remote member must publicly disclose whether any other individuals 18 years of age or older are present in the room at the remote location with the member, and describe the general nature of the member’s relationship with any such individuals.
• Audio AND Visual Required: The member participating remotely must participate through both audio and visual technology. That is, appearance by telephone without video is not authorized, and a member should not turn off their camera during the meeting.
• Limited Number of Uses: Each member’s total remote participation cannot be for more than three (3) consecutive months, nor 20 percent of the regular meetings within a calendar year. For legislative bodies that have less than 10 regular meetings in a calendar year, a member cannot participate remotely for more than two (2) meetings.
• Each Meeting Treated Separately: A notification (for just cause grounds) or request (for emergency grounds) is required for each meeting a member remotely attends.

That is, a single notification/request cannot be made for multiple meeting dates. • No Resolution Required. Unlike AB 361, which required monthly Resolutions of the City Council, AB 2449 contains no such requirement. (See, Section 54953(f))
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4. Technological Requirements and Agenda Posting
AB 2449 requires that the public have audio and visual access to the meeting. This can be accomplished either by a two-way audiovisual program (such as Zoom) or a two-way telephonic service combined with live webcasting (for example, members of the public calling a conference line for audio participation while accessing the live video feed on YouTube). That is, the public must be able to remotely hear, observe, and address the legislative body in real time during the meeting. (Section 54953(f)(1)(A).

Importantly, when AB 2449 is being utilized, in the event that the City experiences a disruption in streaming the meeting (such as a power or internet outage), then no action may be taken on any agenda item until the public’s access has been restored. For this reason, having alternative/redundant methods of access may be beneficial to avoid the need to halt a meeting. As mentioned above, this could be accomplished by Zoom, while also having a phone line paired with a live video feed on YouTube or a local public television station as a backup option.2 As with all public meetings, the City must timely post the agenda and issue all necessary meeting notices. Such materials should indicate how the public may access the meeting and how public comment may be given. (Section 54953(f)(1)(B)).

Under AB 2449, the agenda does not need to be posted at all teleconferencing locations (54953(f)(1)), only the physical location at which a quorum of the legislative body will conduct the meeting needs to be made available to the public. (Id). The agenda and advisory meeting notices do not need to list the individual locations of the members who are participating remotely, and those locations do not need to be made open to the public. For example, if a member participates remotely from their home or any other remote location, then their address does not need to be disclosed, nor does their location need to be made open to the public.

Conclusion
AB 2449’s procedures represent a partial shift back toward the more restrictive, preCOVID teleconferencing procedures, but nonetheless allow some flexibility for members to attend remotely on a case-by-case basis.
2 We are informed that, like many agencies, the City will continue to allow the public to access meetings by Zoom, even when all members of a body are present. Even in scenarios where AB 2449 is not being used (i.e., all members are physically present at the meeting location) it is still advisable to have redundant/backup means of access, in case Zoom connectivity is lost.
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We will continue to monitor updates to AB 2449 as well as practical “best practice” that evolve as public agencies familiarize themselves with the new procedures.

In the meantime, please contact our office if you have any questions.

WDR/DPS
229
AB 2449 – Teleconferencing Requirements
NOTE: The traditional Brown Act Teleconference option is still in place for an advanced publicly noticed teleconference location which is accessible to the public. Please see Brown Act Teleconference Options Memo for more information.

AB 2449 provides these additional options:
“Just Cause” “Emergency Circumstances”
Timing and Procedure
The member notifiesthe legislative body at the earliest opportunity possible (can be as late asthe start of a regular meeting) of their need to participate remotely for “just cause,” including a general description of the
circumstances justifyingtheir need to appear remotely.

Qualifying Reason
“Just cause” means any of the following:
• A childcare or caregiving need of a child, parent,
grandparent, grandchild, sibling, spouse, or
domestic partner that requires them to participate
remotely
• A contagious illness that prevents a member from
attending in person
• A need related to a physical or mental disability
not otherwise accommodatedfor
• Travel while on official business of the legislative
body or another state or local agency
Note: A member is limited to two virtual attendances
based on “just cause” per calendar year.

Timing and Procedure
The memberrequeststhe legislative body as soon as
possible to allow them to participate in the meeting
remotely due to “emergency circumstances” and provides
a general description of the circumstances justifying their need to appear remotely.
and
The legislative body takes action to approve the request. If the request does not allow sufficient time to place
proposed action on such a request on the posted agenda
for the meeting for which the request is made, the
legislative body may take action at the beginning of the meeting in accordance with existing Brown Act provisions to add an item to the agenda.

Qualifying Reason
“Emergency circumstances” means a physical or family
medical emergency that prevents a member from
attending in person(does not require disclosure of any
medical diagnosis or disability, or any personal medical information that is already exempt under existing law).

Note: The member must make a separate request for each
meeting in which they seek to participate remotely.

Other Requirements
Under either “just cause” or “emergency circumstances”:
• The member must publicly disclose at the meeting, before any action is taken, whether any other individuals 18 years of age or older are present in the room at the remote location with the member, and the general nature of the member’s relationship with any such individual(s).
• The member must participate throughboth audio and visualtechnology (cannot turn off camera). • Teleconferencing by a member may not be for a period of o more than three consecutive months or 20 percent of the regular meetings for the local agency within a calendar year, or
o more than two meetingsif the legislative body regularly meets fewer than 10 times per calendar year • The public must be able to participate remotely through either:
o A two-way audiovisual platform (defined to mean an online platform that provides participants with the ability to participate in a meeting via both an interactive video conference and a two-way telephonic function); and/or
o A two-way telephonic service and a live webcasting of the meeting (defined to mean a telephone service that does not require internet access, is not provided as part of a two-way audiovisual platform, and allows participants to dial a telephone number to listen and verbally participate. • All votes must be by roll call.
230

APPENDIX D - PUBLIC RECORDS ACT
231
THE PEOPLE’S BUSINESS:

A Guide to the California Public Records Act
232

ACKNOWLEDGEMENTS
AUTHORS OF THE PEOPLE’S BUSINESS
The League gratefully acknowledges the work of the Public Records Act Publication Committee, which authored this guide. Each member devoted countless hours to this project, and the League sincerely thanks each of them.

The League also thanks the following individuals for their assistance in reviewing and commenting on drafts of this publication: Amy Albano, City Attorney, Thousand Oaks; Jason Alcala, Assistant City Attorney, Livermore; Michael Jenkins, City Attorney, Diamond Bar, Hermosa Beach, Rolling Hills, and West Hollywood; Randi Johl, City Clerk, Lodi; Michelle Marchetta Kenyon, City Attorney, Calistoga, Rohnert Park, and Moraga; Colleen Nicol, City Clerk, Riverside; Lisa Pope, City Clerk, Malibu; Shalice Reynoso, City Clerk, Buena Park; and Brian Weinberger, Consultant, Senate Local Government Committee.

In addition, the League thanks the law firms of Greines, Martin, Stein, & Richland and Best Best & Krieger for their help with final edits, and a special thanks to Cindy Cekander of Best Best & Krieger for her invaluable assistance.

LEAGUE STAFF
Patrick Whitnell
General Counsel
Kourtney Burdick
Deputy General Counsel
Rhonda Boglin
Legal Assistant
Gregory P. Priamos, Chair
City Attorney, Riverside
Timothy T. Coates
Greines, Martin, Stein, & Richland, LLP
Eric W. Danly
City Attorney, Cloverdale and Petaluma
Meyers Nave
Roxanne M. Diaz
City Attorney, Hidden Hills
Richards, Watson & Gershon
Shawn D. Hagerty
City Attorney, Santee
Best Best & Krieger
Jolie Houston
City Attorney, Los Altos
Berliner Cohen
Craig Labadie
City Attorney, Concord
Juli Christine Scott
Chief Assistant City Attorney, Burbank
Kristina R. Scott
Deputy City Attorney, Los Angeles
Eileen M. Teichert
City Attorney, Sacramento
Paul H. Zarefsky
Deputy City Attorney, San Francisco
233
I
THE PEOPLE’S BUSINESS:

A GUIDE TO THE PUBLIC RECORDS ACT
CH. 1: INTRODUCTION AND OVERVIEW
CH. 2: THE BASICS
CH. 3: RESPONDING TO A PUBLIC

RECORDS REQUEST
CH. 4: EXEMPTIONS
CH. 5: JUDICIAL REVIEW AND REMEDIES
CH. 6: RECORDS MANAGEMENT
234
THE PEOPLE’S BUSINESS:

A GUIDE TO THE CALIFORNIA PUBLIC RECORDS ACT
Copyright © 2008
League of California Cities
All rights reserved. This publication, or parts thereof, may not be reproduced in any form without the permission of the League of California Cities.

II 235

TABLE OF CONTENTS
FOREWORD: ............................................................................................................................................. iv CHAPTER 1: INTRODUCTION AND OVERVIEW
Fundamental Right of Access to Information..........................................................................................2 Fundamental Right of Privacy and Need for Efficient and Effective Government.................................3 Achieving Balance ....................................................................................................................................3 Proposition 59...........................................................................................................................................3 Beyond the Law........................................................................................................................................4 CHAPTER 2: THE BASICS
Agencies Covered ....................................................................................................................................6 What Are Public Records?........................................................................................................................6 Who Can Request Records? ....................................................................................................................7 CHAPTER 3: RESPONDING TO A PUBLIC RECORDS REQUEST
Types of Requests...................................................................................................................................10 Form of the Request...............................................................................................................................11 Content of the Request ..........................................................................................................................11 The Duty to Respond..............................................................................................................................11 Timing of the Response..........................................................................................................................11 Extending the Response Time................................................................................................................11 Assisting the Requester .........................................................................................................................12 Locating Records ....................................................................................................................................12 Redacting Records..................................................................................................................................13 Types of Responses................................................................................................................................13 Waiver .....................................................................................................................................................13 No Duty to Create a Record or to Create a Privilege Log .....................................................................13 Timing of Disclosure ...............................................................................................................................13 Fees.........................................................................................................................................................14 CHAPTER 4: EXEMPTIONS
Overview of Exemptions ........................................................................................................................18 Specific Exemptions ...............................................................................................................................19 Architectural and Official Building Plans .......................................................................................19 Attorney Client Communications and Attorney Work Product ....................................................19 Code Enforcement Records...........................................................................................................20 Drafts...............................................................................................................................................20 Election Information .......................................................................................................................21 Identity of Informants.....................................................................................................................21 Law Enforcement Records.............................................................................................................22 Library Circulation Records............................................................................................................25 Licensee Financial Information......................................................................................................25 Medical Privacy Laws.....................................................................................................................25 Official Information Privilege..........................................................................................................27 Pending Litigation or Claims ..........................................................................................................28 Personal Contact Information........................................................................................................29 Personnel Records .........................................................................................................................29 Public Contracting Documents......................................................................................................31 Real Estate Appraisals and Engineering Evaluations....................................................................32 Recipients of Public Services.........................................................................................................32 Taxpayer Information .....................................................................................................................33 Trade Secrets and Other Proprietary Information.........................................................................33 Utility Customer Information..........................................................................................................33 Public Interest Exemption ......................................................................................................................34 Effect of Proposition 59 on Exemptions ................................................................................................35 CHAPTER 5: JUDICIAL REVIEW AND REMEDIES
Overview .................................................................................................................................................44 The Trial Court Process and Decision ....................................................................................................44 Appellate Review....................................................................................................................................45 Attorney Fees and Costs........................................................................................................................46 CHAPTER 6: RECORDS MANAGEMENT
Public Meeting Records .........................................................................................................................50 Electronic Records..................................................................................................................................51 Electronic Discovery...............................................................................................................................52 Records Retention and Destruction Laws.............................................................................................52 APPENDIX: Frequently Requested Information and Records ...............................................................55 236

FOREWORD
The goal of this publication is to provide a comprehensive overview of the California Public Records Act for local government officials and employees, the public and the news media. This guide offers practical advice to assist local agencies in complying with the requirements of the Act and other related state laws. The guide is focused on settled law and is not intended to resolve emerging and unresolved legal issues.

The League thanks the following organizations representing diverse views and constituencies that reviewed, or were given the opportunity to review, this publication:

This publication is current as of March, 2008. Updates to the publication responding to changes in the Public Records Act and related laws including court interpretations are available at www.cacities.org/opengov.

As used in this guide, “local agency” means all public agencies to which the Public Records Act applies. This publication is not intended to provide legal advice. A local agency’s legal counsel is responsible for advising its governing body and staff, and should always be consulted when legal issues arise.

Additional copies of this publication as well as an individual table of “Frequently Requested Information and Records” may be purchased by visiting CityBooks online at www.cacities.org/store.

Association of California Water Agencies
California Association of Sanitation Agencies
California Attorney General’s Office
California Common Cause
California District Attorneys Association
California First Amendment Coalition
California Newspaper Publishers Association
California Redevelopment Association
California School Boards Association
California Special Districts Association
California State Association of Counties
Californians Aware
City Clerks Association of California
Community College League of California
First Amendment Project
League of Women Voters of California
IV 237

FUNDAMENTAL RIGHT OF ACCESS

TO INFORMATION

FUNDAMENTAL RIGHT OF PRIVACY

AND NEED FOR EFFICIENT AND

EFFECTIVE GOVERNMENT

ACHIEVING BALANCE
PROPOSITION 59

BEYOND THE LAW
CHAPTER 1:

INTRODUCTION AND OVERVIEW
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2 THE PEOPLE’S BUSINESS Q Chapter 1: Introduction and Overview

Q FUNDAMENTAL RIGHT OF ACCESS TO INFORMATION
The California Public Records Act1 (the “Act”) is an indispensable component of California’s commitment to open government. The purpose of the Act is to give the public access to information that enables them to monitor the functioning of their government.2 The Act’s fundamental precept is that
governmental records shall be disclosed to the public, upon request, unless there is a legal basis not to do so.

The Act provides for two types of access. One is a right to inspect public records:
“Public records are open to inspection at all times during the office hours of the state or local agency and every person has a right to inspect any public record, except as hereafter provided.”3 The other is a right to prompt availability of copies of those records:
“Except with respect to public records exempt from disclosure by express provisions of law, each state or local agency, upon a request for a copy of records that reasonably describes an identifiable record or records, shall make the records promptly available to any person upon payment of fees covering direct costs of duplication, or a statutory fee if applicable. Upon request, an exact copy shall be provided unless impracticable to do so.”4 These rights of access are by no means unlimited and do not extend to records that are exempt from disclosure. In fact, the Act was the culmination of a 15-year effort by the Legislature to create a comprehensive general records law that attempted to accumulate all the exemptions in one location.

Previously, one was required to look at the law governing the specific type of record in question in order to determine its disclosability. The Act now expressly states or references other laws that are the sources of legal authority permitting records to be withheld.5
Practice Tip:

Express legal authority
is required to justify
denial of access
to public records.

The perception that
disclosure of a record
could lead to potential
embarrassment of the
local agency, alone, is
not a legal basis for
denying access.
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THE PEOPLE’S BUSINESS Q Chapter 1: Introduction and Overview 3

Q FUNDAMENTAL RIGHT OF PRIVACY AND NEED FOR

EFFICIENT AND EFFECTIVE GOVERNMENT
Two recurring interests underlie many of the exemptions from disclosure. First, many exemptions under the Act are based on protecting an individual’s fundamental right to privacy and permit withholding of, for example, certain personnel or medical records.6
If personal information is required from a person
(for example, a government employee or appointee, or an applicant for government employment/ appointment, as a precondition for the employment or appointment), a court would likely recognize a privacy interest in such information.7
However, if information is provided voluntarily in order to acquire a benefit, the information relates to serious wrongdoing, or the information is associated with an applicant’s qualifications, a court is less likely to recognize a privacy right.8 Second, a number of exemptions are based on the government’s need to perform its assigned functions in a reasonably efficient and effective manner, such as maintaining confidentiality of investigative records, official information, pending litigation records, and preliminary drafts. In addition, a record may be withheld whenever the public interest in nondisclosure clearly outweighs the public interest in disclosure.9 The
deliberative process privilege combines these two interests in affording a measure of privacy to decision makers and concurrently aiding in the efficiency and effectiveness of government.10

Q ACHIEVING BALANCE
In enacting the California Public Records Act, the Legislature struck a balance between two competing, fundamental
interests. The legislative findings declare that access to information concerning the conduct of the people’s business is a fundamental and necessary right for every person in the state and that the Legislature is “mindful of the right of individuals to privacy.”11 The Act balances these competing interests by preserving an “island of privacy upon the broad sea of enforced disclosure.”12 For the past forty years, courts have also balanced these competing interests in deciding whether to order disclosure of records.13 In administering the provisions of the Act, agencies must often balance the right of public access against the right of privacy and the need for governmental efficiency and effectiveness.

Q PROPOSITION 59
In November 2004, the voters approved Proposition 59, amending the California Constitution to include the public’s right to access public records. “The people have the right of access to information concerning the conduct of the people’s business, and, therefore, the meetings of public bodies and the writings of public officials and agencies shall be open to public scrutiny.”14 Proposition 59 expressly states that “[t]his subdivision does not repeal or nullify, expressly or by implication, any constitutional or statutory exception to the right of access to public records…that is in effect on the effective date of this subdivision, including, but not limited to, any statute protecting the confidentiality of law enforcement and prosecution records.”15 The courts have not yet squarely ruled whether Proposition 59 provides the public with a greater right of access than is provided under the Act. 240
4 THE PEOPLE’S BUSINESS Q Chapter 1: Introduction and Overview

Q BEYOND THE LAW
The Act itself provides that “except as otherwise prohibited by law, a state or local agency may adopt requirements for itself that allow for faster, more efficient, or greater access to records than prescribed by the minimum standards set forth in this chapter.”16 A number of local agencies have gone beyond the mandates of the Act by adopting their own “sunshine ordinances” to afford greater public access.

To encourage local agencies’ compliance, the Act provides for a mandatory award of court costs and attorney’s fees to a prevailing plaintiff. A plaintiff need not obtain all of the requested records in order to be the prevailing party in litigation. A plaintiff is also considered the prevailing party if the lawsuit ultimately motivated the agency to provide the requested records.17
This publication is intended to help local agencies navigate the Act, comply with the spirit and intent of the Act, and interpret the Act in furtherance of open government. This publication is further intended to help members of the public understand their rights of access to public information, as well as the limitations on those rights.

Endnotes
1 Gov. Code, §§ 6250 et seq. All code references are to the California Code unless otherwise indicated. 2 U.S. Dept. of Justice v. Reporters Com. for Freedom of Press (1989) 489 U.S. 749; CBS, Inc. v. Block (1986) 42 Cal.3d 646; Times Mirror Co. v. Superior Court (1991) 53 Cal.3d 1325. 3 Gov. Code, § 6253, subd. (a).
4 Gov. Code, § 6253, subd. (b).
5 Gov. Code, §§ 6254, subd. (k), 6276.02 et seq.
6 Cal. Const., art. I, § 1; Gov. Code, §§ 6254, subd. (c), 6254, subd. (k), 6255; New York Times Co. v. Superior Court (1990) 218 Cal.App.3d 1579.
7 San Gabriel Tribune v. Superior Court (1983) 143 Cal.App.3d 762; Braun v. City of Taft (1984) 154 Cal.App.3d 332; Wilson v. Superior Court (1996) 51 Cal.App.4th 1136; Cal. First Amend. Coalition v. Superior Court (1998) 67 Cal.

App.4th 159; Eskaton Monterey Hospital v. Myers (1982) 134 Cal.App.3d 788. 8 Calif. State Univ., Fresno Assn. v. Superior Court (2001) 90 Cal.App.4th 810; San Gabriel Tribune v. Superior Court (1983) 143 Cal.App.3d 762; Register Div. Freedom Newspaper, Inc. v. County of Orange (1984) 158 Cal.App.3d 893; CBS, Inc. v. Block (1986) 42 Cal.3d 646; Eskaton Monterey Hospital v. Myers (1982) 134 Cal.App.3d 788; BRV, Inc. v.

Superior Court (2006) 143 Cal.App.4th 742.
9 Gov. Code, § 6255.
10 See “Deliberative Process Privilege,” p. 35.
11 Gov. Code, § 6250; Cal. Const., art. I, § 3, subd. (b)(3). 12 Black Panther Party v. Kehoe (1974) 42 Cal.App.3d 645. 13 Times Mirror Co. v. Superior Court (1991) 53 Cal.3d 1325; Wilson v. Superior Court (1996) 51 Cal.App.4th 1136; American Academy of Pediatrics v. Lungren (1997) 16 Cal.4th 307; Britt v. Superior Court (1978) 20 Cal.3d 844. 14 Cal. Const., art. I, § 3, subd. (b)(1).
15 Cal. Const., art. I, § 3, subd. (b)(5).
16 Gov. Code, § 6253, subd. (e).
17 Roberts v. City of Palmdale (1993) 19 Cal.App.4th 469; Belth v. Garamendi (1991) 232 Cal.App.3d 896. 241
CHAPTER 2:

THE BASICS

AGENCIES COVERED
WHAT ARE PUBLIC RECORDS?
WHO CAN REQUEST RECORDS?
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6 THE PEOPLE’S BUSINESS Q Chapter 2: The Basics

Q AGENCIES COVERED
The Act applies to state and local agencies. For purposes of the Act, a state agency is defined to mean “every state office, officer, department, division, bureau, board and commission or other state body or agency.”1
A local agency includes a county, city (whether general law or chartered), city and county, school district, municipal corporation, special district, community college district or political subdivision.2 This
encompasses any committees, boards, commissions or departments of those entities as well. Nonprofit entities that are legislative bodies under the Brown Act are also subject to the Act. Private nonprofit entities that are delegated legal authority to carry out public functions are also subject to the Act if they are funded with public money.3
The Act does not apply to the Legislature or the judicial branch.4 The Legislative Open Records Act covers the Legislature.5
Most court records are disclosable as
a matter of public right of access to courts under the First Amendment of the United States Constitution.6
Q WHAT ARE PUBLIC RECORDS?
The Act defines “public records” as “any writing containing information relating to the conduct of the public’s business prepared, owned, used, or retained by any state or local agency regardless of physical form or characteristics.”7 A writing is defined as “any handwriting, typewriting, printing, photostating, photographing, photocopying, transmitting by electronic mail or facsimile, and every other means of recording upon any tangible thing any form of communication or representation, including letters, words, pictures, sounds, or symbols, or combinations thereof, and any record thereby created, regardless of the manner in which the record has been stored.”8 The definition of a public record is quite broad and is intended to encompass much more than written or printed documents. A public record is subject to disclosure under the Act “regardless of its physical form or characteristics.”9
For example, email messages and other electronic information are public records if they otherwise meet the statutory definition.
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THE PEOPLE’S BUSINESS Q Chapter 2: The Basics 7
Over the years the courts have both broadened and limited the scope of the definition of a “public record.” First, it is clear that the term “public records” encompasses more than simply those documents that public officials are required by law to keep as official records. Courts have held that a public record is one that is “necessary or convenient to the discharge of [an] official duty” such as a status memorandum provided to the City Manager on a pending project.10 Second, courts have observed that merely because the writing is in the possession of the local agency, it is not automatically a public record. It must relate to the conduct of the public’s business.11 For example, records containing purely personal information unrelated to the conduct of the people’s business, such as an employee’s personal address list or grocery list, are considered outside the scope of the Act.12
Q WHO CAN REQUEST RECORDS?
All “persons” have the right to inspect and copy disclosable public records. A “person” need not be a resident of California or a citizen of the United States to make use of the Act.13 “Persons” include corporations, partnerships, limited liability companies, firms or associations.14 Often requesters include persons who have filed claims or lawsuits against the government, or who are investigating the possibility of doing so, or who just want to know what their government officials are up to. Local agencies and their officials are entitled to access public records on the same basis as any other person.15 Further, local agency officials may access public records of their own agency that are otherwise exempt when authorized to do so as part of their official duties.16 With certain exceptions, neither the media nor a person who is the subject of a public record has any greater right of access to public records than any other person.17 244
8 THE PEOPLE’S BUSINESS Q Chapter 2: The Basics
Endnotes
1 Gov. Code, § 6252, subd. (f). Excluded from the definition of state agency are those agencies provided for in article IV (except section 20(k)) and article VI of the Cal. Constitution. 2 Gov. Code, § 6252, subd. (a).
3 Gov. Code, § 6252, subd. (a), 85 Ops.Cal.Atty.Gen. 55 (2002). 4 Gov. Code, § 6252, subds. (a), (b); Mack v. State Bar of Cal. (2001) 92 Cal.App.4th 957. 5 Gov. Code, § 1070
6 Pantos v. City and County of San Francisco (1984) 151 Cal.App.3d 258; Champion v. Superior Court (1988) 201 Cal.

App.3d 777
7 Gov. Code, § 6252, subd. (e).
8 Gov. Code, § 6252, subd. (g).
9 Gov. Code, § 6252, subd. (e).
10 Braun v. City of Taft (1984) 154 Cal.App.3d 332; San Gabriel Tribune v. Superior Court (1983) 143 Cal.App.3d 762. 11 Gov. Code, § 6252, subd. (e); Braun v. City of Taft (1984) 154 Cal.App.3d 332; San Gabriel Tribune v. Superior Court (1983) 143 Cal.App.3d 762.
12 San Gabriel Tribune v. Superior Court (1983) 143 Cal.App.3d 762. 13 Gov. Code, § 6252, subd. (c); Connell v. Superior Court (1997) 56 Cal.App.4th 601. 14 Gov. Code, § 6252, subd. (c).
15 Gov. Code, § 6252.5; Los Angeles Unified School Dist. v. Superior Court (2007) 151 Cal.App.4th 759. 16 Gov. Code, § 6252, subd. (b). See also Gov. Code, § 54957.2. 17 Marylander v. Superior Court (2002) 81 Cal.App.4th 1119; Los Angeles Police Dept. v. Superior Court (1977) 65 Cal.

App.661. See “Information That Must Be Disclosed,” p. 22; “Requests for Journalistic or Scholarly Purposes,” p. 24. 245

TYPES OF REQUESTS

FORM OF THE REQUEST

CONTENT OF THE REQUEST

THE DUTY TO RESPOND

TIMING OF THE RESPONSE

EXTENDING THE RESPONSE TIME

ASSISTING THE REQUESTER

LOCATING RECORDS

REDACTING RECORDS

TYPES OF RESPONSES
WAIVER

NO DUTY TO CREATE A RECORD

OR TO CREATE A PRIVILEGE LOG

TIMING OF DISCLOSURE
FEES
CHAPTER 3:

RESPONDING TO A PUBLIC

RECORDS REQUEST
246
10 THE PEOPLE’S BUSINESS Q Chapter 3: Responding to a Public Records Request

Q TYPES OF REQUESTS
There are two ways to gain access to a public record – inspecting the record at the local agency’s offices, or obtaining a copy from the local agency. The local agency may not dictate to the requester which option must be used. That is the requester’s decision. Indeed, a requester does not have to choose between inspection and copying but instead can choose both options. For example, a requester may first inspect a set of records, and then, based on that review, decide which records should be copied.

A requester may inspect public records during the local agency’s regular office hours. 1 This does not mean
that a requester has a right to demand to see a record and immediately gain access to it. The right to inspect is constrained by an implied rule of reason to protect records against theft, mutilation, or accidental damage, prevent interference with the orderly functioning of the office, and generally avoid chaos in record archives.2
Moreover, the agency’s time to respond to an inspection request is governed by the deadlines set forth below, which give the agency a reasonable opportunity to search for, collect, and, if necessary, redact exempt information prior to the records being disclosed in an inspection.3 If a copy of a record has been requested, the local agency generally must provide an exact copy except where it is “impracticable” to do so.4
The term “impracticable” does not necessarily mean that compliance with the public records request would be inconvenient or time-consuming to the local agency. Rather, it means that the agency must provide the best or most complete copy of the requested record that is reasonably possible.5
As with the right to inspect public records, the same rule of reasonableness applies to the right to obtain copies of records. Thus, the custodian may impose reasonable restrictions on general requests for copies of voluminous classes of documents.6 The Act does not provide for a standing or continuing request for documents that may be generated in the future. However, the Brown Act provides that a person may make a request to receive a mailed copy of the agenda, or all documents constituting the agenda packet for any meeting of the legislative body. This request shall be valid for the calendar year in which it is filed.7 Practice Tip:

If the public records request
does not make clear whether
the requester wants to
inspect or obtain a copy of
the record or records being
sought, the local agency
should seek clarification
from the requester without
delaying the process of
searching for, collecting, and
redacting or “whiting out”
exempt information in the
records.
247
THE PEOPLE’S BUSINESS Q Chapter 3: Responding to a Public Records Request 11

Q FORM OF THE REQUEST
A public records request may be made in writing or orally, in person or by phone.8 Further, a written request may be made in paper or electronic form and may be mailed, emailed, faxed, or personally delivered. A local agency may ask, but not require, that the requester put an oral request in writing. In general, a written request is preferable to an oral request because it provides a record of when the request was made and what was requested, and helps the agency respond in a more timely and thorough manner.

Q CONTENT OF THE REQUEST
A public records request must reasonably describe an identifiable record or records.9 It must be focused and specific10 and clear enough so that the agency can decipher what record or records are being sought.11 A request that is so open-ended that it amounts to asking for all of a department’s files is not reasonable.

If a request is not clear or is overly broad, the local agency still has a duty to assist the requester in reformulating the request to make it more clear or less broad.12 A request does not need to precisely identify the record or records being sought. For example, a requester may not know the exact date of a record or its title or author, but if the request is descriptive enough for the local agency to understand which records fall within its scope, the request is reasonable. Requests may identify writings somewhat generally by their content.13 No magic words need be used to trigger the local agency’s obligation to respond to a request for records.

The content of the request must simply indicate that a public record is being sought. Occasionally, a requester may incorrectly refer to the federal Freedom of Information Act (“FOIA”) as the legal basis for the request. This does not excuse the agency from responding if the request seeks public records. A public records request need not state its purpose or the use to which the record will be put by the requester.14 A requester does not have to justify or explain the reason for exercising a fundamental right.15

Q THE DUTY TO RESPOND
Under no circumstances should a local agency simply not respond to a public records request. Even if the request does not reasonably describe an identifiable record, the requested record does not exist, or the record is exempt from disclosure, the agency must respond.16

Q TIMING OF THE RESPONSE
Time is critical in responding to public records requests. A local agency must respond promptly, but no later than ten calendar days from receipt of the request, to notify the requester whether records will be disclosed.17 If the request is received after business hours or on a weekend or holiday, the next business day may be considered the date of receipt. The ten-day response period starts with the first calendar day after the date of receipt.18 If the tenth day falls on a weekend or holiday, the next business day is considered the deadline for responding to the request.19 The time limit for responding to a public records request is not necessarily the same as the time within which the records must be disclosed to the requester.20

Q EXTENDING THE RESPONSE TIME
A local agency may extend the ten-day response period for up to 14 additional calendar days because of the need:
• To search for and collect the requested records from field facilities or other establishments separate from the office processing the request;
• To search for, collect, and appropriately examine a voluminous amount of separate and distinct records demanded in a single request;
Practice Tip:

A public records request is
different than a question or
series of questions posed
to local agency officials or
employees. The Act creates
no duty to answer written
or oral questions submitted
by members of the public.

But if an existing and readily
available record contains
information that would
directly answer a question,
from a customer service
standpoint, it is advisable to
either answer the question
or provide the record in
response to the question.

Practice Tip:

Though not legally required,
a local agency may find it
convenient to use a written
form for public records
requests, particularly for
those instances when a
requester “drops in” to an
office and asks for one or
more records. The local
agency cannot require
the requester to use a
particular form, but having
the form and even having
agency staff assist with
filling out the form may help
agencies better identify the
information sought, follow
up with the requester using
the contact information
provided, and provide more
effective assistance to the
requester.
248
12 THE PEOPLE’S BUSINESS Q Chapter 3: Responding to a Public Records Request • To consult with another agency having substantial interest in the request (such as a state agency), or among two or more components of the local agency (such as two city
departments) with substantial interest in the request; and/or • In the case of electronic records, to compile data, write programming language or a computer program, or to
construct a computer report to extract data.21
No other reasons justify an extension of time to respond to a public records request. For example, a local agency may not extend the time on the basis that it has other pressing business, or that the employee most knowledgeable about the records sought is on vacation or otherwise unavailable.

If a local agency exercises its right to extend the response time beyond the ten-day period, it must do so in writing, stating the reasons for the extension and the anticipated date of the response within the 14-day extension period.22 The agency does not need the consent of the requester to extend the time for response.

Q ASSISTING THE REQUESTER
Local agencies must provide assistance to requesters who are having difficulty making a focused and effective request.23 To the extent reasonable under the circumstances, a local agency must:
• Assist the requester in identifying records that are responsive to the request or the purpose of the request, if stated;
• Describe the information technology and physical location in which the records exist; and • Provide suggestions for overcoming any practical basis for denying access to records.24 Alternatively, the local agency may satisfy its duty to assist the requester if it gives the requester an index of records.25 Ordinarily an inquiry into a requester’s purpose in seeking access to a public record is inappropriate,26 but such an inquiry may be proper if it will help assist the requester in making a focused request that reasonably describes identifiable records.27

Q LOCATING RECORDS
A local agency must make a reasonable effort to search for and locate the record or records that have been requested.28 No bright-line test exists to determine whether an effort is reasonable. That determination will depend on the facts and circumstances surrounding each request. In general, upon the local agency’s receipt of a public records request, those persons or offices within the agency that would most likely be in possession of responsive records should be consulted in an effort to locate such records.

The right to access public records is not without limits. A local agency is not required to perform a “needle in a haystack” search to locate the record or records sought by the requester. 29 Nor is it compelled to undergo a search that will produce a “huge volume” of material in response to the request.30 On the other hand, an agency typically will endure some burden – at times, a significant burden – in its records search. Usually that burden alone will be insufficient to justify noncompliance with the request.31 Nevertheless, if the request imposes a substantial enough burden, an agency may decide to withhold the requested records on the basis that the public interest in nondisclosure clearly outweighs the public interest in disclosure.32
Practice Tip:

If a local agency is having
difficulty responding to a
public records request within
the 10-day response period,
and there are not grounds
to extend the response
period for an additional 14
days, the agency may obtain
an extension by consent
of the requester. Often a
requester will cooperate
with the agency, particularly
if the requester believes the
agency is acting reasonably
and conscientiously in
processing the request. It is
also advisable to document
in writing any extension
agreed to by the requester.
249
THE PEOPLE’S BUSINESS Q Chapter 3: Responding to a Public Records Request 13

Q REDACTING RECORDS
Some records contain information that must be disclosed, along with information that is exempt from disclosure. A local agency has a duty to provide such a record to the requester in redacted form if the nonexempt information is “reasonably segregable” from that which is exempt,33 unless the burden of redacting the record becomes too great.34 What is reasonably segregable will depend on the circumstances.

If exempt information is inextricably intertwined with nonexempt information, the record may be withheld in its entirety.35

Q TYPES OF RESPONSES
After conducting a reasonable search for requested records, a local agency has only a limited number of possible responses. If a search yields no responsive records, the agency must inform the requester. If the agency locates a responsive record, it must decide whether to:
• Disclose the record;
• Withhold the record; or
• Disclose the record in redacted form.

In responding to a written public records request, if the local agency does not have the record or has decided to withhold it, or if the requested record is disclosed in redacted form, the agency’s response must be in writing, and must identify by name and title each person responsible for the decision.36 If the record is withheld in its entirety or provided to the requester in redacted form, the local agency must state the legal basis under the Act for its decision not to comply fully with the request.37 Statements like “we don’t give up those types of records” or “our policy is to keep such records confidential” will not suffice.

Q WAIVER
Generally, whenever a local agency discloses an otherwise exempt public record to any member of the public, the disclosure constitutes a waiver of most of the exemptions contained in the Act for all future requests for the same information.38 There are a number of statutory exceptions to the waiver provisions, including disclosures made through discovery or other legal proceedings and disclosures to another governmental agency that agrees to treat the disclosed material as confidential.39

Q NO DUTY TO CREATE A RECORD OR TO CREATE A PRIVILEGE LOG A local agency has no duty to create a record that does not exist at the time of the request.40 There is also no duty to reconstruct a record that was lawfully discarded prior to receipt of the request.

The Act does not require a local agency to create a “privilege log” or list that identifies the specific records being withheld.41 The response only needs to identify the legal grounds for nondisclosure. If the agency creates a privilege log for its own use, however, that document may be considered a public record and may be subject to disclosure in response to a later public records request.

Q TIMING OF DISCLOSURE
Although the law precisely defines the time for responding to a public records request, it is less precise in defining the deadline for disclosing records. The Act simply states that copies of records must be provided “promptly.”42 As for when a requester must be given access to inspect records, the Act is silent, but it is generally assumed that the same standard of promptness applies. Further, the Act states that nothing therein “shall be construed to permit an agency to delay or obstruct the inspection or copying of public records,”43 which signals the importance of promptly disclosing records to the requester.

Practice Tip:

Care should be taken
in deciding whether to
disclose, withhold, or redact
a record. When a public
records request presents
novel or complicated
issues or implicates policy
concerns or third party
rights, it is advisable to
consult with the local
agency’s legal counsel
before making this decision.

Practice Tip:

A local agency should
always document that it
is supplying the record to
the requester. The fact and
sufficiency of the response
may become points of
dispute with the requester.

Any response that denies
in whole or in part an oral
public records request
should be put in writing.
250
14 THE PEOPLE’S BUSINESS Q Chapter 3: Responding to a Public Records Request Neither the ten-day response period
nor the additional fourteen-day
extension may be used to delay or
obstruct the inspection or copying
of public records.44 For example,
requests for commonly disclosed
records that are held in a manner
that allows for prompt disclosure
should not be withheld because of the
statutory response period.

As a practical matter, records often
are disclosed at the same time the
local agency responds to the request.

But in some cases, that time frame for
disclosure is not feasible because of
the volume of records encompassed
by the request.

Q FEES
The public records process is in many respects cost-free to the requester. No fees may be charged to reimburse the local agency’s costs incurred to search for a record, review a record, redact a record, assist a requester in formulating a request, or respond to a request. Nor may the local agency charge a fee for the requester’s inspection of a record, even if staff time is expended in the inspection. For example, if concern for the security of records requires that an agency employee sit with the requester during the inspection, or if a record must be redacted before it can be inspected, the agency may not bill the requester for this expenditure of staff time.

The local agency may charge a fee for the direct costs of duplicating a record when the requester is seeking a copy,45 or it may charge a statutory fee, if applicable.46 Direct costs of duplication include costs of reproduction, and conceivably the cost of staff time expended in making a copy of the record.47 An agency may require payment in advance before providing the requested copies;48 however, no payment can be required merely to look at a record where copies are not sought.

Although permitted to charge a fee for duplication costs, a local agency may choose to reduce or waive that fee.49 For example, the agency might waive the fee in a particular case because the requester is indigent; or it might generally choose to waive fees below a certain dollar threshold because the administrative costs of collecting the fee would exceed the revenue to be collected. An agency may also set a customary copying fee for all requests that is below the amount that reflects actual duplication costs.

Practice Tip:

When faced with a
voluminous public records
request, a local agency
has numerous options
– for example, asking the
requester to narrow the
request, asking the requester
to consent to a later
deadline for responding to
the request, and providing
responsive records (whether
redacted or not) on a
“rolling” basis, rather than
in one complete package.

It is sometimes possible for
the agency and requester
to work cooperatively to
streamline a public records
request, with the result that
the requester obtains the
records or information the
requester truly wants, while
the burdens on the agency in
complying with the request
are reduced.

Practice Tip:

The local agency may wish
to maintain a separate file
for copies of records that
have been withheld and
those produced (including
redacted versions) in
the event there is a legal
challenge to the decision
regarding the disclosure.
251
THE PEOPLE’S BUSINESS Q Chapter 3: Responding to a Public Records Request 15 Endnotes
1 Gov. Code, § 6253, subd. (a).
2 Bruce v. Gregory (1967) 65 Cal.2d 666; Rosenthal v. Hansen (1973) 34 Cal.App.3d 754; 64 Ops.Cal.Atty.Gen. 317 (1981).
3 See “Timing of the Response,” p. 11.
4 Gov. Code, § 6253, subd. (b).
5 Rosenthal v. Hansen (1973) 34 Cal.App.3d 754.
6 Rosenthal v. Hansen (1973) 34 Cal.App.3d 754; 64 Ops.Cal.Atty.Gen. 317 (1981). 7 Gov. Code, § 54954.1; see also Gov. Code § 65092 [standing request for notice of public hearing], Cal. Code Regs., tit. 14, ch. 3, §§ 15072, 15082 and 15087 [standing requests for notice related to environmental documents]. 8 Los Angeles Times v. Alameda Corridor Transportation Authority (2001) 88 Cal.App.4th 1381. 9 Gov. Code, § 6253, subd. (b).
10 Rogers v. Superior Court (1993) 19 Cal.App.4th 469.
11 Cal. First Amend. Coalition v. Superior Court (1998) 67 Cal.App.4th 159. 12 See “Assisting the Requester,” p. 12.
13 Cal. First Amend. Coalition v. Superior Court (1998) 67 Cal.App.4th 159. 14 See Gov. Code, § 6257.5; ACLU Foundation v. Deukmejian (1982) 32 Cal.3d 440. 15 Gov. Code, § 6250; Cal. Const., article I, § 3.
16 Gov. Code, § 6253.
17 Gov. Code, § 6253, subd. (c).
18 Civ. Code, § 10.
19 Civ. Code, § 11.
20 See “Timing of Disclosure,” p. 13.
21 Gov. Code, § 6253, subds. (c)(1) - (4).
22 Gov. Code, § 6253, subd. (c).
23 Gov. Code, § 6253.1; State Board of Equalization v. Superior Court (1992) 10 Cal.App.4th 1177. 24 Gov. Code, § 6253.1, subds. (a)(1) - (3).
25 Gov. Code, § 6253.1, subd. (d)(3).
26 See Gov. Code, § 6257.5.
27 Gov. Code, § 6253.1, subd. (a).
28 Cal. First Amend. Coalition v. Superior Court (1998) 67 Cal.App.4th 159. 29 Cal. First Amend.Coalition v. Superior Court (1998) 67 Cal.App.4th 159. 30 Cal. First Amend. Coalition v. Superior Court (1998) 67 Cal.App.4th 159. 31 Cal. First Amend. Coalition v. Superior Court (1998) 67 Cal.App.4th 159. 32 ACLU Foundation v. Deukmejian (1982) 32 Cal.3d 440; see also 64 Ops. Cal.Atty.Gen. 317 (1981). 33 Gov. Code, § 6253, subd. (a); ACLU Foundation v. Deukmejian (1982) 32 Cal.3d. 440. 34 ACLU Foundation v. Deukmejian (1982) 32 Cal.3d. 440. 35 ACLU Foundation v. Deukmejian (1982) 32 Cal.3d. 440. 36 Gov. Code, §§ 6253, subd. (d), 6255, subd. (b).
37 Gov. Code, § 6255, subd. (b).
38 Gov. Code, § 6254.5; 86 Ops.Cal.Atty.Gen. 132 (2003). 39 Gov. Code, § 6254.5.
252
16 THE PEOPLE’S BUSINESS Q Chapter 3: Responding to a Public Records Request 40 Gov. Code, § 6252, subd. (e); Haynie v. Superior Court (2001) 26 Cal.4th 1061; 71 Ops.Cal.Atty.Gen. 235 (1988). 41 Haynie v. Superior Court (2001) 26 Cal.4th 1061.
42 Gov. Code, § 6253, subd. (b); 88 Ops.Cal.Atty.Gen. 153 (2005); 89 Ops.Cal.Atty.Gen. 39 (2006). 43 Gov. Code, § 6253, subd. (d).
44 Gov. Code, § 6253, subd (d).
45 Gov. Code, § 6253, subd. (b).
46 Gov. Code, § 6253, subd. (b); 85 Ops.Cal.Atty.Gen. 225 (2002); see, e.g., Gov. Code, § 81008. 47 North County Parents Organization v. Dept. of Education (1994) 23 Cal.App.4th 144. 48 Gov. Code, § 6253, subd. (b).
49 Gov. Code, § 6253, subd. (e); North County Parents Organization v. Dept. of Education (1994) 23 Cal.App.4th 144. 253
CHAPTER 4:

EXEMPTIONS

OVERVIEW OF EXEMPTIONS

SPECIFIC EXEMPTIONS
Architectural and Official Building Plans
Attorney Client Communications
and Attorney Work Product
Code Enforcement Records
Drafts
Election Information
Identity of Informants
Law Enforcement Records
Library Circulation Records
Licensee Financial Information
Medical Privacy Laws
Official Information Privilege
Pending Litigation or Claims
Personal Contact Information
Personnel Records
Public Contracting Documents
Real Estate Appraisals and Engineering Evaluations
Recipients of Public Services
Taxpayer Information
Trade Secrets and Other Proprietary Information
Utility Customer Information

PUBLIC INTEREST EXEMPTION
EFFECT OF PROPOSITION 59

ON EXEMPTIONS
254
18 THE PEOPLE’S BUSINESS Q Chapter 4: Exemptions

Q OVERVIEW OF EXEMPTIONS
The underlying purpose of the Act is to assure broad access to public records. Any grounds for denying access to public records must be found in the enumerated exemptions of the Act.1 The Act’s general policy
of disclosure can only be accomplished if the exemptions are narrowly construed. As a result, courts—both as a matter of statutory interpretation and now by constitutional mandate—construe exemptions under the Act narrowly.2
This means that in responding to a record request, the local agency must allow access to the record unless it can identify an exemption within the Act that would justify nondisclosure of the information. Moreover, in circumstances where a record may contain some information that is subject to an exemption and other information that is not, the local agency must produce the record, but may redact the information that is exempt.

As discussed below, many of the exemptions are very specific and pertain to particular types of public records such as certain personnel, police, or medical records. Two exemptions, however, have a broader scope and may apply even if a record does not fall within any other exemption contained in the Act. First, the Act exempts records that are otherwise exempt from disclosure under other statutes.3 Second, the
Act’s “public interest” or “catchall” provision allows nondisclosure where the local agency demonstrates on the facts of a particular case that the public interest in nondisclosure clearly outweighs the public interest in disclosure.4
Practice Tip:

When evaluating a record
for purposes of determining
whether it falls within
any exemption under the
Act, a local agency should
always bear in mind that
it might also be subject
to nondisclosure under
other statutes such as the
Evidence Code or Penal
Code.5
255
THE PEOPLE’S BUSINESS Q Chapter 4: Exemptions 19

Q SPECIFIC EXEMPTIONS
Architectural and Official Building Plans
Certain of the materials submitted by third parties to local agencies may qualify for federal copyright protection.6
In addition, local agencies may claim a copyright in
many of their own records.

The Act exempts records, “the disclosure of which is exempted or prohibited pursuant to federal or state law….”7
Federal copyright law defines “architectural
work” as the “design of a building as embodied in any tangible medium of expression, including building, architectural plans, or drawings.”8 The law includes architectural
plans as “original works of authorship” which have an automatic federal copyright protection.9
Architectural plans are therefore protected under the federal copyright law and may be inspected, but cannot be copied without the permission of the owner. “Fair use of copyrighted materials” does not require disclosure or the right to copy architectural plans. The Fair Use rule is a defense to a copyright infringement action; it is not proper to use the Fair Use rule offensively in order to obtain copyrighted materials.10
State law addresses inspection and duplication of building plans and authorizes inspection of the plans by the public.11 The official copy of building plans maintained by a local agency’s building department may be inspected, but may not be copied without first requesting the written permission of the licensed or registered professional who signed the document and the original or current property owner. A request for written permission from the professional must be accompanied by a statutorily prescribed affidavit signed by the person requesting to make copies, attesting that the copy of the plans shall only be used for the maintenance, operation and use of the building, that the drawings are instruments of professional service and are incomplete without the interpretation of the certified, licensed or registered professional of record, and that a licensed architect who signs and stamps plans, specifications, reports, or documents shall not be responsible for damage caused by subsequent unauthorized changes to or uses of those plans.12 After receiving this required information, the professional cannot unreasonably withhold written permission to make copies of the plans.13
Additionally, the California Attorney General has determined that interim grading documents, including geology, compaction, and soils reports are public records.14 Attorney Client Communications and Attorney Work Product The Act specifically exempts from disclosure “records, the disclosure of which is exempted or prohibited pursuant to federal or state law, including, but not limited to, the provisions of the Evidence Code relating to privilege.”15 The Act’s exemptions protect attorney client privileged communications and attorney work product, as well as, more broadly, other work product prepared for use in pending litigation or claims.16 Even after litigation is concluded, an attorney’s billing entries remain exempt from disclosure under the attorney client privilege or attorney work product doctrine insofar as they describe an attorney’s impressions, conclusions, opinions, legal research or strategy.17 Similarly, retainer agreements between a local agency and its attorneys may constitute confidential communications that fall within the attorney client privilege.18 A local agency may waive the privilege and elect to produce the agreements.19 Only the local agency’s governing board may waive the privilege.20 Practice Tip:

These statutory
requirements do not
prohibit duplication of
reduced copies of plans
that have been distributed
to local agency decisionmaking bodies as part of
the agenda materials for
a public meeting.
256
20 THE PEOPLE’S BUSINESS Q Chapter 4: Exemptions
Code Enforcement Records
Local agencies may pursue code enforcement through administrative or criminal proceedings, or a combination of both. Records of code enforcement cases for which criminal sanctions are sought may be subject to the same disclosure rules as police and other law enforcement records, including the rules for investigatory records and files, as long as there is a concrete and definite prospect of criminal enforcement.21 Records of code enforcement cases being prosecuted administratively do not qualify as law enforcement records.22 However, some administrative code enforcement information, such as names and contact information of complainants, may be exempt from disclosure under the official information privilege, the identity of informant privilege, or the public interest exemption.23 Drafts
The Act exempts from disclosure “[p]reliminary drafts, notes, or interagency or intra-agency memoranda that are not retained by the public agency in the ordinary course of business, if the public interest in withholding those records clearly outweighs the public interest in disclosure.”24 The purpose of the “drafts” exemption is to provide a measure of privacy for writings concerning pending agency action.

The exemption was adapted from the federal Freedom of Information Act (“FOIA”), which exempts from disclosure “inter-agency or intra-agency memorandums or letters which would not be available by law to a party other than an agency in litigation with the agency.”25 The California Supreme Court has observed that the FOIA “memorandums” exemption is based on the policy of protecting the decision making processes of government agencies, and in particular the frank discussion of legal or policy matters that might be inhibited if subjected to public scrutiny.26
The courts have held that the “drafts” exemption in the Act has essentially the same purpose as the “memorandums” exemption in the FOIA, and that the “drafts” exemption protects deliberative materials produced in the process of making agency decisions, but not factual materials.27 Some courts have distinguished between pre-decisional advisory opinions, recommendations and policy deliberations, which are exempt, and memoranda of factual material or purely factual material contained in and severable from deliberative memoranda.28 However, in discussing the closely-related deliberative process privilege, which is also based on the FOIA “memorandums” exemption, the California Supreme Court has observed that the fact/opinion distinction may be misleading because even purely factual material may expose the deliberative process. According to the California Supreme Court, the key question under the FOIA “memorandums” exemption is whether the disclosure of materials would expose an agency’s decision making process in such a way as to discourage candid discussion within the agency and thereby undermine the agency’s ability to perform its functions.29 To qualify for the “drafts” exemption:
• the record must be a preliminary draft, note, or memorandum; • that is not retained by the local agency in the ordinary course of business; and • the public interest in withholding the record must clearly outweigh the public interest in disclosure.30 The courts have observed that preliminary materials that are not customarily discarded or that have not in fact been discarded pursuant to policy or custom must be disclosed.31 What distinguishes the “drafts” exemption from the deliberative process privilege is a focus on whether the records containing deliberative information are normally retained by the local agency. If the records are normally retained, they do not qualify for the exemption. This is in keeping with the purpose of the FOIA “memorandums” exemption of prohibiting the “secret law” that would result from confidential memos retained by local agencies to guide their decision-making.

Practice Tip:

By adopting written policies
or developing consistent
practices of discarding
preliminary deliberative
writings, local agencies may
facilitate candid internal
policy debate. Such policies
and practices may exempt
from disclosure even
preliminary drafts that have
not yet been discarded, so
long as the drafts are not
maintained by the local
agency in the ordinary course
of business, and the public
interest in nondisclosure
clearly outweighs the public
interest in disclosure.
257
THE PEOPLE’S BUSINESS Q Chapter 4: Exemptions 21
Election Information
Voter Registration Information
Voter registration information, including the home street address, telephone number, email address, precinct number, or other number given by the Secretary of State, is confidential and cannot be disclosed except as specified in the Elections Code. Similarly, the signature of the voter shown on the voter registration card is confidential and shall not be disclosed to any person, except as provided in the Elections Code.32 Voter registration information may be provided to any candidate for federal, state, or local office; any committee for or against an initiative or referendum measure for which legal publication is made; and to any person for election, scholarly, journalistic or political purposes, or for governmental purposes as determined by the Secretary of State.33
Identifying information contained in voter registration records including a California Driver’s License, California ID card, or other unique identifier used by the State of California is confidential and shall not be disclosed to any person (including those entitled to voter registration information).34
When a person’s vote is challenged, the voter’s home address or signature may be released to the challenger, elections officials, and other persons as necessary to make, defend or adjudicate a challenge.35 The elections official shall permit a person to view the signature of a voter for the purpose of determining whether the signature matches a signature on an affidavit of registration or a petition. The signature cannot be copied.36
Information or data compiled by public officers or employees that reveals the identity of persons who have requested bilingual ballots or ballot pamphlets is not a public record and shall not be provided to any person other than those public officers or employees who are responsible for receiving and processing those requests.37
Initiative, Recall, and Referendum Petitions
Any petition to which a voter has affixed his or her signature for a statewide, county, city, and/or district initiative, referendum, recall or matters submitted under the Education Code is not a public record and is not open to inspection except by the public officers and/or employees whose duty it is to receive, examine or preserve the petitions. This prohibition extends to all memoranda prepared by county elections officials in the examination of the petitions indicating which voters have signed particular petitions.38 If a petition is found to be insufficient, the proponents and their representatives may inspect the memoranda of insufficiency to determine which signatures were disqualified and the reasons for the disqualification.39
Identity of Informants
A local agency has a privilege to refuse to disclose and to prevent another from disclosing the identity of a person who has furnished information in confidence to a law enforcement officer or representative of a local agency charged with administration or enforcement of a law. This privilege applies where the information purports to disclose a violation of a law of the United States, the State of California or another public entity, and where the disclosure is forbidden by state or federal law. It also applies where the disclosure of the identity of the informant is against the public interest because there is a necessity for 258
22 THE PEOPLE’S BUSINESS Q Chapter 4: Exemptions
preserving the confidentiality of the informant’s identity that outweighs the necessity for disclosure in the interest of justice.40 This privilege extends to disclosure of the contents of the informant’s communication if the disclosure would tend to disclose the identity of the informant.41 Law Enforcement Records
Overview
Law enforcement records are generally exempt from disclosure except for certain specific types of information that must be disclosed.42 The actual investigation files and records are themselves exempt from disclosure, but the Act requires the local agency to disclose certain information derived from them.43 The type of information that must be disclosed differs depending upon whether it relates to, for example, calls to the police department for assistance, the identity of an arrestee, information relating to a traffic accident, or certain types of crimes, including, for example, car theft, burglary, or arson. The identities of victims of certain types of crimes, including minors and victims of sexual assault, are required to be withheld if requested by the victim, or the victim’s guardian if the victim is a minor.44 Those portions of any file that reflect the analysis and conclusions of the investigating officers may also be withheld.45 Certain information that may be required to be released may be withheld where the disclosure would endanger a witness or interfere with the successful completion of the investigation. The disclosure exemption extends indefinitely, even after the investigation is closed.46 Release practices vary by local agency. Some local agencies provide a written summary of information being disclosed, some release only specific information upon request, while others release reports with certain matters redacted. Other local agencies release reports upon request with no redactions except as mandated by statute. Some local agencies also release 911 tapes47 and booking photos, although this is not required under the Act.48
If it is your local agency’s policy to release police reports upon request, it is helpful to establish an internal process to control the release of the identity of minors or victims of certain types of crimes; or to ensure that releasing the report would not endanger the safety of a person involved in an investigation or endanger the completion of the investigation.

Exempt Records
The Act generally exempts most law enforcement records from disclosure, including:
• Complaints to or investigations conducted by a local or state police agency • Records of intelligence information or security procedures of a local or state police agency • Any investigatory or security files compiled by any other local or state police agency • Customer lists provided to a local police agency by an alarm or security company • Any investigatory or security files compiled by any state or local agency for correctional, law enforcement or licensing purposes.49
Information that Must be Disclosed
There are three general categories of information contained in law enforcement investigatory files that must be disclosed: information that must be disclosed to victims, their authorized representatives and insurance carriers; information relating to arrestees; and information relating to complaints or requests for assistance.

Practice Tip:

Many departments that
choose not to release entire
reports develop a form that
can be filled out with the
requisite public information.
259
THE PEOPLE’S BUSINESS Q Chapter 4: Exemptions 23
Disclosure to Victims, Authorized Representatives, Insurance Carriers:

Except where disclosure would endanger the successful completion of an investigation, or a related investigation, or endanger the safety of a witness, certain information relating to specific listed crimes must be disclosed upon request to:
• A victim
• The victim’s authorized representative
• An insurance carrier against which a claim has been or might be made • Any person suffering bodily injury, or property damage or loss.

The type of crimes listed to which this requirement applies include arson, burglary, fire, explosion, larceny, robbery, carjacking, vandalism, vehicle theft, or a crime defined by statute.50 The type of information that must be disclosed (except where it endangers safety of witnesses or the investigation itself) includes:
• Name and address of persons involved in or witnesses to incident (other than confidential informants) • Description of property involved
• Date, time and location of incident
• All diagrams; statements of the parties to the incident • Statements of all witnesses (other than confidential informants).51 Information Regarding Arrestees
The Act mandates that the following information be released pertaining to every individual arrested by the local law enforcement agency except where releasing the information would endanger the safety of persons involved in an investigation or endanger the successful completion of the investigation or a related investigation:
• Full name and occupation of the arrestee
• Physical description including date of birth, color of eyes and hair, sex, height and weight • Time, date and location of arrest
• Time and date of booking
• Factual circumstances surrounding arrest
• Amount of bail set
• Time and manner of release or location where arrestee is being held
• All charges, including outstanding warrants, parole or probation holds, that the arrestee is being held on.53
Complaints or Requests for Assistance
The Act provides that the following information must be disclosed relative to complaints or requests for assistance received by the law enforcement agency — subject to the restrictions imposed by the Penal Code:
• Time and nature of the response
• To the extent the crime alleged or committed or any other incident is recorded, the time, date and location of occurrence, and the time and date of report • Factual circumstances surrounding crime/incident
Practice Tip:

The release of traffic
accident information is
covered under the Vehicle
Code, which requires the
law enforcement agency to
disclose the entire contents
of a traffic accident report to
persons who have a “proper
interest” in the information,
including the driver or
authorized representative,
guardian, conservator or
parent of a minor driver,
injured person, owners
of vehicles or property
damaged by the accident,
persons who may be liable
for breach of warranty and
an attorney who declares
under penalty of perjury that
he or she represents any
such person.52
Practice Tip:

Most police departments
have some form of daily
desk or press log that
contains all or most of
arrestee information. The
Act does not require a
local agency to grant a
single requester to be given
access on a subscription
basis to records that may
be created in the future.

