December 20, 2022
LAKE FOREST CITY COUNCIL AGENDA Page 1
AGENDA
LAKE FOREST CITY COUNCIL
Regular Meeting of the City Council
Tuesday, December 20, 2022
Public Session 6:30 p.m.
City Council Chambers, 100 Civic Center Drive, Lake Forest, California
NOTICE: Pursuant to Lake Forest Municipal Code Section 2.04.010, Regular Meetings of the City Council are held the First and Third Tuesday of each month at the hour of 5:30 p.m. for Closed Session matters, if required. The Public Session of the meeting shall commence at 6:30 p.m. or as soon thereafter as possible. Special Meeting times may be held at a different time and date as listed on the Agenda.
AGENDA DOCUMENT REVIEW: The Agenda and staff reports are available on the Internet at https://www.lakeforestca.gov/en/government/meeting-agendas-and-minutes/meeting-agendas and at the City Clerk’s Office, 100 Civic Center Drive, Lake Forest, California, on the Friday before the meeting on Tuesday.
AGENDA DESCRIPTION: The Agenda descriptions are intended to give notice to members of the public of a general summary of items of business to be transacted or discussed. The listed Recommended Action represents staff’s recommendation. The City Council may take any action which it deems to be appropriate on the agenda item and is not limited in any way by the recommended action.
AGENDA ON SOCIAL MEDIA: This meeting will be streamed through Facebook Live. Comments will not be taken via Facebook Live. To ensure that the City Council receives your comments, you may submit written comments or voicemail messages to the City Clerk prior to the meeting. The City provides the Facebook Live stream as an additional service to the public. However, the City cannot guarantee that its network and/or the site will be uninterrupted.
The City is not responsible for
any interrupted service.
SPECIAL NOTICE REGARDING PUBLIC ACCESS TO THE MEETING AND PUBLIC COMMENT:
ASSEMBLY BILL 361: This meeting will occur in accordance with Government Code section 54953(e) et seq. (“AB 361”) wherein the City of Lake Forest City Council may continue to participate in meetings via teleconference.
PUBLIC PARTICIPATION: In addition to attending in person, pursuant to AB 361 members of the public may access the meeting live on our website at https://www.lakeforestca.gov/en/government/meeting-agendas-and-minutes/meeting- agendas.
PUBLIC COMMENT PRIOR TO THE MEETING: Members of the public may submit email comments to [email protected]. Email comments will be uploaded to the agenda packet and made part of the official public record of the meeting and will not be read at the meeting. To ensure staff reviews all comments prior to the City Council meeting, please submit email comments no later than 5:00 p.m. the day of the meeting.
PUBLIC COMMENT: Members of the public may provide comments in-person at the meeting or remotely. Those wishing to provide comments in-person at the meeting will be asked to submit a request to speak to the City Clerk. Those wishing to provide comments remotely may join the meeting online at https://call.lifesizecloud.com/5038350 and enter Passcode 1004# or by phone at (312) 584-2401 and enter meeting number 5038350# followed by Passcode 1004#.
December 20, 2022
LAKE FOREST CITY COUNCIL AGENDA Page 2
CALL TO ORDER: 6:30 p.m.
Council Members: Mark Tettemer
Scott Voigts
Benjamin Yu
Mayor Pro Tem: Doug Cirbo
Mayor: Robert Pequeño
City Manager: Debra Rose
City Attorney: Matthew E. Richardson
City Clerk: Lisa Berglund
PUBLIC SESSION: 6:30 p.m.
PUBLIC SESSION: At this time, the City Council will convene to consider public matters. Those wishing to address the City Council must submit a completed “Request to Speak” form to the City Clerk prior to City Council action.
INVOCATION: The Invocation will be provided by Chaplain John Siu, Orange County Sheriff’s Department.
PLEDGE OF ALLEGIANCE: The Pledge of Allegiance to the Flag of our Country to be led by Mayor Pequeño.
PRESENTATIONS: (Item Nos. 1 – 4)
1. RECOGNITION OF THE 2022 LAKE FOREST ACADEMY GRADUATES
RECOMMENDED ACTION: Recognize the residents who graduated from the Lake Forest Academy in 2022.