It applies only to records
existing at the time of the
request.54 Further, there
is no obligation to provide
the information in the
format requested if that is
not the format used by the
local agency to store the
information or to create
copies for its own use.55
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24 THE PEOPLE’S BUSINESS Q Chapter 4: Exemptions
• General description of injuries, property or weapons involved • Names and ages of victims shall be disclosed, except the names of victims of certain listed crimes may be withheld upon request of victim or parent of minor victim. These listed crimes include various Penal Code sections which relate to topics such as sexual abuse, child abuse, hate crimes and stalking.56 The Penal Code provides that except as required by criminal discovery provisions, no law enforcement officer or employee of a law enforcement agency shall disclose to any arrested person, or to any person who may be a defendant in a criminal action, the address or telephone number of any person who is a victim of or witness to the alleged offense.57
Requests for Journalistic or Scholarly Purposes
Where a request states, under penalty of perjury, that it is made for a scholarly, journalistic, political or governmental purpose, or for an investigative purpose by a licensed private investigator, and that it will not be used directly or indirectly or furnished to another to sell a product or service to any individual or group of individuals, the Act requires the disclosure of the name and address of every individual arrested by the local agency and the current address of the victim of a crime, except for specified crimes.58 Any address information furnished pursuant to this authorization may not be used directly or indirectly, or furnished to another to sell a product or service and is subject to statutory restrictions that preclude the furnishing of this information to an arrested person or a defendant in a criminal action.59 Mental Health Detention Information
All information and records obtained in the course of providing services to a mentally disordered individual who is gravely disabled and/or a danger to others or himself, and who is detained (often referred to as a “detainee”) and taken into custody by a peace officer, are confidential and may only be disclosed to enumerated recipients and for purposes specified in state law.60 Willful, knowing release of confidential mental health detention information can create liability for civil damages.61 Elder Abuse Records
Reports of suspected abuse or neglect of an elder or dependent adult, and information contained in such reports, are confidential and may only be disclosed as permitted by state law.62 The prohibition against unauthorized disclosure applies regardless of whether a report of suspected elder abuse or neglect is from someone who is a “mandated reporter” (any person that has assumed full or intermittent responsibility for the care or custody of an elder or dependent adult, whether or not for compensation) or from someone else.63 Unauthorized disclosure of suspected elder abuse or neglect information is a misdemeanor.64 Juvenile Records
Police and Court Records
Records or information gathered by law enforcement agencies relating to the detention of or taking a minor into custody or temporary custody are confidential and subject to release only in certain circumstances and by certain specified persons and entities.65 Juvenile court case files are subject to inspection only by specific listed persons and are governed by both statute and state court rules.66 Different provisions apply to dissemination of information gathered by a law enforcement agency relating to the taking of a minor into custody where it is provided to another law enforcement agency, including a school district police or security department or other agency or person who has a legitimate need for information for purposes of official disposition of a case.67 A law enforcement agency shall release the name of and descriptive information relating to any juvenile who has escaped from a secure detention facility.68
Practice Tip:

Some local courts have
their own rules regarding
inspection of juvenile
records, which may differ
from county to county and
may change from time to
time. Care should be taken
to periodically review the
rules as the presiding judge
of each juvenile court makes
their own rules.

Practice Tip:

Law enforcement information
such as complaint or
incident information that
may otherwise be subject
to disclosure is confidential
to the extent it includes
reports of suspected child
or elder abuse or neglect,
or information contained in
reports of suspected abuse
or neglect. To avoid potential
criminal liability, local
agencies should only disclose
reports of suspected child
or elder abuse or neglect
or information contained in
such reports as permitted by
state law.
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THE PEOPLE’S BUSINESS Q Chapter 4: Exemptions 25
Child Abuse Reports
Reports of suspected child abuse or neglect, including reports from those who are “mandated reporters” (for example, teachers and public school employees and officials, physicians, children’s organizations, community care facilities, etc.), and child abuse and neglect investigative reports that result in a summary report being filed with the Department of Justice are confidential and may only be disclosed to the persons and agencies listed in state law.69 Unauthorized disclosure of confidential child abuse or neglect information is a misdemeanor.70
Library Circulation Records
Library circulation records that are kept to identify the borrowers, and library and museum materials presented solely for reference or exhibition purposes, are exempt from disclosure.71 Further, all registration and circulation records of any library that is in whole or in part supported by public funds are confidential. Such records remain confidential and shall not be disclosed except to persons acting within the scope of their duties within the administration of the library, pursuant to written authorization by the individual to whom the records pertain, or by superior court order.72 The confidentiality of library circulation records does not extend to statistical reports of registration and circulation, or to records of fines collected by the library.73 Licensee Financial Information
When a local agency requires that applicants for licenses, certificates or permits submit personal financial data, that information is exempt from disclosure.74 One frequent example of this is the submittal of sales or income information under a business license tax requirement. However, this exemption does not apply to financial information filed by an existing licensee or franchisee to justify a rate increase, presumably because those affected by the increase have a right to know its basis.75 Medical Privacy Laws
State and federal medical privacy laws that may apply to records of local agencies include the physician/ patient privilege, the Confidentiality of Medical Information Act, and the Health Insurance Portability and Accountability Act.76 The exemptions from and prohibitions against disclosure contained in these laws are incorporated into the Act.77
Local agencies that receive or maintain individually identifiable health information may comply with the requirements of the physician/patient privilege, the Confidentiality of Medical Information Act, and the Health Insurance Portability and Accountability Act by citing appropriate sections of the Act, as well as applicable medical privacy laws and regulations, in declining to disclose protected, individually identifiable health information.78
Physician/Patient Privilege
State law gives patients a privilege to refuse to disclose, and to prevent others from disclosing, confidential communications between patients and their physicians.
79 The privilege extends to confidential patient/
physician communications that are disclosed to third parties where reasonably necessary to accomplish the purpose for which the physician was consulted.80 Patient information in the possession of a local agency may be subject to the privilege.
262
26 THE PEOPLE’S BUSINESS Q Chapter 4: Exemptions
Confidentiality of Medical Information Act
State law prohibits providers of health care, health care service plans and contractors, as these terms are defined in the law, from disclosing individually identifiable medical information of a patient, enrollee or subscriber without first obtaining authorization, subject to certain exceptions.81 State law also obligates employers to establish appropriate procedures to ensure the confidentiality of individually identifiable medical information, and prohibits employers from disclosing or permitting the disclosure or use of individually identifiable medical information without first obtaining authorization, subject to certain exceptions.82 Local agencies that are not providers of health care, health care service plans or contractors as defined in state law may possess individually identifiable medical information protected under state law that originated with providers of health care, health care service plans or contractors.83 Local agencies are also obligated as employers to protect individually identifiable medical information protected under state law. Patients whose individually identifiable medical information is used or disclosed in violation of the state law may recover compensatory damages, limited punitive damages, limited attorneys’ fees and their litigation costs.84 Violations of state law that result in economic loss or personal injury of patients are subject to criminal penalties, and damages are available for negligent release of protected records.85 Persons and entities that negligently disclose records protected under state law may be liable for administrative fines or civil penalties.86 Knowingly and willfully obtaining, using, or disclosing information protected under state law is subject to substantial administrative fines or civil penalties.87 Health Insurance Portability and Accountability Act
Congress enacted the Health Insurance Portability and
Accountability Act in 1996 to improve portability and continuity of health insurance coverage and to combat waste, fraud and abuse in health insurance and health care delivery through the development of a health information system and establishment of standards and requirements for the electronic transmission of certain health information.88 The Secretary of the U.S. Department of Health and Human Services has issued privacy regulations governing use and disclosure of individually identifiable health information.89 Persons that knowingly and in violation of federal law use or cause to be used a unique health identifier, obtain individually identifiable health information relating to an individual, or disclose individually identifiable health information to another person are subject to substantial fines and imprisonment of not more than one year, or both, and to increased fines and imprisonment for violations under false pretenses or with the intent to use individually identifiable health information for commercial advantage, personal gain, or malicious harm.90 Federal law also permits the Health and Human Services Secretary to impose civil penalties.91 Workers’ Compensation Benefits
A local agency may not release records pertaining to the workers’ compensation benefits for an individually identified employee because they are exempt from disclosure as “personnel, medical, or similar files, the disclosure of which would constitute an unwarranted invasion of privacy.”92 The Act further prohibits the disclosure of records otherwise exempt or prohibited from disclosure pursuant to federal and state law.93 In addition, state law prohibits a person or public or private entity who is not a party to a claim for workers’ compensation benefits from obtaining individually identifiable information obtained or maintained by the Division of Workers’ Compensation on that claim.94 “[I]ndividually identifiable information” means “any Practice Tip:

Patient medical information
provided to local agency
emergency medical
personnel to assist in
providing emergency medical
care may be subject to the
physician/patient privilege
if providing the privileged
information is reasonably
necessary to accomplish
the purpose for which the
physician was consulted.
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THE PEOPLE’S BUSINESS Q Chapter 4: Exemptions 27
data concerning an injury or claim that is linked to a uniquely identifiable employee, employer, claims administrator, or any other person or entity.”95 If a public records request falls within this broad definition as a request for “data concerning an injury or claim” that is linked to a local agency employee or other uniquely identifiable individual, then the record(s) may not be disclosed.

Once an application for adjudication has been filed, certain information may be subject to disclosure;96 however, some of the personal information may still be protected under the Act.97 Requests for such information after adjudication must identify the requester and state the reason for the request. If the purpose of such a request is related to preemployment screening, the administrative director must notify the person about whom the information is requested and include a warning about discrimination against persons who have filed claims for workers’ compensation benefits. Further, a residence address shall not be disclosed except to law enforcement agencies, the district attorney, other governmental agencies or for journalistic purposes. Individually identifiable information is not subject to subpoena in a civil proceeding without notice and a hearing at which the court is required to balance the respective interests—privacy and public disclosure.

Individually identifiable information may be used for certain types of statistical research by specifically listed persons and entities.98
Official Information Privilege
A local agency has a privilege to refuse to disclose official information.99 “Official Information” includes:
• Information that is protected by a state or federal statutory privilege or; and • Information, the disclosure of which is against the public interest, due to necessity for preserving the confidentiality of the information that outweighs the necessity for disclosure in the interest of justice.100 The local agency has the right to assert the privilege both to refuse to disclose and to prevent another from disclosing official information.101 Where the disclosure is prohibited by state or federal statute, the privilege is absolute. In all other respects, it is conditional and requires a judge to weigh the necessity for preserving the confidentiality of information against the necessity for disclosure in the interest of justice. (This is similar to the weighing process provided for in the Act—allowing nondisclosure when the public interest served by not disclosing the record clearly outweighs the public interest served by disclosure.)102 This is typically done through confidential judicial review.103 As part of the weighing process a court will look at the consequences to the public, including the effect of the disclosure on the integrity of public processes and procedures.104 There are a number of cases arising out of this statute.105 While many of the cases interpreting this privilege involve law enforcement records, other cases arise out of licensing and accreditation-type activities. The courts address these types of cases on an individualized basis and further legal research should be done within the context of particular facts. The statute defines “official information” as “information acquired in confidence by a public employee in the course of his or her duty and not open, or officially disclosed, to the public prior to the time the claim of privilege is made.”106 However, the courts have somewhat expanded on the statutory definition by determining that certain types of information, such as police investigative files and medical information, are “by [their] nature confidential and widely treated as such” and thus protected from disclosure by the privilege.107 Although there is no case law directly on point, this privilege, along with the informant privilege, may be asserted to protect the identities of code enforcement complainants and whistleblowers.
264
28 THE PEOPLE’S BUSINESS Q Chapter 4: Exemptions
Pending Litigation or Claims
The Act exempts from disclosure “(r)ecords pertaining to pending litigation to which the public agency is a party, or to claims made pursuant to [the California Government Claims Act] until the pending litigation or claim has been finally adjudicated or otherwise settled.”108 Although the phrase “pertaining to” pending litigation or claims might seem broad, the courts nevertheless have construed the exemption narrowly, consistent with the underlying policy of the Act to promote access to public records. The exemption applies only to documents specifically prepared by, or at the direction of, the local agency for use in litigation. This includes records prepared not simply for an ongoing case, but those specifically prepared in anticipation of a future lawsuit, such as an incident report.109 It may sometimes be difficult to determine whether a particular record was prepared specifically for use in litigation or for other purposes related to the underlying incident. For example, an incident report may be prepared either in anticipation of defending a potential claim, or simply for risk management purposes. In order for the exemption to apply in those circumstances, the local agency would have to prove that the dominant purpose of the record was to be used in defense of litigation.110
It is important to remember that even members of the public that have sued a local agency are entitled to use the Act to obtain documents that may be relevant to the litigation, so long as the documents were not specifically prepared by the local agency for use in anticipated or pending litigation, and do not fall within some other exemption under the Act or other statute. The mere fact that the litigant might also be able to obtain the documents in discovery is not a ground for rejecting the request under the Act.111 The pending litigation exemption does not prevent members of the public from obtaining records submitted to the local entity by litigants, such as a claim for monetary damages filed prior to a lawsuit. This is because the document has been prepared by the litigant and not by the local agency.112 Once litigation has concluded and is no longer “pending,” records previously shielded from disclosure by the exemption must be produced, unless covered by another exemption or statutory privilege. The public may therefore obtain copies of depositions from closed cases.113 Documents concerning settlement of a claim, whether prepared by a litigant or the local agency, such as medical records, payment warrants, minutes of a claims settlement committee meeting, or investigative reports, must be produced unless shielded from disclosure by other exemptions of the Act or other statutes.114 While medical records are subject to a constitutional right of privacy, and generally exempt from production under the Act and other statutes,115 the litigant may be deemed to have waived the right to confidentiality by submitting them to the public entity in order to obtain a settlement.116 Similarly, investigative reports in claims involving law enforcement activity may fall within specific exemptions for law enforcement reports117 or reports prepared in anticipation of litigation may fall within the attorney client privilege.118 Particular records or information relevant to settlement of a closed case may also be subject to nondisclosure under the public interest exemption to the extent the local agency can show that the public interest in nondisclosure clearly outweighs the public interest in disclosure.119 There is considerable overlap between the pending litigation exemption and both the attorney client privilege120 and attorney work product protection.121 However, the exemption for pending litigation is not limited solely to documents that fall within either the attorney client privilege or work product protection.122 Moreover, while the exemption for pending litigation expires once the litigation is no longer pending, the attorney client privilege and work product protection are ongoing.123 Practice Tip:

In responding to a request
for documents concerning
settlement of a particular
matter, it is critical to pay
close attention to potential
application of other
exemptions under the Act
or other statutory privileges.

It is recommended that you
seek the advice of your local
agency counsel.
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THE PEOPLE’S BUSINESS Q Chapter 4: Exemptions 29
The attorney client privilege may come into play simultaneously with specific exemptions under the Act or other statutory privileges that could require a court to undertake confidential inspection of documents in order to determine application of the exemptions. The Act specifically references an Evidence Code provision that provides a court may not review privileged attorney client communications in camera for purposes of determining whether the privilege is established.124 Thus, in a writ of mandate proceeding a local agency may have to submit other documents for inspection to allow the court to determine whether a particular exemption applies, such as evaluating whether the public interest in nondisclosure clearly outweighs the public interest in disclosure under the public interest exemption. But the court cannot conduct an in camera review of documents that the local agency contends are subject to the attorney client privilege.

Personal Contact Information
Court decisions have ruled that individuals have a substantial privacy interest in their personal contact information. However, a fact-specific analysis must be conducted to determine whether the public interest exemption protects this information from disclosure, that is, whether the public interest in nondisclosure clearly outweighs the public interest in disclosure.125 Application of this balancing test has yielded varying results, depending on the circumstances of the case.

For example, courts have allowed nondisclosure of the names, addresses and telephone numbers of airport noise complainants.126 In that instance, the anticipated chilling effect on future citizen complaints weighed heavily in the court’s decision.

In other situations, courts have ordered disclosure of personal information contained in applications for licenses to carry concealed weapons,127 the names and addresses of residential water customers who exceeded their water allocation under a rationing ordinance,128 and the names of donors to a universityaffiliated foundation, even though those donors had requested anonymity.129 Posting Personal Information of Elected/Appointed Officials on the Internet The Act prohibits a state or local agency from posting on the Internet the home address or telephone number of any elected or appointed officials without first obtaining their written permission.130 This section also prohibits someone from knowingly posting on the Internet the home address or telephone number of any elected or appointed official or the official’s “residing spouse” or child, and either threatening or intending to cause imminent great bodily harm. It also prohibits a person, business or association from publicly posting or displaying on the Internet the home address or telephone number of any elected or appointed official where the official has made a written demand not to disclose his address or phone number. If an official makes such a written demand, it must include a statement describing a threat or fear for the safety of the official or any person residing at the official’s home address. The written demand is effective for four years, regardless of the length of the official’s term of office. Remedies include injunctive or declarative relief, misdemeanor or felony prosecution, and treble damages of not less than $4,000.131 Personnel Records
“Personnel, medical, or similar files, the disclosure of which would constitute an unwarranted invasion of personal privacy” are exempt from disclosure.132 The express policy declaration at the beginning of the Act “bespeaks legislative concern for individual privacy as well as disclosure.”133 Courts have continued to recognize that public employees have a constitutionally protected interest in their personnel files; however, recent decisions from the California Supreme Court have determined that public employees do not have a reasonable expectation of privacy in their names and salary information and their dates of employment.

This interpretation also applies to police officers absent unique, individual circumstances.134 Practice Tip:

In situations where personal
contact information clearly
cannot be kept confidential,
inform the affected members
of the public that their
personal contact information
is subject to disclosure
pursuant to the Act.

Practice Tip:

It is important to separate
potential attorney
client communications
from other records
and make certain that
privileged attorney client
communications are not
unintentionally submitted
to the court for inspection.
266
30 THE PEOPLE’S BUSINESS Q Chapter 4: Exemptions
In addition, the public interest exemption may protect certain personnel records from disclosure.135 In determining whether to allow access to personnel files, the courts have determined that the tests are essentially the same. The extent of the employee’s privacy interest in certain information and the harm from its unwarranted disclosure is weighed against the public interest in disclosure. The public interest in disclosure will be considered in the context of the extent to which the disclosure of the information will shed light on the local agency’s performance of its duties.136 Concerning allegations of non-law enforcement public employee misconduct, courts have upheld the public interest against disclosure of “trivial or groundless charges.” When “the charges are found true, or discipline is imposed,” the public interest favors disclosure. In addition, “where there is reasonable cause to believe the complaint to be well founded, the right of public access to related public records exists.”137 Peace Officer Personnel Records
Peace officer personnel records fall within the category of records, “the disclosure of which is exempted or prohibited pursuant to federal or state law....” These records are confidential and privileged.139 The discovery and disclosure of the personnel records of peace officers are governed exclusively by statutory provisions contained in the Evidence Code and Penal Code. Peace officer personnel records and records of citizen complaints “. . . or information obtained from these records . . .” are confidential and “shall not” be disclosed in any criminal or civil proceeding except by discovery pursuant to statutorily prescribed procedures.140
Peace officer “personnel records” include personal data, medical history, appraisals and discipline, complaints and investigations relating to events perceived by the officer or relating to the manner in which his or her duties were performed, and any other information the disclosure of which would constitute an unwarranted invasion of privacy.141 The names, salary information and employment dates and departments of peace officers have been determined to be disclosable records.142 While the Penal and Evidence Code privileges are not per se applicable in federal court, federal common law recognizes a qualified privilege for “official information” and considers government personnel files to be “official information.”143 Such a qualified privilege in federal court results in a very similar weighing of the potential benefits of disclosure against potential disadvantages.144 Employment Contracts and Employee Salaries
Every employment contract between a state or local agency and any public official or public employee is a public record that is not exempt under either the personnel or public interest exemption.146 Thus, for example, one court has held that two letters in a city firefighter’s personnel file were part of his employment contract and could not be withheld under either the employee’s right to privacy in his personnel file or the public interest exemption.147
With or without an employment contract, the names and salaries (including performance bonuses and overtime) of public employees, including peace officers, are subject to disclosure under the Act.148 Public employees do not have a reasonable expectation that their salaries will remain a private matter. In addition, there is a strong public interest in knowing how the government spends its money. Therefore, absent unusual circumstances, the names and salaries of public employees are not subject to either the personnel exemption or the public interest exemption. Similarly, peace officer salary information is not exempted from disclosure under the Act. Thus, absent unique, individual circumstances such as where a peace officer’s anonymity is essential to his or her safety, the names and salaries of peace officers are subject to disclosure under the Act.149
Practice Tip:

California courts continue
to look for guidance to
provisions of the Federal
Freedom of Information Act
(FOIA), on which the Act
was modeled, as well as
federal cases interpreting
the FOIA relative to
personnel records.138
Practice Tip:

The appropriate procedure
for obtaining information
in protected peace officer
personnel files is to file a
motion commonly known as
a “Pitchess” motion, which
by statute entails a two-part
process involving first a
determination by the court
regarding good cause for
disclosure and materiality of
the information sought, and
a subsequent confidential
review by the court of the
files, where warranted.145
267
THE PEOPLE’S BUSINESS Q Chapter 4: Exemptions 31
Contractor Payroll Records
State law establishes requirements for maintaining and disclosing certified payroll records for workers employed on public works projects subject to payment of prevailing wages.150 State law requires contractors to make certified copies of payroll records available to employees and their representatives, representatives of the awarding body, the Department of Industrial Relations, and the public.151 Requests are to be made through the awarding agency or the Department of Industrial Relations, and the requesting party is required to reimburse the cost of preparation to the contractor, subcontractors, and the agency through which the request is made prior to being provided the records.152 Contractors are required to file certified copies of the requested records with the requesting entity within ten days of receipt of a written request.153
However, state law also limits access to contractor payroll records.

Employee names, addresses and social security numbers must be redacted from certified payroll copies provided to the public or any local agency by the awarding body or the Department of Industrial Relations.154 Only the name and social security number are to be redacted from certified payroll copies provided to joint labormanagement committees established pursuant to the federal Labor Management Cooperation Act of 1978.155 The name and address of the contractor or subcontractor may not be redacted.156 The Director of the Department of Industrial Relations has adopted regulations governing release of certified payroll records and applicable fees.157 Such regulations require that requests for certified payroll records be in writing and contain certain specified information regarding the awarding body, the contract and the contractor; require awarding agency acknowledgement of requests; specify required contents of awarding agency requests to contractors for payroll records; and set fees to be paid in advance by persons seeking payroll records.158 Test Questions and Other Examination Data
The Act exempts from disclosure test questions, scoring keys and other examination data used to administer a licensing examination, examination for employment, or academic examination, except as provided in the portions of the Education Code that relate to standardized tests.159 Thus, for example, a local agency is not required to disclose the test questions it uses for its employment examinations. State law provides that standardized test subjects may, within 90 days of the release of test results to the test subject, have limited access to test questions and answers upon request to the test sponsor.160 This limited access may be either through an in-person examination or by release of certain information to the test subject.161 The Education Code also requires that test sponsors prepare and submit certain reports regarding standardized tests and test results to the California Postsecondary Education Commission.162 All such reports and information submitted to the Commission are public records subject to disclosure under the Act.163 Public Contracting Documents
Final contracts with local agencies are generally disclosable public records due to the public’s right to determine whether public resources are being spent for the benefit of the community as a whole or the benefit of only a limited few.164 When the bids or proposals leading up to those final contracts become disclosable depends largely upon the types of contracts involved.

For example, local agency contracts for construction of public works, and procurement of goods and non-professional services are typically awarded to the lowest responsive, responsible bidder through a competitive bidding process.165 Bids for these contracts are usually submitted to local agencies under seal 268
32 THE PEOPLE’S BUSINESS Q Chapter 4: Exemptions
and then publicly opened at a designated time and place. These bids are public records and disclosable as soon as they are opened.

Other local agency contracts for acquisition of professional services or disposition of property are awarded to the successful proposer through a competitive proposal process. As part of this process, interested parties submit proposals that are evaluated by the local agency and are used to negotiate with the winning proposer.

While the public has a strong interest in scrutinizing the process leading to the selection of the winning proposer, the local agency’s interest in keeping these proposals confidential frequently outweighs the public’s interest in disclosure until negotiations with the winning proposer are complete.166 If a winning proposer has access to the specific details of other competing proposals, then the local agency is greatly impaired in its ability to secure the best possible deal on its constituents’ behalf.

Some local agencies pre-qualify prospective bidders through a request for qualifications process. The prequalification packages submitted, including questionnaire answers and financial statements, are exempt public records and are not open to public inspection.167 Nevertheless, documents containing the names of contractors applying for pre-qualification status are public records and must be disclosed. In addition, the contents of pre-qualification packages may be disclosed to third parties during the verification process, in an investigation of substantial allegations or at an appeal hearing.

Real Estate Appraisals and Engineering Evaluations
The Act requires the disclosure of the contents of real estate appraisals or engineering or feasibility estimates and evaluations made for or by the state or a local agency relative to the acquisition of property, or to prospective public supply and construction contracts, but only when all of the property has been acquired or when all of the contract agreement obtained.168 By its plain terms, this exemption only applies while the acquisition or prospective contract is pending. Once all the property is acquired or all of the contract agreement obtained, the exemption will not apply. In addition, this exemption is not intended to supersede the law of eminent domain.169 Thus, for example, this exemption would not apply to appraisals of owner-occupied residential property of four units or less, where disclosure of such appraisals is required by the Eminent Domain Law or related laws such as the California Relocation Assistance Act.170 Recipients of Public Services
Disclosure of information regarding food stamp recipients is prohibited.171 Subject to certain exceptions, disclosure of confidential information pertaining to applicants for or recipients of public social services for any purpose unconnected with the administration of the welfare department also is prohibited.172 This latter prohibition does not create a privilege.173
Housing Authority Tenants
Leases and lists or rosters of tenants of the Housing Authority are confidential and shall not be open to inspection by the public, but shall be supplied to the respective governing body on request.174 A Housing Authority has a duty to make available public documents and records of the Authority for inspection, except any applications for eligibility and occupancy that are submitted by prospective or current tenants of the Authority.175
The Act exempts from disclosure records that are the residence address of any person contained in the records of the Department of Housing and Community Development, if the person has requested confidentiality of that information in accordance with section 18081 of the Health and Safety Code.176 Practice Tip:

Local agencies should clearly
advise bidders and proposers
in their Requests for Bids and
Requests for Proposals what
bid and proposal documents
will be disclosable public
records and when they will
be disclosable to the public.
269
THE PEOPLE’S BUSINESS Q Chapter 4: Exemptions 33
Taxpayer Information
Where information that is required from any taxpayer in connection with the collection of local taxes is received in confidence and where the disclosure of that information would result in an unfair competitive disadvantage to the person supplying the information, the information is exempt from disclosure.177 Sales and use tax records may be used only for tax administration. Unauthorized disclosure or use of confidential information contained in these records can give rise to criminal liability.178 Trade Secrets and Other Proprietary Information
As part of the award and administration of public contracts, businesses will often give local agencies information that the businesses would normally consider to be proprietary. There are three exemptions that businesses often use to attempt to protect this proprietary information – the official information privilege, the trade secret privilege, and the public interest exemption.179 However, California’s strong public policy in favor of disclosure of public records precludes local agencies from protecting most business information. Both the official information privilege and the public interest exemption require that the public interest in nondisclosure clearly outweighs the public interest in disclosure. While these provisions were designed to protect legitimate privacy interests, California courts have consistently held that when individuals or businesses voluntarily enter into the public sphere, they diminish their privacy interests.180 Courts have further concluded that the public interest in disclosure overrides alleged privacy interests. For example, a court ordered a university to release the names of anonymous contributors who received license agreements for luxury suites at the school’s sports arena.

Another court ordered a local agency to release a waste disposal contractor’s private financial statements used by the local agency to approve a rate increase.181 The trade secret privilege is for information, including a formula, pattern, compilation, program, device, method, technique or process, that: (1) derives independent economic value, actual or potential, from not being generally known to the public or to other persons who can obtain economic value from its disclosure or use; and (2) is the subject of efforts that are reasonable under the circumstances to maintain its secrecy.182
However, even when records contain trade secrets, local agencies must determine whether disclosing the information is in the public interest. When businesses give local agencies proprietary information, courts will examine whether disclosure of that information serves the public interest.183 The Act contains several exemptions that address specific types of information that may constitute a trade secret — pesticide safety and efficacy information,184 air pollution data,185 and corporate siting information.186 Other exemptions cover types of information that could include but are not limited to trade secrets — for example, certain information on plant production, utility systems development data, and market or crop reports.187
Utility Customer Information
Personal information expressly protected from disclosure under the Act includes names, credit histories, usage data, home addresses and telephone numbers of local agencies’ utility customers.188 This exception is not absolute, and customers’ names, utility usage data and home addresses may be disclosable in certain situations. For example, disclosure is required when requested either by a customer’s agent or authorized family member,189 an officer or employee of another governmental agency when necessary for performance of official duties,190 by court 270
34 THE PEOPLE’S BUSINESS Q Chapter 4: Exemptions
order or request of a law enforcement agency relative to an ongoing investigation,191 when the local agency determines the customer used utility services in violation of utility policies,192 or if the local agency determines the public interest in disclosure clearly outweighs the public interest in nondisclosure.193 Utility customers who are local agency officials with authority to determine their agency’s utilities usage policies have lesser protection of their personal information because their names and usage data are disclosable upon request.194

Q PUBLIC INTEREST EXEMPTION
The Act establishes a “public interest” or “catchall” exemption that permits local agencies to withhold a record if the agency can demonstrate that on the facts of the particular case the public interest served by not making the record public clearly outweighs the public interest served by disclosure of the record.195 Weighing the public interest in nondisclosure and the public interest in disclosure under the public interest exemption is often described as a balancing test.196 The Act does not specifically identify the public interests that might be served by not making the record public, but the nature of those interests may be inferred from specific exemptions contained in the Act. The scope of the public interest exemption is not limited to specific categories of information or established exemptions or privileges. Each request for records must be considered on the facts of the particular case in light of the competing public interests.197 The records and situations to which the public interest exemption may apply are open-ended, and when it applies, the public interest exemption alone is sufficient to justify nondisclosure of local agency records.

The courts have relied exclusively on the public interest exemption to uphold nondisclosure of local agency records containing names, addresses and phone numbers of airport noise complainants, proposals to lease airport land prior to conclusion of lease negotiations, and information kept in a public defender’s database about police officers.198
The public interest exemption is versatile and flexible, in keeping with its purpose of addressing circumstances not foreseen by the Legislature. For example, in one case, the court held local agencies could properly consider the burden of segregating exempt from nonexempt records when applying the balancing test under the public interest exemption.200 In that case, the court held that the substantial burden of redacting exempt information from law enforcement intelligence records outweighed the marginal and speculative benefit of disclosing the remaining nonexempt information. In another case, the court applied the balancing test to the time of disclosure to hold that public disclosure of competing proposals for leasing city airport property could properly await conclusion of the negotiation process.201 The requirement that the public interest in nondisclosure must “clearly outweigh” the public interest in disclosure for records to qualify as exempt under the public interest exemption is important and emphasized by the courts. Justifying nondisclosure under the public interest exemption demands a clear overbalance on the side of confidentiality.202 Close calls usually do not qualify for an exemption. There are a number of examples of cases where a clear overbalance was not present to support nondisclosure under the public interest exemption. The courts have held that the following are all subject to disclosure under the public interest exemption balancing test: the identities of individuals granted criminal conviction exemptions to work in licensed day care facilities and the facilities employing them; records relating to unpaid state warrants; court records of a settlement between the insurer for a school district and a minor sexual assault victim; applications for concealed weapons permits; letters appointing then rescinding an appointment to a local agency position; and the identities and license agreements of purchasers of luxury suites in a university arena.203 Practice Tip:

The public interest
exemption balancing
test weighs only public
interests—the public
interest in disclosure
and the public interest
in nondisclosure. Agency
interests or requester
interests that are not also
public interests are not
considered.199
271
THE PEOPLE’S BUSINESS Q Chapter 4: Exemptions 35
Deliberative Process Privilege
The public interest exemption incorporates the deliberative process privilege.204 Like the “drafts” exemption, the deliberative process privilege derives from the FOIA “memorandums” exemption and its implementation of the executive or deliberative process privilege.205 Congress’ main concern in enacting the “memorandums” exemption was that frank discussion of legal or policy matters might be inhibited if subject to public scrutiny, and that efficiency of government would be greatly hampered if, with respect to such matters, local agencies were forced to operate in a fishbowl.206 The deliberative process privilege is based on the policy of protecting the decision-making processes of government agencies, and the notion that access to a broad array of opinions and the freedom to seek all points of view, to exchange ideas, and to discuss policies in confidence are essential to effective governance in a representative democracy. The deliberative process privilege is similar to the common law privilege protecting against the disclosure of the mental processes of legislators. To prevent injury to the quality of executive decisions, the courts have focused on protecting communications to the decision maker before the decision is made. Courts have treated communications subsequent to the legislative decision as outside of the recognized privilege.207
The California Supreme Court has acknowledged that even purely factually material may be exempt from disclosure because it exposes the deliberative process. In applying the deliberative process privilege, courts focus more on the effect of the records’ release and less on the nature of the records sought. The key question is whether the disclosure of materials would expose an agency’s decision making process in such a way as to discourage candid discussion within the agency and thereby undermine the agency’s ability to perform its functions.208
The California Supreme Court has applied this analysis to uphold nondisclosure of the Governor’s calendars concerning both past and future meetings. California appellate courts have relied on the deliberative process privilege to uphold nondisclosure of the names and qualifications of applicants for temporary appointment to a local board of supervisors, names and background information about applicants for a county supervisor’s seat, and the telephone numbers of calls made and received by local agency council members from cellular phones and second phones in home offices.209
Q EFFECT OF PROPOSITION 59 ON EXEMPTIONS
At the November 2, 2004 general election, the voters of California passed Proposition 59 which amended the California Constitution to include a public right of access to public records.

The Constitution specifically provides: “The people have the right of access to information concerning the conduct of the people’s business, and therefore the meetings of public bodies and the writings of public officials and agencies shall be open to public scrutiny.”210 Thus, after enactment of Proposition 59, the right of public access to documents is not simply statutory, but a basic right under the Constitution. In furtherance of that goal, the constitutional provision states that a “statute, court rule, or other authority, including, those in effect on the effective date of this subdivision, shall be broadly construed if it furthers the people’s right of access, and narrowly construed if it limits the right of access.”211 It also provides that any statute enacted after its effective date that limits the right of access must be adopted with findings identifying the interest protected by the limitation and the need for protecting that interest.212 Practice Tip:

The main difference
between the deliberative
process privilege and the
closely related “drafts”
exemption is that the
deliberative process
privilege may exempt from
disclosure records that an
agency normally retains.
272
36 THE PEOPLE’S BUSINESS Q Chapter 4: Exemptions
Although Proposition 59 elevated the right of access to public records to constitutional stature, it appears to be simply declarative of existing law in terms of existing statutory exemptions. For example, while the Constitution states that an existing exemption must be narrowly
construed,213 this is consistent with longstanding case authority.214 Moreover, the Constitution states that “[t]his subdivision does not repeal or nullify, expressly or by implication, any constitutional or statutory exception
to the right of access to public records or meetings of public bodies that is in effect on the effective date of this subdivision, including, but not limited to, any statute protecting the confidentiality of law enforcement and
prosecution records.”215
No published opinion has extensively analyzed the impact of Proposition 59 on the exemptions in the Act.

However, one court summarily noted that as to construction of the specific exemptions under the Act, it was simply declarative of existing law.216 In addition, in three separate opinions, the California Attorney General has concluded that Proposition 59 did not alter the application of exemptions under the Act that existed at the time of its enactment.217 Enactment of Proposition 59 underscores the general principle that public access to records is the rule, and nondisclosure the exception, only to be invoked in narrow circumstances after careful consideration.218
273
THE PEOPLE’S BUSINESS Q Chapter 4: Exemptions 37
Endnotes
1 State of California ex rel Division of Industrial Safety v. Superior Court (1974) 43 Cal.App.3d 778; Fairley v. Superior Court (1998) 66 Cal.App.4th 1414.
2 San Gabriel Tribune v. Superior Court (1983) 143 Cal.App.3d 762; Fairley v. Superior Court (1998) 66 Cal.App.4th 1414; see “Effect of Proposition 59 on Exemptions,” p. 35. 3 Gov. Code, § 6254, subd. (k).
4 Gov. Code, § 6255; see also “Public Interest Exemption,” p. 34. 5 See, for example, “Attorney Client Communications and Attorney Work Product,” p. 19 and “Medical Privacy Laws,” p. 25.
6 U.S.C. title 17.
7 Gov. Code, § 6254, subd. (k).
8 17 U.S.C. § 101.
9 17 U.S.C. § 102(A)(8).
10 17 U.S.C. § 107.
11 Health & Saf. Code, § 19851.
12 Health & Saf. Code, § 19851.
13 Health & Saf. Code, § 19851.
14 89 Ops.Cal.Atty.Gen. 39 (2006).
15 Gov. Code, § 6254, subd. (k).
16 Fairley v. Superior Court (1998) 66 Cal.App.4th 1414; see also “Official Information Privilege,” p. 27. 17 U.S. v. Amlani (9th Cir. 1999) 169 F.3d 1189; Clarke v. American Commerce Nat. Bank (9th Cir. 1992) 974 F.2d 127; Smith v. Laguna Sur Villas Community Assn. (2000) 79 Cal.App.4th 639. 18 Bus. & Prof. Code, § 6149 [a written fee contract shall be deemed to be a confidential communication within the meaning of section 6068, subdivision (e) of the Business & Professions Code and section 952 of the Evidence Code]; Evid. Code, § 952 [“Confidential communication between client and lawyer”]; Evid. Code, § 954 [attorney client privilege].
19 Evid. Code § 912. See also Gov. Code § 6254.5 and “Waiver”, p. 13. 20 See Rules Prof. Conduct, rule 3-600.
21 Gov. Code, § 6254, subd. (f); State of California ex rel. Division of Industrial Safety v. Superior Court (1974) 43 Cal.

App.3d 778; Haynie v. Superior Court (2001) 26 Cal.4th 1061; see “Law Enforcement Records,” p. 22. 22 State of California ex rel. Division of Industrial Safety v. Superior Court (1974) 43 Cal.App.3d 778; Haynie v. Superior Court (2001) 26 Cal.4th 1061.
23 San Jose v. Superior Court (1999) 74 Cal.App.4th 1008; see “Official Information Privilege,” p. 27, “Identity of Informants,” p. 21, and “Public Interest Exemption,” p. 34. 24 Gov. Code, § 6254, subd. (a).
25 Gov. Code, § 6254, subd. (a); 5 U.S.C. § 552(b)(5).
26 Times Mirror Co. v. Superior Court (1991) 53 Cal.3d 1325. 27 Citizens for a Better Environment v. Department of Food and Agriculture (1985) 171 Cal.App.3d 704. 28 Citizens for a Better Environment v. Department of Food and Agriculture (1985) 171 Cal.App.3d 704. 29 Times Mirror Co. v. Superior Court (1991) 53 Cal.3d 1325. 30 Citizens for a Better Environment v. Department of Food and Agriculture (1985) 171 Cal.App.3d 704. 31 Citizens for a Better Environment v. Department of Food and Agriculture (1985) 171 Cal.App.3d 704. 32 Gov. Code, § 6254.4.
33 Elec. Code, § 2194.
34 Gov. Code, § 6254.4(c).
35 Elec. Code, § 2194, subd. (c).
36 Elec. Code, § 2194, subd. (c)(2).
37 Gov. Code, § 6253.6.
38 Gov. Code, § 6253.5.
39 Gov. Code, § 6253.5.
40 Evid. Code, § 1041; People v. Navarro (2006) 138 Cal.App.4th 146. 41 People v. Hobbs (1994) 7 Cal.4th 948.
42 Gov. Code, § 6254, subd. (f).
43 Haynie v. Superior Court (2001) 26 Cal.4th 1061; 65 Ops.Cal.Atty.Gen. 563 (1982). 274
38 THE PEOPLE’S BUSINESS Q Chapter 4: Exemptions
44 Gov. Code, § 6254, subd. (f)(2).
45 Rackauckas v. Superior Court (2002) 104 Cal.App.4th 169. 46 Rivero v. Superior Court (1997) 54 Cal.App.4th 1048; Williams v. Superior Court (1993) 5 Cal.4th 337. 47 Haynie v. Superior Court (2001) 26 Cal.4th 1061 [911 tapes]. 48 86 Ops.Cal.Atty.Gen. 132 (2003) [booking photos].
49 Gov. Code, § 6254, subd. (f).
50 Gov. Code, § 13951, subd. (b).
51 Gov. Code, § 6254, subd. (f).
52 Veh. Code, § 20012.
53 Gov. Code, § 6254, subd. (f)(1).
54 Rosenthal v. Hansen (1973) 34 Cal.App.3d 754.
55 Gov. Code, § 6253.9, subd. (a).
56 Gov. Code, § 6254, subd. (f)(2).
57 Pen. Code, § 841.5, subd. (a).
58 Gov. Code, § 6254, subd. (f).
59 Gov. Code, § 6254, subd. (f)(3); Pen. Code, § 841.5; Los Angeles Police Dept. v. United Reporting Pub. Corp. (1999) 528 U.S. 32 [120 S.Ct. 483].
60 Welf. & Inst. Code, §§ 5150, 5328.
61 Welf. & Inst. Code, § 5330.
62 Welf. & Inst. Code, § 15633.
63 Welf. & Inst. Code, §15633.
64 Welf. & Inst. Code, § 15633.
65 Welf. & Inst. Code, §§ 827, 828; see Welf. & Inst. Code, § 827.9 [applies to Los Angeles County only]; see also T.N.G. v. Superior Court (1971) 4 Cal.3d 767 [release of information regarding minor who has been temporarily detained and released without any further proceedings.]
66 Welf. & Inst. Code, § 827.
67 Welf. & Inst. Code, § 828, subd. (a); Cal. Rules of Court, rule 5.552(g). 68 Welf. & Inst. Code, § 828, subd. (b).
69 Pen. Code, §§ 11165.6, 11165.7, 11167.5 & 11169.
70 Pen. Code, § 11167.5, subd. (a).
71 Gov. Code, § 6254, subd. (j).
72 Gov. Code, § 6267.
73 Gov. Code, §§ 6254, subd. (j) & 6267.
74 Gov. Code, § 6254, subd. (n).
75 San Gabriel Tribune v. Superior Court (1983) 143 Cal.App.3d 762. 76 Evid. Code, § 990 et seq.; Civ. Code, § 56 et seq.; 42 U.S.C. § 1320d. 77 Gov. Code, § 6254, subd. (k).
78 Both section 6254, subd. (c) and section 6254, subd. (k) of the Act probably apply to most records protected under the physician/patient privilege, the Confidentiality of Medical Information Act, or the Health Insurance Portability and Accountability Act. Section 6254, subdivision (c) of the Act exempts from disclosure “[p]ersonnel, medical, or similar files the disclosure of which would constitute an unwarranted invasion of personal privacy.” Section 6254, subdivision (k) of the Act exempts “[r]ecords, the disclosure of which is exempted or prohibited pursuant to federal or state law, including, but not limited to, provisions of the evidence Code relating to privilege.” Protected individually identifiable health information is probably also exempt from disclosure under the “public interest” exemption in section 6255 of the Act.
79 Evid. Code, § 994.
80 Evid. Code, § 992.
81 Civ. Code, §§ 56.10, subd. (a), 56.05, subd. (g). “Provider of health care” as defined means persons licensed under section 500 and following of the Business and Professions Code or section 1797 and following of the Health and Safety Code, and clinics, health dispensaries or health facilities licensed under section 1200 and following of the Health and Safety Code. “Health care service plan” as defined means entities regulated under Health and Safety Code section 1340 and following. “Contractor” as defined means medical groups, independent practice associations, pharmaceutical benefits managers and medical service organizations that are not providers of health care or health care service plans.
82 Civ. Code, § 56.20.
83 Civ. Code, § 56.05, subd. (g).
84 Civ. Code, § 56.35.
275
THE PEOPLE’S BUSINESS Q Chapter 4: Exemptions 39
85 Civ. Code, § 56.36, subds. (a), (b).
86 Civ. Code, § 56.36, subd. (c)(1).
87 Civ. Code, § 56.36, subd. (c)(2).
88 Health Insurance Portability and Accountability Act of 1996, Pub.L. No. 104-192, § 261 (Aug. 24, 1996) 110 Stat. 1936; 42 U.S.C. § 1320d.
89 42 U.S.C. § 1320d-1–d-3, Health and Human Services Summary of the Privacy Rule, May, 2003. The final privacy regulations were issued in December, 2000 and amended in August, 2002. The definitions of “health information” and “individually identifiable health information” in the privacy regulations are in 45 Code of Federal Regulations part 160.103. The general rules governing use and disclosure of protected health information are in 45 Code of Federal Regulations part 164.502.
90 42 U.S.C. § 1320d-6. Federal law defines “individually identifiable health information” as any information collected from an individual that is created or received by a health care provider, health plan, employer or health care clearing house, that relates to the past, present, or future physical or mental health or condition of an individual, the provision of health care to an individual, or the past, present or future payment for the provision of health care to an individual, and that identifies the individual, or with respect to which there is a reasonable basis to believe that the information can be used to identify the individual. 91 42 U.S.C. §1320d-5.
92 Gov. Code, § 6254, subd. (c).
93 Gov. Code, § 6254, subd. (k).
94 Lab. Code, § 138.7, subd. (a).
95 Lab. Code, § 138.7.
96 Lab. Code, §§ 5501.5 & 138.7.
97 Gov. Code, § 6254, subd. (c).
98 Lab. Code, § 138.7.
99 Evid. Code, § 1040.
100 White v. Superior Court (2002) 102 Cal.App.4th Supp. 1. 101 Evid. Code, § 1040, subd. (b).
102 Gov. Code, § 6255.
103 The term “in camera” refers to a review of the document in the judge’s chambers outside the presence of the requesting party.
104 Shepherd v. Superior Court (1976) 17 Cal.3d 107.
105 Department of Motor Vehicles v. Superior Court (2002) 100 Cal.App.4th 363; California State University, Fresno Assn., Inc. v. Superior Court (2001) 90 Cal.App.4th 810; County of Orange v. Superior Court (2000) 79 Cal.App.4th 759. 106 Evid. Code, § 1040, subd. (a).
107 Department of Motor Vehicles v. Superior Court (2002) 100 Cal.App.4th 363. 108 Gov. Code, § 6254, subd. (b).
109 Fairley v. Superior Court (1998) 66 Cal.App.4th 1414; City of Hemet v. Superior Court (1995) 37 Cal.App.4th 1411. 110 Fairley v. Superior Court (1998) 66 Cal.App.4th 1414; City of Hemet v. Superior Court (1995) 37 Cal.App.4th 1411. 111 Wilder v. Superior Court (1998) 66 Cal.App.4th 77.
112 Poway Unified School Dist. v. Superior Court (1998) 62 Cal.App.4th 1496. 113 City of Los Angeles v. Superior Court (1996) 41 Cal.App.4th 1083. 114 Register Div. of Freedom Newspapers, Inc. v. County of Orange (1984) 158 Cal.App.3d 893. 115 See “Medical Privacy Laws,” p. 25.
116 Register Div. of Freedom Newspapers, Inc. v. County of Orange (1984) 158 Cal.App.3d 893. 117 See “Law Enforcement Records,” p. 22.
118 D.I. Chadbourne, Inc. v. Superior Court (1964) 60 Cal.2d 723; City of Hemet v. Superior Court (1995) 37 Cal.App.4th 1411.
119 Gov. Code, § 6255.
120 Evid. Code, § 950 et seq.
121 Code Civ. Proc., § 2018.030.
122 City of Los Angeles v. Superior Court (1996) 41 Cal.App.4th 1083. 123 Roberts v. City of Palmdale (1993) 5 Cal.4th 363 [attorney client privilege]; Fellows v. Superior Court (1980) 108 Cal.

App.3d 55 [work product protection].
124 Gov. Code, § 6259; Evid. Code, § 915, subd. (a).
125 Gov. Code, § 6255, subd. (a).
126 City of San Jose v. Superior Court (1999) 74 Cal.App.4th 1008. 127 CBS, Inc. v. Block (1986) 42 Cal.3d 646.
276
40 THE PEOPLE’S BUSINESS Q Chapter 4: Exemptions
128 New York Times Co. v. Superior Court (1990) 218 Cal.App.3d 1579. 129 California State University, Fresno Assn., Inc. v. Superior Court (2001) 90 Cal.App.4th 810. 130 See Gov. Code, § 6254.21, subd. (f) [containing a non-exhaustive list of individuals who qualify as “elected or appointed official[s]”].
131 Gov. Code, § 6254.21.
132 Gov. Code, § 6254, subd. (c).
133 Black Panther Party v. Kehoe (1974) 42 Cal.App.3d 645; American Civil Liberties Union Foundation v. Deukmejian (1982) 32 Cal.3d 440.
134 International Federation of Professional and Technical Engineers, Local 21, AFL-CIO v. Superior Court (2007) 42 Cal.4th 319; Commission on Peace Officer Standards And Training v. Superior Court (2007) 42 Cal.4th 278. 135 Gov. Code, § 6255; BRV, Inc. v. Superior Court (2006) 143 Cal.App.4th 742; see also, Copley Press, Inc. v. Superior Court (2006) 39 Cal.4th 1272; see Chapter 4(c).
136 International Federation of Professional and Technical Engineers, Local 21, AFL-CIO v. Superior Court (2007) 42 Cal.4th 319; Commission on Peace Officer Standards And Training v. Superior Court (2007) 42 Cal.4th 278; BRV, Inc. v. Superior Court (2006) 143 Cal.App.4th 742; American Federation of State etc. Employees v. Regents of University of California (1978) 80 Cal.App.3d 913.
137 American Federation of State etc. Employees v. Regents of University of California (1978) 80 Cal.App.3d 913; Bakersfield City School Dist. v. Superior Court (2004) 118 Cal.App.4th 1041. 138 City of San Jose v. Superior Court (1999) 74 Cal.App.4th 1008; Detroit Edison Co. v. NLRB (1979) 440 U.S. 301 [court found a reasonable expectation of privacy in one’s personnel files]; American Civil Liberties Union Foundation v. Deukmejian (1982) 32 Cal.3d 440.
139 Gov. Code, § 6254, subd. (k); Pen. Code, § 832.7; City of Hemet v. Superior Court (1995) 37.Cal.App.4th 1411. 140 Pen. Code, § 832.7; Evid. Code, §§ 1043, 1046.
141 Pen. Code, § 832.8.
142 International Federation of Professional and Technical Engineers, Local 21, AFL-CIO v. Superior Court (2007) 42 Cal.4th 319; Commission on Peace Officer Standards And Training v. Superior Court (2007) 42 Cal.4th 278. 143 Sanchez v. City of Santa Ana (9th Cir. 1990) 936 F.2d 1027, cert. denied (1991) 502 U.S. 957; Miller v. Pancucci (C.D.Cal. 1992) 141 F.R.D. 292.
144 Evid. Code, § 1043 et seq.; Guerra v. Board of Trustees (9th Cir. 1977) 567 F.2d 352; Kerr v. United States Dist.

Court for Northern Dist. (9th Cir. 1975) 511 F.2d 192, aff’d, (1976) 426 U.S. 394; Garrett v. City and County of San Francisco (9th Cir. 1987) 818 F.2d 1515.
145 People v. Mooc (2001) 26 Cal.4th 1216; People v. Thompson (2006) 141 Cal.App.4th 1312; City of San Jose v. Superior.

Court (1998) 67 Cal.App.4th 1135.
146 Gov. Code, § 6254.8.
147 Braun v. City of Taft (1984) 154 Cal.App.3d 332.
148 International Federation of Professional and Technical Engineers, Local 21, AFL-CIO v. Superior Court (2007) 42 Cal.4th 319 [holding that the names and salaries of public employees earning $100,000 or more per year, including peace officers, are subject to disclosure under the Act]. 149 Commission on Peace Officer Standards And Training v. Superior Court (2007) 42 Cal.4th 278. 150 Lab. Code, § 1776.
151 Lab. Code, § 1776, subd. (b).
152 Lab. Code, § 1776, subd. (c).
153 Contractors and subcontractors that fail to do so may be subject to a penalty of $25 per worker for each calendar day until compliance is achieved. Lab. Code, § 1776, subds. (d), (g). 154 Lab. Code, § 1776, subd. (e).
155 Lab. Code, § 1776, subd. (e).
156 Lab. Code, § 1776, subd. (e).
157 Lab. Code, § 1776, subd. (i); see Lab. Code § 16400 et seq. 158 California Code Regs., tit. 8, §§ 16400, 16402.
159 Gov. Code, § 6254, subd. (g).
160 Ed. Code, § 99157, subd. (a); Brutsch v. City of Los Angeles (1982) 3 Cal.App.4th 354. 161 Ed. Code, § 9915, subds. 7(a) & (b).
162 Ed. Code, §§ 99153 & 99154.
163 Ed. Code, § 99162.
164 California State University, Fresno Assn., Inc. v. Superior Court (2001) 90 Cal.App.4th 810. 165 Pub. Contract Code, § 22038.
166 Gov. Code, § 6255; Michaelis, Montanari & Johnson v. Superior Court (2006) 38 Cal.4th 1065. 167 Pub. Contract Code, §§ 10165, 10506.6, 10763, 20101, 20111.5, 20209.7, 20209.26 & 20651.5. 277
THE PEOPLE’S BUSINESS Q Chapter 4: Exemptions 41
168 Gov. Code, § 6254, subd. (h).
169 Gov. Code, § 6245, subd. (h).
170 Gov. Code, § 7267.2, subd. (c).
171 Welf. & Inst. Code, § 18909.
172 Welf. & Inst. Code, § 10850.
173 Jonon v. Superior Court (1979) 93 Cal.App.3d 683.
174 Health & Saf. Code, § 34283.
175 Health & Saf. Code, § 34332, subd. (c).
176 Gov. Code, § 6254.1.
177 Gov. Code, § 6254, subd. (i); see also Rev. & Tax. Code, § 7056. 178 Rev. & Tax Code, §§ 7056 & 7056.5.
179 Evid. Code, §§ 1040 & 1060; Gov. Code, §§ 6254, subd. (k), 6255. 180 California State University, Fresno Assn., Inc. v. Superior Court (2001) 90 Cal.App.4th 810; Braun v. City of Taft (1984) 154 Cal.App.3d 332; San Gabriel Tribune v. Superior Court (1983) 143 Cal.App.3d 762. 181 California State University, Fresno Assn., Inc. v. Superior Court (2001) 90 Cal.App.4th 810; San Gabriel Tribune v.

Superior Court (1983) 143 Cal.App.3d 762.
182 Civ. Code, § 3426.1, subd. (d). This trade secret definition is set forth in the Uniform Trade Secrets Act (“UTSA”) at Civil Code section 3426.1, subdivision (d). However, Civil Code section 3426.7, subdivision (c) states that any determination as to whether disclosure of a record under the Act constitutes a misappropriation of a trade secret shall be made pursuant to the law in effect before the operative date of the UTSA. At that time, California used the Restatement definition of a trade secret, which was lengthy. See Uribe v. Howie (1971) 19 Cal.App.3d 194.

Accordingly, it is not clear that the trade secret definition that applies generally under the UTSA is the trade secret definition that applies in the context of a public records request. 183 Uribe v. Howie (1971) 19 Cal.App.3d 194.
184 Gov. Code, § 6254.2.
185 Gov. Code, § 6254.7.
186 Gov. Code, § 6254.15.
187 Gov. Code, § 6254, subd. (e).
188 Gov. Code, § 6254.16.
189 Gov. Code, § 6554.16, subd. (a).
190 Gov. Code, § 6254.16, subd. (b).
191 Gov. Code, § 6254.16, subd. (c).
192 Gov. Code, § 6254.16, subd. (d).
193 Gov. Code, § 6254.16, subd. (f).
194 Gov. Code, § 6265.16, subd. (e).
195 Gov. Code, § 6255; Times Mirror Co. v. Superior Court (1991) 53 Cal.3d 1325. 196 CBS Broadcasting, Inc. v. Superior Court (2001) 91 Cal.App.4th 892. 197 Times Mirror Co. v. Superior Court (1991) 53 Cal.3d 1325. 198 City of San Jose v. Superior Court (1999) 74 Cal.App.4th 1008; Michaelis, Montanari & Johnson v. Superior Court (2006) 38 Cal.4th 1065; Coronado Police Officers Assn. v. Carroll (2003) 106 Cal.App.4th 1001. 199 Coronado Police Officers Assn. v. Carroll (2003) 106 Cal.App.4th 1001. 200 American Civil Liberties Union Foundation v. Deukmejian (1982) 32 Cal.3d 440. 201 Michaelis, Montanari & Johnson v. Superior Court (2006) 38 Cal.4th 1065. 202 Black Panther Party v. Kehoe (1974) 42 Cal.App.3d 645. 203 CBS Broadcasting Inc., v. Superior Court (2001) 91 Cal.App.4th 892; Connell v. Superior Court (1997) 56 Cal.App.4th 601; Copley Press, Inc., v. Superior Court (1998) 63 Cal.App.4th 367; CBS, Inc. v. Block (1986) 42 Cal.App.3d 646; Braun v. City of Taft (1984) 154 Cal.App.3d 332; California State University, Fresno Assn. v. Superior Court (2001) 90 Cal.App.4th 810.
204 Gov. Code, § 6255.
205 Times Mirror Co. v. Superior Court (1991) 53 Cal.3d 1325. 206 Times Mirror Co. v. Superior Court (1991) 53 Cal.3d 1325. 207 Times Mirror Co. v. Superior Court (1991) 53 Cal.3d 1325. 208 Times Mirror Co. v. Superior Court (1991) 53 Cal.3d 1325. 209 California First Amendment Coalition v. Superior Court (1998) 67 Cal.App.4th 159; Wilson v. Superior Court (1996) 51 Cal.App.4th 1136; Rogers v. Superior Court (1993) 19 Cal.App.4th 469. 210 Cal. Const., art. I, § 3, subd. (b)(1).
211 Cal. Const., art. I, § 3, subd. (b)(2).
212 Cal. Const., art. I, § 3, subd. (b)(2).
278
42 THE PEOPLE’S BUSINESS Q Chapter 4: Exemptions
213 Cal. Const., art. I, § 3, subd. (b)(2).
214 New York Times v. Superior Court (1990) 218 Cal.App.3d 1579; San Gabriel Tribune v. Superior Court (1983) 143 Cal.App.3d 762; Rogers v. Superior Court (1993) 19 Cal.App.4th 469. 215 Cal. Const., art. I, § 3, subd. (b)(5); International Federation of Professional and Technical Engineers, Local 21, AFLCIO v. Superior Court (2007) 42 Cal.4th 319. 216 BRV, Inc. v. Superior Court (2006) 143 Cal.App.4th 742. 217 87 Ops.Cal.Atty.Gen. 181 (2004); 88 Ops.Cal.Atty.Gen. 16 (2005); 89 Ops.Cal.Atty.Gen. 204 (2006). 218 International Federation of Professional and Technical Engineers, Local 21, AFL-CIO v. Superior Court (2007) 42 Cal.4th 319.
279
CHAPTER 5:

JUDICIAL REVIEW AND REMEDIES

OVERVIEW

THE TRIAL COURT PROCESS

AND DECISION

APPELLATE REVIEW

ATTORNEY FEES AND COSTS
280
44 THE PEOPLE’S BUSINESS Q Chapter 5: Judicial Review and Remedies

Q OVERVIEW
The Act establishes a special, expedited judicial process to resolve disputes over the public’s right to inspect or receive copies of public records.1
In contrast to other governmental transparency laws such as the Ralph M. Brown Act,2
the Act contains no criminal penalties for a local agency’s failure to comply with the Act. Rather, the Act is enforced through an expedited civil judicial process in which any person may ask a judge to compel a public agency to disclose a public record or a class of public records.3 A person who
successfully enforces his or her rights under the Act is entitled to receive reasonable attorney fees and court costs.4
This chapter discusses the special rules that apply to lawsuits brought to enforce the Act.

Q THE TRIAL COURT PROCESS AND DECISION
Any person may file a civil action for injunctive or declaratory relief or writ of mandate to enforce his or her right to inspect or receive a copy of any public record under the Act.5 The action may be filed in any court
of competent jurisdiction, which typically is the superior court in the county where the records or some part of them are maintained.6
The Act does not contain a specific time period in which the action must be filed. Therefore, such action must be filed in a manner consistent with traditional actions for injunctive or declaratory relief or writ of mandate and would be subject to any limitations periods or equitable concepts such as laches applicable to such actions.

A local agency may not commence an action for declaratory relief to determine the agency’s obligation to disclose records to a member of the public under the Act.7 Allowing a local agency to seek declaratory relief
to determine whether it must disclose records to a member of the public would frustrate the Legislature’s purpose of furthering the fundamental right of every person in the state to have prompt access to information in the possession of local agencies. However, a local agency is a “person” under the Act and may maintain an action to compel the disclosure of records under the Act.8 Practice Tip:

Although the Act does not
contain criminal penalties,
violations of the Act can
lead to public criticism of
both the local agency and
the individuals involved,
payment of attorney fees by
the local agency, and other
non-criminal sanctions.

Certain local agencies may
also have local “sunshine”
ordinance policies that
make violations of the Act
grounds for discipline of
employees or officials.
281
THE PEOPLE’S BUSINESS Q Chapter 5: Judicial Review and Remedies 45 A lawsuit brought to enforce the Act is not subject to the normal time periods that apply to other civil actions. The judge in each case will establish the times for responsive pleadings and for hearings with the object of securing a decision at the earliest possible time.9 If the judge determines, based upon a verified
petition, that certain public records are being improperly withheld from a member of the public, the judge will order the officer or person withholding the records to disclose the public record or show cause why he or she should not do so.10
In a typical action under the Act, the parties will file written arguments with the court to explain why the records should be disclosed or withheld. The court will also hold a hearing to give the parties an opportunity to argue the case. If permitted by the rules of evidence.11 The judge may examine the record or records at issue in camera, that is, in the judge’s chambers and out of the presence and hearing of others, to help decide the case.12 The judge must decide the case based on a review of the record or records (if such review is permitted), the papers filed by the parties, any oral argument, and additional evidence as the court may allow.13
If the court finds that the public official’s decision to refuse disclosure is not justified under the Act, the judge shall order the public official to make the record public.14 If the judge determines that the public official was justified in refusing to make the record public, he or she shall return the item to the public official without disclosing its content with an order supporting the decision refusing disclosure.15 The court may also order some of the records to be disclosed while upholding the decision to withhold other records.

In addition, the court may order that portions of the records be redacted and compel the disclosure of the remaining portions of the records.

A local agency must disclose the public records pursuant to the trial court’s order unless a party obtains a stay of the order or judgment through a petition to the appellate court. Absent a stay, any person who fails to obey the order of the court shall be ordered to show cause why he or she is not in contempt of court.16

Q APPELLATE REVIEW
As part of the expedited judicial review process established by the Act, a trial court’s order is not considered to be a final judgment subject to the normal and often lengthy appeal process. In place of a normal appeal, such orders are subject to immediate review through the filing of a petition to the appellate court for the issuance of an extraordinary writ.17 This manner of providing for appellate review through an extraordinary writ procedure rather than a normal appeal has been held to be constitutional.18 A party seeking review of a trial court’s order must file a petition for review with the appellate court within 20 days after he or she is served with a written notice of entry of the order, or within such further time not exceeding an additional 20 days as the trial court may for good cause allow. If the written notice of entry of the order is served by mail, the period within which to file the petition is increased by five days.19 If a party wishes to prevent the disclosure of public records pending appellate review of the trial court’s decision, that party must ask the appellate court for a stay of the order or judgment. The appellate court shall not grant such a stay unless the petitioning party demonstrates both that it will sustain irreparable damage because of the disclosure and that it is probable that the party will succeed on the merits of the case in the appellate court.20
282
46 THE PEOPLE’S BUSINESS Q Chapter 5: Judicial Review and Remedies Because the trial court’s decision is not a final judgment for which there is an absolute right of appeal, the appellate court may decline to review the case without a hearing or without issuance of a detailed written opinion. However, since the intent of substituting writ review for the normal appeal process is to provide for speedier appellate review, not to provide for less appellate review, an appellate court may not deny an apparently meritorious writ petition that is timely presented and procedurally sufficient merely because the petition presents no important issue of law or because the court considers the case less worthy of its attention than other matters.21
Once a court of appeal accepts a petition for review, the appellate process proceeds in much the same fashion as a normal appeal.

The appellate court will establish a briefing schedule and set the matter for a hearing once briefing is complete. The scope of review is equivalent to the scope of review on appeal, and an appellate court will consider the merits of a trial court’s order as if the case were on appeal.22 The appellate court will conduct an independent review of the trial court’s ruling, with the factual findings made by the trial court being upheld if based on substantial evidence.23 The decision of the appellate court, whether to deny review or on the merits of the case, is subject to discretionary review by the California Supreme Court through a petition for review.

While the trial court’s decision regarding disclosure of records is not subject to the normal appeal process, other decisions of the trial court related to a lawsuit under the Act are subject to appeal. Thus, a trial court’s decision to deny attorney fees and costs under the Act is subject to appeal and is not subject to the extraordinary writ process.24 Similarly, an award of sanctions in a public records case is subject to appeal rather than a petition for an extraordinary writ.25

Q ATTORNEY FEES AND COSTS
If the plaintiff prevails in the litigation, the judge must award court costs and reasonable attorney fees to the plaintiff.26 A plaintiff will be considered the prevailing party if the lawsuit results in the disclosure of some or all of the requested records. This means that the plaintiff will likely be considered the prevailing party even when he or she has only achieved a partial victory in the lawsuit.27 In addition, a plaintiff may be considered the prevailing party when the local agency discloses some or all of the records after the lawsuit is filed but prior to a court order requiring such disclosure, if the agency’s disclosure was the result of or prompted by the lawsuit.28 On the other hand, if the local agency did not decline to provide the records but, acting diligently, was only able to disclose them after the filing of the lawsuit, the plaintiff will likely not be considered the prevailing party because the lawsuit did not result in or prompt the disclosure.29 A member of the public may be entitled to an award of attorney fees and costs even when he or she is not denominated as the “plaintiff” in the action.30 If the party is the functional equivalent of a plaintiff in a Public Records Act lawsuit—that is, if the party’s intent to invoke the Act prompted the litigation—that party may be considered the prevailing plaintiff under the Act.

The local agency, not the public official who made the decision, must pay any award of costs and fees. The award does not become a personal liability of the public official who made the decision not to disclose the public records.31
283
THE PEOPLE’S BUSINESS Q Chapter 5: Judicial Review and Remedies 47 The successful local agency defendant may seek an award of attorney fees and court costs against an unsuccessful plaintiff, but the agency will only obtain such an award in very limited circumstances. Only when the court finds that the plaintiff’s case is clearly frivolous may it award court costs and reasonable attorney fees to the local agency.32
Endnotes
1 Gov. Code, §§ 6258, 6259.
2 Gov. Code, § 54950 et seq.
3 Gov. Code, § 6258.
4 Gov. Code, § 6259, subd. (d).
5 Gov. Code, § 6258.
6 Gov. Code, § 6259, subd. (a).
7 Filarsky v. Superior Court (2002) 28 Cal.4th 419.
8 Los Angeles Unified School Dist. v. Superior Court (2007) 151 Cal.App.4th 759. 9 Gov. Code, § 6258.
10 Gov. Code, § 6259, subd. (a).
11 Evid. Code. § 915.
12 Gov. Code, § 6259, subd. (a).
13 Gov. Code, § 6259, subd. (a).
14 Gov. Code, § 6259, subd. (b).
15 Gov. Code, § 6259, subd. (b).
16 Gov. Code, § 6259, subd. (c).
17 Gov. Code, § 6259, subd. (c).
18 Powers v. City of Richmond (1995) 10 Cal.4th 85.
19 Gov. Code, § 6259, subd. (c).
20 Gov. Code, § 6259, subd. (c).
21 Powers v. City of Richmond (1995) 10 Cal.4th 85.
22 State Bd. of Equalization v. Superior Court (1992) 10 Cal.App.4th 1177. 23 Times Mirror Co. v. Superior Court (1991) 53 Cal.3d 1325. 24 Los Angeles Times v. Alameda Corridor Transportation Authority (2001) 88 Cal.App.4th 1381. 25 Butt v. City of Richmond (1996) 44 Cal.App.4th 925.
26 Gov. Code, § 6259, subd. (d).
27 Los Angeles Times v. Alameda Corridor Transportation. Authority (2001) 88 Cal.App.4th 1381. 28 Rogers v. Super. Ct. (1993) 19 Cal.App.4th 469; Belth v. Garamendi (1991) 232 Cal.App.3d 896. 29 Motorola Communication & Electronics, Inc. v. State Dept. of General Services (1997) 55 Cal.App.4th 1340; Rogers v.

Superior Court (1993) 19 Cal.App.4th 469.
30 Fontana Police Depart. v. Villegas Banuelos (1999) 74 Cal.App.4th 1249. 31 Gov. Code, § 6259, subd. (d).
32 Gov. Code, § 6259, subd. (d); Butt v. City of Richmond (1996) 44 Cal.App.4th 925. 284
48 THE PEOPLE’S BUSINESS Q Chapter 5: Judicial Review and Remedies 285 CHAPTER 6:

RECORDS MANAGEMENT

PUBLIC MEETING RECORDS

ELECTRONIC RECORDS

ELECTRONIC DISCOVERY

RECORDS RETENTION AND

DESTRUCTION LAWS
286
50 THE PEOPLE’S BUSINESS Q Chapter 6: Records Management

Q PUBLIC MEETING RECORDS
Any person may request to receive a copy of a local agency meeting agenda or agenda packet by mail.1 If requested, the agenda material must be made available in appropriate alternative formats to persons with disabilities.2
If a local agency receives a written request to send agenda materials by mail, the materials must be mailed when the agenda is posted or distributed to a majority of the agency’s legislative body, whichever occurs first.3
Requests for mailed copies of agendas or agenda packets are valid for the calendar year in which they are filed, but must be renewed after January 1 of each subsequent year.4 Local agency
legislative bodies may establish a fee for mailing agenda materials.5 The fee may not exceed the cost of
providing the service.6
Failure of a requester to receive agenda material is not a basis for invalidating action taken at the meeting for which agenda material was not received.7 Writings that are distributed to all or a majority of all members of a legislative body in connection with a matter subject to discussion or consideration at a public meeting of the body are public records (subject to the exemptions in the Act) and must be made available upon request without delay.8 Where such
nonexempt writings are distributed during a public meeting, in addition to making them available for public inspection at the meeting (if prepared by the agency or member of its legislative body) or after the meeting (if prepared by another person), they must be made available in appropriate alternative formats upon request by a person with a disability.9
The agency may charge a fee for a copy of this record; however, no surcharge may be imposed on persons with disabilities.10 Records pertaining to agenda items must be made available for public inspection at a location listed in the meeting agenda if the records are distributed less than 72 hours prior to the meeting.11
Practice Tip:

Some agencies have
found it useful to adopt
electronic records policies
governing such issues as:
what electronic records
(for example, emails) are
considered “retained in
the ordinary course of
business” for purposes of
the Act; whether personal
electronic devices (like
computers, personal data
assistants, cell phones,
etc.) may be used to
store or send electronic
communications concerning
the agency, or whether
agency devices must be
used; etc.
287
THE PEOPLE’S BUSINESS Q Chapter 6: Records Management 51

Q ELECTRONIC RECORDS
“Public records” subject to the Act include “any writing containing information relating to the conduct of the public’s business prepared, owned, used or retained by any state or local agency regardless of physical form or characteristics.”12 Therefore, records subject to the Act include records in any media, including electronic media, in which government agencies may possess records. This is underscored by the definition of “writings” treated as public records, which includes any “transmitting by electronic mail or facsimile, and every other means of recording upon any tangible thing any form of communication or representation, including letters, words, pictures, sounds, or symbols or combinations thereof, and any record thereby created, regardless of the manner in which the record has been stored.”13 Some provisions of the Act deal explicitly with electronic records.

The Act obligates agencies to provide electronic copies of existing, nonexempt records that are requested in an electronic format that the agency has already used for itself or transmission to another agency, unless doing so would compromise the security or integrity of the original record, or any proprietary software in which it is maintained, or unless otherwise prohibited by law.14 Duplication costs of electronic records are limited to the direct cost of producing the electronic copy.15 However, requesters may be required to bear additional costs of producing the electronic copy, such as programming and computer services costs, if the records are only produced at regularly scheduled intervals, or production of the record would require data compilation, extraction or programming.16 Agencies are not required to reconstruct electronic copies of records no longer available to the agency in electronic format.17 Electronic records may include “metadata,” or data about data contained in a record that is not visible in the text. For example, metadata may describe how, when or by whom particular data was collected, and contain information about document authors, other documents, or commentary or notes. No provision of the Act expressly addresses metadata, and no reported court opinions have considered whether or the extent to which metadata is subject to disclosure. Nor does the Act or its case law provide guidance on whether agencies have a duty to disclose electronic public records that contain exempt metadata if the agency is unable to electronically remove the metadata.

Electronic records maintained by local agencies may also include geographic information system (GIS) records and GIS technology that permits storage, processing and display of geographical information. Many local agencies use GIS programs and databases for a broad range of purposes, including the creation and editing of maps depicting property and facilities of importance to the agency and the public. As with metadata, the Act does not expressly address, and no published cases discuss, GIS information disclosure.

The Act permits government agencies to develop and
commercialize computer software and to benefit from copyright protections for agency-developed software. Computer software developed by state or local agencies, including computer mapping systems, computer programs, and computer graphics systems, is not a public record subject to the Act.18 As a result, public agencies are not required to provide copies of agency-developed software pursuant to the Act. The Act authorizes state and local agencies to sell, lease, or license agency-developed software for commercial or noncommercial use.19 The exception for agency-developed software does not affect other public agency electronic records.20
Practice Tip:

Local agencies should
consult with legal
counsel concerning
disclosure of metadata
or GIS information.
288
52 THE PEOPLE’S BUSINESS Q Chapter 6: Records Management

Q ELECTRONIC DISCOVERY
The importance of maintaining a written document retention policy is evident by revisions to Rule 26 of the Federal Rules of Civil Procedure, which took effect December 1, 2006. Rule 26 requires parties in federal court litigation to address the production and preservation of electronic records. These rule changes do not require a local agency to alter its routine management or storage of electronic information. They do, however, illustrate the importance of having formal document retention policies.

In general, once federal court litigation begins, a local agency has a duty to preserve information for discovery. In some cases, the local agency may have to suspend the routine operation of its information systems in order to preserve information relevant to the litigation.

Q RECORDS RETENTION AND DESTRUCTION LAWS
The Act is not a records retention statute. The Act does not prescribe what type of information a public agency may gather or keep, or provide a method for correcting records.21 Its sole function is to provide for disclosure.22 Other provisions of state law govern retention of public records.

Local agencies generally must retain public records for a minimum of two years, although some records may be destroyed sooner.23 For example, duplicate records that are less than two years old may be destroyed if no longer required.24 State law does not permit destruction of records affecting title to or liens on real property, court records, records required to be kept by statute, and the minutes, ordinances, or resolutions of the legislative body or city board or commission.25 Most local agencies adopt records retention schedules as a key element of a records management system. The Secretary of State has provided local governments with records management guidelines.26 However, there is no definition of the “public records” subject to state records retention statutes.27 The Attorney General has opined that the definition of “public records” for purposes of the records retention statutes is “a thing which constitutes an objective lasting indication of a writing, event or other information, which is in the custody of a public officer and is kept either (1) because a law requires it to be kept or (2) because it is necessary or convenient to the discharge of the public officer’s duties and was made or retained for the purpose of preserving its informational content for future reference.”28 Under this definition, local agency officials retain some discretion concerning what agency records must be kept pursuant to state records retention laws. Similarly, the Act allows for local agency discretion concerning what preliminary drafts, notes or interagency or intra-agency memoranda are retained in the ordinary course of business.29
Practice Tip:

The definition of “public
records” for purposes of
the Act and state records
retention laws are different,
and because local agency
officials retain some
discretion under the Act and
state records retention laws
concerning what records
an agency retains, the fact
that a particular type of
public record is subject to
disclosure under the Act
does not necessarily mean
that local agencies must
retain such records.
289
THE PEOPLE’S BUSINESS Q Chapter 6: Records Management 53 Endnotes
1 Gov. Code, § 54954.1.
2 Gov. Code, § 54954.1.
3 Gov. Code, § 54954.1.
4 Gov. Code, § 54954.1.
5 Gov. Code, § 54954.1.
6 Gov. Code, § 54954.1.
7 Gov. Code, § 54954.1.
8 Gov. Code, § 54957.5, subd. (a).
9 Gov. Code, § 54957.4, subd. (c)
10 Gov. Code, § 54957.5, subd. (d).
11 Gov. Code, § 54957.5, subds. (b)(1),(2).
12 Gov. Code, § 6252, subd. (e), emphasis added.
13 Gov. Code, § 6252, subd. (g).
14 Gov. Code, § 6253.9, subd. (a).
15 Gov. Code, § 6253.9, subd. (a)(2).
16 Gov. Code, § 6253.9, subd. (b).
17 Gov. Code, § 6253.9, subd. (c). See “No Duty to Create a Record or to Create a Privilege Log,” p. 13. 18 Gov. Code, § 6254.9, subds. (a), (b).
19 Gov. Code, § 6254.9, subd. (a).
20 Gov. Code, § 6254.9, subd. (d).
21 Los Angeles Police Dept. v. Superior Court (1977) 65 Cal.App.3d 661. 22 Los Angeles Police Dept. v. Superior Court (1977) 65 Cal.App.3d 661. 23 Gov. Code, § 34090, subd. (d).
24 Gov. Code, § 34090.7.
25 Gov. Code, § 34090, subds. (a), (b), (c), (e).
26 The Secretary of State’s Local Government Records Management Guidelines may be viewed at http://www.sos.ca.gov/archives/locgov/localgovrm7.pdf.
27 64 Ops.Cal.Atty.Gen. 317 (1981).
28 64 Ops.Cal.Atty.Gen. 317 (1981).
29 Gov. Code, § 6254, subd. (a). See “Drafts,” p. 20.
290
54 THE PEOPLE’S BUSINESS Q Chapter 6: Records Management 291 THE PEOPLE’S BUSINESS:

A Guide to the California Public Records Act
APPENDIX:

FREQUENTLY REQUESTED

INFORMATION AND RECORDS
292
56 293
Information/Records Requested Must the Information/Record Generally Be Disclosed?
Applicable Authority
Agenda materials distributed to
a legislative body relating to an
open session item
Yes Gov. Code, § 54957.5. For additional information, see p. 50 of “The People’s Business: A Guide to the California Public Records Act,” hereafter referred to as “the Guide”.

Calendars of Elected Officials Probably not, but note that there is no published appellate
court decision on this issue
post- Prop. 59.1
Times Mirror Co. v. Superior Court (1991) 53 Cal.3d. 1325 and Rogers v. Superior Court (1993) 19 Cal.App.4th 469 for a discussion of the deliberative process privilege. See also, 87 Ops.Cal.Atty.Gen. 181 (2004); 88 Ops.Cal. Atty.Gen. 16 (2005); 89 Ops.Cal.Atty.Gen. 204 (2006), as to scope of Prop.

59. For additional information, see p. 35 of the Guide.

Contact information – Names,
addresses, and phone numbers of
crime victims or witnesses
No Gov. Code, § 6254(f)(2). For additional information, see p. 29 of the Guide.

Citizen complaints against peace
officers – annual summary report
to AG
Yes Pen. Code, § 832.7(c). For additional information, see p. 30 of the Guide.

Citizen complaint information –
names, addresses, and telephone
numbers
No City of San Jose v. San Jose Mercury News (1999) 74 Cal.

App.4th 1008. For additional information, see p. 30 of the Guide.

Claims for damages Yes Poway Unified School District v. Superior Court (1998) 62 Cal.App.4th 1496.

Election petitions
(initiative, referendum and
recall petitions)
No, except to proponents if petition
found to be insufficient.

Gov. Code, § 6253.5; Elec. Code, §§ 17200, 17400, and
18650; Evid. Code, § 1050. For additional information,
see p. 21 of the Guide.

Emails between government staff It depends. Generally, emails are deleted by administrative policy and are not retained in the ordinary course of business. (See § 6254(a)). See also Times Mirror v. Superior Court (1991) 53 Cal.3d 1325; Rogers v. Superior Court (1993) 19 Cal.App.4th 469 for a discussion of the deliberative process privilege.

For additional information, see p. 35 of the Guide.
1 The analysis with respect to elected officials may not necessarily apply to executive officers such as City Managers or Chief Administrative Officers, and there is no case law directly addressing this issue.

Frequently Requested Information and Records
This table is intended as a general guide on the applicable law and is not intended to provide legal advice. The facts and circumstances of each request should be carefully considered in light of the applicable law. A local agency’s legal counsel should always be consulted when legal issues arise.

THE PEOPLE’S BUSINESS:

A Guide to the California Public Records Act
57 294
Information/Records Requested Must the Information/Record Generally Be Disclosed?
Applicable Authority
Employment Agreements/
Contracts
Yes Gov. Code, §§ 6254.8 and 53262(b). For additional
information, see p. 30 of the Guide.

Form 700 (Statement of
Economic Interests) and
Campaign Statements
Yes2 Gov. Code, § 81008
Grading documents including
geology reports, compaction
reports, and soils reports
submitted in conjunction with an
application for a building permit
Yes 89 Ops.Cal.Atty.Gen. 39 (2006); but see Gov. Code, § 6254(e). For additional information, see p. 19 of the Guide.

Juvenile Court Records No T.N.G. v. Superior Court (1971) 4 Cal.3d. 767; Welf. & Inst.

Code, §§ 827 and 828. For additional information, see p. 24 of the Guide.

Legal billing statements Generally, yes, as to amount billed.

No, as to any billing detail which
reflects an attorney’s impressions,
conclusions, opinions or legal
research or strategy.

Gov. Code, § 6254(k); Evid. Code, § 950, et seq.; Smith v.

Laguna Sun Villas Community Assoc. (2000) 79 Cal.App.4th 639; United States v. Amlani, 169 F.3d 1189 (9th Cir. 1999); Clarke v. American Commerce National Bank, 974 F.2d.
127 (9th Cir. 1992); but see Gov. Code, § 6254(b) as to the disclosure of billing amounts reflecting legal strategy in pending litigation. For additional information, see p. 19, 28 of the Guide.

Library Circulation Records No Gov. Code, § 6254(j) and 6267. For additional information, see p. 25 of the Guide.

Medical Records No Gov. Code, § 6254(c). For additional information, see p. 25 of the Guide.

Mental Health detentions
(5150 reports)
No Welf. & Inst. Code, § 5328. For additional information, see p. 24 of the Guide.

Minutes of Closed Sessions No Gov. Code, § 54957.2(a). For additional information, see p. 19, 34, 35 of the Guide.

Notices/Orders to property
owner re: housing/building code,
violations
Yes Gov. Code, § 6254.7(c). For additional information, see p. 20 of the Guide.

Official Building Plans
(architectural drawings and plans)
Inspection only. Copies provided
under certain circumstances.

Health & Saf. Code, § 19851; see also 17 U.S.C. §§101 and 102. For additional information, see p. 19 of the Guide.

Personal Financial Records No Gov. Code, § 7470, 7471, 7473; see also Gov. Code, § 6254(n). For additional information, see p. 25 of the Guide.

Frequently Requested Information and Records, Continued 2 It should be noted that these statements must be made available for inspection and copying not later than the second business day following the day on which the request was received.
58 295
Information/Records Requested Must the Information/Record Generally Be Disclosed?
Applicable Authority
Personnel
• Employee inspection of own
personnel file
• Names and salaries (including
performance bonuses and overtime)
of public employees, including peace
officers
• Test Questions, scoring keys, and
other examination data.

Yes, with exceptions.

Yes, absent unique, individual
circumstances. However, other
personal information such as social
security numbers, home telephone
numbers and home addresses are
generally exempt from disclosure
per Gov. Code, § 6254(c).

No
For additional information, see p. 29-31 of the Guide.
• Lab. Code, § 1198.5. This section applies to charter cities.

See Gov. Code, § 31011. For peace officers, see Gov.

Code, § 3306.5.
• International Federation of Professional and Technical Engineers, Local 21, AFL-CIO, et al. v. Superior Court
(2007) 42 Cal.4th 319.
• Gov. Code, § 6254(g)
Police
• Citizen complaint policy
• Criminal history
• Criminal investigative reports
including booking photos, audio
recordings, dispatch tapes, 911
tapes and in-car video
• Crime reports
• Gang intelligence information
• In custody death reports to AG
• List of concealed weapon permit
holders
• Concealed weapon permits and
applications
• Officer’s personnel file
• Peace officer’s name, employing
agency and employment dates
• Names of officers involved in critical
incidents
• Traffic accident reports
Yes
No
No
Yes
No
Yes
Yes
Yes, except for home/ business
address and medical/psychological
history.

No
Yes, absent unique, individual
circumstances.

Yes, absent unique, individual
circumstances.

Yes, to certain parties.

For additional information, see p. 22-25 of the Guide.
• Pen. Code, § 832.5(a)(1)
• Pen. Code, § 13300 et seq.; Pen. Code, § 11105 et seq. • Gov. Code, § 6254(f); Haynie v. Superior Court (2001) 26 Cal.4th 1061.
• Gov. Code, §§ 6254(f), 6255
• Gov. Code, § 6254(f); 79 Ops.Cal.Atty Gen. 206 (1996). • Gov. Code, § 12525
• Gov. Code, § 6254(u)(1); CBS, Inc. v. Block (1986) 42 Cal.3d 646.
• Gov. Code, § 6254(u)(1); CBS, Inc. v. Block (1986) 42 Cal.3d 646.

This information can only be disclosed through a Pitchess motion. Pen. Code, §§ 832.7 and 832.8; Evid. Code, §§
1043-1045.
• Commission on Peace Officer Standards and Training
v. Superior Court (2007) 42 Cal.4th 278.
• Commission on Peace Officer Standards and Training v.

Superior Court (2007) 42 Cal.4th 278; New York Times v.

Superior Court (1997) 52 Cal.App.4th 97.
• Veh. Code, § 16005 [only disclose to those needing the information, such as insurance companies, and the
individuals involved].

Frequently Requested Information and Records, Continued 59 296
Information/Records Requested Must the Information/Record Generally Be Disclosed?
Applicable Authority
Public Contracts
• Bid Proposals, RFP proposals
• Financial information submitted
for bids
• Trade secrets
Yes, but only after negotiations are
complete.

No
No
• Michaelis v. Superior Court (2006) 38 Cal. 4th 1065;
but see Gov. Code, § 6255 and Evid. Code, § 1060.

For additional information, see p. 31-32 of the Guide.
• Gov. Code, §§ 6254(a),(h) and (k), 6254.15 and 6255;
Schnabel v. Superior Court of Orange County (1993) 5
Cal.App.4th 704, 718. For additional information,
see p. 31-32 of the Guide.
• Evid. Code, § 1060; Civ. Code, § 3426, et seq. For
additional information, see p. 33 of the Guide.

Purchase price of real property Yes, after the agency acquires the property.

Gov. Code, § 7275
Real Estate
• Property information (such as selling
assessed value, square footage,
number of rooms)
• Appraisals and offers to purchase
Yes
Yes, but only after conclusion of the
property acquisition.

For additional information, see p. 32 of the Guide.
• 88 Ops.Cal.Atty.Gen. 153 (2005)
• Gov. Code, § 6254(h); Note that Gov. Code, § 7267.2
requires release of more information to the property
owner while the acquisition is pending.

Report of arrest not resulting in
conviction
No, except as to peace officers or
peace officer applicants.

Lab. Code, § 432.7
Settlement Agreements Yes Register Division of Freedom Newspapers v. County of Orange (1984) 158 Cal.App.3d 893. For additional
information, see p. 28 of the Guide.

Software, including mapping
systems
No Gov. Code, § 6254.9; 88 Ops.Cal.Atty.Gen. 153 (2005).

For additional information, see p. 51 of the Guide.

Taxpayer information received
in connection with collection of
local taxes
No Gov. Code, § 6254(i). For additional information, see p. 33 of the Guide.

Telephone Records of Elected
Officials
Yes, as to expense totals. No,
as to phone numbers called.

See Rogers v. Superior Court (1993) 19 Cal.App.4th 469.

For additional information, see p. 35 of the Guide.

Utility usage data No, with certain exceptions. Gov. Code, § 6254.16. For additional information, see p. 33 of the Guide.

Voter information No Gov. Code, § 6254.4. For additional information, see p. 21 of the Guide.

Frequently Requested Information and Records, Continued 60 297
THE PEOPLE’S BUSINESS:

A GUIDE TO THE CALIFORNIA PUBLIC RECORDS ACT
1400 K Street, Sacramento, CA 95814
Phone: (916) 658-8200 | Fax: (916) 658-8240
www.cacities.org
Price: $40.00
SKU 1800 298

APPENDIX E - PUBLIC FACING COMMUNICATIONS, COUNCIL NOTIFICATIONS

AND SOCIAL MEDIA POLICY
299

CITY OF AMERICAN CANYON
Public and Media Communications Policy
Policy Statement:

The City of American Canyon encourages the positive exchange of accurate and timely information among City Council Members, City staff, representatives of the media, community groups, citizens, and other interested parties. The City Manager and department directors are charged with providing an “objective playing field” for the legislative process and distribution of public information for the media.

The City endeavors to keep citizens apprised of pertinent information concerning community issues, policies, activities, services and events to create greater awareness of local government and to facilitate the community’s participation in the local government decisionmaking process.

The City follows all regulations and policies related to use of public funds for any purpose other than those related to City administration, operations, and services. In no case shall City resources be used for any promotional purposes including, but not limited to, promotion of a political position or individual running for, or maintaining a political office.

Policy:

I. Public Communications
A. Letters and opinion surveys designed for mass distribution shall be reviewed and coordinated with the City Manager’s Office for purpose, content, format analysis, and for placement strategies.

B. All printed materials (fliers, posters, signs, pamphlets, brochures, advertisements, maps, presentation materials, etc.) designed for distribution to and/or viewing by the public shall be reviewed by the City Manager or his/her designee prior to printing, copying, or uploading.

C. Requests from the public or from community groups for the involvement of City officials, employees, or other City resources in events, photo opportunities, or for other purposes shall be made through the City Manager or his/her designee to determine the appropriateness and legality of the involvement. Criteria for granting such a request shall be approved by the City Council (see Table 1).

II. State Regulation for Newsletters, Mass Mailings, and other Media All mass-distributed documents and other media prepared at “taxpayers’ expense shall comply with all FPPC rules and regulations regarding all printed and photographical materials, video productions, and other media-related features. (The latest FPPC rules and regulations can be found at www.fppc.ca.gov) 300
III. Use of Public Funds for Political Purposes
Use of any City resources such as equipment, supplies, employee time, and/or City symbols (any symbol or insignia of the City that would create a nexus with the public entity and a political purpose/office) is expressly prohibited unless approved by the governing body and/or the City Manager. Public funds cannot be extended for any political purposes such as the promotion of a political position or office. It is generally prohibited because it could reasonably be interpreted or construed as implying the City’s connection, approval, or endorsement of the involved political issue, office, or function. As stated in # I above, requests for such City involvement shall be made through the City Manager or his/her designee to determine the appropriateness and legality of such involvement and if approval by the governing body is required.

IV. Media Response Philosophy
City staff shall be timely, accurate and concise in their responses to the media. The City encourages and promotes accurate press coverage of programs, events, and decisions which could be of interest to a significant segment of the community.

Inquiries from the news media are to be given a high priority and shall be responded to as quickly, efficiently, and professionally as possible. Every effort shall be made to meet media deadlines and to ensure that all information released is accurate, concise, and well organized.

When responding to the media, City staff shall represent the official position of the City and shall limit their comments to stating the facts and circumstances, without personal opinions or conclusions.

Council Members speaking to the media, who are not representing the official position of the City, or Council, shall clearly identify that they are responding on their own behalf and do not represent the Cit, or the Council in their comments on that specific issue.

V. Press Releases
City press releases constitute written or verbal communications to the media regarding official City business.

A. Responsibility – All media releases relative to major citywide policies and actions shall be prepared and distributed by the City Manager’s Office or his/her designee. Each department shall prepare and distribute releases related to their specific department. However, those releases need to be approved by the City Manager prior to release. In addition, the City Manager shall be notified prior to the release of information to the media in cases which are significant or controversial except those circumstances in public safety that would make this impracticable. In those situations, the department involved needs to notify the City Manager as soon as possible after the release of significant information 301
B. Release Preparation and Format – Press releases shall be prepared according to the City’s established format. The City Clerk will maintain a file of all press releases.

VI. Release of Information Pertaining to Significant/Controversial Issues and Events
Definition of Issues: It is the responsibility of department directors to notify the City Manager of significant events or issues which occur within their departments or that have had a public airing resulting in a conflict or public agitation. Such event or issue may be of major interest to the City Council, general public or the media.

Such issues/events include, but are not limited to:

1. An event/issue in a department or program that could have financial, labor, or environmental consequences resulting in controversy and aggravation (eg. sewer spill).

2. Injury or death of a City employee while on or off official duty.

3. Major malfunctions of a City facility that could impact the general welfare of the public or environment.

4. An unexpected work stoppage or inability to provide a critical City service.

5. The arrest or conviction of a City employee, which may impact that individual’s ability in successfully carrying out his/her professional duty or that may attract significant public attention due to the nature of the arrest or conviction.

6. Major police or fire activities
VII. Reporting Procedure
The City Manager will determine if it is necessary to contact the City Council or other department directors. However, the Police Department may notify and inform the entire City Council on a significant event after there has been an attempt to notify the City Manager. When possible, the City Manager shall notify the City Council prior to communicating to the media on those issues believed to be controversial or of major concern.

VIII. Back-up Procedure
If the City Manager is unavailable, the department director shall determine if it is necessary to contact the City Council or other department directors. The department director should use his/her own judgment in releasing information to the press or the public regarding significant events or issues. 302
IX. Media Responders
A. Spokesperson – The City Manager will respond directly or designate a media spokesperson to respond to an issue of major public significance to ensure that the information is disseminated quickly and accurately to all interested media sources. The City Manager will then notify all appropriate department directors to forward all media inquiries regarding the particular issue to the appointed spokesperson. It is essential that a spokesperson is kept abreast and briefed on the status of the event as it occurs. It is important to note that the chain of command can be modified to expedite the release of crucial information.

B. Media Contacts to Staff – Employees shall refer media inquires to their department directors. A department director may delegate an employee to respond to an inquiry because of her/his involvement with an event or issue. In such cases, the staff member should work with their department director before the interview to develop appropriate responses to anticipated questions. The department director may want to contact the City Manager’s Office for assistance in such matters.

C. City Council – Council Members are encouraged to notify the City Manager when they are approached by the media, especially when they are responding to controversial issues. Council Members are encouraged to review such issues with the City Manager for assistance in formulating their response.

D. Emergency Operations –Emergency Operations Center procedures will take precedent during a disaster.

E. Police Issues – Whenever there is a significant event involving a major police activity, the first media contact is the Police Chief or his/her designee, followed by the City Manager.

X. How to Respond to Press Inquiries
All media inquiries received by staff should be given a high priority and responded to as quickly as possible. Every effort should be made to meet media deadlines and to ensure that all information that is released is accurate. Clerical staff should be instructed to give priority to media calls by alerting their respective department director.
303
A. It is important to determine a reporter’s focus for a story as well as the specific information being requested. A reporter may unintentionally present the particular facts in a manner that might cause a misunderstanding of the facts surrounding specific City issues. By knowing the reporter’s intentions, one can attempt to respond more accurately and in a manner that captures the full range of the issues and facts involved and within the larger context that the issue exists.

B. Any staff member (management or non-management) who responds to a media inquiry, provides an interview, appears on a radio or television program, etc., shall notify his/her immediate supervisor, the department director, and the City Manager either by phone, email, or written memo detailing the nature and possible implications of the media inquiry.

C. Regarding controversial matters only (see Section VI), the City Manager must be consulted before conducting the interview. This should provide the spokesperson an opportunity to review anticipated questions and to formulate and properly position appropriate responses. This notification process is only necessary for those significant issues facing a particular department and should not include routine interviews that are conducted on a regular basis by a specific department, the only exception being an urgent public safety issue that requires an immediate response.

XI. Media Etiquette
City staff shall maintain and strengthen the relations between the City and the media.

A. Responding to Council Actions – Staff shall not publicly make judgmental comments regarding individual Council Members, Council actions, City Administration or official City policy when responding to media inquiries. Staff shall refrain from anticipating an action or position which has not been formally taken by the City Council or City. Any inquiry regarding “why” an individual Council Member voted in a particular manner shall be forwarded to that Council Member.

B. Scope of Response – Staff members shall not respond to media inquiries that are not directly related to their professional responsibilities. Staff members should assist the media in receiving the needed information by referring them to an appropriate department director.

C. Inaccurate Information – The media shall not be intentionally misled or provided inaccurate information by a staff member regarding any City policy or event. 304
XII. Public and Confidential Information
Most City records and official City meetings are open to the public and media. The media are no more or less privileged than the general public in being provided access to the City Council meetings and City records. In situations where there is a discrepancy or uncertainty on the part of a City employee regarding the release of an official record to the media, the City Attorney’s Office should be contacted to make the final determination.

Attendance at Public Meetings - The media and public may attend and report on actions taken at Council meetings, study sessions, as well as regularly scheduled Commission meetings.

Closed Sessions – Public and media attendance is not allowed at closed Council sessions.

Public Records – The media and the general public have access to all records or proceedings pursuant to the provisions of the State of California Public Records Act (Government Code Sections 6250 it seq.). However, the Public Records Act does exempt specific categories of records. A Public Records Request Form is required for all public records requests (copies of form are available in the City Clerk’s Office).

Not for Public Disclosure – Media inquiries regarding the specifics of pending litigation, policy or administrative drafts, matters involving a significant exposure to litigation and certain personnel-related information that would constitute an unwarranted invasion of individual privacy are usually exempt from public disclosure.

Litigation Issues – Staff members shall not respond to media inquiries on behalf of the City involving City litigation, policies, or activities without first contacting the City Attorney’s Office. The City Attorney’s Office should serve as the point of contact regarding clarification before responding to a media inquiry. The Manager may provide an official City position regarding City litigation issues after first consulting with the City Attorney’s Office.
305
TABLE 1 - CRITERIA FOR GRANTING CITY PARTICIPATION REQUESTS THAT MAY

RESULT IN MEDIA EXPOSURE
The following are the criteria to use for addressing requests from the public or from community groups for the involvement of City officials, employees, or other City resources (See Section IC in policy):
• The City Manager shall notify all Council Members of the event. • The community group must provide services/assistance to the community members of the City of American Canyon.
• The City Council has adopted within the past twenty-four (24) months a resolution endorsing the event or activity.
• All Members of the City Council Board will be invited to observe the use of City resources (equipment, personnel, etc.) being utilized in the actual event, including but not limited to, addressing the group, participating in conversations during the event, and any action to document the City’s endorsement on use of the City resources. • The City Manager is given ten (10) working days’ notice of the request. (Note: the City Manager may waive this criterion under extraordinary circumstances or if there has been a history of City Manager-approved participation in the past.) 306
Most City records and official City meetings are open to the public and media. The media are no more or less privileged than the general public in being provided access to the City Council meetings and City records. In situations where there is a discrepancy or uncertainty on the part of a City employee regarding the release of an official record to the media, the City Attorney’s Office should be contacted to make the final determination.

Attendance at Public Meetings - The media and public may attend and report on actions taken at Council meetings, study sessions, as well as regularly scheduled Commission meetings.

Closed Sessions – Public and media attendance is not allowed at closed Council sessions.

Public Records – The media and the general public have access to all records or proceedings pursuant to the provisions of the State of California Public Records Act (Government Code Sections 6250 it seq.). However, the Public Records Act does exempt specific categories of records. A Public Records Request Form is required for all public records requests (copies of form are available in the City Clerk’s Office).

Not for Public Disclosure – Media inquiries regarding the specifics of pending litigation, policy or administrative drafts, matters involving a significant exposure to litigation and certain personnel-related information that would constitute an unwarranted invasion of individual privacy are usually exempt from public disclosure.

Litigation Issues – Staff members shall not respond to media inquiries on behalf of the City involving City litigation, policies, or activities without first contacting the City Attorney’s Office. The City Attorney’s Office should serve as the point of contact regarding clarification before responding to a media inquiry. The Manager may provide an official City position regarding City litigation issues after first consulting with the City Attorney’s Office.
307
TABLE 1 - CRITERIA FOR GRANTING CITY PARTICIPATION REQUESTS THAT

MAY RESULT IN MEDIA EXPOSURE
The following are the criteria to use for addressing requests from the public or from community groups for the involvement of City officials, employees, or other City resources (See Section IC in policy):
• The City Manager shall notify all Council Members of the event. • The community group must provide services/assistance to the community members of the City of American Canyon.
• The City Council has adopted within the past twenty-four (24) months a resolution endorsing the event or activity.
• All Members of the City Council Board will be invited to observe the use of City resources (equipment, personnel, etc.) being utilized in the actual event, including but not limited to, addressing the group, participating in conversations during the event, and any action to document the City’s endorsement on use of the City resources.
• The City Manager is given ten (10) working days’ notice of the request. (Note:
the City Manager may waive this criterion under extraordinary circumstances or if there has been a history of City Manager-approved participation in the past.)
308

APPENDIX F - TRAVEL POLICY
309
Revised 07/2023 1

CITY OF AMERICAN CANYON

TRAVEL POLICY

PURPOSE
To establish a uniform policy for City employees, City elected officials, City appointed officials, and City commissioners hereafter known as “employees” for travel and business expenses. This policy establishes procedures for pre‐travel authorization and reimbursement of expenses incurred by employees when traveling on official City business or attending approved training programs. The governing rule for all City travel expenses shall be budget, availability, economy, convenience, and propriety.

GENERAL PROVISIONS
It is the policy of the City of American Canyon that all travel expenses and business expenses incurred meet the following criteria:

1. The expense incurred is of direct benefit to the City.

2. The amount of the expense is reasonable in terms of the event or activity involved.

3. The expenses incurred are within the department’s budget and are approved by the department head. The department heads have approval authority for employees traveling within the state.

4. The City Manager or designee will approve travel and business expenses incurred by employees for all out of state and international travel, regardless of funding source or reimbursement by an outside agency. City Manger travel shall be approved by Mayor or designee.

5. Elected Officials must have approval of the City Council for travel expenses expected to exceed $500 per trip for meetings/conferences, unless Council members are voting delegates of organizations (i.e., Cal‐Cities), in which case no prior City Council approval is required regardless of amount.

RESPONSIBILITY
Every employee who travels on official business on behalf of the City isresponsible for knowing and complying with the Travel Policy. Department heads are responsible for reviewing and approving or denying all travel requestsfor compliance within this policy.

PROCEDURAL GUIDELINES
All employees must complete and have approved the Advanced Travel Authorization Form before traveling or incurring any expenses. Event brochures/agendas (if available) must accompany the form along with all anticipated expenses outlined in it. No expensesshould be incurred without prior approval via the Advanced Travel Authorization Form.

After travel is completed, employees must fill out the Travel Expense Claim Form to accompany the Advanced Travel Authorization Form, with actual costsincurred. These forms must be included with every request for payment, including Cal Card receipts and Payment Requests (to vendors or employees).

Detailed, itemized receipts for expenses shall be attached to the Travel Expense Claim Form for all reimbursement purposes. Receipts that are not itemized are not acceptable. Receipts are not required 310
2 for per diem meals and incidental expenses.

TRAVEL POLICY
This policy is based upon the following policies, guidelines, and protocols:
a) Human Resources Policies and Practices Manual, Section 6.1(f), Travel Time. b) Human Resources Policies and Practices Manual, Section 9.5, Reimbursement of Expenses.
c) Human Resources Policies and Practices Manual, Section 9.6, Travel. d) City/Fire District Governance Handbook, Section 14.2, Authorized Expenses.

Except in the case of MOU language, or specific employment agreement language, the language in this policy shall take precedence when there is any conflict between this policy and any other City policy, guidelines, and/or protocols.

The City shall provide reimbursement for expenses directly related to attendance of approved conferences, seminars, meetings, and other official functions/purposes.

Official travelshould be planned, approved, budgeted, and controlled at the department level. Elected officials are subject to the guideline established in the Governance Protocol Handbook.

Generally, the number of staff attendees should be limited to the minimum necessary to accomplish the travel's purpose. However, this will not preclude any travel or other expenses associated with required or recommended training for any City employees.  Such training is subject to availability of funds and approval by the appropriate department head and/or City Manager.

In the event a scheduled trip is canceled, it is the employee's responsibility to make sure all necessary arrangements have been made to cancel reservations and receive all available refunds.  Failure to do so may result in directly charging the employee for the expenses incurred by the City. The City does not pay for travel insurance.

Travel Expense Categories:

Meals

1. Meals and Incidentals are combined into one rate hereby referred to as per diem. The term "incidental expenses” typically includes fees and tips given to people such as porters, baggage carriers, bellhops, hotel housekeepers, waiters, or other food service.

2. During travel, meal and incidental expenses are paid on a per diem basis. The City’s rate for Meals and Incidental Expenses (M&IE) shall be equal to the U.S. General Services Administration’s (GSA) M&IE rates (https://www.gsa.gov/travel/plan‐book/per‐diem‐rates) based on the location of travel. For international travel, M&IE rates are set by the U.S. Department of State https://aoprals.state.gov/web920/per_diem.asp

3. For days that are exclusive to travel, employees are paid 75% of the applicable per diem rate.

4. Meals and/or Incidental Expenses shall not be purchased using the Cal Card. 311
3 Lodging

1. Lodging is allowed for out‐of‐town conferences and meetings. Out‐of‐town is defined as a location greater than one and one half (1.5) hours' drive in addition to normal commute time.  Due to the frequent selection of Sacramento, CA as a conference location for many statewide organizations, Sacramento, CA is an approved destination for lodging regardless of commute time. It is the City policy to provide adequate lodging for its employees while they are out of town on approved travel.  Lodging is an allowable expense for the evening preceding or following a training, meeting, or conference, when necessary, as determined by the department head. Employees must submit an itemized hotel check‐out receipt to obtain reimbursement or as supporting documentation if paid with a Cal Card.

2. Lodging charges are based on standard single occupancy rates. Reimbursement will not be provided for additional lodging expenses incurred by family members when an employee’s family accompanies them, or for any charges above the single occupancy rate if the hotel charges more for additional guests in the same room.

3. If lodging is in connection with a conference, lodging expenses must not exceed the group rate published by the conference sponsor for the event, or the rate for government employees on official business. If the group or government rate is not available, lodging at comparable rates to the group rate, which do not substantially increase transportation costs or interfere with an employee’s duties, are presumed to be reasonable and reimbursable.

4. If an employee extends their stay for personal reasons, they are responsible for all associated costs that exceed approved business travel. These extended travel expenses may not be charged to the Cal Card. Documentation shall be maintained to separate the business and personal travel expenses.

Transportation

1. The most economical mode of transportation, reasonably consistent with scheduling and cargo space requirements should be used, using the most direct and time‐efficient route. Rail, bus, taxi, ridesharing, and airfare will be reimbursed at actual cost. Only the most economic form of travel will be authorized. All travel arrangements should be made in advance. If any employee chooses to drive instead of fly, the reimbursement shall be computed for the lesser, round‐trip airfare or the actual mileage.
a. Airfare: Only economy and coach airfare will be authorized. Reasonable baggage fees may be reimbursed. Airline early check‐in fees, seat upgrades, travel insurance and other premium fees are not reimbursable. If the employee extends or modifies their travel for personal reasons, such as staying over a weekend before or after, and the cost of the airfare is greater than the necessary travel airfare, the employee is responsible for paying the difference.
b. Rental Vehicles: Rental vehicles will only be allowed for business reasons in a situation where the hotel location is not within walking distance of the event location and a shuttle service or other means of ground transportation are not available, impractical, or too costly. Rental vehicles are only allowed as a business necessity, not for personal convenience. Rental vehicle agreements should be limited to economy, compact or 312
4 subcompact cars. Rental Car insurance must be purchased, and at the minimum level. If a portion of the trip includes personal use, such as staying over a weekend, then the employee shall pay the pro‐rata cost of the rental car. Vans and other large vehicles may be rented if there is a group of employees traveling together. c. Automobiles: Mileage expenses will be reimbursed at the actual miles traveled times the federal mileage rate when an employee uses their own vehicle for travel. The federal mileage rates are designed to compensate the driver for gasoline, insurance, maintenance, and other expenses associated with operating a vehicle. For employees who receive an auto allowance, mileage reimbursement will only be made in excess of 50 miles, each way of a trip.

2. When an employee operates a motor vehicle for authorized travel purposes, minimum insurance limits must be on file with Human Resources prior to travel. The driver of the vehicle is required to have the following amounts and types of insurance:
 $100,000 Bodily Injury
 $300,000 Each Occurrence
 $50,000 Property Damage

3. Local/Short Distance Travel
For local/short distance travel, City vehicles shall be used whenever practical. However, the following are instances where it is not appropriate to use a City vehicle:
a) For trips that are in close mileage of an employee’s normal commute. If the travel is more than an employee normal home‐to‐work commute, then the reimbursement will be for mileage that exceeds that at the IRS rate in effect at the time of travel. An exception would be if the employee isreporting to/from the work location.
b) For those employees/officials who receive an auto allowance, if the trip is 50 miles or less each way.
c) For trips that will take the City vehicle out of commission/use by others for more than one full day. The exception is for employees serving on standby duty and preapproved to keep a City vehicle overnight and/or emergency vehicles on official assignments.
d) To park at an airport while the employee uses air travel to a destination.

Other Expenses
Personal expenses, including entertainment and travel insurance, are examples of items not eligible for reimbursement. All necessary expenses should be anticipated and detailed on the Advanced Travel Authorization Form. The following types of additional expenses are reimbursable, provided they are necessary for official business and detailed receipts are obtained:
 Baggage Charges
 Telecommunications Expenses (i.e., hotel internet)
 Toll
 Parking or Garage Fees (airport parking should be equal or less than long term rates)  Taxis, Rideshare, or Shuttles, including a maximum 15 percent gratuity 313
5 PRE‐PAID TRAVEL EXPENSES
100% of confirmed airfare, lodging, registration expense shall be paid in advance using the Cal Card or by check after the Advanced Travel Authorization Form has been approved. In no case shall petty cash be used for any travel advance.

POST TRAVEL REIMBURSEMENT
Employees are required to complete the Travel Expense Claim Form within 45 days of travel with detailed receipts. After 120 days, expenses paid by the City/District where receipts have not been provided shall be reported on the employee’s W‐2 at the end of the year, per IRS Publication 463.

TRAVEL TIME
Employees are compensated at their normal hourly rate for time committed to work‐related travel, which is called travel time, as defined further in Human Resources Policies and Procedures Manual Section 6.1(f). Travel time in this policy is only applicable to employees covered by the Fair Labor Standards Act (FLSA).

For all FLSA non‐exempt employees, common travel time situations are described with the following scenarios:
 Travel to and from different work or job sites.
 Travel for single day training or other activities that do not require an overnight stay.  Time spent in meetings and/or training during approved conferences and events are considered active work time.
 If the employee is expected to work before, during or after travel, all time is compensable.  If travel time falls on a non‐working day, holiday or weekend, only travel time to and from the destination is compensated.
 Personal time spent taking breaks from travel to eat, sleep or engage in personal activities, such as sightseeing, must be excluded from travel time.  If travel occurs on a normal scheduled workday and is less than the regular work shift, compensation is provided at a minimum of a regular work shift. Employees are expected to be available to work once settled in.
 Employees who decline to use public transportation and request permission to drive their personal vehicle instead will only be compensated for hours that would have been used for the public transportation method.

Employees who are FLSA exempt should coordinate their time appropriately with their Department Head; however, they are not eligible for compensatory time or overtime.

CITY MANAGER DISCRETIONARY EXCEPTIONS
The City Manager can make exceptions to this policy on a case‐by‐case basis as recommended by the department head for unusual or extenuating circumstances. Exceptions must be explained on the Advance Travel Authorization Form and signed by the City Manager. 314
APPENDIX G – COUNCIL COMPENSATION
315
BENEFITS SUMMARY FOR CITY COUNCIL MEMBERS (2025)
City Council Members, including the Mayor, receive salary and benefits as described in this Code of Conduct and Governance Protocols, and further defined below.

Salary
• $950 per month
• Bi-weekly (26 annual pay periods)
Retirement
• “Optional Member” under the City’s CalPERS retirement contract. o If a Council Member opts out of CalPERS retirement, then enrollment in PARS Alternative Plan is required.
• Eligible to participate in the City’s 457 Deferred Compensation Plans.

Health and Wellness Benefits
• The City contributes a monthly payment equal to 90% of the Kaiser HMO premium rates at each level of coverage (Employee only, Employee plus One Dependent, and Family). • City provides Employee-only coverage for Dental and Vision insurance. Council Members may acquire coverage for eligible dependents at the same rates available to City employees. • City provides Employee-only coverage for Life Insurance and Accidental Death and Dismemberment. Council Members may acquire supplemental coverage at the same rates available to City employees.
• Council Members vested in the City’s retirement program are eligible for retiree medical insurance benefits with same benefit levels as described in the Unrepresented Compensation Program.

Vehicle Stipend
• $500 per month
Telephone Stipend
• $50 per month
Technology Stipend
• $35 per month
Electronic Tablet Policy
• Council Members are issued electronic tablets to conduct City business during term in office.

Computer Tablet Acquisition Policy
• Eligible to participate in tablet purchase program at the same rates available to City employees.

Computer Revolving Loan Program
• Eligible to participate in computer loan program at the same rates available to City employees. 316

APPENDIX H -LIST OF COUNCIL POLICIES
317
Example City Council Policies
Fiscal and Budgetary Policies
• Basis of Accounting/Operating Budget
• Accounting, Auditing, and Financial Reporting
• Reserves, Unallocated Funds, and Capital Set-Aside
• Revenue Management
• Expenditure Control
• Investments and Cash Management
• Asset Management
• Debt Management
• Internal Controls
• Travel Policy
• Capital Set-Aside
Capital Improvement Program Policies
• Complete Streets
• Pavement Condition Index
Private Development and Economic Development Policies
• Economic Analysis of New Development
• Public Improvement Requirements & Nexus Fees
• Public Notice/Engagement
• Economic Incentives
Risk Management Policies
• Claims Review & Acceptance
• Claims Avoidance
• Insurance Requirements
• Use of Risk Pools
General
• Religious expression
• Political expression at City Events
• Flag Display at City Facilities
318

CITY COUNCIL AGENDA
NOVEMBER 19, 2024

STAFF REPORT

CONSENT
ITEM NUMBER: 10.

TITLE
Design of the South Kelly and SR-29 Intersection Project

RECOMMENDATION
Adopt a Resolu/on amending the FY2024-25 Capital Budget, authorizing the City Manager to 1) enter into an agreement with BKF Engineers for design services for an amount not to exceed $241,000; and 2) execute a reimbursement agreement between the City of American Canyon and the County of Napa to complete the design of the Project for an amount not to exceed $124,013, in conjunction with the South Kelly-Highway 29 Intersection Project (TR23-0200).

CONTACT
Erica Ahmann Smithies, P.E., Public Works Director
Ronald Ranada, P.E., Senior Civil Engineer

BACKGROUND & ANALYSIS
South Kelly Road is a two-lane collector that provides access to the Napa Valley Business Park and Napa Logis/cs Park from SR-12 and SR-29. It is heavily used and carries a substan/al number of heavy vehicles including trucks. As a result, it shows significant wear and tear, with evidence of asphalt-concrete failure in numerous places throughout. Generally, the eastbound lane(s) fall under the jurisdic/on of the City of American Canyon, while the westbound lane(s) fall under the jurisdiction of Napa County.

In 2015, an Environmental Impact Report (EIR) was completed for the development of Napa Logis/cs Park Phase 2 (NLP2), which was projected to create 2.27 million square feet of building area less than a mile from South Kelly Road. The EIR considered several circula/on improvements to accommodate the new development, including the intersection of SR-29 and South Kelly Road.

City Council Resolu/on 2015-107 approved a Condi/onal Use Permit (CUP) for the development of NLP2, which included a condi/on for the developer to construct public improvements to be dedicated to and maintained by the City and Caltrans. The improvements included South Kelly Road between SR-29 and Devlin Road, the intersec/on of SR-29 and South Kelly Road, and the intersection of Devlin Road and South Kelly Road ("South Kelly Improvements").

The City and NLP2 developer first entered into a Subdivision Improvement and Reimbursement 319
Agreement in 2018 to establish certain improvement requirements for the NLP2 development, which included construc/on of the South Kelly and SR-29 Improvements. The 2018 agreement was amended in 2022 by Resolu/on 2022-67, to modify the CUP condi/on and reduce the scope of work on South Kelly Road and SR-29 based on the June 2022 EIR Addendum prepared by First Carbon Solu/ons. In addi/on, the developer's obliga/on was modified from building the project to making a fair share payment to the City for the construc/on of said improvements. The developer provided preliminary improvement plans, cost es/mates, and their fair share payment for the comple/on of the South Kelly Improvements by the City. The South Kelly-Highway 29 Intersec/on Project (TR23- 0200; "Project") is in the adopted FY24-25 Capital Improvement Program.

Given the shared jurisdic/on over South Kelly Road, the City of American Canyon must necessarily partner with Napa County on the Project. To maximize efficiency and benefit from economies of scale, Napa County has further requested the City's partnership to expand the scope of improvements to be delivered with a request to deliver improvements to Napa County's Tower Road. Tower Road is a 2,700 linear foot road that is located about a quarter mile north of, and parallel to, South Kelly Road. It is an urban local roadway that provides access to several businesses in the industrial area from SR-29 and Devlin Road. Similar to South Kelly Road, there is also a substan/al amount of truck traffic resul/ng in the current poor condi/on of the roadway, hence the County's desire to rehabilitate it. With the City taking the lead in the delivery of the Project, City and County staff have collaborated on a Project-specific reimbursement agreement, which is provided as Exhibit A herein. City staff recommends the City Council authorize the execution of the agreement.

To move forward with the Project's delivery, City staff determined the need to engage a design consultant due to limited bandwidth to proceed with the Project in-house. Staff turned to the 2023 City Council-approved on-call professional services agreement list to request design proposals specific for the Project. On August 16, 2024, the City received 3 design proposals. City and County staff reviewed and rated the proposals, and selected BKF Engineers based on their detailed scope of work, personnel experience and qualifica/ons, proposed schedule, and fee to complete the work.

BKF Engineers has successfully delivered projects similar in nature in other municipali/es such as City of San Rafael, City of Petaluma, and City of Calistoga. BKF Engineers' proposal, with a noted fee of $241,000, is provided as Exhibit B herein. Staff recommends the City Council authorize a Professional Services Agreement for Engineering Design with BKF Engineers.

COUNCIL PRIORITY PROGRAMS AND PROJECTS
Infrastructure: "Develop and maintain infrastructure resources to support sustainable growth."

FISCAL IMPACT
The NLP2 developer has provided their fair share payment to the City, in the amount of $1,001,354.12, per the amended Subdivision Improvement and Reimbursement effec/ve August 2, 2022.

The South Kelly and SR-29 Intersection Project currently has $200,000 appropriated in the FY2024-25 320
Capital Budget. Due to the joint nature of the project, the cost for design is more than ini/ally an/cipated. An addi/onal $75,000 needs to be appropriated to cover the Consultant fee and staff time costs. Therefore, staff recommends amending the FY2024-25 Capital Budget as follows:

Source Current Amount New Amount
Fund 350, Revenue from
Development
$200,000 $275,000
Napa County will be reimbursing the City for the cost of the consultant design services propor/onal to the work to be done on County infrastructure, in an amount not to exceed $124,013. This estimate includes anticipated City administrative and staff time costs.