2. EMPLOYEE SERVICE AWARD
RECOMMENDED ACTION: Present Employee Service Awards to those present.
3. MAYOR'S AWARD
December 20, 2022
LAKE FOREST CITY COUNCIL AGENDA Page 3
RECOMMENDED ACTION: 1. Recognize the finalists for the 2022 Mayor’s Award.
2. Present the 2022 Mayor's Award to the selected recipient(s).
4. COMMUNITY GIFT CARD PROGRAM UPDATE
RECOMMENDED ACTION: Receive and file.
PUBLIC COMMENTS
Members of the public can submit an e-comment to [email protected]. E-comments will not be read at the meeting.
Members of the public may also provide comments in- person at the meeting or remotely. Those wishing to provide comments in - person at the meeting will be asked to submit a request to speak to the City Clerk. Those wishing to provide comments remotely may join the meeting online at https://call.lifesizecloud.com/5038350 and enter Passcode 1004# or by phone at (312) 584- 2401 and enter meeting number 5038350# followed by Passcode 1004#.
CONSENT CALENDAR (Item Nos. 5 – 14)
All matters listed under the Consent Calendar are considered routine and will be enacted by one vote. There will be no separate discussion of these items unless Members of the City Council, the public, or staff request specific items be removed from the Consent Calendar for separate action.
5. MOTION TO WAIVE READING OF RESOLUTIONS AND ORDINANCES
RECOMMENDED ACTION: Said Ordinances and Resolutions which appear on the public agenda shall be determined to have been read by title and further reading waived.
6. CONTINUING TO HOLD VIRTUAL MEETINGS PURSUANT TO AB 361
RECOMMENDED ACTION: Make renewed findings that a state of emergency remains in effect and that state and local officials continue to recommend measures that promote social distancing.
7. LOCAL APPOINTMENT LIST "MADDY ACT"
RECOMMENDED ACTION: Affirm the City of Lake Forest Local Appointments List, as submitted.
8. MONTHLY TREASURER'S REPORT - NOVEMBER 2022
RECOMMENDED ACTION: Receive and file.
December 20, 2022
LAKE FOREST CITY COUNCIL AGENDA Page 4
9. ADOPTION OF UPDATED PART-TIME EMPLOYEE CLASSIFICATION
PLAN AND COMPENSATION SCHEDULE
RECOMMENDED ACTION: Adopt a Resolution entitled: A RESOLUTION
OF THE CITY COUNCIL OF THE CITY OF LAKE FOREST,
CALIFORNIA, ADOPTING A REVISED CLASSIFICATION PLAN AND
COMPENSATION SCHEDULE.
10. AGREEMENT WITH EVERBRIDGE TO PROVIDE NIXLE 360
EMERGENCY COMMUNICATIONS SERVICES
RECOMMENDED ACTION: 1. Approve a sole-source Master Service Agreement with Everbridge, Inc. for Nixle 360 resident notification services.
2. Authorize the City Manager to sign, and the City Clerk to attest, the Master Services Agreement substantially in the form attached and authorize payment for up to five years.
11. FIRST AMENDMENT TO AGREEMENT WITH INTERWEST
CONSULTING GROUP, INC. FOR BUILDING AND SAFETY SERVICES
RECOMMENDED ACTION: 1. Approve the First Amendment to the Interwest Consulting Group, Inc. (“Interwest”) Agreement for Building and Safety Services to increase total compensation by $2,240,000 for a total not-to-exceed amount of $5,840,000 and add a new billing rate for overtime building and safety services, which may be requested and funded by an applicant.
2. Authorize the Mayor to sign, and the City Clerk to attest, the First Amendment substantially in the form attached.
12. AWARD OF CONTRACT FOR CONTRACT ADMINISTRATION AND
CONSTRUCTION INSPECTION SERVICES – SENIOR CENTER PATIO
SHADE STRUCTURE
RECOMMENDED ACTION: 1. Award a Professional Consultant Services Agreement to Transtech Engineers, Inc. with a compensation amount of $69,405 for Contract Administration and Construction Inspection Services - Senior Center Patio Shade Structure.