The Project has a current total budget of $1,145,000 and will be refined further as design is completed.

ENVIRONMENTAL REVIEW
South Kelly Road and SR-29
The project improvements to South Kelly Road and SR-29 were first iden/fied in a 2015 EIR prepared by First Carbon Solu/ons that was then amended in June 2022. The 2022 Ini/al Study/Addendum determined that there was no poten/al for new or more severe significant environmental impacts, and no subsequent EIR was required to complete the project.

Tower Road
The Tower Road reconstruc/on is Categorically Exempt from CEQA per CEQA Guidelines Sec/ons 15301(c) (Existing Facilities) and 15302 (Replacement or Reconstruction).

ATTACHMENTS:

1. Resolution

2. Exhibit A - Reimbursement Agreement

3. Exhibit B - BKF Proposal
321
RESOLUTION NO. 2024-______
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF AMERICAN CANYON AMENDING THE FY2024-25

CAPITAL BUDGET, AUTHORIZING THE CITY MANAGER TO ENTER INTO AN AGREEMENT WITH BKF ENGINEERS FOR DESIGN SERVICES FOR AN AMOUNT NOT TO EXCEED $241,000, AND EXECUTE A

REIMBURSEMENT AGREEMENT BETWEEN THE CITY OF AMERICAN CANYON AND THE COUNTY OF NAPA TO COMPLETE THE DESIGN OF THE PROJECT FOR AN AMOUNT NOT TO EXCEED $124,013, IN CONJUCTION WITH THE SOUTH KELLY-HIGHWAY 29 INTERSECTION PROJECT (TR23-0200) WHEREAS, the Napa Logistics Park Phase 2 (NLP2) Project Conditional Use Permit (Resolution 2015-107) required the developer to construct public improvements to accommodate the new development, including improvements to South Kelly Road between SR-29 and Devlin Road, the intersection of SR-29 and South Kelly Road, and the intersection of Devlin Road and South Kelly Road; and WHEREAS, the developer has provided the City with preliminary street improvement plans, cost estimates, and fair-share funds for the completion of the conditioned improvements; and WHEREAS, the South Kelly-Highway 29 Intersection Project (TR23-0200) has been incorporated into the adopted FY24-25 CIP Budget for the purpose of delivering the aforementioned improvements; and WHEREAS, the City of American Canyon (City) and Napa County (County) each have jurisdiction over discrete portions of South Kelly Road, and both agencies jointly desire to partner for the overall improvement of the road in whole; and
WHEREAS, Napa County staff is amenable to, and has requested that the City of American Canyon oversee the delivery of the desired improvements to South Kelly Road; and WHEREAS, to maximize efficiency and benefit from economies of scale, Napa County has further requested the Project improvements include the pavement rehabilitation of Tower Road in unincorporated Napa County; and
WHEREAS, due to limited City staff capacity to deliver the Project in-house, City staff utilized the 2023 City Council approved on-call professional services agreement list to request design service proposals for the Project; and
WHEREAS, City and County staff received and evaluated three proposals, and selected BKF Engineers for their detailed scope of work, personnel experience and qualifications, schedule, and fee to complete the work; and
WHEREAS, BKF Engineers’ fee proposal for the necessary design scope is for an amount not to exceed $240,357; and
WHEREAS, the cost for design is greater than initially estimated due to the expanded scope of the Project to delivery County improvements; and
WHEREAS, there are sufficient funds in the Project Budget to cover the design fee; and 322
2 WHEREAS, the City and County have negotiated a reimbursement agreement to facilitate the County’s payment for its share of the design services, including City administration and staff costs.

NOW, THEREFORE, BE IT RESOLVED that the City Council of the City of American Canyon hereby amends the FY2024-25 Capital Budget as follows:

Source Current Amount New Amount
Fund 350, Revenue from Development $200,000 $275,000
NOW, THEREFORE, BE IT FURTHER RESOLVED that the City Council of the City of American Canyon hereby authorizes the City Manager to enter into an agreement with BKF Engineers for the design of the South Kelly-Highway 29 Intersection Project (TR23-0200) for an amount not to exceed $241,000; and NOW, THEREFORE, BE IT FURTHER RESOLVED that the City Council of the City of American Canyon hereby authorizes the City Manager to execute a reimbursement agreement with the County of Napa to complete the design of the County’s portion of the Project for an amount not to exceed $124,013.

PASSED, APPROVED and ADOPTED at a regularly scheduled meeting of the City Council of the City of American Canyon held on the 19th day of November, 2024 by the following vote:

AYES:

NOES:

ABSTAIN:

ABSENT:
____________________________
Leon Garcia, Mayor
ATTEST: APPROVE AS TO FORM:
____________________________ _____________________________ Taresa Geilfuss, CMC, City Clerk William D. Ross, City Attorney 323

CITY OF AMERICAN CANYON AND NAPA COUNTY AGREEMENT REGARDING SOUTH KELLY & SR-29 INTERSECTION PROJECT (TR23-0200)
CITY AGREEMENT NO. 2024- ______
NAPA COUNTY AGREEMENT NO. __________

AGREEMENT BETWEEN CITY OF AMERICAN CANYON AND NAPA COUNTY REGARDING THE SOUTH KELLY & SR-29 INTERSECTION PROJECT (TR23-0200) This Agreement (“AGREEMENT”) is entered into and effective as of __________________, by and between Napa County, a political subdivision of the state of California (“COUNTY”) and the City of American Canyon, a California general law city (“CITY”) (each a “PARTY” and collectively, the “PARTIES”).

RECITALS
WHEREAS, CITY plans to provide the design and specifications (“ENGINEERING SERVICES”) for constructing roadway improvements, including, but not limited to, full depth reclamation (FDR), new asphalt surface, striping, and associated storm drain improvements on COUNTY-owned assets (“COUNTY WORK”) within the COUNTY’s jurisdiction (“COUNTY ASSETS”) as part of the South Kelly & SR-29 Intersection Project (TR23-0200) (the “CITY PROJECT”). Plans, specifications, and the AutoCAD file will be provided to the COUNTY as part of the services outlined in this AGREEMENT. A tabulated cost summary for ENGINEERING SERVICES is provided in Exhibit “A” attached hereto and incorporated herein; and WHEREAS, the COUNTY ASSETS that are part of the COUNTY WORK and located within the project area will be owned and maintained by the COUNTY; and WHEREAS, the CITY has agreed to provide ENGINEERING SERVICES for COUNTY WORK as part of the scope of work for the CITY PROJECT, and COUNTY has agreed to reimburse the CITY for costs incurred by the CITY to perform the aforementioned service to the COUNTY; and WHEREAS, the PARTIES wish to memorialize the terms and conditions of the COUNTY’S agreement to reimburse the CITY for costs associated with the COUNTY WORK.

TERMS
NOW, THEREFORE, CITY and COUNTY, for the mutual consideration described herein, agree as follows:

1. Scope of COUNTY WORK. For the CITY PROJECT, the CITY shall provide ENGINEERING SERVICES for work to be performed in the COUNTY for COUNTY WORK as terms of this AGREEMENT.

2. Project Cost, Payments, and Compensation.

A. Project Cost Paid by COUNTY. COUNTY agrees to pay CITY for the actual cost of work associated with the time spent to provide ENGINEERING SERVICES for COUNTY WORK in accordance with the terms of this AGREEMENT. This AGREEMENT authorizes the 324

CITY OF AMERICAN CANYON AND NAPA COUNTY AGREEMENT REGARDING SOUTH KELLY & SR-29 INTERSECTION PROJECT (TR23-0200)
COUNTY to pay all CITY PROJECT scope expenses as defined above in accordance with the maximums and procedures in this Section 2. The scope of work under this AGREEMENT is estimated to cost as set forth below (“Estimated Cost”):
$107,837 Consultant Design Engineering Services
$ 16,176 City Staff – Project Management & Administration Services (15%) $124,013 Total
B. Advance Payment and Invoices. In accordance with Section 2(A), COUNTY shall pay the CITY for ENGINEERING SERVICES provided to the COUNTY. Payment for COUNTY WORK is based on the actual costs incurred by the CITY to provide ENGINEERING SERVICES as indicated in (2.A).

3. Access to Records / Document Retention. CITY will provide Plans, Specifications, and the AutoCAD file and other information, upon request, regarding the COUNTY WORK. Financial records and the aforementioned documents associated with CITY PROJECT shall be maintained at least five (5) fiscal years after COUNTY payment for CITY services. COUNTY or the duly authorized representatives of the COUNTY, shall have access to any books, documents, papers, and records of CITY which are directly pertinent to the subject matter of this AGREEMENT for the purpose of making audit, examination, excerpts, and transcriptions. Except where longer retention is required by any federal or state law, CITY shall maintain all required records for at least seven (7) years after COUNTY makes final payment for any of the COUNTY and all pending matters are closed, whichever is later.

4. Term of this AGREEMENT. The term of this AGREEMENT shall commence on November 19, 2024 and shall continue in effect until payment in Paragraph 2(A) has been made to CITY; except that the obligations of the PARTIES under Paragraph 3 (Access to Records / Document Retention), 5 (Insurance), and 6 (Indemnification) shall continue in full force and effect after said expiration date or early termination in relation to acts or omissions occurring prior to such dates during the term of this AGREEMENT.

5. Insurance. The CITY shall obtain and maintain in full force and effect throughout the term of this AGREEMENT, the following insurance coverage and shall provide evidence of such coverage to the COUNTY upon request:

A. Workers' Compensation Insurance. Workers' compensation insurance for the performance of any of duties under this AGREEMENT, including but not limited to, coverage for workers' compensation and employer's liability and a waiver of subrogation.

B. Liability Insurance.
(1) General Liability. Commercial or comprehensive general liability insurance coverage (personal injury and property damage) of not less than ONE MILLION DOLLARS ($1,000,000) combined single limit per occurrence, either issued by a company admitted to do business in the State of California and having an A.M. Best Rating of no less than A:VII or by self-insurance satisfactory to other PARTY's risk manager or employee designated by that PARTY to perform such function, or by a combination thereof, covering liability for any personal injury, including death, to any person and/or damage to the property of any person arising from the acts or omissions of that PARTY under this AGREEMENT. If the coverage 325

CITY OF AMERICAN CANYON AND NAPA COUNTY AGREEMENT REGARDING SOUTH KELLY & SR-29 INTERSECTION PROJECT (TR23-0200)
includes an aggregate limit, the aggregate limit shall be no less than twice the per occurrence limit.
(2) Comprehensive Automobile Liability Insurance. A comprehensive automobile liability insurance policy (Bodily Injury and Property Damage) on owned, hired, leased, and non-owned vehicles used in conjunction with that PARTY’s activities under this AGREEMENT of not less than ONE MILLION DOLLARS ($1,000,000) combined single limit per occurrence.

C. Certificates of Coverage. Insurance coverages referenced in Section 5(B), above, shall be evidenced by one or more certificates of coverage or, by other evidence of coverage acceptable to the COUNTY’s Risk Manager, which shall be available upon request. (1) The certificate(s) or other evidence of coverage shall reference this AGREEMENT by the COUNTY or CITY number or title and department; shall be kept current during the term of this AGREEMENT; shall provide that the other PARTY shall be given no less than thirty (30) days prior written notice of any non-renewal, cancellation, other termination, or material change, except that only ten (10) days prior written notice shall be required where the cause of non-renewal or cancellation is non-payment of premium; and shall provide that the inclusion of more than one insured shall not operate to impair the rights of one insured against another insured, the coverage afforded applying as though separate policies had been issued to each insured, but the inclusion of more than one insured shall not operate to increase the limits of the company's liability. (2) Waiver of Subrogation and Additional Insured Endorsements. For the commercial general liability insurance coverage referenced in Section 5(B)(1) and, for the comprehensive automobile liability insurance coverage referenced in Section 5(B)(2) where the vehicles are covered by a commercial policy rather than a personal policy, each PARTY shall also file with the evidence of coverage an endorsement from the insurance provider naming the other PARTY, its officers, employees, agents, and volunteers as additional insureds and waiving subrogation. For the Workers Compensation insurance coverage, each PARTY shall file with the evidence of coverage an endorsement waiving subrogation. (3) The certificate or other evidence of coverage shall provide that if the same policy applies to activities of a PARTY not covered by this AGREEMENT, then the limits in the applicable certificate relating to the additional insured coverage of the other PARTY shall pertain only to liability for activities of the insured PARTY under this AGREEMENT, and that the insurance provided is primary coverage with respect to any insurance or selfinsurance programs maintained by the other PARTY. The additional insured endorsements for the general liability coverage shall use Insurance Services Office (ISO) Form No. CG 20 09 11 85 or CG 20 10 11 85, or equivalent, including (if used together) CG 2010 10 01 and CG 2037 10 01; but shall not use the following forms: CG 20 10 10 93 or 03 94. (4) Upon request, each PARTY shall provide, or arrange for the insurer to provide, to the other PARTY within thirty (30) days of the request, certified copies of the actual insurance policies or relevant portions thereof.

D. Inclusion in Subcontracts. CITY shall cause all contractors and subcontractors and any other entity or person who is involved in providing services under this AGREEMENT to comply 326

CITY OF AMERICAN CANYON AND NAPA COUNTY AGREEMENT REGARDING SOUTH KELLY & SR-29 INTERSECTION PROJECT (TR23-0200)
with the insurance requirements set forth in this Paragraph 5. CITY shall additionally require any consultant hired to provide design engineering services on any COUNTY ASSET to obtain and maintain in full force and effect throughout the term of this AGREEMENT, the following insurance coverage and shall provide evidence of such coverage to the COUNTY upon request:
(1) Professional Liability/Errors and Omissions. Professional liability [or errors and omissions] insurance for all activities of CONSULTANT arising out of or in connection with the South Kelly & SR-29 Intersection Project (TR23-0200) in an amount not less than TWO MILLION DOLLARS ($2,000,000) per claim. If the coverage includes an aggregate limit the aggregate limit shall be no less than twice the per occurrence limit.

6. Indemnification.

A. By COUNTY. COUNTY, shall defend, indemnify, and hold harmless CITY and the officers, agents, and employees of CITY from any claim, loss, or liability including without limitation, those for personal injury (including death) or damage to property (collectively, “Liability”), arising out of or connected with COUNTY’s performance of its obligations under this AGREEMENT. Consistent with Civil Code section 2782, COUNTY will not be obligated to indemnify CITY for the proportionate share of the Liability caused by the CITY’s active negligence, sole negligence, or willful misconduct.

B. By CITY. CITY shall, and shall cause all who perform work in connection with this AGREEMENT, defend, indemnify, and hold harmless COUNTY and the elected and appointed officers, agents, and employees of COUNTY from any Liability arising out of or connected with any aspect of the performance by CITY or its officers, agents, or employees, of obligations required of CITY under this AGREEMENT. Consistent with Civil Code section 2782, CITY will not be obligated to indemnify COUNTY for the proportionate share of the Liability caused by the COUNTY’s active negligence, sole negligence, or willful misconduct.

C. Each PARTY shall notify the other PARTY immediately in writing of any claim or damage related to activities performed under this AGREEMENT. The PARTIES shall cooperate with each other in the investigation and disposition of any claim arising out of the activities under this AGREEMENT, provided that nothing shall require either PARTY to disclose any documents, records or communications that are protected under peer review privilege, attorney-client privilege, or attorney work product privilege.

7. Ongoing Duties and Responsibilities. In addition to the PARTIES' duties and responsibilities as described in other sections of this AGREEMENT, the PARTIES acknowledge and agree to perform the following on an ongoing basis during the time that the CITY PROJECT is under construction:

A. Regular Staff Meetings. The respective staffs of CITY and COUNTY, and their retained consultants or contractors, will meet as needed to address matters contained in this AGREEMENT.

B. Commitment of Staff and Resources. To provide sufficient staff and/or resources to this process to efficiently meet the goals and tasks set forth in this AGREEMENT. 327

CITY OF AMERICAN CANYON AND NAPA COUNTY AGREEMENT REGARDING SOUTH KELLY & SR-29 INTERSECTION PROJECT (TR23-0200)

8. Warranty of Legal Authority. Each PARTY warrants and covenants that it has the present legal authority to enter into this AGREEMENT and to perform the acts required of it hereunder. If any PARTY is found to lack the authority to perform the acts required of it hereunder or is prevented from performing the acts by a court of competent jurisdiction, this AGREEMENT shall be void.

9. Severability. If any provision of this AGREEMENT, or any portion thereof, is found by any court of competent jurisdiction to be unenforceable or invalid for any reason, such provision shall be severable and shall not in any way impair the enforceability of any other provision of this AGREEMENT.

10. Attorneys' Fees. In the event that either PARTY commences legal action of any kind or character to enforce the provisions of this Agreement or to obtain damages for breach thereof, the prevailing PARTY in such litigation shall be entitled to all costs and reasonable attorney's fees incurred in connection with such action.

11. No Waiver. The waiver by either PARTY of any breach or violation of any requirement of this Agreement shall not be deemed to be a waiver of any such breach in the future, or of the breach of any other requirement of this Agreement.

12. Notices. All notices required or authorized by this Agreement shall be in writing and shall be delivered in person or by deposit in the United States mail, by certified mail, postage prepaid, return receipt requested. Any mailed notice, demand, request, consent, approval, or communication that either PARTY desires to give the other PARTY shall be addressed to the other PARTY at the address set forth below. Any notice sent by mail in the manner prescribed by this paragraph shall be deemed to have been received on the date noted on the return receipt or five days following the date of deposit, whichever is earlier. The PARTIES further agree to send supplemental notice by email as identified below.

City of American Canyon:

Director of Public Works
4381 Broadway Street
American Canyon, CA 94503
Email: [email protected]; [email protected]; [email protected]
County of Napa:

Director of Public Works
1195 Third Street, Suite 101
Napa, CA 94559
Email: [email protected]; [email protected] Changes may be made to the addresses where notices are to be delivered by giving notice pursuant to this provision.
328

CITY OF AMERICAN CANYON AND NAPA COUNTY AGREEMENT REGARDING SOUTH KELLY & SR-29 INTERSECTION PROJECT (TR23-0200)

13. Entire Agreement. This AGREEMENT, including any documents expressly incorporated by reference whether or not attached hereto, constitutes the entire agreement between the PARTIES relating to the subject of this AGREEMENT and supersedes all previous agreements, promises, representations, understandings, and negotiations, whether written or oral, among the PARTIES with respect to the subject matter hereof.

14. Amendment / Modification. Except as specifically provided herein, this AGREEMENT may be modified or amended only in a writing signed by both PARTIES. In particular, only COUNTY in the form of a written amendment of this AGREEMENT, may authorize extra and/or changed work if beyond the scope of COUNTY WORK described in Section 1 above. Failure of CITY to secure such authorization in writing in advance of performing any of the extra or changed work shall constitute a waiver of any and all rights to adjustment in the contract price or contract time and no compensation shall be paid for such extra work.

15. Recitals Adopted. The PARTIES hereby agree to and adopt the AGREEMENT recitals as portions of this AGREEMENT.

16. Termination. The termination shall be effective upon the COUNTY’s payment to CITY of any amounts owed by COUNTY hereunder.

17. Governing Law, Jurisdiction, and Venue. The interpretation, validity, and enforcement of this AGREEMENT will be governed and interpreted in accordance with the laws of the State of California. Any suit, claim, or legal proceeding of any kind related to this AGREEMENT will be filed and heard in a court of competent jurisdiction in the County of Napa.

18. Counterparts. This AGREEMENT may be executed in counterparts, each one of which is deemed an original, but all of which together constitute a single instrument.

19. Signatures. The individuals executing this AGREEMENT represent and warrant that they have the right, power, legal capacity, and authority to enter into and to execute this AGREEMENT on behalf of the respective legal entities of the COUNTY and the CITY.

20. Electronic Signatures. Each Party agrees that the electronic signatures, whether digital or encrypted, of the Parties included in this Agreement, are intended to authenticate this writing and to have the same force and effect as manual signatures. The term “electronic signature” means any electronic sound, symbol, or process attached to or logically associated with a record and executed and adopted by a party with the intent to sign such record, including facsimile or email electronic signatures. Without limiting the generality of the foregoing, delivery of an executed counterpart’s signature page of this Agreement, by facsimile, electronic mail in portable document format (.pdf) or by any other electronic means intended to preserve the original graphic and pictorial appearance of a document, has the same effect as delivery of an executed original of this Agreement. 329

CITY OF AMERICAN CANYON AND NAPA COUNTY AGREEMENT REGARDING SOUTH KELLY & SR-29 INTERSECTION PROJECT (TR23-0200)
IN WITNESS WHEREOF, this AGREEMENT was executed by the PARTIES hereto as of the date first above written.

CITY:

CITY OF AMERICAN CANYON, a California General Law City
By:

Jason B. Holley, City Manager
ATTEST:

Taresa Geilfuss, City Clerk
APPROVED AS TO FORM:

William D. Ross, City Attorney
COUNTY:

NAPA COUNTY, a political subdivision of the State of California By:

JOELLE GALLAGHER,
Chair of the Board of Supervisors

APPROVED AS TO FORM
Office of County Counsel
By: ______________________
Deputy County Counsel
Date:_____________________
PL No. 120744

APPROVED BY THE NAPA COUNTY

BOARD OF SUPERVISORS
Date:

Processed By:

Deputy Clerk of the Board
ATTEST: NEHA HOSKINS
Clerk of the Board of Supervisors
By:
330

CITY OF AMERICAN CANYON AND NAPA COUNTY AGREEMENT REGARDING SOUTH KELLY & SR-29 INTERSECTION PROJECT (TR23-0200)

EXHIBIT A

COST SUMMARY FOR ENGINEERING SERVICES
331
Miller Pacific

VP AP PM SPE PE DE FC FC
$302 $273 $260 $222 $195 $170 $222 $143
1 Project Management
1 Project Management 2 24 0 0 0 0 0 0 26 $7,156 $0 $0 $7,156 2 Project Kick-Off Meeting 2 4 0 2 2 0 0 0 10 $2,530 $0 $0 $2,530 3 Routine Status Update Meetings 0 12 0 4 4 0 0 0 20 $4,944 $0 $0 $4,944 4 Quality Assurance/Quality Control (QA/QC) 4 0 22 0 0 0 0 0 26 $6,928 $0 $0 $6,928 8 40 22 6 6 0 0 0 82 $21,558 $0 $0 $21,558
2 Base Mapping Collection and Formatting
4 Collect and Format Files from Others 1 2 2 0 0 12 0 0 17 $3,408 $0 $0 $3,408 1 2 2 0 0 12 0 0 17 $3,408 $0 $0 $3,408
3 Pavement Recommendation and Design
1 Pavement Design Recommendations 0 2 0 0 4 4 0 0 10 $2,006 $11,500 $12,650 $14,656 0 2 0 0 4 4 0 0 10 $2,006 $11,500 $12,650 $14,656
4 Utility Data Research and Coordination
1 Utility Data Research and Coordination 0 2 0 0 12 16 0 0 30 $5,606 $0 $0 $5,606 2 Utility Conflict Review and Resolution 0 2 0 4 8 8 0 0 22 $4,354 $0 $0 $4,354 3 Pothole Exhibit 0 2 0 0 2 8 0 0 12 $2,296 $0 $0 $2,296 0 6 0 4 22 32 0 0 64 $12,256 $0 $0 $12,256
9 Bid and Construction Phase Support Services
1 Bid Support Services 0 4 0 0 8 0 0 0 12 $2,652 $0 $0 $2,652 2 Construction Support Services 2 6 0 0 8 20 0 0 36 $7,202 $5,000 $5,500 $12,702 3 Construction Meetings 0 6 0 0 12 4 0 0 22 $4,658 $0 $0 $4,658 2 16 0 0 28 24 0 0 70 $14,512 $5,000 $5,500 $20,012
General BKF Printing, Plotting, and Travel (0.5% of Total) Consultant Labor Totals 11 66 24 10 60 72 0 0 243 $53,740 $16,500 $18,150 $71,890 $57,967
$33,115
$34,981
$197,953
Opt. Task 1 Topographic and Boundary Survey
1 Tower Rd GPS Topo 0 1 1 2 0 5 8 8 25 $4,747 $0 $0 $4,747 2 South Kelly Road Topo 0 1 2 2 0 24 16 16 61 $11,157 $0 $0 $11,157 3 SR29 Topo & Control 1 2 12 4 0 24 28 28 99 $19,156 $0 $0 $19,156 4 South Kelly & SR29 Boundary 1 2 3 8 0 6 8 8 36 $7,344 $0 $0 $7,344 2 6 18 16 0 59 60 60 221 $42,404 $0 $0 $42,404
South Kelly Road Improvements SubTotal
Tower Road Improvements SubTotal
SR-29 Improvements SubTotal
Total Fees* (Total fees include consultant and reimbursable markups pursuant to rate sheets) Principal
9 Bid and Construction Phase Support Services Subtotal:

Task Description Full Rate
Geotechnical
1 Project Management Subtotal:

Total BKF Hours
Field CrewParty ChiefProject Manager
Design Engineer
Sub-Consultant
South Kelly Road & State Route 29
Project Management, Construction Phase and Optional Services Project Engineer
4 Utility Data Research and Coordination Subtotal:
3 Pavement Recommendation and Design Subtotal:

Reimbursable and Consultant Expenses
Total BKF Fee
$360
Field CrewChainpersonSr Project Engineer
Total Subconsultant Fee**Includes 10% Markup
QA/QC Manager
Opt. Task 1 Topographic and Boundary Survey Subtotal:

Total Fee
2 Base Mapping Collection and Formatting Subtotal:

CONSULTING SERVICES
332
Miller Pacific

VP AP PM SPE PE DE FC FC
$302 $273 $260 $222 $195 $170 $222 $143
Base Scope of Services
South Kelly Road Imporvements
5 50% Design Package
Drawings 1 18 0 8 36 60 0 0 123 $24,212 $0 $0 $24,212
Estimate 0 1 0 1 2 2 0 0 6 $1,225 $0 $0 $1,225
Specifications 0 1 0 2 0 0 0 0 3 $717 $0 $0 $717
Submittal 0 1 0 0 2 4 0 0 7 $1,343 $0 $0 $1,343
1 21 0 11 40 66 0 0 139 $27,497 $0 $0 $27,497
6 75% Design Package
Drawings 1 10 0 4 16 40 0 0 71 $13,840 $0 $0 $13,840
Estimate 0 1 0 1 2 2 0 0 6 $1,225 $0 $0 $1,225
Specifications 0 2 0 16 0 0 0 0 18 $4,098 $0 $0 $4,098
Submittal 0 1 0 0 2 4 0 0 7 $1,343 $0 $0 $1,343
1 14 0 21 20 46 0 0 102 $20,506 $0 $0 $20,506
7 100% Design Package
Drawings 1 6 0 0 12 12 0 0 31 $6,320 $0 $0 $6,320
Estimate 0 1 0 1 2 2 0 0 6 $1,225 $0 $0 $1,225
Specifications 0 1 0 4 0 0 0 0 5 $1,161 $0 $0 $1,161
Submittal 0 1 0 0 1 2 0 0 4 $808 $0 $0 $808
1 9 0 5 15 16 0 0 46 $9,514 $0 $0 $9,514
Reimbursable Expenses $450
South Kelly Road Improvements SubTotal $57,967
Principal
Task Description Full Rate
Geotechnical
South Kelly Road & State Route 29
South Kelly Rd Improvements
Project Engineer
Total BKF Fee
Field CrewParty ChiefProject Manager
Design Engineer
Field CrewChainpersonSr ProjectEngineer
7 100% Design Package Subtotal:

Total Subconsultant Fee**Includes 10% Markup
QA/QC Manager
Sub-Consultant
Total Fee

CONSULTING SERVICES
Total BKF Hours
5 50% Design Package Subtotal:
6 75% Design Package Subtotal:
333
Miller Pacific

VP AP PM SPE PE DE FC FC
$302 $273 $260 $222 $195 $170 $222 $143
Base Scope of Services
Tower Road Improvements
5 50% Design Package
Drawings 1 6 0 4 14 20 0 0 45 $8,958 $0 $0 $8,958
Estimate 0 0 0 1 2 2 0 0 5 $952 $0 $0 $952
Specifications 0 0 0 2 0 0 0 0 2 $444 $0 $0 $444
Submittal 0 1 0 0 2 4 0 0 7 $1,343 $0 $0 $1,343
1 7 0 7 18 26 0 0 59 $11,697 $0 $0 $11,697
6 75% Design Package
Drawings 1 6 0 2 12 24 0 0 45 $8,804 $0 $0 $8,804
Estimate 0 0 0 1 2 2 0 0 5 $952 $0 $0 $952
Specifications 0 2 0 8 0 0 0 0 10 $2,322 $0 $0 $2,322
Submittal 0 1 0 0 2 4 0 0 7 $1,343 $0 $0 $1,343
1 9 0 11 16 30 0 0 67 $13,421 $0 $0 $13,421
7 100% Design Package
Drawings 1 2 0 0 6 16 0 0 25 $4,738 $0 $0 $4,738
Estimate 0 0 0 1 2 2 0 0 5 $952 $0 $0 $952
Specifications 0 1 0 4 0 0 0 0 5 $1,161 $0 $0 $1,161
Submittal 0 1 0 0 1 2 0 0 4 $808 $0 $0 $808
1 4 0 5 9 20 0 0 39 $7,659 $0 $0 $7,659
Reimbursable Expenses $338
Tower Road Improvements SubTotal $33,115
6 75% Design Package Subtotal:
7 100% Design Package Subtotal:
5 50% Design Package Subtotal:

Geotechnical
Task Description Full Rate Total Fee

CONSULTING SERVICES
PrincipalQA/QC ManagerSr ProjectEngineerProject Engineer South Kelly Road & State Route 29
Tower Road Improvements
Total BKF HoursTotal BKF Fee
Sub-Consultant
Total Subconsultant Fee**Includes 10% Markup
Design Engineer
Field CrewParty ChiefField CrewChainpersonProject Manager 334
Miller Pacific

VP AP PM SPE PE DE FC FC
$302 $273 $260 $222 $195 $170 $222 $143
Base Scope of Services
SR-29 Improvements
4 Caltrans Encroachment Permit Support
Caltrans Encroachment Permit Application and Coordination 0 4 0 4 0 0 0 0 8 $1,980 $0 $0 $1,980 Caltrans Right-of-Way Improvement Drawings 2 10 0 18 28 40 0 0 98 $19,590 $2,875 $3,163 $22,753 Response to Caltrans Comments 0 6 0 10 14 20 0 0 50 $9,988 $0 $0 $9,988 2 20 0 32 42 60 0 0 156 $31,558 $2,875 $3,163 $34,721
Reimbursable Expenses $260
SR-29 Improvements SubTotal $34,981
4 Caltrans Encroachment Permit Support Subtotal:

Geotechnical
Task Description Full Rate Total Fee

CONSULTING SERVICES
PrincipalProject ManagerQA/QC ManagerSr ProjectEngineerProject Engineer South Kelly Road & State Route 29
SR-29 Improvements
Total BKF HoursTotal BKF Fee
Sub-Consultant
Total Subconsultant Fee**Includes 10% Markup
Design Engineer
Field CrewParty ChiefField CrewChainperson
335
Assumptions:

1. Prorating is based on design costs only.

2. Prorate % is based on the discrete costs for each area of work.

3. South Kelly Rd. design cost to be split 50/50 between City and County.

4. Tower Rd. design cost to be paid by County only.

5. SR-29 improvements design cost to be paid by City only.

Prorate (%) Prorate (%)
South Kelly Improvements - City share (50%) 22.991%
South Kelly Improvements - County share (50%) 22.991%
Tower Road Improvements - County share 26.269%
SR-29 Improvements - City share 27.749%
TOTAL 100.000%
Description - Lump Sum Items Amount City Prorated Share County Prorated Share 1 Project Management 21,558.00 $ 10,938.55 $ 10,619.45 $ 2 Base Mapping 3,408.00 $ 1,729.22 $ 1,678.78 $
3 Pavement Recommendation & Design 14,656.00 $ 7,436.47 $ 7,219.53 $ 4 Utility Data Research and Coordination 12,256.00 $ 6,218.71 $ 6,037.29 $ 5 Bid and Construction Phase Support 20,012.00 $ 10,154.11 $ 9,857.89 $ Subtotal 71,890.00 $ 36,477.06 $ 35,412.94 $
Description - Areas of Work Amount City Share County Share 1 South Kelly Road Improvements - 50/50 split 57,967.00 $ 28,983.50 $ 28,983.50 $ 2 Tower Road Improvements - County only 33,115.00 $ - $ 33,115.00 $ 3 SR-29 Improvements - City only 34,981.00 $ 34,981.00 $ - $ Subtotal 126,063.00 $ 63,964.50 $ 62,098.50 $
Topo & Boundary Survey Amount City Share County Share
1 Tower Road GPS Topo 4,747.00 $ - $ 4,747.00 $
2 South Kelly Road Topo 11,157.00 $ 5,578.50 $ 5,578.50 $ 3 SR29 Topo & Control 19,156.00 $ 19,156.00 $ - $
4 South Kelly & SR29 Boundary 7,344.00 $ 7,344.00 $ - $ Subtotal 42,404.00 $ 32,078.50 $ 10,325.50 $
TOTAL 240,357.00 $ 132,520.06 $ 107,836.94 $
American Canyon 132,520.06 $ 55.13%
Napa County 107,836.94 $ 44.87%
TOTAL 240,357.00 $
Napa County Share Amount Rounded
Consultant Design Cost 107,836.94 $ 107,837.00 $
City Staff PM & Admin (15%) 16,175.54 $ 16,176.00 $
TOTAL 124,012.48 $ 124,013.00 $
336
Miller Pacific

VP AP PM SPE PE DE FC FC
$302 $273 $260 $222 $195 $170 $222 $143
1 Project Management
1 Project Management 2 24 0 0 0 0 0 0 26 $7,156 $0 $0 $7,156 2 Project Kick-Off Meeting 2 4 0 2 2 0 0 0 10 $2,530 $0 $0 $2,530 3 Routine Status Update Meetings 0 12 0 4 4 0 0 0 20 $4,944 $0 $0 $4,944 4 Quality Assurance/Quality Control (QA/QC) 4 0 22 0 0 0 0 0 26 $6,928 $0 $0 $6,928 8 40 22 6 6 0 0 0 82 $21,558 $0 $0 $21,558
2 Base Mapping Collection and Formatting
4 Collect and Format Files from Others 1 2 2 0 0 12 0 0 17 $3,408 $0 $0 $3,408 1 2 2 0 0 12 0 0 17 $3,408 $0 $0 $3,408
3 Pavement Recommendation and Design
1 Pavement Design Recommendations 0 2 0 0 4 4 0 0 10 $2,006 $11,500 $12,650 $14,656 0 2 0 0 4 4 0 0 10 $2,006 $11,500 $12,650 $14,656
4 Utility Data Research and Coordination
1 Utility Data Research and Coordination 0 2 0 0 12 16 0 0 30 $5,606 $0 $0 $5,606 2 Utility Conflict Review and Resolution 0 2 0 4 8 8 0 0 22 $4,354 $0 $0 $4,354 3 Pothole Exhibit 0 2 0 0 2 8 0 0 12 $2,296 $0 $0 $2,296 0 6 0 4 22 32 0 0 64 $12,256 $0 $0 $12,256
9 Bid and Construction Phase Support Services
1 Bid Support Services 0 4 0 0 8 0 0 0 12 $2,652 $0 $0 $2,652 2 Construction Support Services 2 6 0 0 8 20 0 0 36 $7,202 $5,000 $5,500 $12,702 3 Construction Meetings 0 6 0 0 12 4 0 0 22 $4,658 $0 $0 $4,658 2 16 0 0 28 24 0 0 70 $14,512 $5,000 $5,500 $20,012
General BKF Printing, Plotting, and Travel (0.5% of Total) Consultant Labor Totals 11 66 24 10 60 72 0 0 243 $53,740 $16,500 $18,150 $71,890 $57,967
$33,115
$34,981
$197,953
Opt. Task 1 Topographic and Boundary Survey
1 Tower Rd GPS Topo 0 1 1 2 0 5 8 8 25 $4,747 $0 $0 $4,747 2 South Kelly Road Topo 0 1 2 2 0 24 16 16 61 $11,157 $0 $0 $11,157 3 SR29 Topo & Control 1 2 12 4 0 24 28 28 99 $19,156 $0 $0 $19,156 4 South Kelly & SR29 Boundary 1 2 3 8 0 6 8 8 36 $7,344 $0 $0 $7,344 2 6 18 16 0 59 60 60 221 $42,404 $0 $0 $42,404
South Kelly Road Improvements SubTotal
Tower Road Improvements SubTotal
SR-29 Improvements SubTotal
Total Fees* (Total fees include consultant and reimbursable markups pursuant to rate sheets) Principal
9 Bid and Construction Phase Support Services Subtotal:

Task Description Full Rate
Geotechnical
1 Project Management Subtotal:

Total BKF Hours
Field CrewParty ChiefProject Manager
Design Engineer
Sub-Consultant
South Kelly Road & State Route 29
Project Management, Construction Phase and Optional Services Project Engineer
4 Utility Data Research and Coordination Subtotal:
3 Pavement Recommendation and Design Subtotal:

Reimbursable and Consultant Expenses
Total BKF Fee
$360
Field CrewChainpersonSr Project Engineer
Total Subconsultant Fee**Includes 10% Markup
QA/QC Manager
Opt. Task 1 Topographic and Boundary Survey Subtotal:

Total Fee
2 Base Mapping Collection and Formatting Subtotal:

CONSULTING SERVICES
337
Miller Pacific

VP AP PM SPE PE DE FC FC
$302 $273 $260 $222 $195 $170 $222 $143
Base Scope of Services
South Kelly Road Imporvements
5 50% Design Package
Drawings 1 18 0 8 36 60 0 0 123 $24,212 $0 $0 $24,212
Estimate 0 1 0 1 2 2 0 0 6 $1,225 $0 $0 $1,225
Specifications 0 1 0 2 0 0 0 0 3 $717 $0 $0 $717
Submittal 0 1 0 0 2 4 0 0 7 $1,343 $0 $0 $1,343
1 21 0 11 40 66 0 0 139 $27,497 $0 $0 $27,497
6 75% Design Package
Drawings 1 10 0 4 16 40 0 0 71 $13,840 $0 $0 $13,840
Estimate 0 1 0 1 2 2 0 0 6 $1,225 $0 $0 $1,225
Specifications 0 2 0 16 0 0 0 0 18 $4,098 $0 $0 $4,098
Submittal 0 1 0 0 2 4 0 0 7 $1,343 $0 $0 $1,343
1 14 0 21 20 46 0 0 102 $20,506 $0 $0 $20,506
7 100% Design Package
Drawings 1 6 0 0 12 12 0 0 31 $6,320 $0 $0 $6,320
Estimate 0 1 0 1 2 2 0 0 6 $1,225 $0 $0 $1,225
Specifications 0 1 0 4 0 0 0 0 5 $1,161 $0 $0 $1,161
Submittal 0 1 0 0 1 2 0 0 4 $808 $0 $0 $808
1 9 0 5 15 16 0 0 46 $9,514 $0 $0 $9,514
Reimbursable Expenses $450
South Kelly Road Improvements SubTotal $57,967
Principal
Task Description Full Rate
Geotechnical
South Kelly Road & State Route 29
South Kelly Rd Improvements
Project Engineer
Total BKF Fee
Field CrewParty ChiefProject Manager
Design Engineer
Field CrewChainpersonSr ProjectEngineer
7 100% Design Package Subtotal:

Total Subconsultant Fee**Includes 10% Markup
QA/QC Manager
Sub-Consultant
Total Fee

CONSULTING SERVICES
Total BKF Hours
5 50% Design Package Subtotal:
6 75% Design Package Subtotal:
338
Miller Pacific

VP AP PM SPE PE DE FC FC
$302 $273 $260 $222 $195 $170 $222 $143
Base Scope of Services
Tower Road Improvements
5 50% Design Package
Drawings 1 6 0 4 14 20 0 0 45 $8,958 $0 $0 $8,958
Estimate 0 0 0 1 2 2 0 0 5 $952 $0 $0 $952
Specifications 0 0 0 2 0 0 0 0 2 $444 $0 $0 $444
Submittal 0 1 0 0 2 4 0 0 7 $1,343 $0 $0 $1,343
1 7 0 7 18 26 0 0 59 $11,697 $0 $0 $11,697
6 75% Design Package
Drawings 1 6 0 2 12 24 0 0 45 $8,804 $0 $0 $8,804
Estimate 0 0 0 1 2 2 0 0 5 $952 $0 $0 $952
Specifications 0 2 0 8 0 0 0 0 10 $2,322 $0 $0 $2,322
Submittal 0 1 0 0 2 4 0 0 7 $1,343 $0 $0 $1,343
1 9 0 11 16 30 0 0 67 $13,421 $0 $0 $13,421
7 100% Design Package
Drawings 1 2 0 0 6 16 0 0 25 $4,738 $0 $0 $4,738
Estimate 0 0 0 1 2 2 0 0 5 $952 $0 $0 $952
Specifications 0 1 0 4 0 0 0 0 5 $1,161 $0 $0 $1,161
Submittal 0 1 0 0 1 2 0 0 4 $808 $0 $0 $808
1 4 0 5 9 20 0 0 39 $7,659 $0 $0 $7,659
Reimbursable Expenses $338
Tower Road Improvements SubTotal $33,115
6 75% Design Package Subtotal:
7 100% Design Package Subtotal:
5 50% Design Package Subtotal:

Geotechnical
Task Description Full Rate Total Fee

CONSULTING SERVICES
PrincipalQA/QC ManagerSr ProjectEngineerProject Engineer South Kelly Road & State Route 29
Tower Road Improvements
Total BKF HoursTotal BKF Fee
Sub-Consultant
Total Subconsultant Fee**Includes 10% Markup
Design Engineer
Field CrewParty ChiefField CrewChainpersonProject Manager 339
Miller Pacific

VP AP PM SPE PE DE FC FC
$302 $273 $260 $222 $195 $170 $222 $143
Base Scope of Services
SR-29 Improvements
4 Caltrans Encroachment Permit Support
Caltrans Encroachment Permit Application and Coordination 0 4 0 4 0 0 0 0 8 $1,980 $0 $0 $1,980 Caltrans Right-of-Way Improvement Drawings 2 10 0 18 28 40 0 0 98 $19,590 $2,875 $3,163 $22,753 Response to Caltrans Comments 0 6 0 10 14 20 0 0 50 $9,988 $0 $0 $9,988 2 20 0 32 42 60 0 0 156 $31,558 $2,875 $3,163 $34,721
Reimbursable Expenses $260
SR-29 Improvements SubTotal $34,981
4 Caltrans Encroachment Permit Support Subtotal:

Geotechnical
Task Description Full Rate Total Fee

CONSULTING SERVICES
PrincipalProject ManagerQA/QC ManagerSr ProjectEngineerProject Engineer South Kelly Road & State Route 29
SR-29 Improvements
Total BKF HoursTotal BKF Fee
Sub-Consultant
Total Subconsultant Fee**Includes 10% Markup
Design Engineer
Field CrewParty ChiefField CrewChainperson
340
Assumptions:

1. Prorating is based on design costs only.

2. Prorate % is based on the discrete costs for each area of work.

3. South Kelly Rd. design cost to be split 50/50 between City and County.

4. Tower Rd. design cost to be paid by County only.

5. SR-29 improvements design cost to be paid by City only.

Prorate (%) Prorate (%)
South Kelly Improvements - City share (50%) 22.991%
South Kelly Improvements - County share (50%) 22.991%
Tower Road Improvements - County share 26.269%
SR-29 Improvements - City share 27.749%
TOTAL 100.000%
Description - Lump Sum Items Amount City Prorated Share County Prorated Share 1 Project Management 21,558.00 $ 10,938.55 $ 10,619.45 $ 2 Base Mapping 3,408.00 $ 1,729.22 $ 1,678.78 $
3 Pavement Recommendation & Design 14,656.00 $ 7,436.47 $ 7,219.53 $ 4 Utility Data Research and Coordination 12,256.00 $ 6,218.71 $ 6,037.29 $ 5 Bid and Construction Phase Support 20,012.00 $ 10,154.11 $ 9,857.89 $ Subtotal 71,890.00 $ 36,477.06 $ 35,412.94 $
Description - Areas of Work Amount City Share County Share 1 South Kelly Road Improvements - 50/50 split 57,967.00 $ 28,983.50 $ 28,983.50 $ 2 Tower Road Improvements - County only 33,115.00 $ - $ 33,115.00 $ 3 SR-29 Improvements - City only 34,981.00 $ 34,981.00 $ - $ Subtotal 126,063.00 $ 63,964.50 $ 62,098.50 $
Topo & Boundary Survey Amount City Share County Share
1 Tower Road GPS Topo 4,747.00 $ - $ 4,747.00 $
2 South Kelly Road Topo 11,157.00 $ 5,578.50 $ 5,578.50 $ 3 SR29 Topo & Control 19,156.00 $ 19,156.00 $ - $
4 South Kelly & SR29 Boundary 7,344.00 $ 7,344.00 $ - $ Subtotal 42,404.00 $ 32,078.50 $ 10,325.50 $
TOTAL 240,357.00 $ 132,520.06 $ 107,836.94 $
American Canyon 132,520.06 $ 55.13%
Napa County 107,836.94 $ 44.87%
TOTAL 240,357.00 $
Napa County Share Amount Rounded
Consultant Design Cost 107,836.94 $ 107,837.00 $
City Staff PM & Admin (15%) 16,175.54 $ 16,176.00 $
TOTAL 124,012.48 $ 124,013.00 $
341

CITY COUNCIL AGENDA
NOVEMBER 19, 2024

STAFF REPORT

CONSENT
ITEM NUMBER: 11.

TITLE
Napa Valley Tourism Improvement District (NVTID) Renewal

RECOMMENDATION
Adopt a Resolu.on gran.ng consent to the County of Napa to renew the Napa Valley Tourism Improvement District (NVTID) and include the City of American Canyon in the renewed NVTID.

CONTACT
Jason Holley, City Manager

BACKGROUND & ANALYSIS
The NVTID is a benefit assessment district proposed to con.nue a revenue source to help fund des.na.on sales and marke.ng promo.ons for Napa Valley lodging businesses. This approach has been used successfully in other des.na.on areas throughout the state to improve tourism and drive addi.onal room nights to assessed lodging businesses. The renewed NVTID includes all lodging businesses, exis.ng and in the future, available for public occupancy located within the boundaries of the ci.es of American Canyon, Calistoga, Napa, St. Helena, and the Town of Yountville and the unincorporated area of Napa County. Because the renewed NVTID will include the City of American Canyon, consent must be granted by the City Council of American Canyon in order for the City of American Canyon to be included in the creation, operation and future renewals of the NVTID.

Lodging business owners decided to pursue renewal of the NVTID in order to con.nue a revenue source devoted to marke.ng Napa Valley as a tourist, mee.ng and event des.na.on. If renewed, the NVTID would generate approximately $11,000,000 on an annual basis for promo.on of travel and tourism specific to Napa Valley.

TOURISM IMPROVEMENT DISTRICTS
Tourism Improvement Districts (TIDs) u.lize the efficiencies of private sector opera.on in the market-based promo.on of tourism. These special assessment districts allow assessed business owners to organize their efforts to increase tourism. Business owners within the TID fund the TID, and those funds are used to provide services that are desired by and benefit the assessed businesses within the TID.

TID benefits:
342
Funds cannot be diverted for other government programs.

They are customized to fit the needs of each destination.

They allow for a wide range of services, including des.na.on marke.ng, tourism promo.on, and sales lead generation.

They are designed, created and governed by those who will pay the assessment.

They provide a stable funding source for tourism promotion.

In California, TIDs are primarily formed pursuant to the Property and Business Improvement District Law of 1994 (94 Law). This law allows for the crea.on of special benefit assessment districts to raise funds within a specific geographic area. The key difference between TIDs and other special benefit assessment districts is that funds raised are returned to the private non-profit corpora.on governing the TID.

MANAGEMENT DISTRICT PLAN
The Management District Plan includes the proposed boundary of the NVTID, a service plan and budget and a proposed means of governance. The NVTID will include all lodging businesses, exis.ng and in the future, available for public occupancy within the boundaries of the ci.es of American Canyon, Calistoga, Napa, St. Helena, and the Town of Yountville and the unincorporated area of Napa County.

The annual assessment rate is two percent (2%) of gross short-term (30 days or less) sleeping room rental revenue. In years three (3), six (6) and nine (9) of the NVTID’s term, the assessment rate may be recommended to be increased by the Visit Napa Valley (VNV) Board of Directors and then brought to the Napa Valley Tourism Corpora.on (NVTC) Board for final approval. The maximum increase in years three (3), six (6) and nine (9) shall be one half of one percent (0.5%).

The total assessment rate may not exceed three percent (3%) of gross short-term (30 days or less) sleeping room rental revenue. Based on the benefit received, assessments will not be collected on stays of more than thirty (30) consecu.ve days. Stays by government employees on government business shall not be subject to assessment. “Government employee” shall mean foreign or domes.c government employees subject to exemp.on from transient occupancy tax pursuant to each municipality’s municipal/county code.

The renewed NVTID will have a ten (10) year term, beginning June 26, 2025, or as soon as possible thereaHer, and ending ten (10) years from its start date. Once per year beginning on the anniversary of NVTID renewal there is a thirty (30) day period in which business owners paying fiHy percent (50%) or more of the assessment may protest and begin proceedings to terminate the NVTID.

Each jurisdic.on will be responsible for collec.ng the assessment on a basis that mirrors the collec.on of transient occupancy tax from each lodging business located in the NVTID boundaries.

Each jurisdic.on shall forward the assessments to the County of Napa (“County”) to be forwarded to Napa Valley Tourism Corpora.on, which will have the responsibility of managing NVTID programs 343
as provided in the Management District Plan. Each jurisdic.on tax collector will retain a fee of up to one percent (1%) of the amount of the assessment collected prior to remiIng funds to the County, within their respective jurisdictions, to cover their costs of collection and administration.

COUNCIL PRIORITY PROGRAMS AND PROJECTS
Not applicable.

FISCAL IMPACT
None immediately. The City of American Canyon shall be paid a fee equal to 1% of the amount of assessment collected to cover its costs of administra.on. Because the NVTID programs are intended to increase visita.on to the City of American Canyon, there may be an increase in transient occupancy tax and sales tax collections.

ENVIRONMENTAL REVIEW
None.

ATTACHMENTS:

1. Resolution - NVTID Renewal

2. Napa County Reso 2024-112 Requesting Renewal of NVTID 344
RESOLUTION NO. 2024-

RESOLUTION OF THE CITY COUNCIL OF THE CITY OF AMERICAN CANYON GRANTING CONSENT TO THE

COUNTY OF NAPA TO RENEW THE NAPA VALLEY TOURISM IMPROVEMENT DISTRICT (NVTID) AND

INCLUDE THE CITY OF AMERICAN CANYON IN THE RENEWED NVTID WHEREAS, the Napa Valley Tourism Improvement District (NVTID) was established by the County of Napa (“County”) in 2010 for a five-year period, with consent from the Cities of American Canyon, Calistoga, Napa, and St. Helena, and the Town of Yountville, pursuant to the Property and Business Improvement District Law of 1994, Streets and Highways Code section 36600 et seq., to promote lodging businesses in Napa Valley; and
WHEREAS, the NVTID was subsequently renewed on June 10, 2014, by the County, with consent from the Cities of American Canyon, Calistoga, Napa, and St. Helena, and the Town of Yountville, by Resolution No. 2014-64 for a ten (10) year term which ends on June 15, 2025; and WHEREAS, the County is beginning the process to renew the NVTID pursuant to the Property and Business Improvement District Law of 1994; and
WHEREAS, the County has requested consent to renew the NVTID in the City of American Canyon with adoption of Napa County Board of Supervisors Resolution No. 2024-112, dated October 15, 2024.

NOW, THEREFORE, BE IT RESOLVED, by the City Council of the City of American Canyon, that:

Section 1: Napa County is hereby granted consent to include the City of American Canyon in the in the NVTID, for the renewal of the NVTID and future renewals.

Section 2: The Clerk of the City of American Canyon is hereby directed to transmit a certified copy of this Resolution to the Clerk of the County of Napa.

Section 3: This Resolution is effective upon its adoption.

PASSED, APPROVED AND ADOPTED at a regularly scheduled meeting of the City Council of the City of American Canyon, held on this 19th day of November 2024 by the following vote:

AYES:

NOES:

ABSTAIN:

ABSENT:
____________________________
Leon Garcia, Mayor
ATTEST: APPROVED AS TO FORM:
_______________________________ ___________________________ Taresa Geilfuss, CMC, City Clerk William D. Ross, City Attorney 345
346
347
348

CITY COUNCIL AGENDA
NOVEMBER 19, 2024

STAFF REPORT

CONSENT
ITEM NUMBER: 12.

TITLE
Update Pay Rates for Part-time Temporary Staff

RECOMMENDATION
Upda(ng the Salary Schedule and Compensa(on Plan for FY 2024/2025 by adop(ng a Resolu(on Approving Part-Time Temporary Staff

CONTACT
Juan Gomez, Interim Assistant City Manager
Scott Corey, Human Resources Officer II

BACKGROUND & ANALYSIS
California State Labor Code sec(on 1182.12(c)(1) requires an annual adjustment to the minimum wage based on the Consumer Price Index. In August, the California Department of Finance determined the minimum wage would be $16.50 per hour for all employers star(ng January 1, 2025, an increase of 3.18%.

Since 2018, the City Council annually adopted and approved a resolu(on establishing a “pay philosophy” for part-(me temporary staff to establish a five-step salary range and ra(os between various part-(me, temporary job classifica(ons. Consistent with state law, the philosophy adjusts with the minimum wage each year and (es posi(ons in similar families together to ensure internal alignment.

Proposed changes to the Salary Schedule and Compensa(on Plan Exhibit B will be effec(ve December 21, 2024, which is the beginning of the pay period containing January 1, 2025.

The proposed changes to the Salary Schedule and Compensa(on Plan Exhibit A will be effec(ve December 7, 2024.

COUNCIL PRIORITY PROGRAMS AND PROJECTS
Organizational Effectiveness: "Deliver exemplary government services."

FISCAL IMPACT
349
Adop(on of the proposed resolu(on will have no fiscal impact because these pay rate increases were budgeted in the City's FY 2024/2025 Budget.

ENVIRONMENTAL REVIEW
ATTACHMENTS:

1. Resolution - Part Time Staff Rates

2. Exhibits A and B - Salary Schedules
350
RESOLUTION NO. 2024-__

A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF AMERICAN CANYON

APPROVING PART-TIME TEMPORARY STAFF, AND
UPDATING THE SALARY SCHEDULE AND COMPENSATION PLAN FOR FY 2024/2025 WHEREAS, each year since 2018, the City Council has adopted a resolution establishing a part-time temporary pay philosophy that maintains internal alignment and adjusts each year with the state mandated minimum wage increase; and
WHEREAS, on January 1, 2025, the State of California’s minimum wage will increase to $16.50 per hour; and
WHEREAS, the FY2024/2025 Salary Schedule must be updated to comply with the state minimum wage and to ensure the City can competitively recruit and retain qualified staff; and WHEREAS, the following pay philosophy and hourly salary ranges are established for part-time temporary positions tied to the minimum wage:

NOW, THEREFORE, BE IT RESOLVED that the City Council of the City of American Canyon does hereby approve Salary Schedule Exhibit A effective December 7, 2024, and Salary Schedule Exhibit B effective December 21, 2024, as attached hereto as Exhibit “A.”
2025 Min Wage / hour $16.50 Salary Philosophy

A B C D E
*Positions tied to Min Wage are
tied at Step A
Lifeguard (Temp) Hourly 17.33 18.19 19.11 20.07 21.07 (+) 5% to rec leader Lifeguard (WSI) (Temp) Hourly 17.76 18.65 19.58 20.56 21.59 (+) 2.5% to lifeguard Program Coord. (Temp) Hourly 24.90 26.15 27.46 28.83 30.27 (+) 25% to sr lifeguard Recreation Leader (Temp) Hourly 16.50 17.33 18.19 19.11 20.07 (+) 0% to min wage Cashier (Temp) Hourly 16.50 17.33 18.19 19.11 20.07 (+) 0% to min wage Sr. Lifeguard (WSI) (Temp) Hourly 19.92 20.92 21.97 23.06 24.22 (+) 15% to lifeguard Minimum Maximum
Student Intern (Temp) Hourly 16.50 30.27 (+) 0% to min wage Sr Recreation Leader (Temp) Hourly 18.98 19.92 20.92 21.97 23.06 (+) 15% to rec leader 2025 Proposed
351
2 PASSED, APPROVED and ADOPTED at a regularly scheduled meeting of the City Council of the City of American Canyon held on the 19th day of November 2024, by the following vote:

AYES:

NOES:

ABSTAIN:

ABSENT:
____________________________
Leon Garcia, Mayor
ATTEST: APPROVED AS TO FORM:
____________________________ _____________________________ Taresa Geilfuss, City Clerk William D. Ross, City Attorney 352
Exhibit A
SALARY SCHEDULE FOR FULL-TIME PERMANENT CLASSIFICATIONS - FY2024-25 Effective: December 7, 2024
Class Code Classification Basis
City Council Monthly $950.00
Executive Classifications
Minimum Control Pt. Maximum
1001 City Manager Annually $217,454.40 $271,818.00 $326,181.60 1009 Assistant City Manager Annually $188,059.20 $235,074.00 $282,088.80 1006 Community Development Director Annually $173,356.80 $216,696.00 $260,035.20 1004 Finance Director Annually $165,763.20 $207,204.00 $248,644.80 1003 Parks and Recreation Director Annually $150,988.80 $188,736.00 $226,483.20 1007 Public Works Director Annually $172,089.60 $215,112.00 $258,134.40 Class Code Classification Basis

A B C D E
6210 Assistant Director of Public Works Annually $155,652.51 $163,435.14 $171,606.90 $180,187.25 $189,196.61 6305 City Clerk Annually $118,629.75 $124,561.24 $130,789.30 $137,328.77 $144,195.21 2201 Chief Building Official Annually $130,945.05 $137,492.30 $144,366.92 $151,585.27 $159,164.53 2213 Chief Plant Operator Annually $110,159.52 $115,667.50 $121,450.87 $127,523.41 $133,899.58 2309 Development Services Engineer Annually $121,595.50 $127,675.28 $134,059.04 $140,761.99 $147,800.09 2200 Environmental Services Manager Annually $134,218.69 $140,929.62 $147,976.10 $155,374.90 $163,143.64 6208 Finance Manager Annually $144,538.84 $151,765.78 $159,354.07 $167,321.77 $175,687.86 6310 Human Resources Analyst I Annually $90,413.05 $94,933.70 $99,680.38 $104,664.40 $109,897.62 6311 Human Resources Analyst II Annually $99,799.09 $104,789.04 $110,028.49 $115,529.91 $121,306.41 6309 Human Resources Manager Annually $137,574.15 $144,452.86 $151,675.50 $159,259.27 $167,222.23 6307 Human Resources Officer I Annually $97,364.96 $102,233.21 $107,344.87 $112,712.11 $118,347.72 6308 Human Resources Officer II Annually $118,629.75 $124,561.24 $130,789.30 $137,328.77 $144,195.21 2302 Information Systems Officer Annually $118,629.75 $124,561.24 $130,789.30 $137,328.77 $144,195.21 2210 Maintenance Supervisor Annually $92,673.37 $97,307.04 $102,172.39 $107,281.01 $112,645.06 6303 Management Analyst I (Conf.) Annually $102,294.06 $107,408.76 $112,779.20 $118,418.16 $124,339.07 6304 Management Analyst II (Conf.) Annually $112,913.50 $118,559.18 $124,487.14 $130,711.50 $137,247.07 2310 Management Analyst I Annually $102,294.06 $107,408.76 $112,779.20 $118,418.16 $124,339.07 2311 Management Analyst II Annually $112,913.50 $118,559.18 $124,487.14 $130,711.50 $137,247.07 2204 Public Works Superintendent Annually $127,751.28 $134,138.84 $140,845.78 $147,888.07 $155,282.47 2212 Recreation Manager Annually $104,851.42 $110,093.99 $115,598.69 $121,378.62 $127,447.55 2205 Senior Civil Engineer Annually $134,218.69 $140,929.62 $147,976.10 $155,374.90 $163,143.64 2209 Senior Planner Annually $110,159.52 $115,667.50 $121,450.87 $127,523.41 $133,899.58 2211 Wastewater Operations Manager Annually $137,574.15 $144,452.86 $151,675.50 $159,259.27 $167,222.23 2207 Water Systems Manager Annually $134,218.69 $140,929.62 $147,976.10 $155,374.90 $163,143.64 Class Code Classification Basis

A B C D E
4301 Accountant Hourly $42.41 $44.53 $46.76 $49.10 $51.55 4402 Accounting Assistant I Hourly $27.19 $28.55 $29.98 $31.48 $33.05 4403 Accounting Assistant II Hourly $30.01 $31.51 $33.09 $34.74 $36.48 4404 Accounting Assistant III Hourly $33.12 $34.78 $36.52 $38.35 $40.27 4405-3405 Accounting Technician
(General & Confidential) Hourly $36.56 $38.39 $40.31 $42.33 $44.45 4707 Administrative Clerk I Hourly $24.04 $25.24 $26.50 $27.82 $29.21 4708 Administrative Clerk II Hourly $26.52 $27.85 $29.24 $30.70 $32.24 4709 Administrative Clerk III Hourly $29.29 $30.75 $32.29 $33.90 $35.59 4706 Administrative Technician Hourly $35.68 $37.46 $39.33 $41.30 $43.36 4312 Assistant Planner Hourly $43.47 $45.64 $47.92 $50.32 $52.84 4314 Associate Planner Hourly $47.98 $50.38 $52.90 $55.54 $58.32 4415 Building Inspector I Hourly $40.36 $42.38 $44.50 $46.72 $49.06 4416 Building Inspector II Hourly $44.55 $46.78 $49.12 $51.58 $54.16 4917 Building Maintenance Worker Hourly $34.81 $36.55 $38.38 $40.30 $42.31 4318 Capital Projects Coordinator Hourly $50.40 $52.92 $55.57 $58.35 $61.27 4422 Civil Engineering Technician Hourly $45.67 $47.95 $50.35 $52.87 $55.51 4419 Code Enforcement Officer Hourly $38.42 $40.34 $42.36 $44.48 $46.70 5403 Construction Management Aide
(At-Will/Temporary/Seasonal) Hourly $35.68 $37.46 $39.33 $41.30 $43.36 3104 Deputy City Clerk (Conf.) Hourly $46.81 $49.15 $51.61 $54.19 $56.90 4101 Deputy City Clerk CDD Hourly $46.81 $49.15 $51.61 $54.19 $56.90 Salaries
Annual Salary Steps
Hourly Steps
Exempt Classifications
Non- Exempt Classifications
Amended by City Council Resolution on November 19, 2024. Page 1 of 2 353 Class Code Classification Basis

A B C D E
Hourly Steps
Non- Exempt Classifications
4323 Engineer I Hourly $45.67 $47.95 $50.35 $52.87 $55.51 4311 Engineer II Hourly $50.40 $52.92 $55.57 $58.35 $61.27 4313 Engineer III Hourly $55.64 $58.42 $61.34 $64.41 $67.63 4441 Engineering Technician Hourly $40.36 $42.38 $44.50 $46.72 $49.06 4438 Environmental Specialist I Hourly $35.68 $37.46 $39.33 $41.30 $43.36 4425 Environmental Specialist II Hourly $39.38 $41.35 $43.42 $45.59 $47.87 4439 Environmental Specialist III Hourly $43.47 $45.64 $47.92 $50.32 $52.84 3105 Executive Assistant to the City
Manager
Hourly $37.48 $39.35 $41.32 $43.39 $45.56
3102 Fire Executive Assistant/ Office
Administrator Hourly $39.38 $41.35 $43.42 $45.59 $47.87 3106 Human Resources Technician Hourly $33.12 $34.78 $36.52 $38.35 $40.27 4324 Lab Analyst Hourly $46.81 $49.15 $51.61 $54.19 $56.90 4927 Maintenance Worker I Hourly $29.29 $30.75 $32.29 $33.90 $35.59 4928 Maintenance Worker II Hourly $32.32 $33.94 $35.64 $37.42 $39.29 4929 Maintenance Worker III Hourly $35.68 $37.46 $39.33 $41.30 $43.36 4831 Mechanic Hourly $38.42 $40.34 $42.36 $44.48 $46.70 4442 Parks and Open Space Project
Coordinator Hourly $35.68 $37.46 $39.33 $41.30 $43.36
4440 Permit Technician Hourly $34.81 $36.55 $38.38 $40.30 $42.31 4833 Plant Maintenance Mechanic I Hourly $39.38 $41.35 $43.42 $45.59 $47.87 4832 Plant Maintenance Mechanic II Hourly $43.47 $45.64 $47.92 $50.32 $52.84 5402 Plant Operator Apprentice Hourly $35.59
4435 Plant Operator I Hourly $39.38 $41.35 $43.42 $45.59 $47.87 4436 Plant Operator II Hourly $43.47 $45.64 $47.92 $50.32 $52.84 4437 Plant Operator III Hourly $47.98 $50.38 $52.90 $55.54 $58.32 4732 Police Technician Hourly $30.76 $32.30 $33.91 $35.61 $37.39 4608 Recreation Coordinator Hourly $33.95 $35.65 $37.43 $39.30 $41.27 4233 Recreation Supervisor Hourly $41.38 $43.45 $45.62 $47.90 $50.29 4634 Senior Bus Driver Hourly $29.29 $30.75 $32.29 $33.90 $35.59 4930 Senior Maintenance Worker Hourly $39.38 $41.35 $43.42 $45.59 $47.87 4420 Sustainability Coordinator Hourly $40.36 $42.38 $44.50 $46.72 $49.06 Fiscal Year 22/23 Modifications
Fiscal Year 21/22 Modifications

2. 2% pay increase for City Manager effective 7/1/2021

3. Update hourly pay rate for Plant Operator Apprentice consistent with Resolution 2007-92

4. Adjust City Manager's compensation effective July 1 per contract approved Oct. 5, 2021 Fiscal Year 20/21 Modifications

2. 2% pay increase for City Manager effective 7/1/2020

3. Add Maintenance and Utilities Director classification and set salary range to Pay Band M1 effective pay period that includes 7/1/2020

1.Market Adjustment, Internal Alignment & Range Placements consistent with Total Compensation Study, Recruitment and Retention Strategic Plan, and Memorandums of Understanding effective the pay period starting 7/9/2022.

2. Contract Adjustment - 5% pay increase for all permanent employees (excludes City Manager and Temporary employees) effective pay period starting 7/9/2022.

1. Contract Adjustment- 3.8% pay increase for all permanent employees (excludes City Manager and Temporary employees) effective pay period starting 7/10/2021

3. Reassign Deputy Public Works Director classification to Unrepresented from At-Will Manager.

1. Contract Adjustment - 4.2% pay increase for all Regular classifications (excludes City Manager and Temporary classes not indexed to a Regular classification) effective pay period starting 7/8/2023.

2. 4% pay increase for City Manager per contract.

Fiscal Year 23/24 Modifications
Fiscal Year 24/25 Modifications

4. Update minimum wage rate and new rate for the following positions: Lifeguard, WSI Lifeguard, Office Assistant, Program Coordinator, Recreation Leader , Cashier, Service Worker, Senior Lifeguard, Student Intern and Senior Recreation Leader effective pay period that includes 1/1/2021.

1. Contract Adjustment - 3.8% cost-of-living increase for all Regular classifications (excludes Temporary classes not indexed to a Regular classification) effective pay period starting 7/6/2024.

3. Amend compensation plan to remove the classifications of Deputy Public Works Director, Maintenance & Utilities Director, Administrative Services Director, Human Resources Assistant and Aquatics Supervisor.

5. Update minimum wage rate and new rate for the following positions: Lifeguard, WSI Lifeguard, Office Assistant, Program Coordinator, Recreation Leader, Cashier, Service

6. Create Management Fellow salary range.

1. Contract Adjustment- 2% pay increase for all permanent employees (excludes City Manager and Temporary employees) effective pay period that includes 7/1/2020

2. Amend compensation plan to add the classifications of Assistant Director of Public Works, Chief Plant Operator, Deputy City Clerk-CDD, Human Resources Analyst I/II, Human Resources Manager, Human Resources Technician and Management Analyst I/II (Represented).

4. Update City Council compensation per Municipal Code Section Chapter 2.04.060 as amended by Ordinance 2023-10.

Amended by City Council Resolution on November 19, 2024. Page 2 of 2 354 Exhibit B
SALARY SCHEDULE FOR PART-TIME, RETIRED ANNUITANTS & EXTRA HELP - 2025 Effective December 21, 2024

CLASS CODE CLASSIFICATION PAY BASIS A B C D E
5601 Bus Driver (Non-Regular) Hourly 21.24 22.30 23.42 24.59 25.82 5602 Cashier (Seasonal) Hourly 16.50 17.33 18.20 19.11 20.07 5607 Lifeguard (Temporary) Hourly 17.33 18.20 19.11 20.07 21.07 5605 Lifeguard (WSI) (Temporary) Hourly 17.76 18.65 19.58 20.56 21.59 Minimum Maximum
5609 Management Aide (At Will /Temp) Hourly 34.00 150.00 Minimum Maximum
6309 Management Fellow (At Will /Limited) Hourly 30.00 58.00 5101 Office Assistant Hourly 19.72 20.71 21.75 22.84 23.98 5603 Program Coordinator (Temporary) Hourly 24.91 26.16 27.47 28.84 30.28 5610 Recreation Specialist (Temporary) Hourly 27.88 29.27 30.73 32.27 33.88 5604 Recreation Leader (Temporary) Hourly 16.50 17.33 18.20 19.11 20.07 5608 Senior Lifeguard (WSI) (Temporary) Hourly 19.93 20.93 21.98 23.08 24.23 5610 Senior Recreation Leader (Temporary) Hourly 18.98 19.93 20.93 21.98 23.08 5606 Service Worker (Temporary) Hourly 22.32 23.44 24.61 25.84 27.13 Minimum Maximum
5401 Student Intern (Temporary) Hourly 16.50 30.28
DEFINITIONS:

Fiscal Year 24/25 Modifications
Fiscal Year 23/24 Modifications
Fiscal Year 22/23 Modifications
The following pay ranges are the authorized pay levels for individuals working in a part-time, temporary, limited term or extra help capacity. The specific pay assignment with each level should be based on internal equity as well as training and experience of the individual filling the part-time or extra help position. Unless approved by the City Council, the pay of an individual working in any of the temporary job classifications listed below shall be within the approved range.

Part-time, temporary and extra help positions are limited to 980 hours per calendar & fiscal years. Salaries for PERS retired annuitants must meet PERS requirements and are limited to 960 hours per calendar & fiscal years. If a PERS retired annuitant is performing part-time services for a position identified on the City's Salary Schedule for full-time positions, the City pays the employee an hourly rate based on the Salary Schedule for full-time positions. Consult Human Resources for assistance in determining the appropriate hourly rates for parttime, extra-help or retired annuitants.

1. Created separate Salary Schedule for classifications that can be filled on a part-time, temporary, seasonal, extra help and/or limited duration basis.

2. Increased the Minimum Wage and adjusted classes tied to it: Cashier, Lifeguard, Lifeguard (WSI), Program Coordinator, Recreation Leader, Senior Lifeguard, Senior Recreation Leader and Student Intern.

1. Apply 4.2% wage Increase for Bus Driver, Office Assistant and Service Worker classifications, which are indexed to similar Regular classifications effective July 8, 2023.

2. Increased the Minimum Wage and adjusted classes tied to it: Cashier, Lifeguard, Lifeguard (WSI), Program Coordinator, Recreation Leader, Senior Lifeguard, Senior Recreation Leader and Student Intern, effective January 1, 2024.

1. Apply 3.8% wage Increase for Bus Driver, Office Assistant and Service Worker classifications, which are indexed to similar Regular classifications, effective July 6, 2024.

2. Amend compensation plan to add classification of Recreation Specialist, which is indexed to Regular classification of Recreation Coordinator.

2. Increased the Minimum Wage and adjusted classes tied to it: Cashier, Lifeguard, Lifeguard (WSI), Program Coordinator, Recreation Leader, Senior Lifeguard, Senior Recreation Leader and Student Intern, effective January 1, 2025.

Amended by City Council Resolution on November 19, 2024. Page 1 of 1 355

CITY COUNCIL AGENDA
NOVEMBER 19, 2024

STAFF REPORT

CONSENT
ITEM NUMBER: 13.

TITLE
Water Treatment Plant Membrane Replacement

RECOMMENDATION
Adopt a Resolu*on approving Amendment #1 to Agreement 2024-A128 with Zenon Environmental Corpora*on in the amount of $37,163 for a total amount not to exceed $1,140,940 in conjunc*on with the purchase of ultra-membrane filters for the Water Treatment Plant.

CONTACT
Erica Ahmann Smithies, P.E., Public Works Director
Norman Woods, M.B.A., Assistant Public Works Director
Dominic Patrick, Water Systems Manager

BACKGROUND & ANALYSIS
On September 9, 2024, the City Council approved Agreement #2024-A128 with Zenon Environmental Corpora*on for the purchase of ultra-membrane filters in the amount of $1,103,777.

The manufacturer recommends refurbishment of the twelve exis*ng casse?es that will be receiving new membrane modules. Casse?e refurbishment service allows the membrane plant to be fully recondi*oned and costs less than purchasing all new casse?es. Refurbished casse?es include the following: removal of all exis*ng plas*c parts and associated hardwater and return the casse?e and modules to initial factory slack position.

There is an addi*onal cost to the original proposal in the amount of $37,163 to install casse?e refurbishment components in exis*ng casse?es. Staff has evaluated the proposal scope and fee, finds the proposal agreeable, and recommends the Council approve the total contract amount not to exceed $1,140,940, in conjunc*on with the Agreement #2024-A128 for the purchase of ultramembrane filters.

COUNCIL PRIORITY PROGRAMS AND PROJECTS
Infrastructure: "Develop and maintain infrastructure resources to support sustainable growth." 356

FISCAL IMPACT
Sufficient funds are available in the Water Operating Fund (510-50-560-46130 - Major Equipment) to cover the additional purchase amount of $37,163.

ENVIRONMENTAL REVIEW
15301 - The Project is exempt from review under the California Environmental Quality Act ("CEQA") under the Class 1 exemp*on of exis*ng facili*es of Sec*on 15301 of Title 14 of the California Code of Regula*ons and said exemp*on is not negated by any excep*on under Sec*on 15300.2 of said Regulations.

ATTACHMENTS:

1. Resolution WTP Membrane Replacement

2. WTP Membrane Replacement

3. Veolia Sole Source
357
RESOLUTION NO. 2024-
ADOPTING A RESOLUTION APPROVING AMENDMENT #1 TO AGREEMENT 2024-A128 WITH ZENON ENVIRONMENTAL CORPORATION IN THE AMOUNT OF $37,163, FOR A TOTAL CONTRACT AMOUNT NOT TO EXCEED $1,140,940, IN CONJUNCTION WITH THE PURCHASE OF ULTRA-MEMBRANE FILTERS FOR THE WATER TREATMENT PLANT.

WHEREAS, on September 9, 2024, the City Council approved Agreement #2024-A128 with Zenon Environmental Corporation for the purchase of ultra-membrane filters in the amount of $1,103,777; and WHEREAS, the City Water Treatment Plant (WTP) utilizes an ultra-membrane filtration process to treat City water; and
WHEREAS, the manufacturer recommends refurbishment of the twelve existing cassettes that will be receiving new membrane modules. Cassette refurbishment service allows the membrane plant to be fully reconditioned and costs less than purchasing all new cassettes; and WHEREAS, there is an additional cost to refurbish the existing cassettes in the amount of $37,163 which will increase the agreement to $1,140,490; and
WHEREAS, sufficient funds are available in the Public Works Department's Water Division Fund 510-50- 560-46130 for Major Equipment to cover the membrane purchase of $1,140,940.

NOW, THEREFORE, BE IT RESOLVED that the City Council of the City of American Canyon hereby authorizes the Public Works Director to execute Amendment #1 to Agreement 2024-A128 with Zenon Environmental Corporation, in the amount of $37,163, for a total contract amount not to exceed $1,140,940, in conjunction with the purchase of ultra-membrane filters.

PASSED, APPROVED and ADOPTED at a regularly scheduled meeting of the City Council of the City of American Canyon held on the 19th day of November, 2024, by the following vote:

AYES:

NOES:

ABSTAIN:

ABSENT:
____________________________
Leon Garcia, Mayor
ATTEST: APPROVE AS TO FORM:
____________________________ _____________________________ Taresa Geilfuss, CMC, City Clerk William D. Ross, City Attorney 358
Veolia Confidential and Proprietary Information
Membrane replacement & expansion for the American Canyon WTP Proposal number 593587 – revision #1 – October 24, 2024 Page 1 of 25 Membrane Replacement & Expansion
To: City of American Canyon, referred to here
as American Canyon or Buyer
Date: October 24, 2024
No. of Pages: 25 including cover
Attention: Dominic Patrick Email: dpatrick@cityofameric ancanyon.org
Plant
Address:
250 Kirkland Ranch Road
American Canyon, CA 94558 USA
Telephone
No.: 707 258 1269
From:

Jason Diamond
Regional Lifecycle Manager
Western USA
Email:

Cell No.:
jason.diamond@veolia
.com
905 399 7055
CC: Brad Leidecker (CHC)
Subject: Membrane replacement & expansion: materials,
off-site and on-site support
Proposal No.: 593587-1
Original Project No.: 500186
Plant
Data:

Please provide corrections if inaccurate
American Canyon Water Treatment Plant (WTP).

Municipal drinking water treatment.
-ZW500D plant, 2 trains, each train contains 6 x 20/20M cassettes with 440ft² membrane modules and 2 empty cassette spaces/train.
-Plant upgraded from ZW500C to ZW500D in 2015.
-1 x 20/20M cassette with 440ft2 membranes was provided in March 2024.

Original installation substantial completion on November 16, 2004- 2 trains, each train contained 7 x 26/26M cassettes with ZW500C 250ft² membrane modules and 1 empty cassette spaces/train.
359
Veolia Confidential and Proprietary Information
Membrane replacement & expansion for the American Canyon WTP Proposal number 593587 – revision #1 – October 24, 2024 Page 2 of 25 Proposal Provisos
This proposal has been issued based on the information provided by the customer and on information currently available to Veolia Water Technologies & Solutions at the time of proposal issuance. Any changes or discrepancies in site conditions, including but not limited to changes in system influent water characteristics, changes in environmental health and safety (EH&S) conditions, changes in the reissued state/provincial disposal system permit, changes in buyer financial standing, buyer requirements, or any other relevant change or discrepancy in the factual basis upon which this proposal was created may lead to changes in the offering, including but not limited to changes in pricing, guarantees, quoted specifications, or terms and conditions.

Confidential and Proprietary Information
The enclosed materials are considered proprietary property of Veolia Water Technologies & Solutions (Veolia). No assignments, either implied or expressed, of intellectual property rights, data, know how, trade secrets or licenses of use thereof are given. All information is provided exclusively to the addressee and agents of the addressee for the purposes of evaluation and is not to be reproduced or divulged to other parties, nor used for manufacture or other means, without the express written consent of Veolia. The acceptance of this document will be construed as an acceptance of the foregoing.

Trademarks
The following are trademarks of Veolia Water Technologies & Solutions and may be registered in one or more countries:
+100, ABMet, Absolute.Z, Absolute.Za, AccuSensor, AccuTrak, AccuTrak PLUS, ActNow, Acufeed, ALGAECAP, AmmCycle, Apogee, APPLICATIONS ATLAS, AquaFloc, AquaMax, Aquamite, Aquaplex, AquaSel, Aquatrex, Argo Analyzer, AutoSDI, BENCHMARK, Betz, BetzDearborn, BEV Rite, BioHealth, BioMate, BioPlus, BIOSCAN, Bio-Trol, Butaclean, Certified Plus, CheckPoint, ChemFeed, ChemSensor, ChemSure, CHEX, CleanBlade, CLOROMAT, CoalPlus, COMP-METER, COMP-RATE, COMS (Crude Overhead Monitoring System), Continuum, CopperTrol, CorrShield, CorTrol, Custom Clean, Custom Flo, Cyto3, DataGuard, DataPlus, DataPro, De:Odor, DELTAFLOW, DEOX, DeposiTrol, Desal, Dianodic, Dimetallic, Dispatch Restore, Durasan, DuraSlick, Durasolv, Duratherm, DusTreat, E-Cell, E-Cellerator, ELECTROMAT, Embreak, EndCor, EXACT, FACT-FINDER, Feedwater First, Ferrameen, Ferroquest, FilterMate, Fleet View, FloGard, Flotrex, Flotronics, FoamTrol, FoodPro, Fore4Sight, ForeSight, FRONTIER, FS CLEAN FLOW, FuelSolv, Full-Fit, G.T.M., GenGard, GEWaterSource, Glegg, Heat-Rate Pro, High Flow Z, HPC, HPD Process, HyperSperse, Hypure, Hytrex, InfoCalc, InfoScan, InfoTrac, InnovOx, InSight, IONICS, IONICS EDR 2020, IPER (Integrated Pump & Energy Recovery), iService, ISR (Integrated Solutions for Refining), JelCleer, KlarAid, Kleen, LayUp, Leak Trac, Leakwise, LEAPmbr, LEAPprimary, Learning Source, LOGIX, LoSALT, M-PAK, MACarrier, Mace, Max-Amine, MegaFlo, Membrex, MemChem, Memtrex, MerCURxE, MetClear, MiniWizard, MK-3, MOBILEFLOW, MobileRO, Modular Pro, ModuleTrac, MonitAll, Monitor, Monitor Plus, Monsal, MP-MBR, MULTIFLOW, Muni.Z, NEWater, NGC (Next Generation Cassette), Novus, NTBC (Non Thermal Brine Concentrator), OptiGuard, OptiSperse, OptiTherm, Osmo, Osmo PRO, Osmo Titan, Osmonics, Pacesetter, PaceSetter, Petroflo, Petromeen, pHlimPLUS, PICOPORE, PlantGuard, PolyFloc, PowerTreat, Predator, PRO E-Cell, Pro Elite, ProCare, Procera, ProChem, Proof Not Promises, ProPAK, ProShield, ProSolv, ProSweet, Purtrex, QSO (Quality System Optimization), QuickShip, RCC, RE:Sep, Rec-Oil, Recurrent, RediFeed, ReNEW, Renewell, Return on Environment, RMS (Rackless Modular System), ROSave.Z, SalesEdge, ScaleTrol, SeaPAK, SeaPRO, SeaSMART, Seasoft, SeaTECH, Selex, Sensicore, Sentinel, Sepa, Sevenbore, Shield, SIDTECH, SIEVERS, SmartScan, SoliSep, SolSet, Solus, Spec-Aid, Spectrus, SPLASH, Steamate, SteriSafe, Styrex, SUCROSOFT, SUCROTEST, Super Westchar, SuperStar, TFM (Thin Film Membrane), Therminator, Thermoflo, Titan RO, TLC, Tonkaflo, TraveLab, Trend, TruAir, TrueSense, TurboFlo, Turboline, Ultrafilic, UsedtoUseful, Vape-Sorber, VeriFeed, VersaFlo, Versamate, VICI (Virtual Intelligent Communication Interface), V-Star, WasteWizard, WATER FOR THE WORLD, Water Island, Water-Energy Nexus Game, WaterGenie, WaterNODE, WaterNOW, WaterPOINT, WellPro.Z, XPleat, YieldUp, Z-BOX, Z-MOD, Z-PAK, Z-POD, ZCore, ZeeBlok, ZeeLung, ZeeWeed, ZENON, and Z.Plex.
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Veolia Confidential and Proprietary Information
Membrane replacement & expansion for the American Canyon WTP Proposal number 593587 – revision #1 – October 24, 2024 Page 3 of 25 Table of Contents
1 Introduction...................................................................................................................4 Veolia Scope & Price ....................................................................................................5 Material Description......................................................................................................6 Membrane Modules ..................................................................................................6 Hardware ..................................................................................................................6 Cassette Refurbishment............................................................................................7 Veolia Support ..............................................................................................................7 Off-Site Support ........................................................................................................7 On-Site Technical Services.......................................................................................8 Delivery .........................................................................................................................9 ZeeWeed Configuration..............................................................................................11 Scope - American Canyon..........................................................................................12 Installation Preparation ...........................................................................................12 Installation...............................................................................................................12 Empty Shipping Frame Preparation ........................................................................13 Solution Design Notes................................................................................................14 Permits ...................................................................................................................14 Maintenance Notes for Replacement Membranes...................................................14 Technical ................................................................................................................15 Health & Safety ...........................................................................................................16 ZeeWeed Membrane Module Standard Warranty .....................................................18 Terms and Conditions of Sale ...................................................................................21 Signed Agreement......................................................................................................23 ZENON W9 Form ............................................................................................24 361
Veolia Confidential and Proprietary Information
Membrane replacement & expansion for the American Canyon WTP Proposal number 593587 – revision #1 – October 24, 2024 Page 4 of 25 Introduction
Veolia Water Technologies & Solutions is pleased to present this proposal at the request of the City of American Canyon for membrane replacement and expansion at the American Canyon Water Treatment Plant (WTP).

Veolia will provide 240 x ZW500D 440ft2 membranes to replace the existing full plant, plus 3 x 20/20M cassettes populated with ZW500D 440ft2 membranes to populate current spare cassette spaces.

Veolia will provide components and on-site support for refurbishment of the 12 existing ZW500D 20M cassettes.

Veolia is a proven leader in delivering tangible value to our clients over the life of the plant.

Our measure of success is how well we deliver solutions that help our clients meet their critical business objectives.

Through long-acquired technical experience, Veolia has clearly distinguished itself from other membrane manufacturers. A mature service culture and deep technical expertise are ready to serve and support American Canyon through this next membrane lifecycle.

Veolia would like to note that under the current exceptional circumstances across global supply chains and logistics networks, Veolia may not be in a position to guarantee and comply with the planned schedule for product / project delivery or performance. Veolia reserves the right to modify the schedule / contract accordingly. Veolia will promptly inform you of any changes which may impact the contract or the project. 362
Veolia Confidential and Proprietary Information
Membrane replacement & expansion for the American Canyon WTP Proposal number 593587 – revision #1 – October 24, 2024 Page 5 of 25 Veolia Scope & Price
Veolia’s scope includes the material and services outlined in the table below. The sections that follow provide additional detail regarding each scope item.

Item Description Part # Quantity Price
ZW500D 20/20M cassettes populated with 440ft2
membranes, section 3.1 3148809 3
908,845
ZW500D 440ft2 membranes in 30M shipping frames,
section 3.1 31360981 240
2-year full replacement membrane warranty, section 10 Incl.

Components for refurbishment of 12 x existing 20M
cassettes, section 3.3 12
Cassette hardware, section 3.2 Lot
Estimated applicable tax on materials only (7.75%)2Incl. 70,436 Materials, including estimated applicable tax 979,281
Off-site support, project management, section 4.1 Incl. 24,580 International shipment, fees, and duties, section 5 Incl. 86,039
Freight, DDP project site, section 5 3095534 Incl.

Off-site labor, delivery Sub-total 110,619
Materials, off-site labor, delivery Sub-total 1,089,900 On-site support, 2 x FSRs, each on-site for 10 x 10-
hour days plus travel & living, section 4.2 135491 1 visit 51,040 On-site support Sub-total 51,040
All figures are in USD. Please make purchase order to ZENON Environmental Corporation.

Estimated taxes have been included, but tax rates applicable at time of invoicing will be used.

Total
Price 1,140,940
*Note 1: 240 membrane modules are expected to arrive on site in 30M shipping frames (product #3136098). *Note 2: Sales tax estimated at current rate of 7.750% for American Canyon, CA on materials as per https://www.cdtfa.ca.gov/taxes-and-fees/rates.aspx Actual tax rate at time of invoicing will be added on all invoices. 363
Veolia Confidential and Proprietary Information
Membrane replacement & expansion for the American Canyon WTP Proposal number 593587 – revision #1 – October 24, 2024 Page 6 of 25 Invoicing Schedule Approximate
% of Sub-Total
Invoice Value
Excluding Tax
An invoice will be issued upon acceptance by Veolia of
customer purchase order. Approximate percent calculation based on the materials, and off-site labor, delivery subtotals of the purchase order. Shipment of membranes is contingent on receipt of this initial milestone payment. 30% 305,840
An invoice for the balance of the materials, and off-site labor, delivery sub-totals will be issued when membrane module shipping documents are supplied to the carrier.
70% 713,624
A final invoice for the on-site support sub-total will be issued upon completion of installation. 100% 51,040
1,070,504
Material Description
The following materials are provided within Veolia’s scope of supply.

Membrane Modules
Veolia will provide the following ZW500D 440ft² drinking water membrane modules:
 Qty of 240 – to replace the existing full plant of membranes;  Qty of 60 – populated in 3 x 20/20M operational cassettes for installation in the 3 empty cassette spaces.

Hardware
 10 x #118 EPDM permeate spigot o-rings – 3033690;
 4 x ZW500D element end cap keys – 3040447;
 3 x blank header sets – 3111171;
 Permeate and aeration connections for all existing and new cassettes*;  Hanger arms, including associated installation equipment, for 4 x new ZW500D 20M cassettes*;
 1 x set safety hoist rings (4) for the 20M cassettes – 3111838;  1 x ZW fiber repair kit – 3080827;
 1 x o-ring lubricant (food grade) – 3089920;
 1 x anti-seize lubricant (food grade) – 3158322.
*A total of 4 sets of hanging arms are required to install the 4 new cassettes provided for in combination with this offer and Veolia proposal #544482-3. Veolia proposal #544482-3 did 364
Veolia Confidential and Proprietary Information
Membrane replacement & expansion for the American Canyon WTP Proposal number 593587 – revision #1 – October 24, 2024 Page 7 of 25 not include pricing for hanger arms for the single cassette provided therein, so it has been included in the price for this offer.

Cassette Refurbishment
Veolia will supply components for refurbishment of 12 x ZW500D 20/20M cassettes, including spares.

Cassette refurbishment service allows you to fully recondition your cassettes at less cost than purchasing new cassettes. Cassettes will be refurbished at the American Canyon facility. Cassette refurbishment includes the following:
 Removal of all existing plastic parts and associated hardware;  If slack adjustment has been completed on cassettes, return the cassette to the initial factory membrane slack position;
 Installation of all new, current design parts (module mountings, securing mechanisms), and all associated hardware;
 On-site cassette refurbishment service by trained Veolia field service representatives – details provided in sections 4.2 and 7.2.

Veolia Support
Off-Site Support
Controls
Provide system controls programming adjustments as required for the new membranes including adjustment of set points for permeate and air flow.

If there is a requirement for the EEPROM (Electrically Erasable Programmable Read-Only Memory) to be stored, a period of plant shutdown must be arranged by American Canyon.

Documentation
The base level of documentation updates will include:
 Programmer’s table of code changes (change description recorded by tag with one distinct marker bit per change);
 P&IDs - Update the process (piping) & instrumentation drawings and reissue electronically;
 Controls documents – Update control narrative (CN), controls logic sequence chart (CLSC, also known as CSC) and the operation sequence chart (OSC).

These updates should be filed in the O&M manual as interim documentation. 365
Veolia Confidential and Proprietary Information
Membrane replacement & expansion for the American Canyon WTP Proposal number 593587 – revision #1 – October 24, 2024 Page 8 of 25 Due to the very high cost of comprehensive updating of plant documentation with each system upgrade, Veolia recommends planning a complete documentation update every 1-4 years to coincide with a selected system upgrade.

Veolia will be pleased to develop a documentation update price quotation on request which may include some or all of the following scope according to its relevance:
 O&M manual - Provide a fully updated version of the operation & maintenance manual that indicates the changes made with this membrane replacement/expansion upgrade;
 Electrical drawings – Update the electrical drawings and reissue electronically.

Project Management
Provide planning and off-site assistance during the membrane replacement & expansion project.

On-Site Technical Services
The proposal includes a provision for technical services during installation and commissioning process to support American Canyon’s staff as outlined in section 2. Please see section 7.2 for recommendations on the plant staff necessary to perform the work.

Installation and commissioning of membranes will be executed in a manner that minimizes down-time and returns the system to beneficial use in a timely manner.

The following activities will be completed by Veolia with plant staff assistance:
 Remove existing membranes/cassettes;
 Install cassette refurbishment components in existing cassettes;  Install the new membrane modules and return cassettes to the system;  Install the new expansion cassettes in the system;
 Upload required revisions to the PLC program with adjusted set-points;  Perform bubble test where applicable to test membrane integrity and review trans membrane pressure (TMP) on the installed membranes and compare to expected values for new membranes; complete repairs/adjustments necessary to provide new membrane performance.

Operating Responsibility - American Canyon retains control of the work site and retains final responsibility for the installation and commissioning process.

Veolia will perform the services specified in the scope section of this document, but Veolia will not operate the system. For the purposes of this agreement, the term “operate the system” shall mean to run or control the functioning of the equipment or to otherwise conduct or manage the affairs of any aspect of water or wastewater treatment or other functions at American Canyon’s site, and shall include functions such as providing operators or laborers to adjust or control water treatment (“WT”) equipment, wastewater 366
Veolia Confidential and Proprietary Information
Membrane replacement & expansion for the American Canyon WTP Proposal number 593587 – revision #1 – October 24, 2024 Page 9 of 25 treatment (“WWT”) equipment or sludge management facilities (“SMF”), providing program oversight or directing on-site or contract operators/laborers to adjust or control WWT or SMF, providing personnel responsible for or providing oversight of water treatment residual quality, wastewater effluent quality, sludge quality, waste characterization, or waste disposal activities, or providing personnel with continual or daily operational responsibilities with respect to water or wastewater treatment, influent or effluent compliance monitoring, process monitoring, government reporting or notification, or permit compliance.

Waiting Time - Any overtime or waiting times required due to unforeseen site events outside the control of Veolia will be invoiced according to the prevailing Veolia service labor rates sheet, available on request.

Reporting - Before leaving site, Veolia will record observations and discuss with operators concerning the condition of the equipment, tasks accomplished during the visit, and key operating and maintenance issues requiring further attention. Veolia will provide a copy of a written report before leaving site and/or provide a service visit report to the plant operator within a reasonable timeframe of the Veolia service representative’s return to the office. In any case, American Canyon will be asked to sign a work order that describes the hours on site and tasks accomplished.

Veolia Duties for On-Site Services
 Veolia will coordinate its work under this agreement in a reasonable manner with the operating staff of the facility.
 Veolia will maintain public liability and property damage insurance covering all operations undertaken by Veolia and its sub-contractors with a limit of $5,000,000 inclusive for any one accident or occurrence. If for any reason additional insurance coverage (e.g. general construction/erection all risk, general liability) is required above and beyond Veolia’s standard insurance terms for on-site commissioning supervision, American Canyon must inform Veolia in writing 60 days prior to work commencement at site. American Canyon will be billed for all additional insurance costs and processing fees.
 Veolia will maintain workers compensation and employers’ liability coverage as per statutory requirements.

Delivery
 Freight
 DDP - Delivery will be by standard ocean/ground on the basis of DDP American Canyon WTP, or other named place of destination; Incoterms 2020. DDP = delivery duty paid. Partial shipments will be acceptable unless otherwise specified. Where delivery cannot be accepted at this destination, American Canyon shall specify an alternate, equivalent destination without delay.
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Veolia Confidential and Proprietary Information
Membrane replacement & expansion for the American Canyon WTP Proposal number 593587 – revision #1 – October 24, 2024 Page 10 of 25 Due to varying origins and availability, non-membrane items included in this proposal may be shipped separately from the membranes. Should separate shipments be required, where possible, Veolia will strive to provide these items on or before the delivery of the membranes.
 Title & Risk - Title and risk of loss or damage to membrane modules, shipping frames, cassette frames, cassette refurbishment components, hardware and crating shall pass to American Canyon upon delivery at the named place of destination.
 International Shipment, Fees, and Duties
 Origin - Delivery of ZeeWeed membranes originates from the Veolia Water Technologies & Solutions, ZENON Membrane Products (ZEM), Bláthy Ottó u 4, Oroszlány, 2840 Hungary facility. Costs to transport membranes into North America are included in Veolia’s quoted price.
 Export Documents - All ZeeWeed membrane module shipments into the USA require clearance documentation from the EPA. Veolia will prepare and provide the required EPA documentation to the Carrier.
 MPF - Merchandise processing fee is a fee assessed for formal custom entries based on 0.35% of the invoice value, with a minimum of USD $25 per formal entry and a maximum of USD $485. On the basis of DDP terms, this fee will be paid by Veolia within the quoted price.
 Duty - A US Customs duty of 3.9% applies to all ZeeWeed membranes shipped individually or in shipping frames; not in operational cassette frames. On the basis of DDP terms, this duty will be paid by Veolia within the quoted price for all modules included with this offer that are not installed in operational cassettes. Any new duty imposed after the date of this proposal is the responsibility of American Canyon.
 Taxes - All applicable local, state, or federal taxes are the responsibility of American Canyon.
 Temperature - UF membranes cannot be allowed to freeze or overheat and may require temperature-controlled freight and handling according to the season and the planned routing. If required, the price of temperature control will be included within the firm quote on freight by Veolia.
 Packaging – Membranes will be provided in a combination of factory-installed in operational cassettes & shipping frames, and individually bagged, boxed and crated.  Unloading - may require one of or a combination of a loading dock, extended forks and an experienced forklift driver at delivery destination. Please consult with Veolia at the time of purchase order (PO) preparation on this.

Shipping crate information (estimated)
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Veolia Confidential and Proprietary Information
Membrane replacement & expansion for the American Canyon WTP Proposal number 593587 – revision #1 – October 24, 2024 Page 11 of 25 Qty Description Dimensions (in) Weight (lb)
3 ZW500D 20M cassette crate L=107 x W=35 x H=80 1,700
8 ZW500D 30M shipping frame L=37 x W=89 x H=94 2,286
Notes:
• Only crates for membrane/cassette transport have been shown above to identify the largest and heaviest items that will need to be unloaded;
• Smaller crates/skids will be used for hardware items (hanger arms, spool connection components, cassette refurbishment components, etc.).
 Handling – ZW500D 20M membrane cassette frames are shipped and will arrive on-site on their sides. An eye bolt kit, included in this proposal, should be used to safely turn the cassette(s) upright. Adequate work area and height and equipment will also be needed to be available to safely turn the cassettes upright for installation.
 Availability - Delivery of membrane modules and cassette refurbishment components is typically 10-20 weeks after receipt of order. With current global logistics and freight delays we are experiencing significantly increased lead times.

In coordination with the City, Veolia has planned production for planned delivery in November 2024 – which will be confirmed upon receipt of purchase order from American Canyon and issue of purchase order acknowledgement by Veolia.

ZeeWeed Configuration
Configuration Data Units Existing Plant
Configuration
Proposed
Configuration After
Replacement &
Expansion
Number of trains, plant
Number of trains as configured 2 2
Type of ZeeWeed membrane 500D 500D
Module surface area ft² 440 440
Total number of cassette spaces per train 8 8
Maximum number of modules per cassette 20 20
Fully populated cassettes installed per train 6 8
Total module count, train 120 160
Total surface area in operation, train ft² 52,800 70,400 Total module count, plant 240 320
Total surface area in operation, plant ft² 114,400 140,800 % surface area change from existing, plant % --- 33.3%
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Veolia Confidential and Proprietary Information
Membrane replacement & expansion for the American Canyon WTP Proposal number 593587 – revision #1 – October 24, 2024 Page 12 of 25 Scope - American Canyon
Installation Preparation
 Receive, off-load, handle and provide temperature-controlled storage of the equipment and materials required for Seller to perform the duties outlined in the Seller’s scope of supply. Prior to off-loading, Buyer to confirm temperature indicators have not been tripped.
 Membranes must be stored in a sheltered area, protected from freezing, direct sunlight or extreme heat, and sealed as shipped until ready for use. Storage should be in a dark, dry, level area at a temperature of 5-30°C (41-86°F). Membranes have a shelf life of 1 year before requiring re-preservation and should not be stored longer than necessary prior to installation. American Canyon is responsible for risk of loss of Seller’s parts while in storage at the customer’s plant.  Inspect, evaluate and make repairs as required for the membrane tanks, mounting brackets, hoses and all connections prior to Veolia arriving at site.  Provide all access structures (such as scaffolding) and mechanical lifting equipment including cranes, forklifts and scissor lifts.
 Assure availability of a copy of the operating manual, all process and instrumentation drawings, and all electrical drawings on site and accessible for reference.
 Maintain adequate insurance coverage for the risks of fire, theft, vandalism, floods and personal injury to authorized or unauthorized visitors.

Installation
 Provide at least 1 plant staff person to work continuously for the full duration of the Veolia site visit during installation and commissioning of the modules. Veolia recommends that the personnel be experienced with the ZeeWeed system.  American Canyon will afford Seller’s personnel free access and egress of the facility for all authorized work. American Canyon will provide reasonable access to workshop facilities with standard workshop tools and equipment as is necessary to meet any repair and maintenance requirements of the system during installation.

American Canyon will provide Seller’s personnel reasonable access to the facility amenities, including washrooms and break rooms.
 Provide adequate illumination and emergency lighting for all areas in which the Seller will be executing the scope of supply. Provide all site utilities such as raw water, instrument quality air, potable water and power required for operation of the proposed equipment included in this scope of supply. Assure that adequate quantities of membrane cleaning and neutralizing chemicals are on hand for wash procedures including sodium hypochlorite, sodium bisulphite, citric acid and sodium 370
Veolia Confidential and Proprietary Information
Membrane replacement & expansion for the American Canyon WTP Proposal number 593587 – revision #1 – October 24, 2024 Page 13 of 25 hydroxide. Supply telephone/fax/modem access while Seller’s staff members are on-site.
 American Canyon will provide assistance to:
 Remove cassettes from the system as required;
 Install cassette refurbishment components;
 Place new replacement modules into each cassette;
 Return the replaced cassettes to the system;
 Install 3 x new 20M cassettes into the system, including hanger arms, and permeate and aeration connections.
 American Canyon will:
 Dispose of membrane module preservative as well as all retired membrane modules and cassette components;
 Dispose of shipping and packaging materials unless specifically requested not to do so by Veolia;
 Prepare shipping frames for return to Veolia, see section 7.3;  Load shipping frames onto the truck for return to Veolia – Veolia will be responsible for organizing the logistics of delivery back to Veolia.

Empty Shipping Frame Preparation
All shipping frames returning to Veolia must be well cleaned and packaged appropriately for trans-oceanic transport in shipping containers. Shipping frames should be cleaned using high pressure washers and mounted on wood skids to facilitate moving them in and out of the freight containers. Veolia will provide American Canyon offsite assistance to facilitate the return of shipping frames.

All wooden packaging material used for international shipments must conform to current phytosanitary standards to reduce the risk of introduction and spread of quarantine pest species associated with the movement in international trade of wood packaging material made from raw wood.

All wood packaging material used to transport shipping frames internationally, must comply with ISPM15 which is the standard for phytosanitary measures and be properly stamped indicating compliance with the standard. Failure to comply with the standard may lead to shipment refusal and subsequent project delays. For detailed information on ISPM15 please visit the ISPM15 website.

Whenever possible, save and re-use the wooden skids that the shipping frames arrived on for return freight purposes.
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Veolia Confidential and Proprietary Information
Membrane replacement & expansion for the American Canyon WTP Proposal number 593587 – revision #1 – October 24, 2024 Page 14 of 25 Solution Design Notes
Permits
Regulatory Requirements
American Canyon is responsible to review and report to the permit granting agency on the impact of any of the proposed changes on the regulatory permit. Veolia will provide the necessary manufacturer’s technical support on regulatory issues. No provision is made in the price proposed for the cost of control code changes to update the LRV for the plant following the installation of the membranes and any changes in membrane integrity testing methods would be at additional cost.

Please speak with your regional lifecycle manager (RLM) if there are any regulatory requirements or concerns.

Utilization
Veolia understands that 240 of the modules included with this offer are required as replacements for currently installed modules and will not be used to provide expanded flow beyond the current plant flow rating.

Veolia understands that the 60 x ZW500D 440ft2 expansion modules provided in 3 x 20M operational cassettes can be used to expand the capacity of the existing treatment plant.

However, verification of the capacity of other equipment and systems, including but not limited to permeate pumps, reject pumps, blowers, piping etc., has not been considered.

Veolia makes no guarantees, implied or otherwise as to the performance of these modules in any other capacity than what is limited by the system’s hydraulic capacity and will work with American Canyon to modify the system capacity when all cassettes are in service. Full membrane capacity utilization may require additional equipment modifications or replacement.

Production Interruption
During installation of the ZeeWeed cassettes, trains will be shut down which will affect American Canyon treatment capacity. After the purchase order is acknowledged, Veolia’s project manager for the installation will consult with American Canyon to jointly develop the installation plan and work schedule with due regard for membrane delivery to the plant and plant preparation.

Maintenance Notes for Replacement Membranes
At the time of any full plant membrane replacement, it is recommended to evaluate whether it is the right time to address any tank coating repairs which may be required.

Preferential Flow
Mixing a small proportion of new modules in trains with large amounts of older modules is not recommended as it creates a risk of over-fluxing of new modules which can shorten their lives. Veolia recommends that American Canyon plan membrane module replacement 372
Veolia Confidential and Proprietary Information
Membrane replacement & expansion for the American Canyon WTP Proposal number 593587 – revision #1 – October 24, 2024 Page 15 of 25 on a complete cassette and complete train basis wherever possible to achieve both optimal performance and best value from the new membrane modules. In this case, by replacing all membrane modules in the plant, this risk has been neutralized.

Membrane Slack
Veolia’s membranes are supplied and shipped with an initial factory fiber slack designed to optimize membrane air scouring during operation as well as accommodate a degree of shrinkage. Membranes shrink in length early in their lifecycle when exposed to higher temperature water. The pace of shrinkage slows with age. With the installation of new membranes, the requirements for slack adjustment start a new cycle.

Due to the wide variety of operating environments in which our products can be utilized, it is difficult to generally predict the rate of shrinkage. If membranes operate in a condition of insufficient slack for an extended period of time, irreversible damage to the fiber-urethane bond may occur. Please refer below to the recommended inspection frequencies based on your plant’s membrane tank operating temperature. Visual inspections should begin during the membrane installation and be repeated over time on the same cassette. Digital pictures will allow for comparative analysis of the fiber slack over time.

Maximum Operating Temperature Recommended Slack Inspection Frequency 0-24 °C / 32-76 °F every 2 years
25-30 °C / 77-86 °F once per year
>30 °C / > 86 °F twice per year
Membrane Repairs
All new modules are factory tested at our manufacturing facilities and are in good working order as they are packaged and crated for shipment. On occasion, a limited number of modules arriving at site may require repairs due to uncontrollable factors during shipping and receiving, in particular with multi-modal shipments. This membrane replacement proposal includes a provision for one fiber repair kit for drinking water modules and 3 blank header sets for use as membrane substitutes, allowing the cassette to be placed back in operation as modules are repaired.

Technical
Pumps
The range of capacity increase for the pump has been assumed to be adequate for this upgrade. Veolia will work with American Canyon to determine the pump capacities and target flow rates for the new plant configuration.

Blowers
For the purposes of this proposal, the range of capacity increase for the blower has been assumed to be adequate for this upgrade. Should resheaving parts be required they will be supplied by Veolia at additional cost to American Canyon. 373
Veolia Confidential and Proprietary Information
Membrane replacement & expansion for the American Canyon WTP Proposal number 593587 – revision #1 – October 24, 2024 Page 16 of 25 Mechanical and electrical adjustments required to meet new air flow will be completed by American Canyon or their 3rd party designate. Veolia will assist American Canyon in determining correct air flow requirements for the new plant configuration.

Pre-Screen
To ensure effective operation and to maximize membrane life, Veolia recommends operation of a pre-treatment screen, upstream of the pretreatment process, with mesh or punched-hole openings less than or equal to 0.5 mm and with no possibility of bypass or carryover. All processes after this screening must be covered and protected from outside elements such that no leaves, twigs or any foreign material can enter the membrane tank.

Health & Safety
American Canyon
 American Canyon will provide orientation to Seller’s personnel to ensure sitespecific safety protocols are known. American Canyon will identify and inform Seller’s personnel of any site-specific hazards present in the workplace that could impact the delivery of Seller’s scope of supply and agrees to work with Seller to remove, monitor, and control the hazards to a practical level.  American Canyon will provide any site-specific or standard company operating procedures and practices for Seller’s personnel to perform work on site, if required by American Canyon’s policies. Such programs may include, but are not limited to, general environmental health & safety (EHS), HAZOP, fire protection, drug testing, incident notice, site conduct, standard first aid, chemical receiving, electrical safety, etc. American Canyon will provide a certificate of program completion for Seller’s personnel. This program will be fully documented, training materials will be provided, and attendance list will be kept.
 If any type of lifting devices will be used on site, American Canyon will provide proof of its maintenance, inspection and certification documentation upon request and will assist the Veolia service representative to complete a safety inspection checklist.  Where confined space entry may be required, American Canyon will provide early notice and will collaborate with Veolia in planning adequate staffing and in advising the local fire/rescue department as required.
 No time or cost provision has been made for preparations such as safety record clearances, drug testing, insurance confirmations or pre-job-training in excess of 1 hour. Prior to finalizing the Purchase Order and the work schedule, American Canyon will advise Veolia of any pre-job or pre-mobilization requirements. Where these requirements exceed 1 hour, this time will be charged to American Canyon at rates set out in the prevailing Veolia labor rate sheet. 374
Veolia Confidential and Proprietary Information
Membrane replacement & expansion for the American Canyon WTP Proposal number 593587 – revision #1 – October 24, 2024 Page 17 of 25  Where certain short duration activities require two people for safety and the Veolia Service representative is alone at site, American Canyon will cooperate as required to assure that correct safety precautions are taken.
 American Canyon is responsible for the following environmental provisions:
 Environmental use and discharge permits for all chemicals at American Canyon’s facility either listed in this document or proposed for use at a later date;
 Any special permits required for Seller’s or American Canyon’s employees to perform work related to the water treatment system at the facility;  All site testing, including soil, ground and surface water, air emissions, etc.;  Disposal of all solid and liquid waste from the Seller’s system including waste materials generated during construction, start up and operation.  American Canyon is responsible for provision of health and safety facilities to Seller’s field service representatives to the same extent that they are provided to American Canyon’s own employees, including provision of:
 Eyewash and safety showers in the water treatment area;  Chemical spill response;
 Security and fire protection systems per local codes.

Veolia
 All work on site will be performed in accordance with applicable law and will be performed reasonably, in a clean and safe manner. The Veolia service representative will abide by the more stringent of the applicable health, safety and environmental policies and procedures of either American Canyon or Veolia.  Veolia will provide all applicable safety training required by Veolia policies or by state or national health and safety regulations. The Veolia service representative will have undergone workplace hazardous material information system (WHMIS) training and will come equipped with necessary personal protective equipment (PPE).
 Emergencies - In emergencies affecting the safety of persons, work or property at the site and adjacent thereto, Veolia will act, without previous instructions from American Canyon, as the situation warrants. Veolia will notify American Canyon immediately thereafter.
375
Veolia Confidential and Proprietary Information
Membrane replacement & expansion for the American Canyon WTP Proposal number 593587 – revision #1 – October 24, 2024 Page 18 of 25 ZeeWeed Membrane Module Standard
Warranty
This schedule sets out the warranty with respect to ZeeWeed membrane modules (“membrane modules”). No other warranties, expressed or implied are made in connection with the sale of these products, including, without limitation, warranties as to fitness for any purpose or use or merchantability of these products. The warranty provided herein will be the exclusive and sole remedy of Buyer. This warranty is not transferable.

Definitions
The follow terms shall have the meaning set forth below when used in the warranty document:
a. “Buyer” means the party purchasing the ZeeWeed Modules from the Seller b. “Seller” means a business component of, or legal entity within the Veolia Water Technologies & Solutions business which is selling the ZeeWeed membranes.

Warranty Product
This warranty applies to only the membrane modules supplied under the contract of sale.

Membrane module means the hollow fiber ultrafiltration membranes and the potted plastic headers. This warranty does not cover air piping to the membrane module, permeate piping from the membrane module, piping connection fittings, connecting hardware and cassette frames with their associated components including but not limited to spacers, aerator tubes, aerator assemblies, screen, module dummies or module blanks.

Scope of Warranty
The Seller warrants that its membrane module(s) will be free of defects due to faulty materials or errors in manufacturing workmanship.

Regular membrane module inspection and normal fiber repair shall be the responsibility of Buyer.

All replacement membrane modules will be shipped on the basis of INCOTERMS 2020 FCA Veolia manufacturing facility.

All ancillary costs including but not limited to bagging, boxing, crating, freight, freight insurance, applicable taxes, import duties, certifications, brokerage, receiving, forklift services, storage at site, reattachment hardware, hose/clamp/camlock replacement, crane services, installation, fiber repair materials, glycerin flushing, commissioning and waste disposal are the responsibility of Buyer.

Warranty Start Date
Membrane warranty will start on the earlier of:
a. The date that installation of the original membrane module(s) has been substantially completed, or
b. Three (3) months from the date of delivery of the original membrane module(s) to Buyer.

Warranty Duration
Total Warranty Duration: a total of 24 months of full replacement warranty coverage. 376
Veolia Confidential and Proprietary Information
Membrane replacement & expansion for the American Canyon WTP Proposal number 593587 – revision #1 – October 24, 2024 Page 19 of 25 Notification Of Claim
All claims filed under this warranty shall be made in writing by Buyer within 30 days of identifying a defect.

Buyer shall provide the following information:
a. A description of the defect giving rise to the claim; b. Photographs showing the manufacturing defect;
c. The serial number(s) of the membrane module(s) which is (are) the subject of the warranty claim; and
d. Operating data and repair history for the life of membrane modules which are the subject of a warranty claim.

Verification of Claim
After receipt of written notification of a defect, the Seller will promptly undertake such investigations as, in the Seller's opinion, are necessary to verify whether a defect exists. The Seller reserves the right to require additional data as necessary to validate claims. Buyer may, in the course of these investigations, be requested to return membrane module(s) to the Seller for examination (see item 11). The Seller may also conduct reasonable tests and inspections at Buyer’s plant or premises. If the results of the investigation do not validate the defect claimed, Buyer will reimburse the Seller for all reasonable expenses associated with said investigation, including expenses for all tests, inspections, and associated travel.

Satisfaction of Claims
The Seller will have the right to satisfy claims under this warranty in a flexible manner. Such flexibility may include the repair of existing membrane modules or changes in operating protocols or membrane module replacement or by upgrading failed membrane modules with newer membrane module(s) that may embody design and efficiency improvements. Buyer consents to the supply of replacement membrane modules which may be of a different design than original membrane modules.

Operating Information
To maintain the membrane module warranty, membrane system operation records from initial startup date until claim must be maintained by Buyer and made available to the Seller upon request.

Records must be provided in sufficient detail as applicable to verify the subject of a warranty claim and can include but is not limited to, operation data including information on feed water quality, temperatures, flows, trans-membrane pressures, aeration rates, permeate quality, cleaning intervals, cleaning chemical concentrations, elapsed time since start-up, relevant analytical data and reporting of any screen bypass events.

Buyer shall maintain and share access to a single reference copy in electronic form of a membrane module map containing the history of activity by membrane module and the serial number for each module. Buyer shall log its procedures performed related to a membrane module including relocation of membrane modules, repairs, replacements and any other noteworthy events.

Buyer authorizes the Seller to conduct any reasonable review of operation and maintenance records or to inspect facilities where membrane modules are installed, upon reasonable notice to 377
Veolia Confidential and Proprietary Information
Membrane replacement & expansion for the American Canyon WTP Proposal number 593587 – revision #1 – October 24, 2024 Page 20 of 25 Buyer. Such reviews and/or inspections are intended to also assist the Seller and Buyer in detection of membrane system faults and to optimize the care and operation of the membrane modules.

Limitation of Warranties
Occurrence of any of the following as reasonably determined by the Seller will void this warranty:
a. A material failure to operate the membrane system in accordance with Seller’s operations and maintenance manual supplied to Buyer as part of the contract, including material failure to adhere to the Seller’s specified membrane module cleaning procedures and the use of anything other than Seller-approved membrane module cleaning agents. b. Failure to adhere to the preventive maintenance program as presented in the Seller’s operations and maintenance manual, in published product manuals and in specifications. c. Failure to adhere to all transportation and storage requirements. ZeeWeed membrane modules may be stored up to 12 months from date of receipt and must be transported and stored in original intact packaging out of direct sunlight in ambient temperatures between 5- 35 Degrees Celsius. Storage beyond 12 months from date of receipt requires a written request to Veolia to maintain membrane module warranties. d. Introduction of destructive foreign materials and chemical agents into the membrane module.
e. Failure to maintain and provide system operating data and repair history for the life of membrane modules which are the subject of a warranty claim. f. Physical abuse or misuse, incorrect removal or installation of membrane modules by nonSeller personnel including fiber damage caused by operator error in handling of membrane modules or cassettes.
g. Unauthorized alteration of any components or parts originally supplied by the Seller. h. Intentional damage.

Return Procedure
In the event that the return of a membrane module is required pursuant to this warranty, Buyer will first obtain a Return Goods Authorization (RGA) number from the Seller. Membrane module(s) shipped to the Seller for warranty examination must be shipped freight prepaid in environmentally controlled freight and storage with ambient air temperature between 5-35 degree Celsius. If Buyer desires temporary replacement membrane module(s) to replace those alleged to be defective and returned to the Seller for warranty examination, Buyer shall be responsible for the cost associated with any such replacements until examination of the returned membrane modules pursuant to this warranty is complete. Any membrane module examined by Seller as part of a warranty claim where the membrane module is subsequently found to be performing as warranted or where a membrane module failure is not covered under the warranty will be returned to Buyer, freight collect or disposed of by Seller and the cost associated with any membrane analysis and diagnostic work will be levied against the Buyer based on Veolia standard labor rates. 378
Veolia Confidential and Proprietary Information
Membrane replacement & expansion for the American Canyon WTP Proposal number 593587 – revision #1 – October 24, 2024 Page 21 of 25 Disclaimer and Limitation on Liability
To the maximum extent permitted by law, in no event shall Seller be liable for any loss of profit or revenues, loss of production, loss of use of equipment or services or any associated equipment, interruption of business, cost of capital, cost of replacement water or power, downtime costs, increased operating costs, claims of Buyer’s customers for such damages, or for any special, consequential, incidental, indirect, punitive or exemplary damages arising out of or relating to the performance or actual or alleged breach of the agreement, regardless of whether a claim is based in contract (including warranty or indemnity), extra-contractual liability, tort (including negligence or strict liability), statute, equity or any other legal theory.

Terms and Conditions of Sale
A - Specific Terms and Conditions of Sale
These terms take precedence over the general terms and conditions of sale. 1 Legal Entity for Contracting
ZENON Environmental Corporation is the name of the Seller, and means a business component of, or legal entity within the Veolia Water Technologies & Solutions business (Veolia).