December 20, 2022
LAKE FOREST CITY COUNCIL AGENDA Page 5
2. Authorize the Mayor to sign, and the City Clerk to attest to the Agreement substantially in the form attached.
13. UPDATED RECORDS RETENTION SCHEDULE
RECOMMENDED ACTION: Adopt a Resolution entitled: A RESOLUTION
OF THE CITY COUNCIL OF THE CITY OF LAKE FOREST,
CALIFORNIA, ADOPTING AND UPDATING THE CITY-WIDE RECORDS
RETENTION SCHEDULE FOR THE RETENTION AND DESTRUCTION
OF RECORDS MAINTAINED BY THE CITY AND RESCINDING
RESOLUTION NO. 2016-20.
14. CONSIDERATION OF CATALYTIC CONVERTER PROGRAM
PARTICIPATION AGREEMENTS AND AN AGREEMENT WITH YIFTEE,
INC.
RECOMMENDED ACTION:
1. Approve and authorize the City Manager to
enter into the proposed Participation Agreements with various local businesses pursuant to the Catalytic Converter Painting & Etching Program and the Catalytic Converter Shield Program Guidelines.
2. Authorize the City Manager to enter into subsequent Participation Agreements with future applicants of the Catalytic Converter Painting & Etching and Catalytic Converter Shield Programs pursuant to the guidelines of each program.
3. Approve and authorize the City Manager to enter into the proposed Agreement with Yiftee, Inc. to administer an up-front gift card rebate program as part of the Catalytic Converter Shield Program.
4. Approve the proposed changes to the Program Guidelines for the Catalytic Converter Painting & Etching Program and the Catalytic Converter Shield Program.
PUBLIC HEARING(S) (Item Nos. 15)
Public Hearings are scheduled for a time certain of 6:30 p.m. or as soon thereafter as possible. City Council, when considering the matter scheduled for hearing, will take the following actions: 1. Open the Public Hearing. 2. Receive staff report. 3. Accept public testimony. 4. City Council comments and questions. 5. Take appropriate action. Those wishing to address the City Council during the Public Hearing must complete a Request to Speak form and provide it to the City Clerk prior to the hearing.
December 20, 2022
LAKE FOREST CITY COUNCIL AGENDA Page 6
15. AUTHORIZING APPLICATION FOR PERMANENT LOCAL HOUSING
ALLOCATION PROGRAM GRANT AND APPROVAL OF THE
PROPOSED FIVE-YEAR PLAN
RECOMMENDED ACTION: 1. Conduct the noticed public hearing to review and consider the Five-Year Permanent Local Housing Allocation Plan.
2. Adopt a Resolution entitled: AUTHORIZING RESOLUTION OF THE
CITY COUNCIL OF THE CITY OF LAKE FOREST, CALIFORNIA
AUTHORIZING THE APPLICATION AND ADOPTING THE PERMANENT
LOCAL HOUSING ALLOCATION (PLHA) PLAN FOR THE PLHA
PROGRAM.
3. Authorize the City Manager to execute the Permanent Local Housing Allocation Program Application, the Permanent Local Housing Allocation Program Standard Agreement, and any subsequent amendments or modifications related to the Program or grant.
DISCUSSION/ACTION ITEMS (Item Nos. 16 – 20)
The following matters are for City Council consideration/discussion/action. Members of the public may have the opportunity to address these items if they wish to do so. Please complete the Request to Speak form and give to the City Clerk.
16. GENERAL UPDATE OF POSSIBLE OPTIONS TO ADDRESS IMPACTS
FROM WAREHOUSING AND DISTRIBUTION FACILTIY USES IN THE
CITY
RECOMMENDED ACTION: Direct staff to procure a consultant to study the impact of expanded large scale warehouse, distribution, and manufacturing uses in the community, including potential health, compatibility, traffic, and economic impacts. Direct staff to administer a public engagement process both during and after the completion of the study. Exercise discretion in directing staff to return to the City Council at a subsequent City Council meeting with a large scale warehouse, distribution, and manufacturing-related uses.
17. PROFESSIONAL SERVICES AGREEMENT FOR INVESTMENT
ADVISORY AND MANAGEMENT SERVICES
December 20, 2022
LAKE FOREST CITY COUNCIL AGENDA Page 7
RECOMMENDED ACTION: 1. Award an Agreement for Professional Services to Chandler Asset Management for Investment Advisory and Management Services.