Please advise us if this Veolia entity is not set up in your purchasing system as a vendor and you do have another Veolia entity set up. We are keen to make the purchase process as convenient as possible for American Canyon. short form: Where a short reference is required in this document, for convenience, we are called simply Veolia. 2 Payment
Veolia prefers to receive payment by wire transfer and will also accept payment by courier check.

Wire transfer information for ZENON Environmental Corporation send details to: SHD WATS REMIT-NAM [email protected] Bank of America Merrill Lynch
C/O ZENON Environmental
Corporation
901 Main Street Dallas, TX 75202
ACCT# 4426318136
ABA# 026009593
SWIFT# BOFAUS3N
ACH# 111000012
3 Payment Terms
On approved credit, payment terms are net 30 days from customer receipt of invoice. Please see the invoicing schedule in the price section. In the event an invoice is issued on shipment of goods from a Veolia Hungarian production facility, payment terms will be extended by an additional 45 days to account for the additional transit time to the delivery location. 4 Proposal Validity
Prices quoted and proposal terms are valid up to sixty (60) days after the date of issue of this proposal unless confirmed with a purchase order.
5 Bonds
Performance or payment bonds are not included in the price. These can be purchased on request but will be at an additional cost. 379
Veolia Confidential and Proprietary Information
Membrane replacement & expansion for the American Canyon WTP Proposal number 593587 – revision #1 – October 24, 2024 Page 22 of 25 6 Assignment of Membrane Warranty
The Buyer will be entitled to assign to a subsequent owner of the membranes the warranties of the Seller under this Agreement, provided that a prior written notification is sent to the Seller and the assignment agreement contains terms and conditions which provide the Seller with the protections of the warranties and limitations on liability contained in the Agreement. Subject to Buyer’s compliance with the foregoing requirement, such warranty rights are expressly assignable by the Buyer to a subsequent owner of the membranes. Except as provided herein, Buyer is not entitled to extend or transfer this warranty to any other party. 7 Flight Booking
Prices quoted for installation which include airfare are either based on timely confirmation of a visit schedule or based on receipt of a purchase order in time to book any flights seven days in advance. Additional airfare charges related to late arrival of a purchase order will be extra and billed through to American Canyon without mark-up. 8 Warranty on Programming
Veolia warrants that the PLC program will conform to the specifications in the relevant sections of the CLSC and OSC (revised for the project) and will be free from defects in workmanship when operated at all times in accordance with Veolia’s written instructions.

If any defects are found and reported by American Canyon within a period not exceeding twelve (12) months beyond the completion of the site acceptance test, Veolia will make modifications to the PLC code as deemed necessary. Any changes requested by American Canyon after this period will be at the customer’s expense. 9 Purchase Order Guidelines
Please confirm that your purchase order has covered the following points. This will ensure accurate and prompt order entry, product delivery, invoicing and accounts receivables processing and will prevent administrative delays for all parties. o Documentation – Our strong preference is to receive a hard or digital copy of your purchase order (PO) rather than a PO number alone. Your PO can be sent by email to [email protected]. If you are not able to provide a PO, please contact us for alternatives. o Veolia legal entity – Please be sure your purchase order is issued in the name of the specific Veolia legal entity outlined in the quote. We will be glad to work with your purchasing department to set this entity up as an approved supplier/vendor. Please advise us if this Veolia entity is not set up in your purchasing system as a vendor and you do have another Veolia entity set up.
o Quotation Number – Please reference the quotation number in your PO. o Product – Please note which product(s) you wish to purchase along with the quoted price, particularly if quantities or scope differ from the quotation.
o Taxes – Please provide any required tax exemption certificates. Please indicate if taxes have been added in your PO.
o Payment Terms – Please acknowledge the payment terms included with the quotation. o Bill-to Address – Please include contact information for your accounts payable. o Ship-to Address – Please clearly define the delivery location and the receiver’s email & telephone. Please specify receiving hours and any special off-loading requirements. o Delivery Date – Please include your requested delivery date.

B – General Terms and Conditions of Sale
The sale of products and services included with this offer will be governed by the CITY OF AMERICAN CANYON STANDARD AGREEMENT FOR INDEPENDENT CONTRACTOR SERVICES NO. 2022-A187 as entered into between the City of American Canyon and ZENON Environmental Corporation on December 12, 2022. 380
Veolia Confidential and Proprietary Information
Membrane replacement & expansion for the American Canyon WTP Proposal number 593587 – revision #1 – October 24, 2024 Page 23 of 25 Signed Agreement
Through the issue of this proposal, Veolia signals their intent to enter into an agreement with American Canyon. American Canyon and Veolia acknowledge that they have read and understood this agreement and agree to be bound by the terms and conditions specified in it.

Offered by
Legal Entity:

ZENON Environmental
Corporation, also known as
Veolia or Seller
Accepted
by Legal
Entity:

City of American Canyon, also
known as American Canyon or
Buyer
Authorized
Signature
by:

Title:

Signature
Date:

Signature: x
Purchase Order No:

Upon acceptance of this proposal, please forward the following either
• by email with .pdf attachments or • by postal mail.
1) this signature page completed, and/or
2) a hard copy of your purchase order, and
3) any required tax exemption certificates
Email:
[email protected]
Postal Mail:

Veolia Water Technologies &
Solutions
attention: Contracts Administrator
Please contact
[email protected]
for correct address
This agreement comes into force when Veolia has issued a formal acceptance of American Canyon’s Purchase order or formal acceptance of this American Canyon signed agreement.

Doc. control: Author: JE Filename: American Canyon DWTP 593587-1 Membrane Replacement & Expansion Oct-24 2024 Last modified: 10/24/2024 9:46 AM Technical review: RM(rev0) Commercial review: RM(rev0)/JD(all revs) DOA: Blkt/DS(validity) 381
Veolia Confidential and Proprietary Information
Membrane replacement & expansion for the American Canyon WTP Proposal number 593587 – revision #1 – October 24, 2024 Page 24 of 25 ZENON W9 Form
382
Veolia Confidential and Proprietary Information
Membrane replacement & expansion for the American Canyon WTP Proposal number 593587 – revision #1– October24, 2024 Page 25 of 25 383
Dominic Patrick Jason Diamond
Water Systems Manager Municipal Regional Lifecycle Manager City of American Canyon
250 Kirkland Ranch Road
American Canyon, CA, 94503
Veolia Water Technologies & Solutions ZENON Environmental Corporation Head office: 3600 Horizon Blvd. Trevose, PA 19053 3239 Dundas St. W. Oakville, ON Canada off. +1-215-533-0000 - fax +215-633-0000 off. +1-905-465-3030 www.watertechnologies.com
August 19, 2024
Dear Mr. Patrick:

This letter is provided to confirm that a Sole Source Purchase from ZENON Environmental Corporation will be required to procure parts and/or services for ZeeWeed® hollow fiber immersed ultrafiltration membrane systems. The membrane systems are a proprietary technology developed by ZENON Environmental Corporation, a wholly owned business of Veolia Water Technologies & Solutions, subject to multiple patents.

Research and Development work by Veolia Water Technologies & Solutions is regularly producing process and technology upgrade options. At the point where system upgrades are required, Veolia will work closely with each client to select the best options specific for your plant.

Veolia Water Technologies & Solutions has structured the after-purchase support of our ZeeWeed® clients to assure access to a very high level of service and product support. Veolia has a service team with extensive experience and the capabilities to provide technical and engineering services distinctive to maintaining a high level of performance from the ZeeWeed® hollow fiber, ultrafiltration membranes. Veolia offers these unique services:

1. Insight™ Remote Process Monitoring

2. 24/7 Emergency Telephone Technical Support

3. On-Site Service Visits

4. Membrane Maintenance services & system upgrades

5. Membrane Replacement Planning

6. Entire system Recommended spare parts
If you have any questions, please do not hesitate to contact me.

Sincerely,
Jason Diamond, P.Eng.

Regional Lifecycle Manager - Veolia Water Technologies & Solutions 384

CITY COUNCIL AGENDA
NOVEMBER 19, 2024

STAFF REPORT

CONSENT
ITEM NUMBER: 14.

TITLE
State Water Project Carryover Water Transfer

RECOMMENDATION
Adopt a Resolu,on authorizing the American Canyon Director of Public Works to agree to the a4ached dra5 term sheets with Tulare Lake Basin WSD and Westside Districts for a total transfer of 800 AF of Carryover Water.

CONTACT
Erica Ahmann Smithies, P.E., Public Works Director
Norman Woods, M.B.A., Assistant Public Works Director
Dominic Patrick, Water Systems Manager

BACKGROUND & ANALYSIS
Background:

The City of American Canyon is a sub-contractor to the Napa County Flood Control and Water Conserva,on District (NCFCWCD) for the contract with the State of California for the water received from the State Water Project (SWP) via the North Bay Aqueduct. The terms of the agreement with NCFCWCD are specified in City Agreement No. 423, and subsequent Amendment No. 18, on April 5, 2022. The NCFCWCD is a member of the State Water Contractors Associa,on, which is comprised of the 29 contractors for State Water Project water.

The City of American Canyon has invested in SWP Water Supplies since June 15, 1992, when it purchased its original en,tlements for the State Water Project known as Table A water. The City of American Canyon has 5,200 Acre-Feet (AF) of annual Table A SWP En,tlements. Each calendar year the California Department of Water Resources (DWR) assesses the reservoir levels, snowpack, and overall state of the water supply in the SWP system and establishes a percent alloca,on of Table A entitlements each calendar year that can be delivered.

In select years, if the City does not consume all its Table A en,tlements, and San Luis Reservoir does not spill, the unused water is reclassified as Ar,cle 56 water (c), or carryover water, which can be used the following calendar years. Carryover is addi,ve year over year if Table A, South of Delta en,tlement is not consumed by American Canyon has a yearly maximum of 50 percent of the Table A alloca,on. If San Luis Reservoir spills, there is a formula to which carryover is depleted. However, 385
historically Ar,cle 56 (c) stored water has been lost in its en,rety during a spill event, and all carryover water is lost.

Analysis:

In 2023, the State Water Project (SWP) alloca,on for North of Delta contractors was 100%, which allowed the City of American Canyon to receive its full Table A alloca,on of 5,200 acre-feet (AF) and carry over 2,600 AF (50% of Table A maximum) into 2024. For 2024, the SWP alloca,on for North of Delta contractors is 65%, providing American Canyon with a Table A allocation of 3,380 AF.

Under the water exchange formula with South of Delta (SOD) contractors, 40% of the total SWP alloca,on (2,080 AF) is available for transfer. A5er subtrac,ng American Canyon’s 2024 Table A use, this will impact the amount of carryover water available in 2025. Staff projects that 800 AF of unused Table A water in 2024 will carry over but will be lost in 2025. Regardless of whether the water is sold or not, the City will s,ll receive 2,600 AF in 2025, as carryover is capped at 50% of the Table A alloca,on. As a result, American Canyon is expected to carry over a total of 3,400 AF into 2025 (2,600 AF from 2024 and 800 AF from unused water), but only 2,600 AF can be officially carried over into 2025, consistent with the 50% carryover limit.

DWR has indicated that they plan to have San Luis Reservoir spill in 2025, meaning American Canyon will lose the projected 3,400 AF of Carryover Water. DWR controls water levels in San Luis Reservoir by pumping water out of the San Joaquin-Sacramento River Delta, upstream from O’Neill Forebay.

NCFCWCD has found two agencies who are currently interested in a water transfer totaling 800 AF of American Canyon’s carryover water. Westside and Tulare will pay American Canyon for the water transfer separately at $250/AF to $300/AF respectively.

NCFCWCD has created the a4ached dra5 term sheets for the two agencies to transfer water between agencies. NCFCWC dra5 terms include transfer of water from all three sub-contractors (City of Napa, City of American Canyon, and City of Calistoga) with the total exchange being: 1,000 AF to Tulare and 5,000 AF to Westside. American Canyon would transfer subject to the a4ached draft term sheets and the California Department of Water Resources (DWR) water transfer criteria, if draft terms are adopted by all agencies.

American Canyon will be able to reliably meet normal annual demands of ~2,500 AF over the next two years while making normal withdrawals from Carryover 2,600 AF, Permit Water delivered to Cordelia Forebay 500 AF, and assuming SWP Table-A alloca,ons are only 15% alloca,on levels 780 AF.

The SWP supply has the following additional water sources:
• Article 21 water that has averaged about 100 AF over the last four years for American Canyon • Dry Year Transfer and Yuba Accord water purchases, as available • Advanced Table A water of 5,200 AF for American Canyon In addi,on, if there is a severe drought staff will be reques,ng the council adopt addi,onal 386
mandatory conservation stages that typically reduce demand by another 10% to 20%.

COUNCIL PRIORITY PROGRAMS AND PROJECTS
Infrastructure: "Develop and maintain infrastructure resources to support sustainable growth."

FISCAL IMPACT
There is no financial cost but only revenue poten,al. The amount of projected carryover water that will be lost in 2025 is 800 AF, however, if it is all transferred the revenue would be approximately $200,000 and go into Account No. 510-80-810-36390 (North Bay Aqueduct). NCFCWCD has only identified two interested agencies from the SOD: Westside and Tulare.

ENVIRONMENTAL REVIEW
This ac,on is exempt from CEQA (Sec,on 15301) in accordance with the No,ce of Exemp,on filed by the Napa County Flood Control Water Conservation District.

ATTACHMENTS:

1. Resolution State Water Project Carryover Transfer

2. Term Sheet for Water Purchase Turlare Lake Basin Water Storage District

3. Term Sheet for Water Purchase Westside Districts
387
RESOLUTION NO. 2024-

A RESOLUTION AUTHORIZING THE AMERICAN CANYON DIRECTOR OF PUBLIC WORKS TO AGREE TO

THE ATTACHED DRAFT TERM SHEETS WITH TULARE LAKE BASIN WSD AND WESTSIDE DISTRICTS FOR A TOTAL TRANSFER OF 800 AF OF CARRYOVER WATER
WHEREAS, the City of American Canyon is a sub-contractor to the Napa County Flood Control and Water Conservation District (NCFCWCD) for the contract with the State of California for the water received from the State Water Project (SWP) via the North Bay Aqueduct; and WHEREAS, the City of American Canyon, terms of the agreement with NCFCWCD are specified in City Agreement No. 423, and subsequent Amendment No. 18, on April 5, 2022, when it purchased its original entitlements of the State Water Project know as Table A water; and WHEREAS, the City of American Canyon has 5,200 Acre-Feet (AF) of annual Table A SWP Entitlements that each calendar year are allocated by the California Department of Water Resources (DWR) based on reservoir levels, snowpack, and overall state of the water supply in the SWP system and establishes a percent allocation of Table A entitlements that will be delivered; and WHEREAS, in select years, if the city does not consume all its Table A entitlements, and San Luis Reservoir does not spill, the unused water is reclassified as Article 56 water, or carryover water, that can be used the following calendar year; and
WHEREAS, if San Luis Reservoir spills, all carryover water is lost; and WHEREAS, American Canyon is projected to have 800 AF of carryover in 2025 and DWR has indicated they plan to have San Luis Reservoir spill in 2025, meaning American Canyon will lose the projected 800 AF of Carryover Water; and
WHEREAS, NCFCWCD has identified two agencies who are currently interested in a water transfer totaling 800 AF of American Canyon’s carryover water. Westside Districts and Tulare Lake Basin WSD will pay American Canyon for the water transfer separately at $250/AF to $300/AF respectively; and WHEREAS, staff would like the ability to transfer this water since this may be a last-minute opportunity, right before San Luis Reservoir spills to at least get some revenue before the water is lost; and WHEREAS, there is no financial cost and only the potential of approximately $200,000 in revenue that would go into Account No. 510-80-810-43320 (North Bay Aqueduct); and WHEREAS, this action is exempt from CEQA (Section 15301) in accordance with the Notice of Exemption filed by the Napa County Flood Control Water Conservation District.

NOW, THEREFORE, BE IT RESOLVED that the City Council of the City of American Canyon hereby authorizes the City of American Canyon, Director of Public Works to agree to attached draft term sheets with Tulare Lake Basin WSD and Westside Districts totaling a sale of 800 AF of American Canyon’s Carryover Water.
388
2 PASSED, APPROVED and ADOPTED at a regularly scheduled meeting of the City Council of the City of American Canyon held on the 19th day of November, 2024, by the following vote:

AYES:

NOES:

ABSTAIN:

ABSENT:
____________________________
Leon Garcia, Mayor
ATTEST: APPROVE AS TO FORM:
____________________________ _____________________________ Taresa Geilfuss, CMC, City Clerk William D. Ross, City Attorney 389
Water Transfer Term Sheet October 4, 2024

TERM SHEET FOR WATER PURCHASE FROM NAPA COUNTY FLOOD

CONTROL AND WATER CONSERVATION DISTRICT (NAPA) TO

TULARE LAKE BASIN WATER STORAGE DISTRICT (TULARE)

1. General: Napa shall make available for transfer 1,000 acre-feet of Article 56(c) State Water Project Carryover Water (Transfer Water) to Tulare, subject to the terms and conditions of this Term Sheet and the California Department of Water Resources (DWR) water transfer criteria.

2. Term: This Term Sheet shall become effective on October 22, 2024 or the nearest time after that date that the Department of Water Resources approves the transfer contemplated herein and shall terminate on December 31, 2024.

3. Conveyance to Tulare:
a) Transfer of Napa’s Article 56 Carryover Water to Tulare will occur as soon as the agreement between Tulare, Napa, and DWR is executed; the point of transfer is San Luis Reservoir, and the transfer will occur by means of a recalculation of Napa’s and Tulare’s respective Article 56 Carryover Water storage balances in San Luis Reservoir .
b) Tulare shall be responsible for the SWP delivery costs for the water delivered from San Luis Reservoir to Tulare.

4. Payment:
a) Tulare shall pay Napa $300 per AF for water made available by Napa. b) Napa shall invoice Tulare after DWR transfer agreement has been fully executed by all parties. Napa’s invoice shall be due and payable within 45 days of receipt by Tulare. Napa shall send all invoices to the following email address:

Tulare Lake Basin Water Storage District
Jacob Westra: [email protected] and,
[email protected]

5. Approvals:
a) Tulare and Napa shall work together to obtain approval for the transfer contemplated herein from DWR. Napa will author the transfer request to DWR after coordination with Tulare on key components of the “SWP Agreement – Request Form.”
390
Water Transfer Term Sheet October 4, 2024
b) Napa and Tulare anticipate that a Notice of Exemption will be required to comply with CEQA. The parties shall work together to obtain CEQA compliance, and in doing so, Napa shall be the “lead agency” and Tulare shall be a “responsible agency.”
c) Napa and Tulare shall be responsible for their own internal costs, transaction costs, and other costs (including conveyance and administration) associated with the transfer contemplated herein.

6. Complete Agreement
a) This Term Sheet represents the complete agreement between the parties.

No oral or written document or representation other than this Term Sheet represents the parties’ intent in entering this agreement. b) The parties may, however, modify this Term Sheet with a written modification signed by both parties.

7. Signatures
a) The signatories below confirm that they have the authority to execute this Term Sheet on behalf of the agencies they represent and abide by this Term Sheet’s conditions.

Tulare Lake Basin Water Storage District Napa County Flood Control and Water Conservation District
________________________________ ______________________________ Jacob Westra, General Manager Christopher Silke, General Manager ________________________________ ______________________________ Date Date
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Westside Districts (WS5) March 11, 2024

TERM SHEET FOR WATER PURCHASE
BETWEEN NAPA1 AND THE WESTSIDE DISTRICTS2

1. General: NAPA shall make available for transfer to the Westside Districts up to 4,000 acre-feet (AF) of Article 56(c) of State Water Project (SWP) water (Transferred Water), subject to the terms and conditions of this Term Sheet.

2. Term: The Term of this Term Sheet shall begin on the date the Department of Water Resources (DWR) approves the transfer contemplated herein or April 1, 2024, which occurs first, and shall terminate on December 31, 2024.

3. Conveyance to Westside Districts:
a. The Point of Delivery shall be Reach 1, the Delta of the California Aqueduct. Both parties may agree in writing to an alternate point of delivery location. NAPA shall be responsible for all charges associated with the conveyance of Transferred Water to the Point of Delivery. The Westside Districts shall take possession of the Transferred Water at the Point of Delivery and be responsible for all charges associated with conveyance of the Transferred Water downstream from the Point of Delivery.
b. Conveyance of Transferred Water is subject to any capacity limitations imposed by DWR.
c. Capacity for the delivery of Transferred Water to the Westside Districts is on an “as available” basis, subject to higher priority deliveries of the Westside Districts. Such higher priorities include SWP water (Table A, Article 21) & Local Supplies3 allocated to the Westside Districts and other 1 Napa County Flood Control and Water Conservation District 2 Westside Districts consist of Dudley Ridge Water District and four member units of the Kern County Water Agency (Belridge Water Storage District, Berrenda Mesa Water District, Lost Hills Water District, and Wheeler Ridge – Maricopa Water Storage District)
3 Kern River Water, KCWA Member Unit Table A
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Westside Districts (WS5) March 11, 2024
transfers/exchanges to the Westside Districts with more favorable terms than the Transferred Water.
d. The Westside Districts shall determine amongst themselves the allocation of the Transferred Water. Water transferred under this Term Sheet can be requested and scheduled in multiple blocks and throughout the Term, subject to available water volumes as per section 3(d).

4. Payment:
a. The Westside Districts shall pay NAPA $250 per AF for all Transferred Water delivered to the Point of Delivery by NAPA.

It should be noted that this Term Sheet identifies the maximum amount of SWP water that may be transferred by NAPA to the Westside Districts.

Actual delivery of SWP water by NAPA to the Westside Districts, however, may vary due to those conditions set forth in sections 3(b), 3(c), and 3(d).

The Westside Districts and NAPA make no guarantees that any or all the Transferred Water will be requested for delivery or delivered to the Point of Delivery. The Westside Districts shall not be responsible for any amount of SWP water not requested for delivery to the Point of Delivery. b. Once the final volume of Transferred Water is known and reconciled by the parties, NAPA shall invoice the Westside Districts for the reconciled amount of Transferred Water that was delivered to the Point of Delivery by NAPA. All NAPA invoices shall be due and payable within 45 days of receipt. NAPA shall send all invoices to the following address in electronic format:

Westside Districts
Jamie Marquez
[email protected]

5. Approvals:
a. The Westside Districts (through Dudley Ridge Water District (DRWD) and Kern County Water Agency (KCWA)) and NAPA shall work together to obtain approval for the transfer contemplated herein from DWR. As NAPA’s water is to be transferred, the request to DWR shall come from NAPA after coordination with DRWD and KCWA.
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Westside Districts (WS5) March 11, 2024
b. NAPA and the Westside Districts anticipate that a Notice of Exemption will be required to comply with CEQA. The parties shall work together to obtain CEQA compliance, and in doing so, NAPA shall be the “lead agency” and each of the Westside Districts, KCWA, and DWR shall be “responsible agencies.”
c. NAPA and the Westside Districts shall be responsible for their own internal and/or transaction costs associated with the transfer contemplated herein.
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CITY COUNCIL AGENDA
NOVEMBER 19, 2024

STAFF REPORT

PUBLIC HEARING
ITEM NUMBER: 16.

TITLE
Watson Ranch Specific Plan Lot 7 Tentative Subdivision Map

RECOMMENDATION
Adopt a Resolu.on approving a Ves.ng Tenta.ve Subdivision Map for Watson Ranch Lot 7 to create 136 single-family home lots on 12.86 acres within the Watson Ranch Specific Plan Medium Density Residen.al-16 zoning district located west of Marcus Road, Assessor’s Parcel Number 059-430-045 (File No. PL24-0012).

CONTACT
William He, AICP, Senior Planner

BACKGROUND & ANALYSIS
Table 1: Site Information
General Plan Designation WRSP MDR-16
Zoning District WRSP MDR-16
Site Size 12.86 acres
Present Use Undeveloped lot
Surrounding Zoning and Uses
North: WRSP Open Space (OS) / Vacant lot
South: WRSP High Density Residential (HDR) / Lemos
Pointe Apts.

East: WRSP MDR-16 / Harvest Subdivision
West: Rail road parcel / rail road
Access Site Access is provided from Marcus Rd
History The project site is part of the Watson Ranch Specific Plan (WRSP) approved by the City Council in November 2018. The WRSP consists of 309 acres north of the Vintage Ranch subdivision and east of the Napa Junc.on shopping center. The specific plan includes 1,253 dwelling units, approximately 50 acres of parks, and a new hotel. Within the WRSP, 252 acres are owned by American Canyon I, LLC and 57 acres are owned by the Newell Family interests. The Watson Ranch Lot 7 Subdivision (Project) is proposed by KB Homes (Applicant). A Lot 7 loca.on map is included as Attachment 5.
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Proposed Development On June 25, 2024, KB Homes (Applicant) submiGed a Design Permit and a Ves.ng Tenta.ve Subdivision Map applica.on for development of 136 single-family homes on a

12.86-acre site in the Medium Density Residen.al 16 (MDR16) zoning district in Watson Ranch. The project consists of 66 alley loaded plans and 70 tradi.onal plans with front-facing garages. The twostory homes range from 1,412 SF to 2,160 SF with three to five bedrooms and include a two-car garage. The site is west of the Marcus Road and Car.er Street intersec.on and accessible by Marcus Rd.

The Ves.ng Tenta.ve Subdivision Map (VTM) would create 136 single-family lots, 4 streets, 2 private alleys, 7 private driveways, and 6 non-residen.al parcels on Lot 7 of Watson Ranch. The 4 streets (A, B, C, and D) will be dedicated to the City for public use. The “tradi.onal” home lots have a minimum size of 38’ x 75’ and the “alley loaded” home lots have a minimum size of 32’ x 68’. The landscape lots will be managed by the Watson Ranch Lot 7 homeowners associa.on (HOA). A condi.on of approval will require the applicant to provide an address plan for review and approval prior to map recordation.

The Fire Code for a project of this size requires two main fire-figh.ng vehicle access points. One access is provided by the project entrance. A second access is provided by a 20-foot wide emergency vehicle access lane (EVA) that begins off Marcus Road, north of the Lemos Pointe apartments, and con.nues along the east side of a large deten.on basin located at the southwest of the project. The EVA will also serve as an off-street bicycle lane maintained by the HOA that extends through the subdivision.

The Watson Ranch Lot 7 VTM Resolu.on, condi.ons of approval, and preliminary civil plans are available as AGachments 1 to 4. The Planning Commission conducted a public hearing for this project on October 24, 2024. At that mee.ng, the Planning Commission approved the Design Permit and recommends the City Council approve the Vesting Tentative Subdivision map.

Off-street Bicycle Trail
According to WRSP Figure 7.5, an off-street bicycle and pedestrian trail is required along the south, west, and north perimeter of Watson Ranch Lot 7. The project proposes to modify the trail so that the western por.on of the trail does not travel adjacent to the railroads. The proposed trail will enter from Marcus road and turn at the EVA east of the stormwater basin and go northward pass Street D and turn out back to Marcus Road. The width of the EVA is 20’ and the width of Street D will be 38.5’, with 8.5’ of sidewalk on the west side. A stretch of the trail between the EVA and Street B/Alley E will have sharrows and appropriate signage. A map of the WRSP trails is available as Attachment 6.

The trail modifica.on was proposed because the landform grade levels along the west property line is very steep, which would require expensive retaining walls to accommodate a bicycle trail.

Furthermore, a trail along this alignment is adjacent to an ac.ve railroad which can be unpleasant.

Finally, reloca.ng the bicycle lane to the east side of the deten.on basin allows residents to enjoy a 414
20’ walking path and bicycle lane.

Standard Conditions
There has been a significant effort in planning and en.tling Watson Ranch. These en.tlements include: a General Plan Amendment, Watson Ranch Specific Plan (and related Zoning), Large Lot Ves.ng Tenta.ve Map, and Development Agreement. The project is subject to the American Canyon Municipal Code, the WRSP policies and mi.ga.on measures, the WRSP Development Agreement, and the AC-1 Master Conditions of Approval.

Given the significant analysis already completed, Standard Condi.ons for the AC-1 por.on of Watson Ranch provides a standardized method to ensure each development project will construct its share of physical improvements and environmental mi.ga.on from the Watson Ranch Program Environmental Impact Report. A copy of the AC-1 Master resolu.on and condi.ons of approval are available in VTM Exhibit B, Attachment 3.

Public Outreach
City outreach occurred between July 14, 2024, and November 15, 2024. A copy of the public notification addresses and map is included in Attachment 7. Specific events are outlined below:

Jul. 14. 2024 – Project posted on website
Jul. 15, 2024 – Neighborhood letters to introduce the project sent within 500 feet Oct. 11, 2024 – Public No.ce of Planning Commission Mee.ng Posted on Bulle.n Board at City Hall and at Public Safety Building.

Oct. 12, 2024 – Public Hearing Notice mailed to property owners and residents within 500 feet Oct. 12, 2024 – GovDelivery No.ce of Public Hearing Bulle.n sent to email subscribers list (4,340 + people)
Oct. 12, 2024 – Public Notice of Planning Commission Meeting published in newspaper.

Oct. 18, 2024 – Staff report published and GovDelivery No.ce of public review workshop sent to email subscribers list (4,340 +/-) Oct. 23, 2024 – GovDelivery No.ce Reminder of Planning Commission mee.ng sent to email subscribers list (4,340 +/-)
Oct. 24, 2024 – Planning Commission Meeting
Nov. 9, 2024 – Public Notice of City Council Meeting published in newspaper.

Nov. 15, 2024 – Staff report published and GovDelivery No.ce of public review workshop sent to email subscribers list (4,340 +/-) Nov. 18, 2024 – GovDelivery No.ce Reminder of Planning Commission mee.ng sent to email subscribers list (4,340 +/-)
The public comments and responses are included in Attachment 8.

FISCAL IMPACT
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The Watson Ranch Lot 7 Subdivision Map required a developer’s deposit for review and processing, so there is no fiscal impact for staff’s .me. If the City Council approves the project, the City will gain 136 single-family homes, which provides additional tax revenue.

ENVIRONMENTAL REVIEW
The environmental impacts of the Watson Ranch Specific Plan (WRSP) Project, which includes the proposed Watson Ranch Lot 7 Subdivision, were adequately considered in the cer.fied Final EIR for the Watson Ranch Specific Plan Project (State Clearinghouse No. 2015022030) which includes findings, a Mi.ga.on Monitoring and Repor.ng Program, and a Statement of Overriding Considera.ons for the Project. Approval of the proposed Tenta.ve Subdivision Map is based on the Final EIR and complies with CEQA. Under CEQA, the Watson Ranch Specific Plan Project FEIR is a program EIR and is generally assumed to be used at a "development level." See, e.g., CEQA Guidelines § 15168. There is no substan.al evidence of changed circumstances under CEQA Guidelines sec.on 15162 requiring further CEQA review as the whole of the approvals sought are contemplated under the Project FEIR analysis.

ATTACHMENTS:

1. Resolution - WR Lot 7 Subdivision

2. Exhibit A VTM Specific Conditions

3. Exhibit B AC1 Master Conditions

4. Exhibit C VTM Plans

5. WR Lot 7 location Map

6. WR Trail Map

7. Public Notice Package

8. Public Comments
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RESOLUTION NO. 2024-XX

A RESOLUTION APPROVING A VESTING TENTATIVE SUBDIVISION MAP FOR WATSON RANCH LOT 7 TO CREATE 136 SINGLE FAMILY HOME LOTS ON 12.86 ACRES WITHIN THE WATSON RANCH SPECIFIC PLAN MEDIUM DENSITY RESIDENTIAL-16 ZONING DISTRICT LOCATED WEST OF MARCUS ROAD, ASSESSOR’S PARCEL NUMBERS 059-430-045 (FILE NO. PL24-0012) WHEREAS, pursuant to Section 65300 of the State Planning and Zoning Law, the City of American Canyon (City) has adopted a General Plan to provide comprehensive long-range planning and a blueprint of the City’s future form, including land use and circulation maps that specify the roadway network and the distribution of types and intensities of land; and
WHEREAS, the City of American Canyon General Plan land use and zoning designation for the property known as the Watson Ranch Specific Plan property is Town Center, which requires the approval of a specific plan to designate the land uses, range of residential and nonresidential densities and unified design standards within the Watson Ranch Specific Plan property; and WHEREAS, on November 6, 2018, the City Council of the City of American Canyon adopted an Ordinance approving the Watson Ranch Specific Plan that provides for the development of the approximately 309- acre Watson Ranch Specific Plan site with a mixed use community component including a mixed use town center (Napa Valley Ruins and Garden), 1,253 residential units, approximately 23 acres of improved parks, an additional 30 acres of parks, trails and open space, a 10-acre school site, roads and supporting water, wastewater, recycled water and storm drainage infrastructure; and WHEREAS, on June 18, 2019, the City Council approved the Watson Ranch Specific Plan Development Agreement (Ordinance 2019-06, Agreement 2019-A107); and WHEREAS, on June 25, 2024, KB Homes “Applicant” submitted the Watson Ranch Lot 7 Vesting Tentative Subdivision Map “Project” for development of 136 single-family home lots, 4 streets, 2 private alleys, 7 private drives, and 6 non-residential parcels on a 12.86-acre site located west of Marcus Rd, Accessor’s Parcel Number 059-430-045 (PL24-0012); and
WHEREAS, Chapter 18.22.055 of the Municipal Code sets forth findings required for approval of a tentative subdivision map; and
WHEREAS, the proposed map is consistent with the City of American Canyon General Plan, Municipal Code and the Watson Ranch Specific Plan; and

WHEREAS, pursuant to the California Environmental Quality Act (CEQA), a final environmental impact report (Final EIR) was prepared for the Watson Ranch Specific Plan, which included the proposed Vesting Tentative Map (VTM), having analyzed the actions contemplated by the VTM and includes required mitigation measures, a Statement of Overriding Considerations and a Mitigation Monitoring and Reporting Program; and
WHEREAS, the City of American Canyon Planning Commission conducted a public hearing on October 24, 2024 on the subject application, and unanimously recommended City Council approval; and 417
WHEREAS, a duly-noticed public hearing was held by the City of American Canyon City Council on November 19, 2024 on the subject application, at which time all those in attendance were given the opportunity to speak on this proposal and to submit comments.

NOW, THEREFORE, BE IT RESOLVED that the City Council of the City of American Canyon, having considered all the evidence, including any submitted by member of the public, hereby approves the Watson Ranch Lot 7 Vesting Tentative Subdivision Map (PL24-0012), subject to the following Findings and Conditions of Approval.

SECTION 1: Findings Regarding Environmental Review pursuant to the California Environmental Quality Act (CEQA)

1. The City of American Canyon makes the following findings and determinations based on substantial evidence in the record as a whole pursuant to the California Environmental Quality Act (Pub. Res.

Code §§ 21000 et seq.) and its Guidelines (California Code of Regulations, Title 14 §§ 15000, et seq.), as each is amended from time to time (“CEQA”).

2. Pursuant to CEQA, an Environmental Impact Report (EIR) was prepared, supplemented, and certified for the Watson Ranch Project (“Project EIR”). The Project EIR considered and analyzed the significant adverse environmental impacts of, related mitigation measures for, and reasonable alternatives to, the planning, development, construction, operation, and maintenance of the proposed uses of the Property implemented through the “Project Approvals” of the “Project,” including without limitation, the General Plan Amendment, Watson Ranch Specific Plan (and related Zoning), Large Lot Vesting Tentative Map, and Development Agreement. In accordance with CEQA, City certified as legally adequate and complete the Project EIR, and approved the development allowed and approved by said existing and future Project Approvals contemplated by the Project EIR and the Development Agreement.

3. The proposed Vesting Tentative Map for that Watson Ranch Lot 7 is a contemplated “Project Approval” under the Project EIR and the Development Agreement. Under CEQA, a Specific Plan EIR, like the Watson Ranch Specific Plan Project EIR, is generally assumed to be used at a "development level." See, e.g., CEQA Guidelines § 15168. Under controlling CEQA law, particularly CEQA Guidelines section 15162, the legal question is whether the Project EIR, itself, needs updating (through a Subsequent or Supplemental EIR) before the City can consider and approve the Watson Ranch Lot 7 VTM, or whether the Project EIR provides the appropriate CEQA compliance work for the City’s consideration and approval of the Watson Ranch Lot 7 VTM. For the following reasons and findings, by law, no such Subsequent or Supplemental EIR can be required by the City, and the Project EIR provides the appropriate CEQA compliance work for the City’s consideration and approval of the Watson Ranch Lot 7 VTM.

First, CEQA Guidelines section 15162 provides as follows [City responses to the issues raised by Section 15162 are provided in bracketed, italicized text below]:
(a) When an EIR has been certified . . . for a project, no subsequent EIR shall be prepared for that project unless the lead agency determines, on the basis of substantial evidence in the light of the whole record, one or more of the following:
(1) Substantial changes are proposed in the project which will require major revisions of the previous EIR or negative declaration due to the involvement of new significant environmental 418
effects or a substantial increase in the severity of previously identified significant effects; There is no substantial evidence in the light of the whole record revealing any changes proposed in the Project, let alone changes that will involve involvement of new significant environmental effects or a substantial increase in the severity of previously identified significant effects. The Watson Ranch Lot 7 VTM implements the Watson Ranch Specific Plan Project, and no new significant environmental effects or substantial increase in the severity of previously identified significant effects not already addressed by the Project EIR will result from that implementation. (2) Substantial changes occur with respect to the circumstances under which the project is undertaken which will require major revisions of the previous EIR . . . due to the involvement of new significant environmental effects or a substantial increase in the severity of previously identified significant effects;
There is no substantial evidence in the light of the whole record revealing circumstances under which the Project is undertaken which require major revisions to the Project EIR due to the involvement of new significant environmental effects or a substantial increase in the severity of previously identified significant effects: the Watson Ranch Lot 7 VTM is anticipated by, and is the implementation of, the Watson Ranch Specific Plan Project (and Project Approvals), and no new significant environmental effects or a substantial increase in the severity of previously identified significant effects not already addressed by the Project EIR will result from that implementation; or (3) New information of substantial importance, which was not known and could not have been known with the exercise of reasonable diligence at the time the previous EIR was certified as complete or the negative declaration was adopted, shows any of the following [There is no substantial evidence in the light of the whole record revealing any such new information of any kind has been presented]:
(A) The project will have one or more significant effects not discussed in the previous EIR .There is no substantial evidence in the light of the whole record revealing that the Watson Ranch Lot 7 VTM will have one or more significant effects not discussed in the Project EIR: Instead, the Watson Ranch Lot 7 VTM is anticipated by, and are the implementation of, the Watson Ranch Specific Plan Project as fully analyzed by the Project EIR;
(B) Significant effects previously examined will be substantially more severe than shown in the previous EIR. There is no substantial evidence in the light of the whole record revealing that the Watson Ranch Lot 7 VTM will result in a situation where significant effects previously examined in the Project EIR will be substantially more severe than shown and discussed in the Project EIR: Instead, the Watson Ranch Lot 7 VTM are anticipated by, and are the implementation of, the Watson Ranch Specific Plan Project as fully analyzed by the Project EIR;
(C) Mitigation measures or alternatives previously found not to be feasible would in fact be feasible and would substantially reduce one or more significant effects of the project, but the project proponents decline to adopt the mitigation measure or alternative.

There is no substantial evidence in the light of the whole record supporting a determination that mitigation measures or alternatives previously found not to be feasible would in fact be feasible and would substantially reduce one or more significant effects of the Project, but the project proponents decline to adopt the mitigation measure or alternative; or 419
(D) Mitigation measures or alternatives which are considerably different from those analyzed in the previous EIR would substantially reduce one or more significant effects on the environment, but the project proponents decline to adopt the mitigation measure or alternative. There is no substantial evidence in the light of the whole record supporting a determination that mitigation measures or alternatives which are considerably different from those analyzed in the Project EIR would substantially reduce one or more significant effects on the environment, but the project proponents decline to adopt the mitigation measure or alternative. No such mitigation measure nor alternatives have been proposed, nor are warranted, and no rejection of such mitigation measure or alternative by the project applicant has taken place.

Because there is no substantial evidence in the record to support any of the findings set forth in CEQA Guidelines section 15162, as a matter of law, no additional CEQA work can be required by the City relating to the City’s consideration and approval of the Watson Ranch Lot 7 VTM.

Second, similar to CEQA Guidelines section 15162, CEQA Guidelines section 15163 provides that a public agency may choose to prepare a “Supplement” to an EIR - rather than a “Subsequent” EIR - only if (1) any of the findings described in Section 15162 (above) would require the preparation of a Subsequent EIR, yet (2) only minor additions or changes would be necessary to make the Project EIR adequately apply to the changed situation. As stated above, because there is no substantial evidence in the record to support any of the findings set forth in CEQA Guidelines section 15162, then, as a matter of law, no finding can be made under CEQA Guidelines section 15163. Therefore, no additional CEQA work for the Watson Ranch Lot 7 VTM can be required by the City.

Third, and lastly, under the Development Agreement, “to the extent permitted or required by CEQA, City shall use . . . existing environmental assessments, declarations, reports and studies as adequately addressing the environmental impacts of the Project and its Subsequent Approvals without requiring new or supplemental environmental documentation.” Development Agreement § 2.04(k). Because CEQA prohibits the City from requiring additional CEQA compliance work for the Watson Ranch Lot 7 VTM approval, for the reasons discussed above, the Development Agreement likewise enforces that CEQA requirement and prohibits additional “new or supplemental environmental documentation.” Development Agreement § 2.04(k).

Therefore, the City finds and determines that the Project EIR provides the appropriate CEQA compliance documentation for the City’s consideration and approval of the proposed Watson Ranch Lot 7 VTM.

SECTION 2. FINDINGS
American Canyon Municipal Code (ACMC) Section 18.22.055 provides that the planning commission shall not recommend approval and the city council shall not approve a tentative subdivision map if any of the following findings are made:

A. That the proposed tentative subdivision map is not consistent with the city’s general plan or its elements or other applicable plans.

The proposed map is consistent with the General Plan because it will provide individual lots with adequate access and utility services to be developed with single family homes. The subdivision proposed to delineate parcels that reflect the proposed land uses and street layout of the Watson Ranch Specific Plan.
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B. That the design or improvement of the proposed subdivision is not consistent with the city’s general plan or its elements or any other applicable plans.

The proposed improvements for the subdivision are consistent with the City’s General Plan, Watson Ranch Specific Plan, and the Watson Ranch Development Agreement, including the size of individual lots, as analyzed in the staff report for this project.

C. That the site is not physically suitable for the type of development proposed.

The subdivision site is physically suitable for the type of development because it is relatively flat and has space to accommodate the proposed 70 single-family home lots and 66 alley-loaded home lots.

D. That the site is not physically suitable for the proposed density of development proposed.

The site is physically suitable for the proposed density of development because the density of development will comply with the limits set out in the Watson Ranch Specific Plan and can be improved and provided with necessary utilities to serve the future development.

E. That the design of the subdivision or the proposed improvements are likely to cause substantial environmental damage or substantially and avoidably injure fish or wildlife or their habitat.

The subdivision and related improvements would not adversely affect wildlife habitat areas, as described in the Watson Ranch Environmental Impact Report (SCH # 2015022030), approved by the City Council on November 6, 2018.

F. That the design of the subdivision or the type of improvements is likely to cause serious public health problems.

The subdivision improvements are consistent with the improvements provided for other development in the City and are not likely to cause serious health problems. In addition to typical improvements, the applicant is required to provide a bicycle lane along their frontage adjacent to Marcus Rd. The bicycle lane will extend the bicycle lane north, which runs parallel to the Napa Valley Vine Trail.

G. That the design of the subdivision or the type of improvements will conflict with easements, acquired by the public at large, for access through or use of, property within the proposed subdivision. In this connection, the city council may approve a tentative subdivision map if it finds that alternate easements, for access or for use, will be provided, and that these will be substantially equivalent to one previously acquired by the public. This subsection shall apply only to easements of record or to easements established by judgment of a court of competent jurisdiction and no authority is granted to the city council to determine that the public at large has acquired easements for access through or use of property within the proposed subdivision.

The project poses no conflicts with easements. The project will be required to dedicate Streets A, B, C, and D for public use.

H. That the discharge of wastewater, including sewage and stormwater runoff, from the proposed subdivision would result in a violation of existing water quality requirements prescribed by the regional water quality control board.
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All wet utilities are already constructed (stubbed) along Marcus Road. There will be no conflicts with the regional water quality board.

The Watson Ranch Lot 7 Vesting Tentative Subdivision Map (PL24-0012) is approved because none of the findings to disapprove the proposed subdivision can be made, subject to the following conditions.

SECTION 3: CONDITIONS OF APPROVAL
The Watson Ranch Lot 7 VTM incorporates specific conditions of approval included as Exhibit A, and the adopted Master Conditions of Approval for the AC-1 Portion of Watson Ranch (Resolution No. 2020-106) as Exhibit B to this Resolution.

PASSED, APPROVED and ADOPTED at a regularly scheduled meeting of the City Council of the City of American Canyon held on the 19th day of November, 2024, by the following vote:

AYES:

NOES:

ABSTAIN:

ABSENT:
____________________________
Leon Garcia, Mayor
ATTEST: APPROVED AS TO FORM:
_______________________________ ___________________________ Taresa Geilfuss, CMC, City Clerk William D. Ross, City Attorney EXHIBITS:

A. Watson Ranch Lot 7 VTM Conditions of Approval
B. AC-1 Portion of Watson Ranch Master Conditions of Approval (Resolution 2020-106) C. Watson Ranch Lot 7 Vesting Tentative Subdivision Map (PL24-0012) 422
ATTACHMENT 2
1 EXHIBIT A
SPECIFIC CONDITIONS – WATSON RANCH LOT 7 VESTING TENTATIVE MAP

APPROVAL, EXHIBITS, AND EXPIRATION
Planning Conditions
Specific
Condition Developer Obligations
Mechanism Implementation Status

1. The Vesting Tentative Subdivision Map for Watson Ranch Phase Lot 7 (PL24-0012; APN 059-430-045) (sometimes
referred to herein as “Watson Ranch Lot 7 VTM” and
sometimes referred to herein as the “Project”) to subdivide Large Lot 7 (approximately 12.86-acres) into 136 singlefamily house lots, 4 streets, 2 private alleys, 7 private drives, and 6 non-residential parcels, is approved as shown on the Vesting Tentative Map for Watson Ranch Lot 7
prepared by Carlson, Barbee & Gibson, revised through
September, 2024, consisting of multiple sheets, marked
“Exhibit C” to the Resolution approving Watson Ranch Lot 7 VTM, and on file in the Community Development
Department. The final map for Watson Ranch Lot 7 VTM is referred to herein as the “Final Map.”
Watson
Ranch Lot 7
VTM
Final Map
Recordation
Applicable

2. The Master Conditions adopted for the AC-1 Portion of the Watson Ranch Specific Plan are attached hereto and
incorporated herein by this reference as if set forth herein in full, and shall apply to the Project where relevant, i.e., where such Master Conditions set general principles
applicable to all Parcels comprising the AC-1 portion of the Watson Ranch Specific Plan, and/or where such Master
Conditions set specific requirements relating to Lot 7, which Lot 7 comprises the land within the Watson Ranch Lot 7
VTM.

SIA (Site
Improvement
Agreement)
Execution of SIA Applicable

3. Development of the subdivision and the individual lots comprising Watson Ranch Lot 7 VTM shall be subject to the Watson Ranch Lot 7 Residential Design Guidelines, on file in the Community Development Department.

Design
Guidelines
Building Permit Applicable

4. WATSON RANCH LOT 7 VTM shall have that life set forth in the Watson Ranch Specific Plan Development Agreement
(Development Agreement).

Development
Agreement
Final Map Applicable

5. Applicant shall defend, indemnify, and hold harmless the City of American Canyon, its elected and appointed officials, employees, volunteers, and legal counsel, as set forth in the Development Agreement.

Development
Agreement
Final Map Applicable

6. Applicant shall be responsible for paying for charges related to the processing of WATSON RANCH LOT 7 VTM as set
forth in the Development Agreement.

Development
Agreement
Final Map Applicable
423
[Version: 10.23.24]
2 7. Compliance of the Project with City’s Inclusionary Housing Requirements is as set forth in the Development
Agreement.

Development
Agreement
Sale of Parcel
24 (Lemos
Pointe
Apartments)
Completed

8. Applicant shall make all public dedications shown on WATSON RANCH LOT 7 VTM through the Final Map, and
City shall accept those public dedications.

Final Map Recordation Applicable

9. According to the Watson Ranch Specific Plan Section
A.4.2.2, equal concern should be given to side elevations on corner lots and rear elevations where visible to the public.

Enhanced aesthetic wrapping shall be provided for the side and rear of homes visible to the public located on Lot 1, 16, 17, 32, 33, 49, 50, 66, 67, 78, 79, 90, 91, 92, 93, 94, 96, 97, 99, 100, 102, 103, 105, 106, 108, 109, 110, 111, 114, 119, 122, 123, 127, 130, 131, 133, 134, and 136.

WRSP Building Permit
Issuance
Applicable

10. Prior to the issuance of the first building permit, the applicant shall provide a landscaping plan for nonresidential Parcels A, B, C, and D.

City
Standards
Building Permit
Issuance
Applicable
Public Works Conditions

GENERAL CONDITIONS OF APPROVAL
Specific
Condition Developer Obligations Mechanism Implementation Status

11. The Applicant shall be responsible fees an costs relating to Final Map check, Improvement Plans check,
inspections and all other related City acts shall be set forth in the Development Agreement.

Development
Agreement
Relevant City Act Applicable

12. All improvements shall be designed in accordance with the American Canyon Municipal Code (ACMC), City of
American Canyon Engineering Standard Plans and
Specifications for Public Improvements (City Standards), except as specifically noted otherwise in these
conditions.

Specific
Conditions
Relevant SIA,
Building Permits,
Certificate of
Occupancy
Applicable

13. All existing overhead utilities, both on-site and along project frontages, and all new utilities to serve the
project, shall be placed underground. Exceptions may be allowed for surface mounted transformers, pedestal
mounted terminal boxes and meter cabinets.

Specific
Conditions
SIA Applicable

14. Unless otherwise explicitly permitted by the
Development Agreement, all existing wells, septic tanks and/or underground fuel storage tanks shall be
abandoned under permit and inspection of Napa County
Development
Agreement
Relevant Permit Applicable
424
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3 Department of Environmental Services or other
designated agency. If there are none, the Project
engineer shall provide a letter describing the scope of the search done to make this determination.

15. A detailed Soils Investigation/Geotechnical Report shall be prepared and submitted for review. The report shall
address, at a minimum, potential for liquefaction, Rvalues, expansive soils and seismic risk. The improvement plans shall incorporate all design and
construction criteria recommended in the Geotechnical
Report.

Specific
Conditions
Improvement
Plans Submittal
Applicable

16. A Drainage Report prepared by a California Registered Civil Engineer shall be submitted for review with the
initial submittal of the Improvement Plans. The Drainage Report shall include hydrologic and hydraulic
calculations to support the design and sizing of all public and private drainage facilities including storm drains, detention facilities, and weirs. The report shall include hydraulic grade line profiles for all proposed storm
drains for the 10-year, 25-year and 100-year storm
events.

Specific
Conditions
Improvement
Plans Submittal
Applicable

17. A final detailed post-construction Stormwater Control Plan (SWCP) that identifies and sizes all permanent postconstruction stormwater treatment BMPs shall be prepared and submitted for review and approval. The
SWCP shall be prepared in accordance with the latest
edition of the Bay Area Stormwater Management
Agencies Association (BASMAA) Post-Construction
Manual and the requirements of the State Water
Resources Control Board Phase II Municipal Separate
Storm Water System (MS4) General Permit (Order 2013-
0001 DWQ). It is the City’s discretion whether to accept alternative treatment facilities other than bioretention.

Specific
Conditions
Improvement
Plans Submittal
Applicable

18. A Post Construction Stormwater Operations and
Maintenance Plan that includes a plan sheet showing all storm drain and water quality infrastructure that is to be maintained, along with detailed instructions and
schedules for the ongoing maintenance and operation of
all post-construction stormwater BMPs shall be
submitted for review and approval by the City Engineer.

Once approved, the Applicant shall enter into an
agreement (transferrable to future Homeowner’s
Association) with the City that provides the terms,
conditions, and security associated with the ongoing
Specific
Conditions
Improvement
Plans Submittal
Applicable
425
[Version: 10.23.24]
4 requirements of the Post Construction Stormwater Best Management Practices.

19. Final Maps, as defined in the Subdivision Map Act, shall be prepared by a licensed surveyor or civil engineer.

Final Maps shall show all lots, parcels, rights-of-way, and easement(s), and shall be submitted to the City Engineer for review. Final Maps shall be in substantial
conformance with the approved Tentative Map and all
applicable conditions of approval. Final Maps are not
valid until they have been approved by the City and
recorded. Closure calculations shall be provided at the time of each initial Final Map submittal. All calculated points within the maps shall be based upon one
common set of coordinates. All information shown on
the Final Maps shall be directly verifiable by information shown on the closure calculation printout. The point(s) of beginning shall be clearly defined. All lot acreages shall be shown on the Final Maps and shall be verifiable from information shown on the closure calculation
printout. A current title report (within past 30 days) shall be submitted at the time of each initial Final Map
submittal.

Specific
Conditions
Final Map
Approval and
Recordation
Applicable

20. Where relevant, Applicant shall secure all necessary rights-of-way and public and private easements for both onsite and offsite Public Improvements. Public rights-ofway and easements shall be dedicated to the City on the Final Map or granted by separate instrument, all
pursuant to the Development Agreement. If granted by
separate instrument, Applicant shall prepare all
necessary legal descriptions and deeds.

Specific
Conditions
Final Map
Dedication and
Recordation
Applicable

21. To the extent any offsite public improvements require the acquisition of property not currently owned by the
Applicant or the City, the Development Agreement shall
apply, and if the Development Agreement does not
address the issue, the California Subdivision Map Act
shall apply.

Specific
Conditions
Final Map
Submittal
Applicable

22. The Applicant shall submit all site Improvement Plans, prepared by a registered Civil Engineer, for review and approval of the City’s Public Works Department. Please
be aware that this is separate submittal from the
building permit application. The final plan set shall
include all civil, landscape and joint trench drawings
under a single cover sheet. The Applicant shall submit a Rough Grading Plan for all phases for review and
approval of the City. Rough grading Plan approval and
site grading may commence prior to Improvement Plan
Specific
Conditions
Improvement
Plans Submittal
Applicable
426
[Version: 10.23.24]
5 and Final Map approval. An Encroachment Permit shall
be required for any work within City right of way, unless explicitly not required by the City

23. All Public Improvements, including without limitation street, water mains, sewer mains, recycled water
facilities, and storm drains shall be clearly labeled as Public" on the Improvement Plans, along with clear
demarcation points where they become Public. Likewise,
all Private Improvements, including without limitation, alleys, drives, streetlights and storm drains, shall be clearly labeled as Private " on the Improvement Plans,
along with clear demarcation points.

Specific
Conditions
Improvement
Plans Submittal
Applicable

24. All public water service laterals or services (domestic, recycled and fire water) shall include approved backflow prevention devices.

Specific
Conditions
During
Construction
Applicable

25. Cathodic protection shall be provided for all water valves, fittings, hydrants, meters, backflow devices,
ductile iron pipe, and other metal appurtenances,
regardless of the findings of any soils corrosivity analysis.

Cathodic Protection Details shall be included in the
Improvement Plans.

City
Standards
During
Construction
Applicable

26. The Applicant shall keep adjoining public and private streets free and clean of project dirt, mud, materials, and debris during the construction period in accordance with an approved SWPPP and Erosion and Sediment
Control Plan using appropriate BMPs and as is found
necessary by the City Engineer.

Specific
Conditions
During
Construction
Applicable

27. If any hazardous material is encountered during the construction of this project, all work shall be
immediately stopped and the Fire Department, Napa
County Department of Environmental Services or other
designated agency, and the City Inspector shall be
notified immediately. Work shall not proceed until
clearance has been issued by all of these agencies.

Specific
Conditions
During
Construction
Applicable

28. Prior to final preparation of the subgrade and placement of base materials, all underground utilities shall be
installed and service connections stubbed out behind the sidewalk. Public utilities, Cable TV, sanitary sewers, and water lines shall be installed in a manner that will not disturb the street pavement, curb, gutter and sidewalk, when future service connections or extensions are
made.

Specific
Conditions
During
Construction
Applicable
427
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6 29. Where soil or geologic conditions encountered in
grading operations are different from that anticipated in the soil and/or geologic investigation report, or where such conditions warrant changes to the
recommendations contained in the original soil
investigation, a revised soil or geologic report shall be submitted for approval by the City Engineer.

Additionally, if field conditions warrant installation of any subdrains, the location, size and construction details must be provided to the City for review and approval
prior to construction.

Specific
Conditions
During
Construction
Applicable

30. All new fire hydrants shall be covered with burlap sacks until the hydrants have been tested and found to be in
conformance with City flow requirements. No storage of
combustible materials or construction of building shall be permitted until all hydrants meet City flow
requirements, or until alternative fire protection
measures are in place, as determined by the City.

Specific
Conditions
Pre- and during
construction
Applicable

31. Prior to placing the final lift of asphalt, all public storm drains and sanitary sewer lines shall be video inspected at the Applicant's expense. All video media (CD, DVD, or
portable hard drive) shall be submitted to the City. If any inadequacies are found, they shall be repaired prior to the placement of the final lift of asphalt.

Specific
Conditions
Prior to placing
the final lift of
asphalt
Applicable

32. All streets, curbs, gutters, sidewalks or other public facilities damaged in the course of construction
associated with this Project shall be the responsibility of the Applicant and shall be repaired to the satisfaction of the City at the Applicant's expense.

Specific
Conditions
During and post
Construction
Applicable

33. After all of the new underground utilities within existing public streets have been installed, the entire affected areas shall be milled and repaved to present a neat
finished pavement area. Multiple trench patches are not acceptable.

Specific
Conditions
during
construction
Applicable

34. All construction stormwater pollution prevention best management practices (BMP's) shall be installed as the
first order of work and in accordance with the State Water Resources Control Board's General Permit for Stormwater Discharges Associated with Construction and Land
Disturbance Activities (Order 2022-0057-DWQ, as
amended), the Applicant's Storm Water Pollution
Prevention Plan (SWPPP), and the City’s Erosion and
Sediment Control Plan in accordance with the City’s MS4 Permit. All stormwater BMP's shall be maintained to the satisfaction of the Qualified SWPPP Developer (QSD),
Specific
Conditions
Pre-Construction Applicable
428
[Version: 10.23.24]
7 Qualified SWPPP Practitioner (QSP), and the City
Engineer.

35. Construction and grading activities on the site shall be limited to the hours between 7:00 a.m. and 6:00 p.m.,
Monday through Friday, and 9:00 a.m. and 5:00 p.m. on
Saturday. Work on Sunday and holidays shall require
approval from the City Engineer. If Sunday and/ or holiday work is approved, construction and grading activities on the site shall be limited to the hours between 10:00 a.m. and 6:00 p.m. on Sundays and State and Federal holidays.

Specific
Conditions
Any Construction
and Grading
Activity
Applicable

36. In accordance with the Development Agreement, City
shall execute any and all Will- Serve Letter( s) and Water Supply Report( s) that will quantify the new potable
water demand for the proposed development and will
identify the necessary mitigation for the development’s demands with " wet-water" offsets with one or more of
the options set forth in the Development Agreement.

Specific
Conditions
Relevant Permit Applicable

37. With the exception of water used for loading and testing of potable water lines, all construction water used for the project shall be obtained from a source other than
American Canyon potable water sources. The Applicant
shall provide verification that an outside source of
construction water, e.g., recycled water, has been
established and will be available for the duration of the project construction.