2. Authorize the Mayor to sign, and the City Clerk to attest, the award of contract to Chandler Asset Management, substantially in the form attached.
18. SELECTION OF MAYOR AND MAYOR PRO TEM FOR THE 2023
CALENDAR YEAR
RECOMMENDED ACTION: 1. SELECTION OF MAYOR:
a. OPEN nominations for Mayor;
b. CLOSE nominations for Mayor;
c. Members of the City Council VOTE;
d. City Clerk will DECLARE results.
e. Mayor assumes the role as Mayor on January 1, 2023.
2. SELECTION OF MAYOR PRO TEM:
a. OPEN nominations for Mayor Pro Tem;
b. CLOSE nominations for Mayor Pro Tem;
c. Members of the City Council VOTE;
d. City Clerk DECLARE results.
e. Mayor Pro Tem assumes the role as Mayor Pro Tem on January 1, 2023.
19. RECOGNITION OF MAYOR PEQUEÑO FOR HIS SERVICE IN 2022
RECOMMENDED ACTION: Present gavel to Mayor Pequeño in
recognition of his service and leadership in 2022.
20. COMMENTS BY OUTGOING MAYOR
RECOMMENDED ACTION: Extend the opportunity to outgoing Mayor Pequeño to present comments.
CITY MANAGER'S REPORT
At this time, the City Manager may comment on agenda and non-agenda items; and report on items of interest to the City Council and community.
December 20, 2022
LAKE FOREST CITY COUNCIL AGENDA Page 8
CITY COUNCIL COMMENTS
At this time, City Council Members may comment on agenda or non-agenda matters. No discussion may take place on any item not appearing on the posted agenda. Council Members may ask a question for clarification, respond to statements made or questions posed by the public, make a brief announcement, or make a brief report on his or her own activities. In addition, the City Council may refer to staff or other resources for factual information, request staff to report back at a subsequent meeting or direct staff to place a matter of business on a future agenda. No action may be taken on non-agenda matters unless authorized by law (Government Code Section 54954.2).
Council Member Tettemer:
Council Member Voigts:
Council Member Yu:
Mayor Pro Tem Cirbo:
Mayor Pequeño:
ADJOURNMENT:
In compliance with the Americans With Disabilities Act, if you need special assistance to participate in this Meeting, including auxiliary aids or services, you should contact the Office of the City Clerk at (949) 461-3400. Notification 48 hours prior to the Meeting will enable the City to make reasonable arrangements to assure accessibility to this meeting. The City Council agenda and agenda back-up materials can be obtained from the Office of the City Clerk on the Friday prior to the City Council meeting. Copies of all Agendas, Staff Reports and Supporting Materials can also be found on the City’s website – https://www.lakeforestca.gov/129/Agendas. Agenda and agenda packets, if requested, will be made available in an appropriate alternative format to persons with a disability as required by the Americans With Disabilities Act. Copies of the agenda are provided at no cost and agenda back-up materials are available at the per page copy cost.
The City of Lake Forest mailing address is City Council Chambers, 100 Civic Center Drive, Lake Forest, California.
Phone: (949) 461-3400. FAX (949) 461-3511
CERTIFICATION: I, Lisa Berglund, City Clerk of the City of Lake Forest, California, hereby certify that the foregoing agenda was posted for public review at City Hall on December 15, 2022.
Lisa Berglund
City Clerk
CITY COUNCIL AGENDA REPORT
MEETING DATE: 12/20/2022
DEPARTMENT: Management Services
SUBJECT:
RECOGNITION OF THE 2022 LAKE FOREST ACADEMY GRADUATES
RECOMMENDED ACTION(S):
Recognize the residents who graduated from the Lake Forest Academy in 2022.
EXECUTIVE SUMMARY:
The Citizens Leadership Academy launched in 2003 to give residents insights into how the City operates. In 2022, the program was rebranded as the Lake Forest Academy and featured eight weeks of presentations by each City department, as well as the Orange County Fire Authority, Orange County Sheriff's Department, El Toro Water District, Irvine Ranch Water District, and Southern California Edison. Graduating members of the Class of 2022 will receive a certificate from the City Council during tonight’s meeting.
The graduating members are Ryan Adams, Eliza Beber, Jason Beber, Judy Curry, Eric Gates, Laura Getz, Hiva Kamangar, Jennifer Mavros, Bindu Mishra, Darleen Perkins, Melanie Rocha, Chris Sauritch, Maria Speranza, Kacper Turek, Benjamin Yu, Maryam Zand, Jie Zhao, and Janelle Zwicker.
FISCAL IMPACT:
There is no fiscal impact associated with the recommended action.
ATTACHMENT:
Lake Forest Academy Graduate Certificate
Initiated By: Jonathan Volzke, Communications and Marketing Manager Submitted By: Brett Channing, Deputy City Manager
Approved By: Debra Rose, City Manager
Item: 1
9 ATTACHMENT
Item: 1
10 Certificate of Completion
_______________
City of Lake Forest Awards
Excellence in Completing Lake Forest Academy 2022
Robert Pequeno
City of Lake Forest Mayor
Item: 1
11 CITY COUNCIL AGENDA REPORT
MEETING DATE: 12/20/2022
DEPARTMENT: Management Services
SUBJECT:
EMPLOYEE SERVICE AWARD
RECOMMENDED ACTION(S):
Present Employee Service Awards to those present.
EXECUTIVE SUMMARY:
On June 4, 2002, the City Council established the Employee Service Award Program based upon years of service. All City of Lake Forest employees are eligible for the program, apart from contract and temporary employees. This evening, the City recognizes fifteen (15) employees for their years of service to the City of Lake Forest. As part of the recognition program, employees receive $100 for each five-year service milestone ($20 per year).
Name Title Hire Date
Service Award
Eligibility
Sharlyn
San Miguel de
la Paz
Senior Management Analyst 10/16/2017 5 years
Jonathan
Volzke
Communications and
Marketing Manager 10/02/2017 5 years
Jennifer Weiss Records Coordinator 10/02/2017 5 years
Carole Langford Administrative Specialist 06/13/2017 5 years Marisa
Covarrubias Recreation Specialist 06/13/2017 5 years
Jonathan
Huynh Recreation Specialist 06/13/2017 5 years
Item: 2
12 2
2 6
4 Name Title Hire Date
Service Award
Eligibility
Brett Channing Deputy City Manager 05/30/2017 5 years
Kevin
Fernandez Recreation Supervisor 05/12/2017 5 years
Shane Young Recreation Leader 05/09/2017 5 years
Shelly Cisneros Human Resources Manager 01/09/2017 5 years Steven Hauver Recreation Specialist 05/07/2012 10 years Thomas
Wheeler
Director of Public
Works/City Engineer 01/30/2012 10 years
Aubree Gahan Recreation Coordinator 09/25/2007 15 years Pamela
Rehwoldt Senior Recreation Leader 06/25/2007 15 years
Victoria Blethen Recreation Manager 11/01/2002 20 years FISCAL IMPACT:
There is minimal fiscal impact associated with the recommended action.
ATTACHMENTS:
Sample Employee Service Award
Initiated By: Shelly Cisneros, Human Resources Manager
Submitted By: Brett Channing, Deputy City Manager
Approved By: Debra Rose, City Manager
Item: 2
13 Attachment
Item: 2
14 Certificate of Appreciation
Five Year
Service Award
The Lake Forest City Council
recognizes
Employee
Title
2017 ~ 2022
In gratitude for five years of dedicated service to the City of Lake Forest.
Robert Pequeño
M
ayor
Doug Cirbo
Mayor Pro Tem
Mark Tettemer
Council Member
Scott Voigts
Council Member
Benjamin Yu
Council Member
Item: 2
15 CITY COUNCIL AGENDA REPORT
MEETING DATE: 12/20/2022
DEPARTMENT: Management Services
SUBJECT:
MAYOR'S AWARD
RECOMMENDED ACTION(S):
1. Recognize the finalists for the 2022 Mayor’s Award.
2. Present the 2022 Mayor's Award to the selected recipient(s).
EXECUTIVE SUMMARY:
In May 2018, the City Council established a Mayor’s Award to be awarded annually based upon exceptional performance by a staff member. City employees submitted nine nominations with four finalists reviewed by the City Council Ad-Hoc committee, comprised of the Mayor and Mayor Pro Tem, for selection. Tonight, the Mayor’s Award will be presented to the selected recipient(s) whom the Mayor and Mayor Pro Tem felt best exemplified the established criteria over the past year.