Specific
Conditions
During
Construction
Applicable

38. All Public Improvement landscaping shall be designed to use recycled water for irrigation. Recycled water
landscaping shall be designed to comply with California Code of Regulations Title 22 and shall include design
details to prevent runoff of recycled water. The
irrigation system shall include an ET/SMART controller.

Specific
Conditions
Improvement
Plans Submittal
Applicable

SPECIAL CONDITIONS OF APPROVAL
Specific
Condition
Developer Obligation Mechanism Implementation Status

39. The Applicant shall submit Improvement Plans prepared by a registered Civil Engineer (Engineer of Record) in
substantial conformance with the preliminary civil plans titled “Vesting Tentative Map, Watson Ranch – Lot 7”
prepared by CBG Engineers, dated September 27, 2024,
except as modified by these conditions. This shall be a Specific
Conditions
Improvement
Plans Submittal
Applicable
429
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8 single set of improvement plans for all of the
improvements in all phases.

40. Improvement Plans shall be tied to the State of
California coordinate system.

Specific
Condition
Improvement
Plans Submittal
Applicable

41. The Applicant shall design and construct all the Public Improvements as shown on the Vesting Tentative Map,
Watson Ranch – Lot 7, except as modified below:
a. Provide a gate at the entrance to the EVA/Trail
at the intersection of Street A.
b. Provide a safety barrier at the edge of the
trail/pedestrian access east side of Basin D.
c. The open end of all storm drainage pipes shall be
designed and equipped with a barrier that will
prevent a person, pets or wild animals from
entering the storm drainage system.

Specific
Condition
Relevant Approval Applicable

42. The Applicant shall design and construct all the Private Improvements as shown on the Vesting Tentative Map,
Watson Ranch - Lot 7, noted below:
a. All Drives and Alleys
b. Streetlights within drives and alleys.
c. Storm drain facility collecting drainage from
Drives and Alleys.

Specific
Conditions
Relevant Approval Applicable

43. Prior to SUBMITTAL OF THE IMPROVEMENT PLANS, the
Applicant shall:
a. Submit the City's "Improvement Plan Checklist".
b. Pay an initial cash deposit for City plan check
services in amount to be determined by the City
prior to the time of submittal. The Project
engineer shall contact City staff to discuss
submittal details to determine initial deposit
amount.
c. Provide the following:
(1) Public Street Repair Plan
(2) Utility Plan and Joint Trench Plan
(3) Construction Storm Water Pollution
Prevention Plan (SWPPP) and a City Erosion and
Sediment Control Plan (ESCP)
(4) Drainage Report
(5) Post-Construction Stormwater Control
Plan (SWCP)
(6) Geotechnical Report
Specific
Conditions
Prior to the
Submittal of any
Improvement
Plans
Applicable
430
[Version: 10.23.24]
9 (7) Construction Traffic Control Plan.
d. Submit a water and sewer Will Serve application.

44. Prior to APPROVAL OF THE IMPROVEMENT PLANS, the
Applicant shall:
a. Provide written acknowledgment by the
Geotechnical Engineer of Record that the Plans
incorporate all design and construction criteria
specified in the Geotechnical Report.
b. Provide documentation demonstrating that the
existing PG&E pole line easements (1463 OR
766) has been quitclaimed or otherwise vacated.
c. Provide documentation demonstrating that the
existing roadway easement in favor of Richard J.

Falls (Book L, Deeds page 170) has been
quitclaimed or otherwise vacated.
d. Furnish proof that all permits that may be
required by the California Department of Fish &
Game, State and Regional Water Quality Control
Board, US Army Corps of Engineers and any
other regulatory agencies with jurisdiction over
the proposed construction have been obtained.
e. Complete and submit the City’s Erosion and
Sediment Control Plan (ESCP) Template.

Applicant may refer to a SWPPP, as appropriate,
by referencing page number within the SWPPP
that addresses the requirements of the ESCP.
f. Submit a copy of the Notice of Intent and WDID#
for coverage under the State Water Resources
Control Board's General Permit for Stormwater
Discharges Associated with Construction and
Land Disturbance Activities (Order 2022-0057-
DWQ).

Specific
Conditions
Prior to approval
of improvement
plans
Applicable

45. Prior to COMMENCEMENT OF CONSTRUCTION
ACTIVITIES, the Applicant shall:
a. Pay off all current account balances with the City
of American Canyon.

Specific
Conditions
Prior to
Commencement
of Construction
Applicable
431
[Version: 10.23.24]
10 b. Pay an inspection fee in amount to be
determined at the time of commencement for
the City's inspection of the Public Improvements.
c. Conduct a pre-construction meeting with
representatives of the City whereby the
Applicant, the Legally Responsible Party (LRP),
Qualified SWPPP Practitioner (QSP), Qualified
SWPPP Developer (QSD), and/or the Contractor
provides the following:
(1) Six (6) full-size bond copies of the
approved Improvement Plans for the
City's use.
(2) One (1) job-site copy of the latest
edition of the City Standards for the
Contractor use.
(3) One (1) job-site copy of the SWPPP for
use by the LRP, QSP, QSD, and
Contractor.
(4) Electronic copies of Improvement Plans
and SWPPP
46a. Prior to RECORDATION OF EACH FINAL MAP, the
applicant shall:
a. Construct all of the Public and Private
Improvements to the satisfaction of the City.

Alternatively, the Applicant may enter into a
Subdivision Improvement Agreement with
the City agreeing to complete all of the
Public and Private improvements within that
final map phase prior to Occupancy of the
first unit on that final map. Such Agreements
will require the Applicant to provide bonds,
proof of workers compensation insurance,
and general liability insurance in the forms
and amounts as deemed satisfactory to the
City.

Specific
Conditions
Prior to
Recordation of
Final Maps
Applicable
46b. b. Establish a Homeowner’s Association (HOA)
in accordance with State law with recorded
Codes, Covenants, & Restrictions (CC&Rs)
that are satisfactory to the City Engineer
and City Attorney to provide long-term and
ongoing maintenance of all of the Private
Improvements identified above.

Specifically, the HOA will be responsible for
Specific
Conditions
Prior to
Recordation of
Final Maps
Applicable
432
[Version: 10.23.24]
11 the long-term and ongoing maintenance of
the trails within the limits of the subdivision
and the pavement of the emergency vehicle
access/trail east of Basin D. The City will
have enforcement authority over the HOA’s
maintenance obligations and the obligation
to review and approved proposed changes
amendments to the CC&R’s. The CC&R’s
shall require the HOA to create and
maintain a separate maintenance reserve
fund in the amount of a percentage of the
cost of constructing the HOA maintained
improvements listed above. Said
percentage will be determined by the City
prior to recordation of the CC&Rs.
46c. c. Generally, in substantial conformity with
that which is shown on the Watson Ranch –
Lot 7 Vesting Tentative Map, convey all
easements and dedications, public and
private, for the construction, use and/or
maintenance of roads or other access,
drainage facilities, parks, utilities, and postconstruction storm water management facilities in within each Final Map on said
Final Map or by separate instruments. All
dedications to the City shall be irrevocable
offers of dedication. Specific public offers of
dedication include:
i. Streets A, B, C and D in fee for public road
and utility purposes.
ii. An easement over Parcel C for public
utility purposes.
iii. An easement over Alley E, Alley F and
Drives G through M for public utility
purposes.
iv. Dedication of public access easements
over Parcels A and O.
v. Provide dedication of approximately 792
SF of public right-of-way by separate
instrument from the owner(s) of the
Adjusted Parcel B (APN 059-430-046)
vi. Furnish proof of payment of the mapping
service fee as required by Napa County
Board of Supervisors Resolution No. 92-
119.

Specific
Conditions
Prior to
Recordation of
Final Maps
Applicable
433
[Version: 10.23.24]
12 47. Parcels A, B, C and N shall be reserved by the owner and granted in fee to the Homeowners Association as
common areas.

Specific
Conditions
Prior to
Recordation of
Final Maps
Applicable

48. Alley E, Alley F and Drives G through M shall be reserved by the owner and granted in fee to the Homeowners
Association as private streets.

Specific
Conditions
Prior to
Recordation of
Final Maps
Applicable

49. Prior to APPROVAL OF A BUILDING PERMIT, the
Applicant shall:
a. Pay all account balances and current City
and American Canyon Fire District fees
(Mitigation & Capacity) based on the rates in
effect at the time of permit issuance. These
fees include, but may not be limited to the
following: Traffic Mitigation, General Plan
Update, Civic Facilities, Fire District, Water
Capacity, Zero Water Footprint Mitigation
and Wastewater Capacity.

Prior to Approval
of Building Permit

50. Prior to acceptance of any public improvements of
release of Project Bonds, the Applicant shall:
a. Submit an inspector’s punch list indicating
that all of the public improvements are
constructed in substantial conformance with
the approved improvement plans and to the
satisfaction of the City Engineer.
b. Restore all adjacent off-site road surfaces to
pre-project conditions.
c. Submit a certification by the Geotechnical
Engineer of Record that all the work has
been completed in substantial conformance
with the recommendations in Soils
Investigation/Geotechnical Report.
d. Provide digital copy of the Improvement
Plans that include all as-built or field
changes, in digital (.pdf) and AutoCAD Civil
3D (.dwg) format (void of any AutoCAD block
formats preventing full editing capabilities of
the drawings), compatible with the City's
current AutoCAD Civil 3D version, and tied to
the NAD83 (California Zone 2, feet)
coordinate system.

Specific
Conditions
Prior to release
of Bonds
Applicable
434
[Version: 10.23.24]
13 e. Provide proof that all relevant Conditions of
Approval have been satisfied.
f. Provide a letter stating that all of the
Developer’s Conditions of Approval have
been met.
g. Provide a letter from the Civil Engineer of
Record and Landscape Architect of Record
certifying that all the site improvements
were constructed and inspected in
substantial conformance with the approved
improvement plans and City Standards.
h. Provide proof from the Architect of Record,
Structural Engineer of Record, and/or other
design professionals who signed the building
permit plan submittal indicating that all
building improvements have been
constructed in substantial conformance with
approved plans.
i. Execute a post-construction Stormwater
Operations and Maintenance Agreement
with the City.

Fire District Conditions

GENERAL - FIRE
Specific
Condition
Developer Obligation Mechanism Implementation Status

51. In accordance with the standard mitigation measures and conditions of approval set forth by the City of American Canyon, the developer shall pay the Fire Impact Fees (see current Standard Fees and Charges adopted by resolution), prior to the issuance of any building permits.

Specific
Condition
Issuance of
Building Permit
Applicable

52. New buildings and additions to existing buildings shall conform to requirements set forth in the currently adopted editions of the California Residential Code, California Fire Code, City of American Canyon amendments, and Nationally Recognized
Standards.

Specific
Condition
Relevant Permit Applicable
435
[Version: 10.23.24]
14 53. Buildings in excess of two stories shall pay Aerial Apparatus mitigation fees prior to the issuance of any building permits. (see current Standard Fees and Charges adopted by
resolution).

Specific
Condition
Relevant Permit Applicable

54. All new residential homes are required to be provided with fire sprinklers. Fire sprinkler plans, calculations, and material cut sheets shall be submitted for review and approval for each of the model homes. After that, each lot shall require an
individual fire sprinkler permit. Fees shall be charged in accordance with the adopted fee schedule and paid prior to release of individual permits.

Specific
Condition
Relevant Permit Applicable

55. All Fire related underground piping and fire appurtenances shall be shown on the Civil plan submittal. In addition to the Civil plan submittal, at least (1) plan set under separate cover shall be submitted to American Canyon Building Division for routing to the American Canyon Fire Protection District detailing all underground piping and related fire
appurtenances including but not limited to underground
piping, underground sweep detail, underground trench details showing depth of burial, type of backfill, manufacturer’s specifications of piping, valves joints, fittings and calculated size and locations of thrust blocks, hydrants locations (designate public or private), gate shut-off valves, PIV’s, FDC’s, fire pumps, fire pump and/or riser rooms.

Specific
Condition
Relevant Permit Applicable

56. Underground utility contractor, architect and fire sprinkler contractor shall coordinate the location of risers and control valves prior to the issuance of a building permit.

Specific
Condition
Relevant Permit Applicable

57. Fire Department plan review shall be based on the information submitted at the time of permit application. Any changes to the approved/permitted scope of work including additions, alterations, demolition, repair or a change in occupancy/use may impact the project requirements, including but not
limited to the installation of additional fire protection systems or components shall be submitted as revision. Revisions shall be approved prior to inspections being completed.

Specific
Condition
Relevant Permit Applicable

58. An approved water supply capable of supplying the required fire flow for fire protection systems shall be provided to all premises upon which facilities or buildings are hereby
constructed or moved into or within the City. Required fire flow and hydrant distribution shall be in accordance with Appendix B and C of the California Fire Code. Applicant shall demonstrate on plan submittal; square footage of each
building on plan and provide the required fire flow
information. Applicant shall demonstrate that the number and spacing of onsite fire hydrants meets with requirements of the California Fire Code.

Specific
Condition
Relevant Permit Applicable
436
[Version: 10.23.24]
15 59. Fire Protection systems shall be installed in accordance with provisions set forth in the California Fire Code as amended by the American Canyon Fire Protection District and the
applicable National Fire Protection Association Standard.

Specific
Condition
Relevant Permit Applicable

60. Fire Apparatus Access Roads shall be designed in accordance with provisions set forth in the California Fire Code Chapter 5 and Appendix D as amended by the American Canyon Fire
Protection District and the applicable Public Works Standard.

Specific
Condition
Relevant Permit Applicable

61. Fire apparatus access roads shall have an unobstructed minimum width of 20 feet (curb to curb) and a minimum
unobstructed vertical clearance of 13’ 6”. They shall have an all-weather paved surface capable of supporting a GVW of 71,000 pounds.

Specific
Condition
Relevant Permit Applicable

62. Access roads shall be completed with all-weather surfaces prior to the stockpiling of combustible materials or beginning combustible construction. Fire apparatus access shall be provided to within 150 feet of the most remote portions of all building from an approved exterior route. If this cannot be achieved fire apparatus turn arounds will be needed.

Specific
Condition
Relevant Permit Applicable

63. Fire apparatus access roads shall not be obstructed in any manner, including the parking of vehicles. Vertical traffic calming in the form of speed pumps, humps or dips are
prohibited along fire access roads without prior approval of the fire Code Official. The minimum width and clearances established in Section 503.2.1 shall be maintained at all times.

Specific
Condition
Relevant Permit Applicable

64. When required by the Fire Chief, fire apparatus access roads shall be designated as Fire Lanes and appropriate signs and/or markings installed in accordance with the California Vehicle Code and approved City standards.

Specific
Condition
Relevant Permit Applicable

65. Parking shall not be permitted on roads / alleys less than 26- feet in width. Parking on one side of the street is permitted when the road is between 27-feet and 35-feet.

Specific
Condition
Relevant Permit Applicable

66. Where applicable improvement plan submittals for permit shall include locations of fire lane red curbing and fire lane signage. Please refer to and include City Public Works Standard FP-2A & 2B with plan submittals for permitting.

Specific
Condition
Relevant Permit Applicable

67. The City of American Canyon requires that a fire hydrant be in service within 250 feet of the furthest point of construction prior to the stockpiling of combustible materials for the beginning of construction.

Specific
Condition
Relevant Permit Applicable
437
16 APPLICABLE MITIGATION MEASURES FROM THE WATSON RANCH PROGRAM EIR Mitigation Measures with strikethrough text do not apply.

Mitigation Measures
Method of
Verification
Timing of
Verification
Responsible
for
Verification
Verification
of
Completion
Date Initial
Section 4.1: Aesthetics
Mitigation Measure 4.1-1: Water Tank Visibility. As required by the 2004 Proposed Water Tanks (2) Mitigated Negative Declaration, construction plans for the Zone 3 water tank shall incorporate the following mitigation:

1. A landscaped earthen berm shall be constructed around the tank site to eliminate direct views of the water tank as much as feasible from the areas surrounding the tank site. The earthen berm shall be landscaped with trees and other vegetation suitable to the City, such as evergreen trees, to screen the water tank from surrounding areas, reduce soil erosion, and blend the berm with the surrounding vegetation.

2. The water tank shall be painted a neutral color deemed appropriate by the City so the tank blends with the surrounding hillside vegetation as much as possible.

Approval of
water tank plans
Prior to issuance
of grading permit
City of
American
Canyon
Mitigation Measure 4.1-3: Lighting Plan. Prior to any site disturbance activities, the Project Applicant shall submit a construction lighting plan to the City for approval. The construction lighting plan shall ensure that the minimum amount of lighting is used to meet safety requirements and to ensure that limited spillover occurs to nearby sensitive uses. All lighting shall be directed downward and away from surrounding land uses.

Approval of
construction
lighting plan
Prior to any site
disturbance
activities
City of
American
Canyon
438
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17 Section 4.2: Air Quality and Greenhouse Gas Emissions Mitigation Measure 4.2-1: Construction Fugitive Dust Emissions. The following Bay Area Air Quality Management District (BAAQMD) Best Management Practices (BMPs) and additional mitigation measures for fugitive dust control shall be required for all construction activities within the project area. These measures would reduce fugitive dust emissions primarily during soil movement and grading, but also during vehicle and equipment movement on unpaved project sites.

Basic BMPs that Apply to All Construction Sites

1. All exposed surfaces (e.g., parking areas, staging areas, soil piles, graded areas, and unpaved access roads) shall be watered two times per day.

2. All haul trucks transporting soil, sand, or other loose material off site shall be covered.

3. All visible mud or dirt track-out onto adjacent public roads shall be removed using wet power vacuum street sweepers at least once per day. The use of dry power sweeping is prohibited.

4. All vehicle speeds on unpaved roads shall be limited to 15 miles per hour (mph).

5. All streets, driveways, and sidewalks to be paved shall be completed as soon as possible. Building pads shall be laid as soon as possible after grading unless seeding or soil binders are used.

6. Idling times shall be minimized either by shutting equipment off when not in use or reducing the maximum idling time to five minutes (as required by the California airborne toxics control measure Title 13, Section 2485 of CCR). Clear signage shall be provided for construction workers at all access points.

7. All construction equipment shall be maintained and properly tuned in accordance with manufacturer’s specifications. All equipment shall be checked by a certified mechanic and determined to be running in proper condition prior to operation.

Notes on
construction
plans; site
inspections to
verify BMPs are
implemented
During
construction
activities
City of
American
Canyon
439
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18 Mitigation Measures
Method of
Verification
Timing of
Verification
Responsible
for
Verification
Verification
of
Completion
Date Initial

8. A publicly visible sign shall be posted with the telephone number and person to contact regarding dust complaints. This person shall respond and take corrective action, if necessary, within 48 hours. BAAQMD’s phone number shall also be visible to ensure compliance with applicable regulations.

Additional BMPs that Apply to All Construction Sites

1. All exposed surfaces shall be watered at a frequency adequate to maintain minimum soil moisture of 12 percent. Moisture content may be verified by lab samples or moisture probe.

2. All excavation, grading, and/or demolition activities shall be suspended when average wind speeds exceed 20 mph.

3. Wind breaks (e.g., trees, fences) shall be installed on the windward side(s) of actively disturbed areas of construction. Wind breaks shall have at maximum 50 percent air porosity.

4. For areas that are to remain open space (e.g., not a road, building, or otherwise structurally covered area), vegetative ground cover (e.g., fast-germinating native grass seed) shall be planted in disturbed areas as soon as possible and watered appropriately until vegetation is established.

5. All trucks and equipment, including their tires, shall be washed off prior to leaving the site.

6. Site accesses to a distance of 100 feet from the paved road shall be treated with a 6- to 12-inch compacted layer of wood chips, mulch, or gravel.

7. Sandbags or other erosion control measures shall be installed to prevent silt runoff to public roadways from sites with a slope greater than 1 percent.

Before starting on-site construction activities, the contractor or Project Applicant shall submit a site-specific dust control plan (Plan) to the American Canyon Planning Division for review and approval. The Project Applicant shall ensure that all applicable requirements of the Plan have been incorporated into the contract specifications. The Plan shall state, in reasonable detail, how the Contractor shall meet the requirements above. The Plan shall include a certification statement that the Contractor agrees to comply fully with the Plan. 440
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19 Mitigation Measure 4.2-2: Operational Emissions Reductions. The total reduction in ROG and NOX emissions that would be achieved from implementation of Mitigation Measure 4.2-2a, the TDM program, and Mitigation Measure 4.2-2b, the CAP mitigation strategies, would be calculated at the time the final TDM program and CAP strategies are determined. If the ROG and NOX emissions reduction from implementation of Mitigation Measures 4.2-2a and 4.2-2b are determined by a qualified air quality expert to reduce the project’s emissions to below the BAAQMD operational thresholds contained in the 2017 BAAQMD CEQA Air Quality Guidelines, no further mitigation would be required. If the ROG and NOX emissions reduction from implementation of Mitigation Measures 4.2-2a and 4.2-2b do not reduce the project’s emissions to below the BAAQMD operational thresholds identified in the 2017 BAAQMD CEQA Air Quality Guidelines, Mitigation Measure 4.2-2c, purchase of emission offsets, would be pursued.

Mitigation Measures
Method of
Verification
Timing of
Verification
Responsible
for
Verification
Verification
of
Completion
Date Initial
Mitigation Measure 4.2-2a (same as Mitigation Measure 4.12-3a in Section 4.12, Transportation and Traffic): Transportation Demand Management (TDM) Program.

Prior to issuance of the first building permit for the non-residential use areas (i.e., Napa Valley Ruins & Gardens [NVR&G] and hotel), the Project Applicant shall develop a TDM program for the non-residential use areas (i.e., NVR&G and hotel) and shall submit the TDM program to the City Department of Public Works for review and approval. A qualified air quality expert shall prepare a calculation of the ROG and NOX emissions reductions that would result from implementation of the TDM program. The Project Applicant shall be responsible for funding and overseeing the delivery of trip reduction/TDM proposed programs and strategies, which may include, but are not limited to, the following:

1. Establishment of carpool, buspool, or vanpool programs;

2. Vanpool purchase incentives;

3. Cash allowances, passes or other public transit subsidies and purchase incentives;

4. Preferential parking locations for ridesharing vehicles; Approval of TDM
Program
Prior to issuance
of first building
permit
for the
nonresidential
use area (i.e.,
NVR&G and
hotel)
City of
American
Canyon
441
[Version: 10.23.24]
20 5. Computerized commuter rideshare matching services;

6. Guaranteed ride-home program for ridesharing;

7. Bicycle programs including bike purchase incentives, storage, and maintenance programs;

8. On-site car share and bike share service;

9. Preparation of a Parking Management Plan to address parking accommodations for large events; 10. Designation of an on-site transportation coordinator for the project;

11. Transit and trip planning resources such as commute information kiosk;

12. Employer-provided showers, changing rooms, and clothing lockers for office employees that commute via active transportation;

13. Bicycle route mapping resources;

14. Participation in future citywide Transportation Management Association (TMA); and

15. Submit annual reports to the City regarding TDM activities.

Mitigation Measure 4.2-2b: Operational Emissions Reduction Strategies. To reduce ROG and NOX emissions within the project site, the project shall include feasible operational emissions reduction strategies as part of its final design. The specific strategies may include, but are not limited to, the measures described below; however, other measures may be implemented:
○ Prior to issuance of the first building permit for each phase of the project, the Project Applicant shall develop operational emissions reduction strategies, which could include the mitigation strategies identified in Table 4.2-8, Summary of Operational CAP Mitigation Strategies, to provide options for reducing ROG and NOX emissions from operation of the project. The operational emissions reduction strategies shall be submitted to and approved by the City, prepared by a qualified air quality technical expert, and evaluate the emissions reduction strategies in relation to the project’s emissions.

Recommendations
from Air Quality
Technical Report
that identify
updated project
emissions
calculations and
feasible
operational
emissions
reduction
strategies
Prior to issuance
of the first
building permit
for the project
City of
American
Canyon
442
[Version: 10.23.24]
21 Mitigation Measures
Method of
Verification
Timing of
Verification
Responsible
for
Verification
Verification
of
Completion
Date Initial
Table 4.2-8 Summary of Operational CAP Mitigation Strategies Description ROG NOX
Exceed 2016 Title 24 (15%) 0.19 1.67
Solar Water Heating 0.15 1.31
Residential Electric Vehicles 0.09 0.49
Non-Residential EV Charging (5% of spaces) 0.17 0.93
Preferential parking locations for ridesharing vehicles; Computerized commuter rideshare matching services; and/or Guaranteed ride-home program for ridesharing

0.44 3.01
On-site car share and bike share service 0.08 0.46
Unbundled parking; shared parking; eliminate on-street parking 0.13 0.93 Bicycle and pedestrian network 0.13 0.91
Reduce distance to major transit stop 0.52 3.57
Expand transit coverage 0.06 0.40
Other Traffic Reductions (every additional 1%) 0.20 1.15 Smart Traffic Signals (or Traffic Signal Synchronization) 0.60 3.44 Solar swimming pool heating 0.03 0.25
Electrify landscaping equipment 0.15 0.06
SOURCE: Refer to Tables Ops-7 through Ops-13, in EIR Appendix B2.

NOTE:
a. Measures are not all additive. See detailed assumptions and magnitudes assumed for each measure in source above.

Approximate
CAPReduction
(lb/day)
a
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Method of
Verification
Timing of
Verification
Responsible
for
Verification
Verification
of
Completion
Date Initial
Mitigation Measure 4.2-2c: Purchase Emission Offsets. Prior to the issuance of the final Certificate of Occupancy for Phase 1 or prior to the issuance of the first residential building permit in Phase 2, whichever occurs first, the Project Applicant would, partially or wholly, purchase offset credits if determined to be feasible based on information available at the time implementation would be required. To reduce ROG and NOX emissions depending on the reductions achieved through Mitigation Measure 4.2-2a and Mitigation Measure 4.2-2b, and if this mitigation is implemented. ○ The Project Applicant or its designee shall pay a mitigation offset fee to the BAAQMD Bay Area Clean Air Foundation (Foundation)1 in an amount to be determined at the time of the impact. The fee would offset emissions that exceed the threshold of significance after implementation of Project- Level Reduction Strategies and the TDM Program described above to the extent feasible.
○ The Project Applicant would implement Mitigation Measure 4.2-2c through payment of a mitigation offset fee to the BAAQMD’s Foundation in an amount not to exceed $30,000 per weighted ton per year of ozone precursors per year requiring emissions offsets plus a 5 percent administrative fee to fund one or more emissions reduction projects within the San Francisco Bay Area Air Basin (SFBAAB). The fee shall be determined by the City of American Canyon Planning Division in consultation with the Project Applicant and be based on the type of projects available at the time of the payment. The offset fee is calculated to be “roughly proportional” to the operational air quality impacts. Documentation of payment shall be provided to the City of American Canyon or its designated representative.

The current process for payment of offset fees is detailed above. As required by this mitigation measure, payment of offset fees would proceed according to BAAQMD procedures when initiated. The Project Applicant or its designee would enter into a memorandum of understanding (MOU) with the BAAQMD’s Foundation. The MOU would include details regarding the funds to be paid, the administrative fee, and the timing of the emissions reduction project. Acceptance of this fee by the BAAQMD shall serve as an Bay Area Air
Quality
Management
District
Memorandum of
Understanding
Prior to the
issuance of the
final Certificate
of
Occupancy for
Phase 1 or prior
to the issuance
of the first
residential
building permit
in Phase 2,
whichever
occurs
first
City of
American
Canyon
1 More information on the Bay Area Clean Air Foundation can be found at Bay Area Air Quality Management District (BAAQMD), Bay Area Clean Air Foundation, 2015, available at http://www.baaqmd.gov/about-the-air-district/bay-area-clean-air-foundation. 444
[Version: 10.23.24]
23 acknowledgment and commitment by the BAAQMD to (1) implement an emissions reduction project(s) within a timeframe to be determined based on the type of project(s) selected and after receipt of the mitigation fee to achieve the emission reduction objectives specified above, and (2) provide documentation to City of American Canyon or its designated representative and to the Project Applicant describing the amount of and the project(s) funded by the mitigation fee, including the amount of emissions of ROG and NOX reduced (tons per year) within SFBAAB from the emissions reduction project(s). If there is any remaining unspent portion of the mitigation offset fee following implementation of the emission reduction project(s), the Project Applicant shall be entitled to a refund in that amount from the BAAQMD. To qualify under this mitigation measure, the specific emissions retrofit project must result in emission reductions within SFBAAB that would not otherwise be achieved through compliance with existing regulatory requirements.

Mitigation Measures
Method of
Verification
Timing of
Verification
Responsible
for
Verification
Verification
of
Completion
Date Initial
Mitigation Measure 4.2-3a: Architectural Coatings. The applicant shall use low-VOC architectural coatings during construction for all buildings, which shall have VOC content that is more stringent than local requirements prescribed in Bay Area Air Quality Management District (BAAQMD) Regulation 8 Organic Compounds, Rule 3 Architectural Coatings as revised on July 1, 2009. Coatings that meet the “super-compliant" VOC standard of less than 10 grams of VOC per liter of paint would qualify.

Notes on
construction
plans indicating
the use of lowVOC
architectural
coatings during
construction of
all buildings
Prior to issuance
of building
permits
City of
American
Canyon
445
[Version: 10.23.24]
24 Mitigation Measure 4.2-3b: Tier 4 Construction Equipment. To reduce construction emissions to below the 2017 BAAQMD CEQA Air Quality Guidelines, prior to start of construction activities after the occupancy of Phase 1, the Project Applicant shall submit to the City either:
● Documentation showing that all off-road construction equipment used prior to the start of construction activities after the occupancy of Phase 1 with greater than 25 hp and operating for more than 20 hours total over the entire duration of construction activities shall have engines that meet or exceed either U.S. Environmental Protection Agency (USEPA) or California Air Resources Board (CARB) Tier 4 off-road emission standards. or,
● Provide supplemental analysis prepared by a qualified air quality specialist to show that emissions of ROG and NOX would not exceed the thresholds from the 2017 BAAQMD CEQA Air Quality Guidelines using other methods.

Documentation
of compliance
with the 2017
BAAQMD
CEQA Air Quality
Guidelines based
on the type of
construction
equipment used
or supplemental
analysis
prepared by a
qualified air
quality specialist
Prior to the start
of construction
activities after
the occupancy of
Phase 1
City of
American
Canyon
Mitigation Measure 4.2-5: Construction Emissions Minimization. To reduce construction emissions to below the thresholds identified in the 2017 BAAQMD CEQA Air Quality Guidelines, prior to the start of construction of each of the following—Phase 1 area south of the NVR&G and the off-site Rio Del Mar roadway improvements and Phase 4—the Project Applicant shall submit to the City either:
● Documentation showing that all off-road construction equipment used in the southwestern portion of Phase 1 of construction (located directly south of Napa Valley Ruins & Gardens), the entirety of Phase 4 of construction, and the off-site Rio Del Mar roadway improvements with greater than 25 hp and operating for more than 20 hours total over the entire duration of construction activities shall have engines that meet or exceed either U.S. Environmental Protection Agency (USEPA) or California Air Resources Board (CARB) Tier 2 off-road emission standards and have been retrofitted with an CARB Level 3 Verified Diesel Emissions Control Strategy. Equipment with engines meeting Tier 4 Interim or Tier 4 Final off-road emission standards automatically meet this requirement.
or,
● Provide supplemental analysis prepared by a qualified air quality specialist to show health risks at on- and off-site sensitive receptors would not exceed the thresholds from the 2017 BAAQMD CEQA Air Quality Guidelines using other methods.

Documentation
of compliance
with the 2017
BAAQMD
CEQA Air Quality
Guidelines based
on the type of
construction
equipment used
or supplemental
analysis
prepared by a
qualified air
quality specialist
Prior to the start
of construction
of the Phase 1
area south of
the
NVR&G and the
off-site Rio Del
Mar
roadway
improvements
and
Phase 4
City of
American
Canyon
446
[Version: 10.23.24]
25 Mitigation Measures
Method of
Verification
Timing of
Verification
Responsible
for
Verification
Verification
of
Completion
Date Initial
Mitigation Measure 4.2-7: GHG Emissions Reductions. The total reduction in GHG emissions that would be achieved from implementation of Mitigation Measure 4.2-2a, the TDM program, and Mitigation Measure 4.2-7a, the GHG reduction strategies, would be calculated at the time the final TDM program and GHG reduction strategies are determined. If the GHG emissions reduction from implementation of Mitigation Measures 4.2-2a and 4.2-7a are determined by a qualified air quality expert to reduce the project’s emissions to below the operational thresholds of 2.67 MT CO2e per service population per year, no further mitigation would be required. If the GHG emissions reduction from implementation of Mitigation Measures

4.2-2a and 4.2-7a do not reduce the project’s emissions to below this threshold, Mitigation Measure 4.2-7b, purchase of GHG emission offsets, would be pursued. 447
[Version: 10.23.24]
26 Mitigation Measure 4.2-7a: GHG Reduction Strategies. To reduce greenhouse gas (GHG) emissions within the project site and to maximize the project’s ability to achieve the GHG operational threshold of 2.67 MT CO2e per service population per year, the project shall include feasible operational GHG emissions reduction strategies as part of its final design.

The specific strategies of the program may include, but are not limited to, the measures described below; however, other measures may be implemented:
○ All development shall, at a minimum, meet the Title 24, Part 6 (2016), standards, or the most current Title 24, Part 6, standard, whichever is more conservative. All residences shall meet the anticipated 2019 Title 24 Standards to achieve Zero Net Electricity. The GHG emissions benefit from residential Zero Net Electricity was included in the unmitigated inventory.
○ Prior to issuance of the first building permit for each phase of the project, the Project Applicant shall identify operational GHG emissions reduction strategies that could include the strategies identified in Table 4.2-14, Summary of Operational GHG Mitigation Strategies, which provides options for reducing GHG emissions from project operation. The operational GHG emissions reduction strategies shall be submitted to and approved by the City, developed by a qualified air quality technical expert, and evaluate the emissions reduction strategies in relation to the project’s emissions.

Table 4.2-14 Summary of Operational GHG Mitigation Strategies Exceed 2016 Title 24 (15%) 354
Exceed 2016 Title 24 (15%, electricity only, non-residential only) 27 High-efficiency lighting 126
Purchase 100% renewable electricity (non-residential benefit only, as 709 residences assumed to achieve zero net electricity)
Zero net electricity—non-residential 709
Solar water heating 317
Solar panels 484
Calculations
from a GHG
technical expert
based on specific
strategies
incorporated
into the project
Prior to issuance
of
building permits
for each phase
City of
American
Canyon
Description
Approximate Reduction
MT CO2e/yeara
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27 Mitigation Measures
Method of
Verification
Timing of
Verification
Responsible
for
Verification
Verification
of
Completion
Date Initial
Residential electric vehicles 352
Non-residential EV charging (5% of spaces; 54 total) 667 Preferential parking locations for ridesharing vehicles; computerized 807 commuter rideshare matching services; and/or guaranteed ride-home program for ridesharing
On-site car share and bike share service 54
Unbundled parking; shared parking; eliminate on-street parking 249 Bicycle and pedestrian network 244
Reduce distance to transit station 957
Expand transit coverage 107
Other traffic reductions (for every 1%) 137
Smart traffic signals (or traffic signal synchronization) 410 Institute recycling and composting services (additional 50% diversion) 1,334 Solar swimming pool heating 344
Planting trees 354
Electrify landscaping equipment 1.6
SOURCE: Refer to Tables Ops-14 through Ops-21 in EIR Appendix B2.

NOTE:
a. Measures are not all additive. See detailed assumptions and magnitudes assumed for each measure in source above.
449
[Version: 10.23.24]
28 Mitigation Measures
Method of
Verification
Timing of
Verification
Responsible
for
Verification
Verification
of
Completion
Dat
e
Initia
l
Mitigation Measure 4.2-7b: Purchase GHG Emission Offsets. In order to determine whether or to what extent the purchase of GHG emissions offsets is necessary to reduce greenhouse gas (GHG) emissions for each year that the GHG emissions exceed the threshold of 2.67 MT CO2e per service population per year for the lifetime of the project (assumed to be 30 years), the operational GHG emissions reduction program described above in Mitigation Measure 4.2-7a will include a plan for the purchase of GHG offsets. The amount of offsets needed will take into account the GHG emissions reductions associated with the TDM program and the operational GHG emissions reduction program.

Additionally, the feasibility of offsets shall be evaluated at the time implementation would be required. If feasible, the plan shall include:
o The plan for the purchase of GHG offsets shall include timing requirements, which take into account calculations showing actual emissions of the project, which could take into account phase-in of occupancy, reductions in vehicle emissions, as well as other factors that affect emissions.
o GHG emission offsets could include any of the following sources: (1) the California Air Resources Board (CARB) quarterly allowance auctions held as part of its Cap-and-Trade Program; (2) the Greenhouse Gas Reduction Exchange (GHG Rx); or (3) Approved Registries recognized by the State of California, which currently include the Climate Action Reserve (CAR), American Carbon Registry (ACR), and Verra (formerly Verified Carbon Standard).
o The amount of offsets purchased shall depend on the cost per annual metric ton of CO2e reductions, the overall cost feasibility of this measure, which shall be determined based on information available at the time implementation would be required, and the on-site GHG reduction measures.
o To demonstrate compliance, the Project Applicant or its designee would provide the following documentary evidence to City’s Planning Division: An attestation from an Approved Registry or other source described above that the Project Applicant or its designee has retired a given quantity of carbon offsets. Offsets from the approved Calculations from a
GHG technical
expert based on
specific strategies
incorporated into
the project and, if
necessary and
feasible, attestation
from an Approved
Registry or other
source described
above regarding the
purchase of
required carbon
offsets
Evaluated prior
to issuance of
building permits
for each phase
City of
American
Canyon
450
[Version: 10.23.24]
29 sources above satisfy defined standards and incorporate principles of GHG emissions reduction accounting. These principles ensure the offsets use relevant methodologies and assumptions, represent additional reductions that would not otherwise be achieved by law, do not double count reductions, and are enforceable.

Mitigation Measures
Method of
Verification
Timing of
Verification
Responsible
for
Verification
Verification
of
Completion
Date Initial
Section 4.3: Biological Resources
Mitigation Measure 4.3-1a: Protocol-Level Surveys. Prior to issuance of a grading permit, written proof shall be submitted that a qualified botanist conducted preconstruction CDFW protocol-level surveys during the appropriate blooming periods for the 19 special-status plants (listed above in Table 4.3-1, Special Status Species Potentially Occurring in the Study area) within the WRSP site, off-site water improvement area (OSWA) and other off-site areas.

The qualified botanist shall conduct surveys to following performance standards. Typically, two surveys are required to capture the blooming periods of all the species. These surveys would be conducted in early spring between March and April and in summer between June and August to capture the flowering times of all species. Individual flowering times for these 19 species are included in the species accounts above. These surveys should be performed in compliance with CDFW (2018b) and USFWS (2002) published survey guidelines. A technical report prepared by the botanist describing the results of the survey shall be provided to the City for review and approval prior to issuance of a grading permit.

If no special-status plants are found during focused surveys, then these plants would be assumed to be absent from the WRSP site, OSWA, and other off-site areas. The botanist would document the findings in a technical memorandum to the lead agency, as appropriate, and no further mitigation would be required. If special-status plants are found during focused surveys, Mitigation Measure 4.3-1b shall be implemented.

Submittal of
technical
memorandum
Prior to
issuance of a
grading permit
City of
American
Canyon
Mitigation Measure 4.3-1b: Measures to Implement if Special-Status Plants Are Found. If special-status plants are found during focused surveys, prior to issuance of a grading permit, written proof shall be submitted that the following measures were implemented:

Issuance of a
Biology
Report and
Prior to
issuance of
grading permit
City of
American
Canyon,
451
[Version: 10.23.24]
30 a. Information regarding the special-status plant populations shall be reported to the California Natural Diversity Database (CNDDB).
b. The Project Applicant in consultation with City, CDFW, and/or the USFWS (as appropriate) shall assess if any individual or population can be avoided during project implementation. If any viable populations can be avoided, the avoided areas shall be clearly marked in the field by a qualified botanist and avoided during construction activities.

Construction activities shall be set back a minimum of 100 feet or further in accordance with the recommendation of the qualified botanist. A qualified botanist shall monitor the avoided areas throughout the time that construction activities occur adjacent to the avoided areas where special-status plants occur and document the successful avoidance in a report to the City, and CDFW and/or the USFWS as appropriate. Before ground clearing or ground disturbance, all on-site construction personnel shall be instructed as to the species’ presence and the importance of avoiding impacts to this species and its habitat. c. If special-status plant populations are present and cannot be avoided or are found to have been impacted by project construction and operation activities, resulting in their mortality despite implementing the avoidance measures under the preceding Item b, consultations with the CDFW and/or the USFWS shall be required. A mitigation plan to compensate for the loss of special-status plant species shall be prepared and submitted for review and approval of the CDFW or the USFWS, as applicable. This plan shall be developed by a qualified botanist in consultation with the appropriate agencies, prior to the start of local construction activities in the area where the special-status plant populations are found. The mitigation plan shall conform to the following specific performance standards. The plan shall detail appropriate replacement ratios, which shall be a minimum of 1:1 based on area and number of plants and may be increased based on the recommendation of the botanist or the relevant resource agency to achieve no net
Mitigation
Plan, if
necessary
CDFW,
and/or
USFWS, as
necessary
452
[Version: 10.23.24]
31 Mitigation Measures
Method of
Verification
Timing of
Verification
Responsible
for
Verification
Verification
of
Completion
Date Initial
loss of habitat. The plan shall describe the location of the mitigation site, methods for implementation (e.g., construction techniques, timing and sequencing, watering, soil properties, and other necessary specifications), success criteria (e.g., minimum 75 percent plant survival after 5 years, 75 percent vegetative cover by desirable species or comparable to existing conditions, and a viable, self-sustaining plant community), monitoring and reporting protocols, and contingency measures that shall be implemented if the initial mitigation fails. The mitigation plan may include the collection of seeds, propagules, and top soils under the supervision of a qualified botanist from the WRSP site for installation at the mitigation site. The mitigation site may be located on the WRSP site or in close proximity to the WRSP site. If on-site options are not available, off-site areas may be considered if the qualified biologist in consultation and the agencies agree that potentially impacted plants can be planted and/or propagated successfully. The mitigation plan shall be submitted to the City for approval prior to the issuance of permits that would affect the special-status plant population(s). d. If mitigation is required for loss of special-status plant populations, the Project Applicant shall establish, maintain, and monitor the mitigation area identified in the plan for 5 years following the completion of construction and restoration activities. Annual monitoring reports shall be submitted to the City and, if required, the resource agencies at the completion of restoration and for 5 years following restoration implementation.

Monitoring reports shall include photo-documentation, planting specifications, a site layout map, descriptions of materials used, and justification for any deviations from the mitigation plan.

Mitigation Measure 4.3-1c: Biological Resources Awareness Training Program. A USFWSapproved biologist shall conduct a biological resources awareness training session for all construction personnel prior to any ground-disturbing activities such as grading or vegetation removal. The performance standards for the training shall include a description of specialstatus species and their habitats, their status and regulatory protection, general protection measures to be implemented to protect special-status species and minimize take, and a delineation of limits of the work area as established by an approved biologist. General protection from project permits shall be included, to include construction speed limits, trash Completion of a
biological
resources
awareness
training session
Prior to any
ground
disturbing
activities
City of
American
Canyon
453
[Version: 10.23.24]
32 containment and removal, restriction of pets and firearms, and fueling setbacks from sensitive habitats.

Mitigation Measure 4.3-1d: Preconstruction Surveys for California Red-Legged Frogs.

Preconstruction surveys for California red-legged frogs shall be conducted prior to grading or earth-moving activities within the WRSP site and within the OSWA to ensure project activities do not result in direct take of dispersing or entrapped California red-legged frog individuals.

The performance standards for the preconstruction survey are as follows. USFWS-approved biologist shall conduct preconstruction surveys at least 24 hours prior to any grading or earth-moving activities within the WRSP site and within the OSWA. Any California red-legged frogs that are found during these surveys shall be salvaged and relocated by a USFWSapproved biologist under an incidental take permit issued by the USFWS to suitable California redlegged frog habitat as determined in coordination with USFWS and CDFW. The nearby California redlegged frog preserve, also known as the NVUSD Open Space, located to the southeast of the study area, can serve as suitable relocation habitat. All observed and relocated California red-legged frogs shall be reported to USFWS and CDFW within 5 days, and records of any special-status species or natural communities detected should be entered into the California Natural Diversity Database (CNDDB).

Submittal of
documentation
to verify surveys
were
completed and
frogs relocated, if
found
Prior to any
ground
disturbing
activities
City of
American
Canyon,
CDFW,
and/or
USFWS, as
necessary
Mitigation Measures
Method of
Verification
Timing of
Verification
Responsible
for
Verification
Verification
of
Completion
Date Initial
Mitigation Measure 4.3-1e: Procedures if California Red-Legged Frogs Are Identified. If individual California red-legged frogs are identified during construction activities within the WRSP or OSWA, all work within 200 feet of the frog shall immediately stop and a biologist approved by the USFWS to relocate California red-legged frogs shall be consulted immediately (see Mitigation Measure 4.3-1g for additional requirements). Work shall not commence within 200 feet of the frog’s location until an approved biologist has cleared the area of California red-legged frogs.

Submittal of
documentation
from a qualified
biologist
regarding
work stoppage
and relocation
efforts, as
necessary
During
construction
activities
City of
American
Canyon
and/or
USFWS, as
necessary
454
[Version: 10.23.24]
33 Mitigation Measure 4.3-1f: California Red-Legged Frog and Western Pond Turtle Exclusion Fencing. Prior to any ground-disturbance activities, suitable exclusion fencing shall be installed along the outside edge of the off-site water storage tank and connecting pipeline and roadway construction footprint to ensure that western pond turtles and migrating California red-legged frogs are precluded from being able to move into designated work areas. A USFWS-approved biologist shall delineate the fence line and be present during initial installation to ensure that California red-legged frogs and western pond turtles are not trapped within the fence. This fence shall remain in good condition throughout the duration of construction activities and be checked by a USFWS-approved biological monitor. Exclusion fencing shall consist of a 3-foot wall of 0.25-inch mesh and be attached by welded galvanized wire (or equivalent USFWS-approved fencing such as ErtekTM fencing). The fence shall be buried along the bottom margin for 4 inches into the ground, or if soils are not stable, shall be landscape stapled with 7-inch staples every 3 inches along the bottom of the fence. The approximate 3 feet of fencing above the ground should be anchored to metal T-posts installed every 8 feet along the length of the fence.

Submittal of
documentation
verifying that
exclusion fencing
was installed and
other mitigation
requirements
were met
Documentation
shall be
submitted prior
to any ground
disturbing
activities
within off-site
water
improvement
area; site
inspections shall
occur during
construction
City of
American
Canyon
and/or
USFWS, as
necessary
455
[Version: 10.23.24]
34 Mitigation Measures
Method of
Verification
Timing of
Verification
Responsible
for
Verification
Verification
of
Completion
Date Initial
Mitigation Measure 4.3-1g: Construction Monitoring for California Red-Legged Frog. A USFWS approved biologist shall monitor all construction activities within designated California red-legged frog critical habitat, which includes the entire off-site water improvement area. The following measures shall be implemented to avoid and minimize impacts to California red-legged frogs:
a. During site grading and construction of the off-site water storage tank and pipeline, a biological monitor shall be on site at all times during ground-disturbing activities; b. A biologist approved by USFWS to relocate frogs shall be available for consultation as needed;
c. If a California red-legged frog individual is identified, all work within 200 feet of the frog shall stop and the on-site biological monitor shall observe the frog until it has been relocated off site by a USFWS approved biologist; relocation habitat shall be determined in coordination with USWFS;
d. In the event that red-legged frogs are identified and must be relocated, the following performance standards shall apply:

1. Capture and relocation of California red-legged frogs may only be authorized pursuant to an incidental take authorization issued by the USFWS. Project applicants shall provide the City with proof of incidental take authorization prior to any relocation of California red-legged frogs.

2. Individuals shall only be relocated into USFWS approved locations where habitat has a full complement of existing and/or expanded habitat features that are required for the species’ life history (i.e., foraging habitat, burrows, aquatic habitat, etc.);

3. Releasing individuals into habitats, where mortality is higher than reproduction, shall be avoided; and

4. Prevalence of disease or competition by non-native species (e.g., chytrid fungus presence in aquatic California red-legged frog habitat) shall be evaluated before animals are relocated.
e. All observed and relocated California red-legged frogs shall be reported to USFWS within 5 days.

Submittal of
documentation
to verify
monitoring
occurred and
other
mitigation
requirements
were met
During
construction
within off-site
water
improvement
area
City of
American
Canyon
and/or
USFWS, as
necessary
Mitigation Measure 4.3-1h: Mitigation for the California Red-Legged Frog. The Project Applicant shall mitigate for all permanent and temporary impacts to California red-legged Compensation
agreement with
Prior to any
ground
City of
American
456
[Version: 10.23.24]
35 frog habitat in compliance with the following minimum performance standards. For the permanent loss of California red-legged frog habitat, the Project Applicant shall provide compensation with an equivalent amount of acreage at a minimum ratio of 1:1 (estimated at 309 acres), through the preservation of suitable mitigation lands approved by the USFWS and the City. The habitat mitigation may be achieved through (1) establishment of a permittee responsible habitat management lands (see discussion on AC-1’s proposed Mitigation Area, Draft EIR pp. 4.3-49 and 4.3-50) or (2) purchase of credits from a USFWS-approved conservation bank such as the Ridgetop Conservation Bank near Benicia. Areas that are temporarily disturbed in the OSWA shall be reestablished to similar topographic conditions and replanted with native vegetation to mitigate temporary impacts to California red-legged frog habitat.

Any permittee-responsible mitigation property shall be protected in perpetuity under a conservation easement (CE), management plan, habitat establishment plans, and funding mechanism approved by the City and USFWS. Funding for management shall include direct costs for initial establishment of the site, interim management, and establishment of a nondepleting endowment for the long-term maintenance, management, and monitoring of the CE.

USFWS, including
compensatory
mitigation and
replanting for
temporary
disturbance
disturbing
activities
on the WRSP or
off-site water
improvement
area sites
Canyon
and/or
USFWS, as
necessary
457
[Version: 10.23.24]
36 Mitigation Measures
Method of
Verification
Timing of
Verification
Responsible
for
Verification
Verification
of
Completion
Date Initial
Mitigation Measure 4.3-1i: Preconstruction Surveys for Western Pond Turtle. a. The Project Applicant shall enlist the services of a qualified biologist to conduct preconstruction surveys 14 days before and 24 hours prior to any ground-disturbing activities within 300 feet of the quarry pond or within 300 feet of drainages within the offsite water improvement area to ensure these activities do not result in direct take of western pond turtles. If western pond turtles are identified within work areas, the California Department of Fish and Wildlife (CDFW) shall be notified regarding the presence of the western pond turtles and all work shall stop until additional exclusion measures have been defined and authorization to proceed is obtained from CDFW. In general, the exclusion fencing described under Mitigation Measure 4.3-1f will provide appropriate exclusion.
b. No person shall handle or otherwise harass any individual western pond turtle encountered during construction, with the exception of handling by the qualified biologist. If western pond turtles or their nests are observed during pre-construction surveys, a qualified biologist shall be on site to monitor construction in suitable western pond turtle habitat. Any western pond turtles found within the construction area shall be allowed to leave of its own volition, or if authorized by CDFW, western pond turtles shall be captured by a qualified biologist and relocated out of harm’s way to the approved relocation sites. A plan shall be developed in consultation with and approved by CDFW to relocate the western pond turtle individuals to the nearest protected suitable pond turtle habitat. If a nest is located within a work area (typically nesting occurs between mid-June and mid-July), a qualified biologist shall delineate a 300-foot no-disturbance buffer between the nest and any areas of potential disturbance. Buffers shall be clearly marked with temporary fencing. Construction shall not be allowed to commence in the exclusion area until hatchlings have emerged from the nest, or the nest is deemed inactive by a qualified biologist. If a nest cannot be avoided, CDFW approval shall be needed to gather eggs, house them at a suitable facility for incubation, and release hatchlings into the pond or nearby creek system (Newell Creek or American Canyon Creek) as determined in coordination with CDFW.
c. In the event that western pond turtles are identified and must be relocated, the following protocols and performance standards shall be addressed in the relocation plan:

Submittal of
documentation
to verify surveys
were completed
and turtles were
relocated, if
found
Prior to any
ground
disturbing
activities near
the quarry pond
or drainages
within the offsite water
improvement
area
City of
American
Canyon
and/or
CDFW, as
necessary
458
[Version: 10.23.24]
37 1. Individuals shall only be relocated into habitat that has a full complement of existing and/or expanded habitat features that are required for the species’ life history (i.e., foraging habitat, aquatic habitat, basking structures, etc.);

2. Releasing individuals into habitats, where mortality is higher than reproduction, would be avoided; and

3. Prevalence of disease or competition by non-native species (e.g., red-eared slider [Trachemys scripta elegans] presence in western pond turtle habitat) shall be evaluated before animals are relocated.
d. Information regarding western pond turtle occurrences shall be reported to the CNDDB.

Mitigation Measure 4.3-1j: Preconstruction Surveys for Breeding Birds, Including Raptors and Tricolored Blackbird. The following performance standards shall be followed:

1. For construction activities that occur between February 1 and August 31, preconstruction breeding bird surveys shall be conducted by a qualified biologist familiar with bird behavior and knowledge of nest types prior to and within 10 days of any initial grounddisturbance activities. Surveys shall be conducted within all suitable nesting habitat within 250 feet for passerines and 0.5 mile for raptors (see additional detailed performance standards for special-status raptors in Mitigation Measures 4.3-1k and 4.3-1l, Submittal of
documentation
to verify that
survey(s) have
been conducted
and other
mitigation
Prior to
construction
activities that
occur between
February 1 and
August 31;
recurring for
time
City of
American
Canyon,
CDFW,
and/or
USFWS, as
necessary
459
[Version: 10.23.24]
38 Mitigation Measures
Method of
Verification
Timing of
Verification
Responsible
for
Verification
Verification
of
Completion
Date Initial

2. 3.

4. 5.
below), to the extent land is accessible. Raptor surveys shall include a ground survey for nesting golden eagles following USFWS guidelines.2 The survey also shall include searching for ground nesting raptors, such as short-eared owl and Northern harrier, following CDFW recommendations.

If nesting raptors are detected, the qualified biologist shall establish buffers around nests that are sufficient to ensure that breeding is not likely to be disrupted or adversely impacted by construction. Buffers around active raptor nests shall be 500 feet for nonlisted raptors, unless the qualified biologist determines that larger or smaller buffers are necessary to avoid impacts to nesting raptors. Factors to be considered for determining buffer size shall include the presence of natural buffers provided by vegetation or topography; nest height; locations of foraging territory; and baseline levels of noise and human activity. Buffers shall be maintained until the qualified biologist has determined that young have fledged and are no longer reliant upon the nest or parental care for survival.

If known nesting trees (used for raptor nesting within the last 5 years) or tricolored blackbird colony nest sites are to be removed during construction activities, removal shall take place outside of the nesting season or until the nest or colony has been determined to be inactive. The Project Applicant in consultation with the CDFW shall develop a plan to replace known nest trees at a ratio of 3:1. If replacement planting is implemented, monitoring shall be conducted annually for 5 years to assess the mitigation’s effectiveness. The performance standard for the mitigation shall be 65 percent survival of all replacement plantings.

Construction activity, including vegetation removal within designated buffer zones, shall occur only outside the typical breeding season for raptors (September 16 to December 31), if raptors are determined to be present.

The following considerations apply to this mitigation measure:
requirements
were met
lapses greater
than 14 days
between project
activities
2 Pagel, J.E., D.M. Whittington, and G.T. Allen. 2010. Interim Golden Eagle inventory and monitoring protocols; and other recommendations. Division of Migratory Bird Management, U.S. Fish and Wildlife Service.
460
[Version: 10.23.24]
39 a) Survey results are valid for 14 days from the survey date. Should ground disturbance commence later than 14 days from the survey date, surveys shall be repeated. If no breeding birds are encountered, then work may proceed as planned. b) After commencement of work, if there is a period of no work activity of 14 days or longer during the bird breeding season, surveys shall be repeated to ensure birds have not established nests during inactivity. If new nests are encountered, buffers shall be established.
c) Exclusion buffers sizes may vary, depending on habitat characteristics, project disturbance levels, and species, and are generally larger for raptors and colonial nesting birds. Exclusion buffers may be adjusted by a qualified biologist in coordination with USFWS and CDFW. Each exclusion buffer shall remain in place until the nest has successfully fledged or is otherwise inactive as determined by a qualified biologist.
d) If birds establish nesting sites during work activities, it is assumed those birds are habituated to project disturbances and exclusion buffers may be adjusted by a qualified biologist. Disturbance activities within a minimum of 50 feet of the nest shall be postponed until a qualified biologist can determine to reduce the exclusion zone or the nest has successfully fledged.

Mitigation Measures
Method of
Verification
Timing of
Verification
Responsible
for
Verification
Verification
of
Completion
Date Initi
al
461
[Version: 10.23.24]
40 Mitigation Measure 4.3-1k: Preconstruction Surveys for Swainson’s Hawk, Golden Eagle, and White-Tailed Kite. The following performance standards shall be followed:

1. If construction activities occur between February 1 and August 31, the Project Applicant shall retain a qualified biologist to conduct surveys for Swainson’s hawk, golden eagle, and white-tailed kite in accordance with the Swainson’s Hawk Technical Advisory Committee 2000 guidelines (SHTAC 2000), or current species specific guidance. Surveys shall cover a minimum of a 0.5-mile radius around the construction area. If nesting Swainson’s hawks, golden eagle, or white-tailed kites are detected, the qualified biologist shall establish a 0.5-mile no-disturbance buffer, although buffer widths may be adjusted, consistent with the performance standards in Mitigation Measure 4.3-1j, Item 5.c. Buffers shall be maintained until the qualified biologist has determined that the young have fledged and are no longer reliant upon the nest or parental care for survival.

2. If known nesting trees are to be removed during construction activities, removal shall take place outside of Swainson’s hawk, golden eagle, and white tailed kite nesting season and the Project Applicant shall develop a plan to replace known nest trees at a ratio of 3:1.

If replacement planting is implemented, monitoring shall be conducted annually for 5 years to assess the mitigation’s effectiveness. The performance standard for the mitigation shall be 65 percent survival of all replacement plantings.

3. In addition, the following mitigation measures shall be required to mitigate for the loss of raptor foraging habitat. The replacement ratios shall be consistent with the performance standards for Swainson’s Hawk foraging habitat, identified in the CDFW staff report Regarding Mitigation for Impacts to Swainson’s Hawk (Buteo swainsoni) in the Central Valley of California (1994):
a. Construction activity, including vegetation removal, shall only occur outside the typical breeding season for raptors (September 16 to December 31), if nesting raptors are determined to be present.
b. For projects within 1 mile of an active nest tree (the Swainson’s Hawk Staff report defines an active nest tree as used during one or more of the last 5 years), the Project Applicant shall provide 1 acre of preserved Swainson’s hawk foraging habitat for each acre of development authorized (1:1 ratio).
c.For projects within 5 miles of an active nest tree, but greater than 1 mile from the nest tree, the Project Applicant shall provide 0.75 acre of preserved Swainson’s hawk foraging habitat for each acre of development authorized (0.75:1 ratio).

For projects within 10 miles of an active nest tree, but greater than 5 miles from the nest tree, the Project Applicant shall provide 0.5 acre of preserved Swainson’s hawk foraging habitat for each acre of development authorized (0.5:1 ratio).

Submittal of
documentation to
verify that
survey(s) have
been conducted
and other
mitigation
requirements
were met
Prior to ground
disturbing
activities that
occur between
February 1 and
August 31
City of
American
Canyon
and/or
CDFW, as
necessary
462
[Version: 10.23.24]
41 Mitigation lands shall be protected in perpetuity under a conservation easement and include an endowment fund for long-term resource management for raptor habitat.

Preservation and management of Swainson’s hawk foraging habitat under this criterion will also serve to mitigate the reduction of foraging habitat for golden eagle, white-tailed kite, and other grassland-associated raptors. The AC-1 proposed mitigation site for the California red-legged frog at the 321-acre Jaeger Conservation Area provides suitable foraging habitat mitigation (see Applicant Proposed Mitigation Area discussion above).

Mitigation Measure 4.3-1l: Preconstruction Surveys for Burrowing Owls. Burrowing owl Take Avoidance
Surveys shall be conducted according to the methodologies and performance standards prescribed by the CDFW in the 2012 Staff Report on Burrowing Owl Mitigation (CDFW 2012).

Take Avoidance Surveys shall be conducted 14 days prior or less to initiating ground disturbance. As burrowing owls may recolonize a site after only a few days, time lapses greater than 14 days between project activities require subsequent Submittal of
documentation to
verify that
survey(s) have
been conducted
Prior to any
ground
disturbing
activities;
recurring for
time lapses
greater than
City of
American
Canyon
and/or
463
[Version: 10.23.24]
42 Mitigation Measures
Method of
Verification
Timing of
Verification
Responsible
for
Verification
Verification
of
Completion
Date Initial
a.
b.
c.
d.
surveys including but not limited to a final survey conducted within 24 hours prior to ground disturbance to
ensure absence. The following guidelines pertain to burrowing owl surveys:

Burrowing owl Take Avoidance Surveys shall be conducted by walking the entire WRSP site and (where possible) in accessible areas within 660 feet of the project disturbance footprint. The 660-foot buffer zone is surveyed to identify burrows and owls outside of the study area, which may be impacted by factors such as noise and vibration (heavy equipment) during project construction. Pedestrian survey transects shall be spaced to allow 100 percent visual coverage of the ground surface. The distance between transect center lines shall be 20 feet to 65 feet and shall be reduced to account for differences in terrain, vegetation density, and ground surface visibility. Poor weather may affect the surveyor’s ability to detect burrowing owls thus, avoid conducting surveys when wind speed is greater than
20 kilometers per hour and there is precipitation or dense fog. To avoid impacts to owls from surveyors, owls and/or occupied burrows shall be avoided by a minimum of 160 feet wherever practical to avoid flushing owls from occupied burrows. Disturbance to occupied burrows shall be avoided during all seasons.

If burrowing owls are detected on the site, the following restricted activity dates and setback distances derived from the 2012 Staff Report on Burrowing Owl Mitigation (CDFW 2012), or as otherwise coordinated with the CDFW:
○ Occupied burrows shall not be disturbed during the nesting season, from February 1 through August 31;
○ No disturbance shall occur within 50 meters (approximately 160 feet) of occupied burrows during October 16 through March 31 or within 200 meters (approximately 660 feet) April 1 through October 15;
○ No earth-moving activities or other disturbance shall occur within the aforementioned buffer zones of occupied burrows. These buffer zones shall be well-marked or fenced as well. If burrowing owls were found in the study area, a qualified biologist shall also delineate the extent of burrowing owl habitat on the site; and and other
mitigation
requirements
were met
14 days between
project activities
CDFW, as
necessary
464
[Version: 10.23.24]
43 ○ Buffers may be modified by a qualified western burrowing owl biologist that is knowledgeable enough to establish buffer sizes that are commensurate with the acclimation of western burrowing owls to disturbance. These buffers if modified over that prescribed above, shall be coordinated with the CDFW.

Finally, in accordance with the 2012 Staff Report, if burrowing owls were found nesting on site and must be passively removed in the non-nesting season (October 1 to February 1) to accommodate the project, suitable artificial burrows shall be established within appropriate habitat for western burrowing owls to minimize the potential for mortality of burrowing owls due to stress, lack of resources, or predation. The habitat enhancement plan shall be developed in coordination with the CDFW and the City of American Canyon.

Information regarding the occurrence of burrowing owls at the WRSP site shall be reported to the
CNDDB.

Mitigation Measures
Method of
Verification
Timing of
Verification
Responsible
for
Verification
Verification
of
Completion
Date Initial
Mitigation Measure 4.3-1m: Preconstruction Surveys for Callippe Silverspot Butterfly Host Plant (Johnny Jump Up). Prior to construction a qualified botanist shall survey the off-site water improvement area (OSWA) for the host plant of the Callippe silverspot butterfly (Johnny jump up [Viola pedunculata]) during the plants blooming period of February to April in accordance with the performance standards provided in Mitigation Measures 4.3-1m through 4.3-1o. A qualified botanist is a person who has at least an undergraduate degree in entomology or a related field, has a minimum of 2 years’ field experience, and is knowledgeable of identification of adult, egg, and larval life stages of butterflies. The botanist shall clearly demarcate the boundary of Johnny jump ups where this species occurs within the proposed OSWA on project plan maps. The Project Applicant shall avoid removal and disturbance to all identified Johnny jump ups and install orange construction fencing between any identified plant populations and construction activities to ensure that construction activities do not impact any host plants and/or life stages of the Callippe Submittal of
documentation
to verify that
survey(s) have
been conducted
and other
mitigation
requirements
were met
Prior to
construction
activities in the
offsite water
improvement
area that occur
between
February and
April
City of
American
Canyon
465
[Version: 10.23.24]
44 silverspot butterfly. If Johnny jump up plants are not identified within the OSWA or all identified Johnny jump up plants shall be avoided and protected from project disturbance, breeding Callippe silverspot butterflies will not be impacted, and further mitigation is not needed.

Mitigation Measure 4.3-1n: Presence Surveys for Callippe Silverspot Butterfly. If Johnny jump ups are found in the area of disturbance and cannot be avoided, presence surveys for Callippe silverspot shall be conducted three times during the peak flight season in May and June the year prior to site disturbance by a qualified biologist. A qualified biologist is a person with at least an undergraduate degree in entomology or a related field with a minimum of 2 years’ field experience and who is knowledgeable of identification of adult, egg, and larval life stages of butterflies. Walking transects spaced to allow 100 percent coverage of the off-site water improvement area (OSWA) area shall be conducted during the last week of May, second week of June, and last week of June. Surveys shall be conducted during times of warm, calm weather when butterflies are most active and shall not occur during precipitation, heavy fog, or wind speeds greater than 10 mph. If any life stage of Callippe silverspot butterfly is not identified during presence surveys, it is expected the survey area does not support breeding butterflies and Johnny jump up plants may be removed by hand from construction areas within the OSWA and further mitigation is not needed.

Submittal of
documentation
to verify that
survey(s) have
been conducted
and other
mitigation
requirements
were met
During May and
June the year
prior to any
ground
disturbing
activities in the
off-site water
improvement
area (if Johnny
jump ups are
found)
City of
American
Canyon
466
[Version: 10.23.24]
45 Mitigation Measures
Method of
Verification
Timing of
Verification
Responsible
for
Verification
Verification
of
Completion
Date Initial
Mitigation Measure 4.3-1o: Protocols if Callippe Silverspot Butterflies Are Found. If any life stage of Callippe silverspot butterfly is found during presence surveys, it is expected the survey area does support breeding butterflies. Prior to issuance of a grading permit, the Project Applicant shall submit written proof that the following measures were implemented:
a. Information regarding the Callippe silverspot sightings shall be reported to the CNDDB.
b. If federally listed species are present, consultation with the USFWS shall be required to determine the need for an incidental take permit and coordinate mitigation (see Item d, below). The applicant/entity constructing the facilities in the OSWA shall provide proof to the City prior to any ground disturbance that an incidental take permit has been obtained or written correspondence from the USFWS that no incidental take permit is required.
c. If any individual Johnny jump up plant or population can be avoided during project implementation, it shall be clearly marked in the field by a qualified botanist and avoided during construction activities. Before ground clearing or ground disturbance, all on-site construction personnel shall be instructed as to Callippe silverspot identification, this species’ host plant presence and the importance of avoiding impacts to this species and its habitat.
d. If occupied breeding habitat or nectar food sources for Callippe silverspot butterfly would be directly impacted by the project, a mitigation plan shall be developed by a qualified biologist in consultation with the USFWS prior to the start of local construction activities. The plan shall detail appropriate habitat replacement ratios, which shall be a minimum of 1:1 based on breeding habitat area and anticipated number of host plants and 3:1 for native nectar plants, location of the mitigation site, methods for implementation, success criteria, monitoring and reporting protocols, and contingency measures that shall be implemented if the initial mitigation fails. The mitigation site may be located on the WRSP site or in occupied habitat in proximity to the WRSP site. If onsite options are not available, off-site areas may be considered (e.g., Jaeger Conservation Area). The success criteria and monitoring requirements for Callippe silverspot butterfly mitigation areas shall be as described in Mitigation Measure 4.3-1b, Item c. The mitigation Submittal of
documentation
to verify that
survey(s) have
been conducted
and other
mitigation
requirements
were met
Prior to issuance
of grading permit
for the off-site
water
improvement
area
City of
American
Canyon
467
[Version: 10.23.24]
46 plan shall include continuing presence surveys, seeding or plantings of Callippe silverspot host and nectar plants, and invasive plant species removal to enhance butterfly habitat. e. If mitigation is required for incidental take of Callippe silverspot butterflies or their habitat, the Project Applicant shall establish, maintain, and monitor the mitigation area identified in the plan for 5 years following the completion of construction and restoration activities. Monitoring reports shall be submitted to the USFWS at the completion of restoration and for 5 years following restoration implementation. Monitoring reports shall include photo-documentation, a site layout map, presence survey results, and justification for any deviations from the mitigation plan.
f. In lieu of the above prescribed mitigation, requirements may be satisfied via the purchase of qualified mitigation credits or the preservation of off-site habitat in coordination with the USFWS, as appropriate.
468
[Version: 10.23.24]
47 Mitigation Measures
Method of
Verification
Timing of
Verification
Responsible
for
Verification
Verification
of
Completion
Date Initial
Mitigation Measure 4.3-1p: Preconstruction Surveys and Avoidance Measures for the American Badger. Performance standards for preconstruction surveys and avoidance measures for badger are:
a. Preconstruction surveys shall be conducted for the American badger within 7 days prior to ground-disturbing activities in grassland habitats within the study area and off-site water improvement area (OSWA). Surveys shall be conducted by a qualified wildlife biologist with experience and knowledge in identifying badger burrows and include walking parallel transects looking for badger burrows and sign. Any badger burrows identified shall be mark and mapped on WRSP site maps.
b. If active badger dens are identified within the study are or OSWA a no-work buffer of 200 feet shall be established around the den and associated occupied areas. If avoidance is not feasible, a biologist shall determine if the burrow is being used as an active maternity den through utilization of remote cameras. If young are determined to be present, the burrow shall be avoided until the young have vacated the burrow as determined by a qualified biologist. If the burrow is determined not to be an active maternity den and young are not present, in coordination with the CDFW (CDFW), a oneway eviction door shall be installed between September 1 and January 1 to passively relocate the badger and to avoid impacts during the breeding season. If the badger digs back into the burrow, CDFW staff may allow the use of live traps to relocate badgers to suitable habitat away from the area of project impact.
c. If capture/active or passive relocation of American badgers is determined to be necessary in consultation with CDFW, the Applicant shall prepare a relocation plan for review and approval by CDFW and the City prior to any relocation. The Relocation Plan shall address measure to minimize potential for mortality due to stress, predation, or lack of available burrows. If active relocation is deemed appropriate and approved by CDFW, the relocation plan shall address the following protocols:

1. Individuals shall only be actively relocated into habitat that has a full complement of existing and/or expanded habitat features that are required for the species’ life history (i.e., foraging habitat, burrows, aquatic habitat, etc.);

2. Finally, prevalence of disease or competition by non-native species shall be evaluated before animals are actively relocated; and
Submittal of
documentation
that surveys
have been
conducted, and
burrows have
been avoided, or
badgers have
been
relocated in
coordination
with
CDFW
Prior to ground
disturbing
activities in
grassland
habitats within
the WRSP site
and the off-site
water
improvement
area
City of
American
Canyon
and/or
CDFW, as
necessary
469
[Version: 10.23.24]
48 3. Prevalence of disease or competition by non-native species shall be evaluated before animals are actively relocated.

Mitigation Measure 4.3-2a: CDFW Streambed Alteration Agreement. The Project Applicant shall be required to obtain a Lake and Streambed Alteration Agreement (LSAA) from the California Department of Fish and Wildlife (CDFW). Subject to the final terms of the LSAA, the following performance standards shall be implemented:
● Construction activities and equipment staging shall be designed to avoid and minimize direct and indirect impacts to wetlands and riparian habitat; ● Construction occurring in the vicinity of riparian areas shall be delimited with a minimum 20-foot setback to avoid intrusion of construction activities into sensitive habitat;
● Construction areas within 500 feet of riparian habitat shall be subject to best management practices under the General National Pollutant Discharge Elimination System Permit; and
● To offset temporary and permanent impacts to riparian habitats, mitigation at a minimum ratio of 1:1 shall be provided, or as required by the LSAA.

Submittal of
documentation,
including copy of
LSAA, verifying
permit has been
obtained and
mitigation
measures have
been
implemented
Prior to
construction
activities
City of
American
Canyon and
CDFW
Mitigation Measures
Method of
Verification
Timing of
Verification
Responsible
for
Verification
Verification
of
Completion
Date Initial
Mitigation Measure 4.3-2b: Protocol-Level Surveys. Prior to issuance of a grading permit, the Project Applicant shall submit written proof that a qualified biologist conducted preconstruction CDFW protocol-level surveys during the appropriate blooming periods for occurrence of sensitive natural communities, especially purple needlegrass grasslands) within the footprint of the construction activities at the WRSP site, off-site water improvement area (OSWA), and other off-site project features. These surveys should be performed in compliance with the most recent CDFW survey protocol, currently 2018. If no sensitive vegetation communities are found during focused surveys of the project footprint, then sensitive vegetation communities would be assumed to be absent from OSWA. The botanist shall document the findings in a technical memorandum to the lead agency, as appropriate, and no further mitigation would be required. If sensitive vegetation communities are found Submittal of
documentation
to verify that
survey(s) have
been conducted
and other
mitigation
requirements
were met
Prior to issuance
of a grading
permit
for the off-site
water
improvement
area
City of
American
Canyon
and/or
CDFW, as
necessary
470
[Version: 10.23.24]
49 within the footprint of the project activities during focused surveys, Mitigation Measure 4.3- 2c shall be implemented.

Mitigation Measure 4.3-2c: Measures to Implement if Sensitive Natural Vegetation Communities Are Found. If a sensitive vegetation community is found during focused surveys, prior to issuance of a grading permit, the Project Applicant shall submit written proof that the following measures were implemented in compliance with the following performance standards:
a. Information regarding the sensitive vegetation community shall be reported to the CNDDB.
b. If any sensitive vegetation community can be avoided during project implementation, it shall be clearly marked in the field by a qualified botanist and avoided during construction activities. Before ground clearing or ground disturbance, all on-site construction personnel shall be instructed as to the community’s presence and the importance of avoiding impacts to this sensitive vegetation community. c. If sensitive vegetation communities are present and cannot be avoided, consultations with the CDFW and/or the USFWS shall be required. A mitigation plan to compensate for the loss of the sensitive vegetation community could be required. This plan may be developed by a qualified botanist in consultation with the appropriate agencies prior to the start of local construction activities. The plan shall detail appropriate replacement ratios, which shall be a minimum of 1:1 based on area and number of plants and may be increased based on the recommendation of the botanist or the relevant resource agency to achieve no net loss of habitat. The plan shall describe the location of the mitigation site, methods for implementation (e.g., construction techniques, timing and sequencing, watering, soil properties, and other necessary specifications), success criteria (e.g., minimum 75 percent plant survival after 5 years, 75 percent vegetative cover by desirable species or comparable to existing conditions, and a viable, selfsustaining plant community), monitoring and reporting protocols, and contingency measures that shall be implemented if the initial mitigation fails. The mitigation plan may include the collection of seeds, propagules, and top soils under the supervision of a qualified botanist from the WRSP site for installation at the mitigation site. The mitigation site may be located on the WRSP site, such as within the pipeline disturbance corridor, or Submittal of
documentation
to verify that
survey(s) have
been conducted
and other
mitigation
requirements
were met
Prior to issuance
of a grading
permit
City of
American
Canyon
and/or
CDFW, as
necessary
471
[Version: 10.23.24]
50 in close proximity to the WRSP site. If on-site options are not available, off-site areas may be considered. The mitigation plan shall be submitted to the City for approval prior to the issuance of permits that would affect the respective sensitive vegetation communities. d. If mitigation is required for loss of sensitive vegetation communities, the Project Applicant shall establish, maintain, and monitor the mitigation area identified in the plan for 5 years following the completion of construction and restoration activities. Annual monitoring reports shall be submitted to the City and the resource agencies at the completion of restoration and for 5 years following restoration implementation.

Monitoring reports shall include photo-documentation, planting specifications, a site layout map, descriptions of materials used, and justification for any deviations from the mitigation plan.

Mitigation Measure 4.3-3a: Wetlands and Other Waters Avoidance and Minimization Effects. Final project design shall avoid and minimize the fill of wetlands and other waters to the greatest practicable extent. Areas that are avoided shall be subject to best management practices under the National Pollutant
Discharge Elimination System Permit Construction General Permit, as described in Mitigation Measure 4.7-1. To minimize indirect effects, the Project Applicant shall design and implement a wetland management plan and stormwater management system to maintain a minimum normal inflow equivalent (roughly equivalent to the 2-year storm event) to the into each avoided wetland system. Any stormwater from impervious surfaces shall be pretreated prior discharge into the avoided wetlands. The management plan shall include a minimum 5-year monitoring plan to document performance and conditions in the avoided wetlands. The minimum performance standard shall be no reduction in avoided wetland acreage. If the project fails to achieve performance standards, remedial actions to correct deficiencies shall be implemented and additional mitigation shall be provided to offset temporal losses.

The Plan shall be developed in consultation with the U.S. Army Corps of Engineers and San Francisco Bay Regional Water Quality Control Board and approved by the City.

Preparation and
implementation
of a Wetland
Management
Plan and
Stormwater
Management
System
Prior to
construction
activities in areas
near wetlands
and other waters
City of
American
Canyon, U.S.

Army Corps
of Engineers,
and/or San
Francisco
Bay
Regional
Water
Quality
Control
Board, as
necessary
Mitigation Measure 4.3-3b: Invasive Species Management. Where perennial or seasonal water features are maintained outside of the quarry pond, invasive species, such as nonnative fish, bullfrogs, and plants, could cause significant adverse impacts to populations of special-status species utilizing adjacent habitats and downstream reaches. To reduce these potentially significant impacts, an invasive species management plan shall be developed for seasonal wetlands, ditches, and detention basins. This plan shall include intermittent surveys Preparation and
implementation
of an Invasive
Species
Management
Plan
Implementation
of an Invasive
Specific
Management
Plan
City of
American
Canyon
472
[Version: 10.23.24]
51 for invasive species and potential actions to manage these species, such as draining basins or actively capturing bullfrogs. The plan shall also include adaptive measures to be implemented should the above actions fail to adequately manage bullfrogs and other non-native invasive species. Note: This mitigation measure does not apply to Quarry Pond, which cannot be effectively drained and cannot be effectively managed to remove invasive fish and bullfrogs without other potential significant effects.

Mitigation Measures
Method of
Verification
Timing of
Verification
Responsible
for
Verification
Verification
of
Completion
Date Initial
Mitigation Measure 4.3-3c: Mitigation for Wetlands and Other Waters. Where jurisdictional wetlands and other waters cannot be avoided, to offset temporary and permanent impacts that would occur as a result of the project, mitigation for preservation, restoration, and creation shall be provided through the following mechanisms and subject to the following performance standards:

1. Purchase or dedication of land to provide wetland preservation, restoration or creation. If restoration is available and feasible, then a ratio of at least 2:1 shall be used.

Where practical and feasible, on-site mitigation shall be implemented whenever possible.

2. If on-site mitigation is used, a wetland mitigation and monitoring plan shall be developed by a qualified biologist in coordination with the California Department of Fish and Wildlife, U.S. Army Corps of Engineers, and/or Regional Water Quality Control Board that details mitigation and monitoring obligations for temporary and permanent impacts to wetlands and other waters as a result of construction activities. The plan shall quantify the total acreage lost to jurisdictional areas and describe mitigation ratios for lost habitat.

The plan shall also include:
a. Annual success criteria, including plant survivorship and vigor to be determined by counting individuals of each species and comparing the counts to the numbers originally planted for that species. A minimum survival rate of 75 percent of installed plants is required for all years including at least 2 years’ post-irrigation; b. Means for controlling invasive species near plantings; and Submittal of
documents
verifying
restoration and
compensatory
mitigation has
been
implemented, if
needed
Prior to
construction
activities in areas
near wetlands
and other waters
City of
American
Canyon,
CDFW, U.S.

Army Corps
of Engineers,
and/or San
Francisco
Regional
Water
quality
Control
Board, as
necessary
473
[Version: 10.23.24]
52 c.A description of mitigation areas and monitoring and reporting requirements.

3. The mitigation and monitoring plan shall be submitted to the appropriate regulatory agencies for approval.

If monitoring suggests that the performance standards outlined above are not being met, corrective actions shall be implemented. Possible contingency measures include, but are not limited to:

4. Replanting of native trees and shrubs;

5. Adjusting the quantity and timing of irrigation to develop a schedule that better meets the characteristics of the site and the needs of the plants;

6. Installing additional protective wire cages around plants to minimize damage from wildlife or other sources;

7. Incorporating additional monitoring events in an attempt to address site deficiencies proactively; or

8. Adjusting the weed maintenance methods or schedule to address specific problems that arise.
474
[Version: 10.23.24]
53 Mitigation Measures
Method of
Verification
Timing of
Verification
Responsible
for
Verification
Verification
of
Completion
Date Initial
Mitigation Measure 4.3-4: Preconstruction Surveys for Bats. A qualified biologist shall conduct a passive habitat assessment for bat use and habitat a minimum of 6 months prior to project construction activities in known or potential bat roosting habitat in the ruins and trees in the WRSP area which shall conform to the performance standards below. If the habitat assessment reveals bat activity, then a qualified bat biologist shall conduct a presence absence survey during peak activity periods. Survey methods, timing, duration, and species shall be provided for review and approval by the lead agency prior to habitat disturbance.

Human intrusion into an active roost could be damaging to a population, particularly during the maternity season, March 15 through September 15, when females are aggregated and rearing defenseless young. To reduce potentially significant impacts to sensitive bat species during surveys by the qualified biologist, the following shall be verified:
a. Qualifications to determine adequate knowledge and experiences with the particular species for which they are surveying; and
b. Demonstrable experience with bat surveys in specific roost types for project-specific conditions. Should bat species be confirmed on site either through the habitat assessment or during surveys, then at minimum the following shall be implemented:
a. Species-specific avoidance methods to avoid disturbance; b. Evaluate the impact, including the length of time of disturbance, equipment noise, and the type of habitat present within the project footprint; c. Develop work windows for building demolition, tree trimming, or tree removal (typically August 31 through October 15 when young would be self-sufficiently volant and prior to hibernation and March 1 to
April 15 to avoid hibernating or maternity colonies);
d. Identify appropriate buffers outside of this work window; e. Outline specific timing of building demolition, renovation, or tree trimming or removal; and
f. Incorporate and implement mitigation measures to offset any impacts to bat roosts on site through bat-friendly design and integrated bat roost construction. When designing new or renovated buildings, architects can include safe and attractive roosting opportunities for bats such as wall cavities in buildings. This includes the construction of Submittal of
documentation
to verify that
survey(s) have
been conducted
and other
mitigation
requirements
were met
Within six month
of the demolition
of onsite
structures
City of
American
Canyon
475
[Version: 10.23.24]
54 connected bat boxes or design of other artificial bat roost habitat in remodeled structures (see Erickson et al. 2002) to enhance roosting opportunities on structures.

Mitigation Measures
Method of
Verification
Timing of
Verification
Responsible
for
Verification
Verification
of
Completion
Date Initial
Section 4.4: Cultural Resources
Mitigation Measure 4.4-2: Unanticipated Discovery of Archaeological Resources. If prehistoric or historic-era archaeological resources are encountered by construction personnel during project implementation, all construction activities within 100 feet shall halt and the contractor shall notify the City of American Canyon. Prehistoric archaeological materials might include obsidian and chert flaked-stone tools (e.g., projectile points, knives, scrapers) or toolmaking debris; culturally darkened soil (“midden”) containing heat-affected rocks, artifacts, or shellfish remains; and stone milling equipment (e.g., mortars, pestles, handstones, or milling slabs); battered stone tools, such as hammerstones and pitted stones.

Historic-era materials might include stone, concrete, or adobe footings and walls; filled wells or privies; and deposits of metal, glass, and/or ceramic refuse.

The Project Applicant shall retain a Secretary of the Interior-qualified archaeologist to inspect the findings within 24 hours of discovery and inform the City of American Canyon If it is determined that the project may damage a historical resource or a unique archaeological resource (as defined pursuant to CEQA and the CEQA Guidelines), construction shall cease in an area determined by the archaeologist until a mitigation plan has been prepared in accordance with PRC § 21083.2 and CEQA Guidelines § 15126.4; approved by the City; and implemented to the satisfaction of the archaeologist. In consultation with the City, the archaeologist shall determine when construction may commence.

Consistent with § 15126.4(b)(3), the mitigation plan shall recommend preservation in place, as a preference, or, if preservation in place is not feasible, data recovery through excavation. If preservation in place is feasible, this may be accomplished through one of the following means: (1) modifying the construction plan to avoid the resource; (2) incorporating the resource within open space; (3) capping and covering the resource before Submit
documentation of
findings and
mitigation plan, if
resources are
encountered
During grading
activities
City of
American
Canyon
476
[Version: 10.23.24]
55 building appropriate facilities on the resource site; or (4) deeding resource site into a permanent conservation easement. If preservation in place is not feasible, a qualified archaeologist shall prepare and implement a detailed treatment plan to recover the scientifically consequential information from and about the resource, which shall be reviewed and approved by the City prior to any excavation at the resource site. Treatment of archaeological resources shall follow the requirements of PRC § 21083.2. Treatment for most resources shall consist of (but would not necessarily be not limited to) sample excavation, artifact collection, site documentation, and historical research, with the aim to target the recovery of important scientific data contained in the portion(s) of the significant resource to be impacted by the project. The treatment plan shall include provisions for analysis of data in a regional context, reporting of results within a timely manner, curation of artifacts and data at an approved facility, and dissemination of reports to local and state repositories, libraries, and interested professionals.

Mitigation Measure 4.4-3: Unanticipated Discovery of Paleontological Resources. If paleontological resources, such as fossilized bone, teeth, shell, tracks, trails, casts, molds, or impressions are encountered by construction personnel during project implementation, all construction activities within 100 feet shall halt and the contractor shall notify the City of American Canyon. The Project Applicant shall retain a qualified paleontologist to inspect the findings within 24 hours of discovery. The paleontologist shall assess the nature and importance of the find and, if necessary, develop appropriate treatment measures in conformance with Society of Vertebrate Paleontology standards, and in consultation with the City of American Canyon. The Project Applicant shall implement the final treatment measures.

Submit
documentation of
findings and
verification
of treatment
measures, if
resources
are
encountered
During grading
activities
City of
American
Canyon
Mitigation Measures
Method of
Verification
Timing of
Verification
Responsible
for
Verification
Verification
of
Completion
477
[Version: 10.23.24]
56 Date Initial
Mitigation Measure 4.4-4: Unanticipated Discovery of Human Remains. If human remains are
encountered by construction personnel during project implementation, all construction activities within 100 feet shall halt and the contractor shall notify the City of American Canyon. The City shall contact the Napa County Coroner to affirmatively indicate to the City that no investigation of the cause of death is required. The Native American Heritage Commission (NAHC) shall be contacted within 24 hours if the Coroner determines that the remains are Native American. The NAHC shall then identify the person or persons it believes to be the most likely descendant from the deceased Native American (PRC § 5097.98), who in turn shall make recommendations to the City of American Canyon for the appropriate means of treating the human remains and any associated funerary objects (CEQA Guidelines § 15064.5(d)).

Submit
documentation
of findings and
treatment
measures, if
remains are
encountered
During grading
activities
City of
American
Canyon
Section 4.5: Geology, Soils, and Seismicity
Mitigation Measure 4.5-4: Geotechnical Requirements for the Quarry Pond. Prior to issuance of any
building permits, the Project Applicant shall submit to the City plans that are consistent with the geotechnical recommendations of a minimum setback of 3:1 (horizontal:vertical) from the toe of the existing quarry pond bank. Any proposed plans inside of the 3:1 setback, shall be the subject of a detailed slope stability analysis by a current California registered Geotechnical Engineer or Engineering Geologist where proposed slopes must meet minimum factor of safety requirements as determined by the most recent California Building Code for both static and dynamic (earthquake) conditions. Graded cut-and-fill slopes over 15 feet shall be no steeper than 3:1 with slopes up to 15 feet no steeper than 2:1. Other measures, such as use of retaining walls and geogrid reinforcement or corrective grading, shall be implemented as necessary in accordance with the specific geotechnical recommendation informed by the aforementioned detailed slope stability analysis and outlined in the design level geotechnical report.

Submit grading
plans for Quarry
Lake Pond
Prior to issuance
building permits
City of
American
Canyon
Section 4.6: Hazards and Hazardous Materials
Mitigation Measure 4.6-1a: Evaluation for Lead-Based Paint or Coatings, AsbestosContaining Materials, or Polychlorinated Biphenyls. The Project Applicant shall submit documentation to the City to verify that all proposed areas for demolition or modification have been assessed by California state licensed contractors for the potential presence of Submit
documentation
of findings
Prior to
demolition
activities
City of
American
Canyon
478
[Version: 10.23.24]
57 lead-based paint or coatings, asbestos containing materials, and polychlorinated biphenylcontaining equipment prior to issuance of a demolition permit.

Mitigation Measure 4.6-1b: Health and Safety Plan. If the assessment required by Mitigation Measure 4.6-1a finds presence of lead-based paint, asbestos, and/or polychlorinated biphenyls, prior to any construction or demolition activities on the project site, the Project Applicant shall submit to the City for approval and shall implement a health and safety plan to protect workers from risks associated with hazardous materials during abatement, demolition or renovation of affected structures.

Submit and
receive approval
of Health and
Safety Plan
Prior to
demolition of
structures
containing leadbased paint,
asbestos, and/or
polychlorinated
biphenyls
City of
American
Canyon
479
[Version: 10.23.24]
58 Mitigation Measures
Method of
Verification
Timing of
Verification
Responsible
for
Verification
Verification
of
Completion
Date Initial
Mitigation Measure 4.6-1c: Lead-Based Paint Removal Plan. If the assessment required by Mitigation Measure 4.6-1a finds presence of lead-based paint, prior to any demolition of structures containing lead based paint, the Project Applicant shall submit to the City for approval and shall implement a lead-based paint removal plan in accordance with City and California Code of Regulations Title 8, §§ 1532.1 et seq., requirements. The plan shall specify, but not be limited to, the following elements for implementation:
● Develop a removal specification approved by a Certified Lead Project Designer;3 ● Ensure that all removal workers are properly trained; ● Contain all work areas to prohibit off-site migration of paint chip debris; ● Remove all peeling and stratified lead-based paint on building and non-building surfaces to the degree necessary to safely and properly complete demolition activities according to recommendations of the survey. The demolition contractor shall be responsible for the proper containment and disposal of intact lead-based paint on all equipment to be cut and/or removed during the demolition; ● Provide on-site personnel and area air monitoring during all removal activities to ensure that workers and the environment are adequately protected by the control measures used;
● Clean up and/or vacuum paint chips with a high efficiency particulate air (HEPA) filter;
● Collect, segregate, and profile waste for disposal determination; or ● Properly dispose of all waste.

Submit and
receive approval
of LeadBased
Paint
Removal Plan
Prior to
demolition of
structures
containing
leadbased paint
City of
American
Canyon
Mitigation Measure 4.6-1d: Asbestos Abatement. If the assessment required by Mitigation Measure 4.6-1a finds asbestos, prior to undertaking demolition or construction activities involving asbestos disturbance, the Project Applicant shall, demonstrate to the City that asbestos abatement shall be conducted by a California state licensed contractor prior to building demolition. Abatement of known or suspected asbestos-containing materials shall occur prior to demolition or construction activities that would disturb those materials.

Submit
documentation
that abatement
has been
completed
Prior to
demolition of
structures
containing
asbestos
City of
American
Canyon
3 A Lead Project Designer is defined in CCR Title 17, Division 1, Chapter 8. 480
[Version: 10.23.24]
59 Pursuant to an asbestos abatement plan developed by a state-certified asbestos consultant and approved by the City, all asbestos-containing materials shall be removed and appropriately disposed of by a state certified asbestos contractor in accordance with Caltrans transportation requirements and any requirements of the receiving facility.

Mitigation Measure 4.6-1e: Polychlorinated Biphenyl Abatement. If the assessment required by Mitigation Measure 4.6-1a finds polychlorinated biphenyls (PCBs), prior to undertaking demolition or construction activities that could disturb potential PCBs, the Project Applicant shall ensure that PCB abatement shall be conducted prior to building demolition or renovation. The Project Applicant shall demonstrate to the satisfaction of the City that PCBs shall be removed by a qualified contractor and transported in accordance with Caltrans requirements.

Submit
documentation
of PCB
abatement
Prior to
demolition of
structures
containing PCBs
City of
American
Canyon
481
[Version: 10.23.24]
60 Mitigation Measures
Method of
Verification
Timing of
Verification
Responsible
for
Verification
Verification
of
Completion
Date Initial
Mitigation Measure 4.6-2a: Phase I Recommendations. Prior to commencement of construction, the Project Applicant shall contract a qualified environmental consulting firm with state registered professionals (Professional Engineers or Geologists) to carry out the recommendations contained in the April 14, 2015, Phase I Environmental Site Assessment report by ENGEO Incorporated pertaining to the potential environmental concerns. The Phase I report included recommendations for collection of surface soil samples for laboratory analysis and oversight of other earthwork activities. The findings of the soil sampling effort shall be submitted to the Napa County Environmental Health Division (NCEHD) prior to initiating any earthwork activities on the project site for direction on whether any further sampling or remediation may be necessary.

Submit
documentation
that
recommendations
of the Phase I
Environmental
Site Assessment
have been
implemented, as
necessary
Prior to
commencement of
construction
City of
American
Canyon
Mitigation Measure 4.6-2b: Soil Management Plan. The project shall submit and obtain approval of a Soil Management Plan from the Napa County Environmental Health Division (NCEHD) prior to initiating any earthwork activities on the project site. During construction, the contractor shall cease any earthwork activities upon discovery of any suspect soils or groundwater (e.g., petroleum odor and/or discoloration) during construction in accordance with a Soil Management Plan prepared for the project by a qualified environmental consultant and approved by the NCEHD. The contractor shall notify the NCEHD upon discovery of suspect soils or groundwater and retain a qualified environmental firm to collect soil samples to confirm the level of contamination that may be present. If contamination is found to be present, any further proposed groundbreaking activities within areas of identified or suspected contamination shall be conducted according to a site specific health and safety plan, prepared by a California state licensed professional. The contractor shall follow all procedural direction given by NCEHD and in accordance with the Soil Management Plan prepared for the site to ensure that suspect soils are isolated, protected from runoff, and disposed of in accordance with transportation laws and the requirements of the licensed receiving facility.

Submit NCEHDapproved Soil
Management Plan
and Health and
Safety Plan, as
necessary
Prior to grading and
during construction
City of
American
Canyon
and/or
Napa County
Environmental
Health
Division, as
necessary
482
[Version: 10.23.24]
61 Mitigation Measure 4.6-2c: Removal of Contaminated Soil or Groundwater. If contaminated soil or groundwater is encountered and identified constituents exceed human health risk levels, the Project Applicant shall submit documentation to the City to verify that it has been delineated, removed, and disposed of off site in compliance with the receiving facilities’ requirements prior to construction of any building foundation.

Submit
documentation of
removal of
contaminated soil
or groundwater, if
encountered
Prior to
construction of any
building foundation
City of
American
Canyon
Mitigation Measure 4.6-4: Development within 50 Feet of the Pacific Gas & Electric (PG&E) Pipeline/Easement. Prior to issuance of building or grading permits, Project Applicant shall submit documentation to the City to verify that development plans located within 50 feet of the existing PG&E pipeline/easement, including utilities that may intersect the existing PG&E pipeline, have been submitted to PG&E Gas Transmission Integrity Management and PG&E Land Development for review and approval. Project Applicant plans for all proposed improvements located within this zone shall adhere to the requirements of PG&E Gas Transmission Integrity Management and PG&E Land Development, including without limitation, setback requirements, depth of cover over pipeline, location of trees and maintenance requirements, minimum separation of crossing utilities, trail location, as well as any relocation requirements, if applicable.

Submit
development
plans for any
activities within 50
feet of the existing
PG&E
pipeline/easement
Prior to issuance of
building or grading
permits for any
activities within 50
feet of the existing
PG&E
pipeline/easement.

City of
American
Canyon
and/or PG&E,
as necessary
483
[Version: 10.23.24]
62 Mitigation Measures
Method of
Verification
Timing of
Verification
Responsible
for
Verification
Verification
of
Completion
Date Initial
Section 4.7: Hydrology and Water Quality
Mitigation Measure 4.7-1: Stormwater Pollution Prevention Plan (SWPPP). Prior to issuance of grading permits for the project, the Project Applicant shall submit documentation to the City to verify that a Storm Water Pollution Prevention Plan (SWPPP) has been prepared in accordance with the requirements of the statewide National Pollutant Discharge Elimination System (NPDES) Construction General Permit. The SWPPP shall be designed, without limitation, to address the following objectives: (1) all pollutants and their sources, including sources of sediment associated with construction, construction site erosion, and all other activities associated with construction activity are controlled; (2) where not otherwise required to be under a Regional Water Quality Control Board permit, all non-stormwater discharges are identified and either eliminated, controlled, or treated; (3) site best management practices (BMPs) are effective and result in the reduction or elimination of pollutants in stormwater discharges and authorized non-stormwater discharges from construction activity; and (4) stabilization BMPs are installed to reduce or eliminate pollutants after construction is completed. The SWPPP shall be prepared by a qualified SWPPP developer and included as part of construction specifications. The SWPPP shall include the minimum BMPs required for the identified Risk Level in accordance with NPDES Construction General Permit requirements. BMPs could include, but are not necessarily limited to the use of straw bales, silt fences, fiber rolls, hydroseeding, preservation of existing vegetation, straw mulch, washing of truck tires prior to exiting site, protection of existing storm drain inlets, dedicated refueling areas with secondary containment, and on-site storage of spill prevention kits. BMP implementation shall be consistent with the BMP requirements in the most recent version of the California Stormwater Quality Association Stormwater Best Management Handbook-Construction or the Caltrans Stormwater Quality Handbook Construction Site BMPs Manual.

Submit
Stormwater
Pollution
Prevention Plan
Prior to issuance
of grading
permits
City of
American
Canyon
484
[Version: 10.23.24]
63 Mitigation Measure 4.7-2: Water Discharge Requirements for Dewatering. For areas that may encounter groundwater during excavation activities, the Project Applicant shall incorporate San Francisco Regional Water Quality Control Board (SFRWQCB) discharge requirements into construction specifications for any dewatering activities that may be necessary. The Project Applicant shall provide all requested plans and protocols and incorporate any SFRWQCB additional comments or requests into project specifications for construction activities. Dewatering plans shall include, without limitation, an assessment of water quality, protocols for containment, and thresholds for discharge. No discharge of pumped water for dewatering shall occur prior to approval from SFRWQCB.

Submittal of
dewatering plans
During
excavation
and grading
activities
City of
American
Canyon
485
[Version: 10.23.24]
64 Mitigation Measures
Method of
Verification
Timing of
Verification
Responsible
for
Verification
Verification
of
Completion
Date Initial
Mitigation Measure 4.7-3a: Post-Construction Stormwater Controls. Prior to approval of tentative maps or issuance of building permits for the project, the Project Applicant shall submit documentation to the City to verify that post-construction stormwater controls have been included in the site design in accordance with the requirements of the National Pollutant Discharge Elimination System (NPDES) Phase II Small Municipal Separate Storm Sewer Systems (MS4) Permit and the Bay Area Stormwater Management Agencies Association (BASMAA) Post-Construction Manual. The Project Applicant shall prepare the final Stormwater Control Plan (SCP) and any necessary changes by the City or the SFRWQCB shall be incorporated into project design plans to ensure the required controls are in place and adhere to the requirements of the NPDES Phase II Small MS4 Permit and consistent with the BASMAA manual. At a minimum, the SCP shall demonstrate how the following measures shall be incorporated into the project:
● Low-impact development (LID) site design principles (e.g., preserving natural drainage channels, treating stormwater runoff at its source rather than in downstream centralized controls);
● Source control best management practices (BMPs) in the form of design standards and structural features for all proposed areas of development; ● Source control BMPs for landscaped areas shall be documented in the form of a Landscape
Management Plan that relies on Integrated Pest Management and also includes pesticide and fertilizer application guidelines designed to minimize any off-site discharge; and ● Treatment control measures (e.g., bioretention, porous pavement, vegetated swales) targeting any potential pollutants such as sediment, pathogens, metals, nutrients (nitrogen and phosphorus compounds), oxygen-demanding substances, organic compounds (e.g., PCBs, pesticides), oil and grease, and trash and debris. The SCP shall demonstrate that the project has the land area available to support the proposed BMP facilities sized per the required water quality design storm.

Submit
documentation
of
compliance with
the NPDES
Phase II Small
Municipal
Separate
Storm Sewer
Systems Permit
and the Bay Area
Stormwater
management
Agencies
Association
Postconstruction
Manual
Prior to approval
of tentative
maps or issuance
of building
permits
City of
American
Canyon
486
[Version: 10.23.24]
65 Mitigation Measure 4.7-3b: Compliance with the MS4 Permit. Prior to issuance of any building permits, the Project Applicant shall submit documentation to the City to demonstrate adherence to Provision E.12.h of the Municipal Separate Storm Sewer Systems (MS4) Permit, which requires that an Operation and Maintenance Program is implemented for post-construction stormwater management features. Responsible parties and funding for long-term maintenance of all Best Management Practices (BMPs) must be specified within the Operation and Maintenance Plan. This Plan shall specify a regular inspection schedule of stormwater treatment facilities in accordance with the requirements of the National Pollutant Discharge Elimination System (NPDES) MS4 Permit. Reports documenting inspections and any remedial action conducted shall be submitted regularly to the City for review and approval.

Submit
documentation
that an
Operation and
Maintenance
Program has
been
implemented for
postconstruction
stormwater
management
features
Prior to issuance
of building
permits
City of
American
Canyon
Mitigation Measures
Method of
Verification
Timing of
Verification
Responsible
for
Verification
Verification
of
Completion
Date Initial
Section 4.9: Noise
Mitigation Measure 4.9-1: Construction Noise. To reduce the potential for noise impacts due to construction of the project, the Project Applicant shall require construction contractors to implement the following measures:
● Stationary construction noise sources shall not be located within 200 feet of residence. If necessary to locate this equipment within 200 of existing residences, stationary equipment shall be shielded by temporary noise barriers or acoustic enclosures that are long and tall enough to break line of sight.
● Noise barriers or shielding shall be erected for construction work associated with on-site construction activities that involves heavy construction equipment and occurs within 200 feet of residences for an extended period of time (i.e., more than 2 weeks). The barriers shall be long enough to break line of sight and at least 8 feet in height.

Submit
documentation
verifying
implementation
of
mitigation
implementation,
including
construction
Noise
Management
Plan
During
construction
activities
City of
American
Canyon
487
[Version: 10.23.24]
66 ● Equipment warm up areas and equipment storage areas shall not be located closer than 500 feet of adjacent residences.
● All heavy construction equipment and all stationary noise sources (such as diesel generators) shall have properly functioning manufacturer-installed mufflers. ● Stationary noise sources, such as temporary generators and pumps, shall be positioned as far from nearby receivers as possible, within temporary enclosures and shielded by barriers (which could reduce construction noise by as much as 5 dB), or other measures, to the extent feasible.
● Use “quiet” models of air compressors and other stationary equipment where such technology exists. ● Prohibit unnecessary idling of internal combustion engines. ● To further reduce the potential for impacts, a Construction Noise Management Plan shall be prepared and shall include the following:
○ A process by which to provide a minimum of 2 weeks’ advance notice to all residences located within 200 feet of construction activities that are expected to occur for a period of 2 weeks or longer within a defined area, including the approximate start and end dates of such activities.
○ Signs shall be posted at all project entrances upon commencement of construction for the purposes of informing all contractors/subcontractors, their employees, agents, material haulers, and all other persons at the project of the basic requirements of Mitigation Measure 4.9-1.
○ Publicly visible signs shall be posted on security fencing at multiple locations around the perimeter of the project construction boundary that include:
■ Permitted construction days and hours.
■ A telephone number and designated person to contact for registering noise complaints. The designated person shall be available to respond to, and if necessary through complaint verification, take corrective action to ensure that noise emissions from the offending equipment or activity is addressed. Corrective action shall be applied immediately if feasible, and within no later than 48 hours after receipt of the noise complaint. The designated person shall track complaints and corrective actions taken to resolve noise complaint issues. 488
[Version: 10.23.24]
67 Mitigation Measures
Method of
Verification
Timing of
Verification
Responsible
for
Verification
Verification
of
Completion
Date Initial
Section 4.12: Transportation and Traffic
Mitigation Measure 4.12-3a (same as Mitigation Measure 4.2-2a in Section 4.2, Air Quality and Greenhouse Gas Emissions): Transportation Demand Management (TDM) Program.

Prior to issuance of the first building permit for the non-residential use areas (i.e., Napa Valley Ruins & Gardens [NVR&G] and hotel), the Project Applicant shall develop a TDM program for the non-residential use areas (i.e., NVR&G and hotel) and shall submit the TDM program to the City Department of Public Works for review and approval. The Project Applicant shall be responsible for funding and overseeing the delivery of trip reduction/TDM proposed programs and strategies, which may include, but are not limited to, the following:

1. Establishment of carpool, buspool, or vanpool programs;

2. Vanpool purchase incentives;

3. Cash allowances, passes or other public transit subsidies and purchase incentives;

4. Preferential parking locations for ridesharing vehicles;

5. Computerized commuter rideshare matching services;

6. Guaranteed ride-home program for ridesharing;

7. Bicycle programs including bike purchase incentives, storage, and maintenance programs;

8. On-site car share and bike share service;

9. Preparation of a Parking Management Plan to address parking accommodations for large events;

10. Designation of an on-site transportation coordinator for the project;

11. Transit and trip planning resources such as commute information kiosk;

12. Employer-provided showers, changing rooms, and clothing lockers for office employees that commute via active transportation;

13. Bicycle route mapping resources;

14. Participation in future citywide Transportation Management Association (TMA); and

15. Submit annual reports to the City regarding TDM activities.

Approval of TDM
program
Prior to issuance
of first building
permit
for the
nonresidential
use area (i.e.,
NVR&G and
hotel)
City of
American
Canyon
489
490
491
492
493
494

MASTER CONDITIONS OF APPROVAL
FOR AC-1 PORTION OF WATSON RANCH
1 Copyright © 2020 by Michael Patrick Durkee. All rights reserved. No portion of these Master Conditions may be reproduced, stored for retrieval or used or reused in any form or by any means, electronic, mechanical or otherwise, without the prior written consent of Michael Patrick Durkee.

A. MASTER CONDITIONS - GENERALLY
Master
COA # Developer Obligations Mechanism Implementation; Parcel # Status

1. These Master Conditions of Approval (“ Master Conditions”) adopted by the City of American Canyon (“ City”) relate only to the American Canyon I, LLC portion of the City’ s Watson Ranch project (“ Project”). American Canyon I, LLC shall also be referred to herein as “ AC-1,” “ Master Developer,” Developer,” and/or “Applicant,” and shall include successors, as explained and controlled by the Development Agreement between the City and AC-1 Development Agreement”). Unless otherwise defined in these Master Conditions, terms and phrases used in these Master Conditions shall have that meaning set forth in the Development Agreement. The Development Agreement, as amended over time, shall control over these Master Conditions and any subsequent “ Specific Conditions,” as described herein. These Master Conditions provide certain provisions of the Development Agreement.

However, regardless of whether present or not in these Master Conditions, the entire Development Agreement, as amended over time, shall apply to, and control over, these Master Conditions.

Relevant
Subsequent
Approvals
Pre-Final Map,
Grading Permit,
Construction
Permit, Building
Permit,
Occupancy
Permit
Applicable
or
Satisfied

2. The Project’ s “ Large Lot Vesting Tentative Map” was approved and later recorded as the “ Large Lot Final Map,” producing twenty four (24) lots/parcels Large Lot Parcels”). Each of those Large Lot Parcels will be further subdivided over time creating additional lots/parcels. These Master Conditions apply to the Project, the large Lot Parcels, and all such subsequent subdivision map approvals. The idea behind these Master Conditions is to establish a consistent set of “rules” ( Conditions of Approval) that can be used throughout the implementation of the Project, thereby ensuring certainty and efficiency.

Relevant
Subsequent
Approvals
Pre-Final Map,
Grading Permit,
Construction
Permit, Building
Permit,
Occupancy
Permit
Applicable

3. These Master Conditions also express certain requirements from the Watson Ranch Specific Plan.

Relevant
Subsequent
Approvals
Pre-Final Map,
Grading Permit,
Construction
Permit, Building
Permit,
Occupancy
Permit
Applicable

4. These Master Conditions also contain the relevant Mitigation Measures relating to the Project, including without limitation, the EIR’s Mitigation Monitoring and Reporting Program, as clarified, updated and refined by these Master Conditions to reflect implementation progress.

Relevant
Subsequent
Approvals
Pre-Final Map,
Grading Permit,
Construction
Permit, Building
Permit,
Occupancy
Permit
Applicable

5. These Master Conditions also contain requirements from the City's standard Subdivision Improvement Agreement (“ SIA”) in order to streamline the future SIA process. Subsequent subdividing of the Project will involve SIAs, which SIAs will employ these Master Conditions.

SIA Pre-Final Map,
Grading Permit,
Construction
Permit, Building
Permit,
Occupancy
Permit
Applicable
495

MASTER CONDITIONS OF APPROVAL
FOR AC-1 PORTION OF WATSON RANCH
2 Copyright © 2020 by Michael Patrick Durkee. All rights reserved. No portion of these Master Conditions may be reproduced, stored for retrieval or used or reused in any form or by any means, electronic, mechanical or otherwise, without the prior written consent of Michael Patrick Durkee.

6. In addition to these Master Conditions, “ Specific Conditions of Approval” also referred to as “ Specific Conditions) resulting from the subsequent subdivision map approvals, Design Permit/Guidelines approvals, and/or other development approvals may be drafted and imposed on a Large Lot Parcel’ s subsequent development. Such Specific Conditions may stand alone and be imposed in addition to these Master Conditions, and/or may be added to these Master Conditions over time. Any and all such Specific Conditions shall be subject to and controlled by these Master Conditions, which Master Conditions shall be be subject to, and controlled by, -the Development Agreement. If a conflict arises between these Master Conditions, and/or any Specific Conditions and the express and/or implied provisions of the Development Agreement, as amended over time, the Development Agreement shall control.

Where possible, these Master Conditions describe the “ Mechanism” for satisfying the Master Condition ( for example, subdivision map approval, adopted Design Guidelines, etc.), the “ Implementation” timing of the Master Condition (for example, Building Permit issuance), and the “ Status” of such Master Condition performance ( whether the requirement is still “Applicable, whether it has been “ Completed,” etc.). Additionally, through subsequent mapping” of a particular Large Lot Parcel pursuant to the Subdivision Map Act, listed Master Conditions applicable to that Parcel may be further organized into relevant Phases ( phased final maps) of that Parcel, if applicable.

As used in these Master Conditions, a reference to “All” or “All Parcels” shall mean that the Master Condition is setting a general rule that applies to the development of any and all Large Lot Parcels. When these Master Conditions provide that the Master Condition in question shall apply to “Applicable Parcels,” that means that each Parcel over which the Master Backbone Infrastructure (MBI) in question lies and/or abuts (and therefore the Parcel is responsible for the “Parcel’ s MBI Portion”) is one of the “ Applicable Parcels.” Relevant
Subsequent
Approvals
Pre-Final Map,
Grading Permit,
Construction
Permit, Building
Permit,
Occupancy
Permit
Applicable

7. As used in these Master Conditions, the following definitions shall apply.

SIA” shall mean the relevant/applicable “Subdivision Improvement Agreement.” “ Major Backbone Infrastructure” work or “MBI” shall have that meaning provided by the Development Agreement. “ Public Improvements” work shall mean infrastructure improvements to be constructed by Developer, and then dedicated to, accepted by, and opertated and maintained by, City.

Private Improvements” shall mean infrastructure improvements that shall be constructed by Developer and not be dedicated to, accepted by, and opertated and maintained by, City. “Improvement Plans” shall mean those improvement plans and specifications relating to MBI, Public Improvements, and/or Private Improvements. Developer shall obtain City approval of all Improvement Plans for the relevant MBI, Public Improvements, and/or Private Improvements work. All work on the relevant MBI, Public Improvements, and/or Private Improvements shall be performed by Developer at the places, at the grades, with the materials, and in the manner as shown on the City-approved Improvement Plans. Additionally, the phrase: “ Pre-Final Map, Final Map Recordation, Grading Permit, Construction Permit, Building Permit, Occupancy Permit” shall mean that the timing of performance of the particular Master Condition will be satisfied at one of those performance events, as will be determined by the Subsequent Approval.

Relevant
Subsequent
Approvals
Pre-Final Map,
Grading Permit,
Construction
Permit, Building
Permit,
Occupancy
Permit
Applicable
496

MASTER CONDITIONS OF APPROVAL
FOR AC-1 PORTION OF WATSON RANCH
3 Copyright © 2020 by Michael Patrick Durkee. All rights reserved. No portion of these Master Conditions may be reproduced, stored for retrieval or used or reused in any form or by any means, electronic, mechanical or otherwise, without the prior written consent of Michael Patrick Durkee.

8. Unless otherwise set forth in these Master Conditions, or unless otherwise agreed to by City and Developer, each Parcel shall be responsible for the entirety of the design and construction of the “ Master Backbone Infrastructure” ( also “ MBI”) of the Public Improvement for the geographic distance of the Parcel’ s entire frontage on such MBI, and/or the entire geographic distance that such MBI traverses such Parcel (“ Parcel’ s MBI Portion”). For example, if the MBI in question is Rio Del Mar, then the Parcel in question shall be responsible for the design and construction of all of that portion of Rio Del Mar that traverses and/or abuts such Parcel, i.e., the Parcel’ s MBI Portion.” Such Parcel MBI Portion design and construction shall be to the “ ultimate design” of the MBI in question, including without limitation, ultimate width, depth, curb, gutter, sidewalk, street lighting, landscaping, etc. City, Developer, and the owner /builder of the relevant Parcel if different than Developer) may by mutual agreement refine the requirements of this Master Condition. Therefore, if the Master Conditions provide that the Master Condition in question shall apply to “Applicable Parcels,” that means that each Parcel over which the MBI in question lies and/or abuts ( and therefore the Parcel is responsible for the “ Parcel’ s MBI Portion”) is one of the Applicable Parcels.” If the MBI in question traverse and/or abuts more than one Parcel, then the responsibility of each such Parcels shall be determined Proportional Share”) and the first Parcel (of such Parcels) to develop shall be responsible for the design and construction of all of that portion of MBI and that traverses and/or abuts such first Parcel ( i.e., the “ Parcel’ s MBI Portion”) and such first Parcel shall have the right to secure a Reimbursement Agreement from the City so that such first Parcel is reimbursed by such other Parcels for such other Parcels’ Proportional Share at such time when such other Parcel(s) would have otherwise been responsible to provide such MBI, or at such other time/or by such means as is mutually agreed to by City and Developer.

Applicable
Parcels
Parcel’ s
MBI Portion
Reimburse
Pre-Final Map,
final map
recordation,
Grading Permit,
Construction
Permit, Building
Permit,
Occupancy
Permit
Applicable

9. When Parcel-necessary infrastructure has not yet been brought to the physical geographic) location of the Parcel in question to be developed (the “ Relevant Parcel”), then the development of such Relevant Parcel shall require (unless otherwise agreed between City and Developer) that such Relevant Parcel shall provide and construct all of the MBI otherwise required of other Parcels (the Parcel MBI Portion of all such other Large Lot Parcels) over which the MBI is needed to traverse and/or abut in order to access the Relevant Parcel and bring and provide such Parcel-necessary infrastructure to the Relevant Parcel. In such a case, the Relevant Parcel shall have the right to secure a Reimbursement Agreement from the City so that the costs of such additional provision and construction by the Relevant Parcel of the MBI otherwise required of such other Parcels is reimbursed to the Relevant Parcel at such time as such other Parcel(s) would have otherwise been responsible to provide such infrastructure, or at such other time/or by such means as is mutually agreed to by City and Master Developer.

Relevant
Parcels
Parcel’ s
MBI Portion
Reimburse
Pre-Final Map,
Grading Permit,
Construction
Permit, Building
Permit,
Occupancy
Permit
Applicable

10. When a Large Lot Parcel is further subdivided, it shall have its own separate SIA and attached Exhibit(s) containing relevant Master Conditions and any other Specific Conditions, as described herein.

SIA
Pre-Final Map,
Grading Permit,
Construction
Permit, Building
Permit,
Occupancy
Permit
Applicable
497

MASTER CONDITIONS OF APPROVAL
FOR AC-1 PORTION OF WATSON RANCH
4 Copyright © 2020 by Michael Patrick Durkee. All rights reserved. No portion of these Master Conditions may be reproduced, stored for retrieval or used or reused in any form or by any means, electronic, mechanical or otherwise, without the prior written consent of Michael Patrick Durkee.

11. These Master Conditions apply to Developer, and Developer’ s successors, as more specifically set forth in the Development Agreement, as amended over time.

Relevant
Subsequent
Approvals
Pre-Final Map,
Grading Permit,
Construction
Permit, Building
Permit,
Occupancy
Permit
Applicable
B. MASTER CONDITIONS - SPECIFIC PLAN
Master
COA # Developer Obligations
Mechanism Implementation;
Parcel # Status

12. PHASING OF PRIVATE DEVELOPMENT
NVR& G is a development priority in the Specific Plan. Development of the NVR& G may commence pursuant to the phasing plan as part of phase 1. If not initiated during phase 1 of the residential development, the NVR& G must commence development in conjunction with the start of phase 2 of the residential development. Developer shall have the right to commence development of any portion of the NVR& G at any time provided necessary MBI and other Public Improvements are constructed and operational before or at the time of occupancy of such portion of the NVR& G.

Relevant
Subsequent
Approvals
Relevant Parcel Applicable
C. MASTER CONDITIONS – DEVELOPMENT AGREEMENT
Master
COA #
Section
and
Page
Developer Obligations Mechanism Implement. Status

13. The entire Development Agreement, as amended, shall apply.

Any reference in these Master Conditions to “Development Agreement” shall mean the Development Agreement by and
between AC-1 and City, as amended over time. The following Master Conditions provide certain terms and conditions set forth in the Development Agreement, and shall automatically be amended as the Development Agreement is amended over time. Not all Development Agreement terms and conditions are set forth below; however, all terms and conditions of the Development Agreement, as amended over time, shall
nonetheless apply to the Project, the Project Approvals, these Master Conditions, and any Specific Conditions, regardless of whether or not set forth herein.

Relevant
Subsequent
Approvals
Pre-Final
Map,
Grading
Permit,
Construction
Permit,
Building
Permit,
Occupancy
Permit
Applicable

14. §§ 2.06
through

2.07