BACKGROUND:
In May 2018, the City Council established a Mayor’s Award to be awarded annually based upon exceptional performance by a staff member. In March 2021, the policy was updated to allow for more than one employee to receive the award each year (Attachment 1). Per the policy, nominations are submitted by City employees and members of the City Council using the Mayor’s Award Nomination Form. Received nominations are then reviewed by the Management Team. The Management Team recommends three to five “finalist” nominees for the City Council Ad-Hoc committee to review. The City Council Ad- Hoc committee, comprised of the Mayor and Mayor Pro-Tem, will select one employee or group of employees from the finalists who they feel best exemplifies the established criteria.
Nominations for the Mayor’s Award are presented to employees who have demonstrated excellence in one or more of these criteria areas:
Item: 3
16 2
2 6
5 1.Performance: Continued and repeated excellence in overall job performance, which exceeded job requirements and achieved outstanding results.
2.Problem-solving: Solved an extraordinary problem or achieved a considerably difficult goal.
3.Innovation: Successfully implemented an innovative idea where an outstanding result, such as significant cost savings or maximized program effectiveness was identified.
4.Outstanding Act: Achieved an outstanding act, which brings positive recognition to the City from the public or media.
5.Customer Service: Provided exceptional support to a resident or City department, division, project, group or individual.
6.Teamwork: Efforts created excellent teamwork, resulting in a significant accomplishment by the team.
7.Community Contribution: Facilitating a positive change by contributing time, talent, or leadership to one or more community organizations.
______________
DISCUSSION:
This year, nine nominations were submitted for the Mayor’s Award. Of the nine, the Management Team selected four finalists for the Mayor and Mayor Pro Tem to consider.
1.Kevin Fernandez: Kevin works as the Recreation Supervisor at the Etnies Skate Park. In addition to meeting the busy programing needs of the facility, Kevin works diligently on the City’s Special Needs program. Kevin is consistently
commended for his creative programing and positive
personality by the special needs and skate community.
2.Justin Kirk: Justin is a Street Maintenance Administrator in Public Works. Not only does Justin provide excellent oversight on a number of complex projects, but he is also always willing to assist his teammates and go the extra mile. Justin is always willing to take on extra tasks to get the work completed.
3.Jennifer Mansur: Jennifer is a Senior Planner in Community Development and has been with the City for over 17 years.
Jennifer consistently works at a high performing level in both speed and accuracy. Jennifer plays an integral role within her department to support the successful completion of the City’s development projects.
Item: 3
17 2
2 6
5 4.Nidia Ruelas: Nidia is the Management Analyst in the Finance Department. Nidia led the implementation of the City’s first two-year operating budget. Her hard work and diligence resulted in the City receiving a Distinguished Budget Award, the first in City history.
Tonight, the Mayor’s Award will be presented to the selected winner(s), whom the Mayor and Mayor Pro Tem felt best exemplified the established criteria over the past year. All award finalists will receive a Certificate of Recognition from the City Council (Attachment 2). However, the Mayor’s Award recipient(s) will also receive a City plaque and $250 gift card to a Lake Forest business.
FISCAL IMPACT:
There is minimal fiscal impact associated with the recommended action.
ATTACHMENTS:
1. City Council Policy: Mayor’s Award
2. Sample Recognition Certificate
Initiated By: Shelly Cisneros, Human Resources Manager
Submitted By: Brett Channing, Deputy City Manager
Approved By: Debra Rose, City Manager
Item: 3
18 Attachment 1
Item: 3
19 CITY COUNCIL POLICY: MAYOR’S AWARD
Revised: March 2, 2021
A. Purpose
This policy is established to identify and recognize outstanding achievement by a Lake Forest employee or group of employees who has fulfilled one or more of seven developed criteria areas.
B. Applicability of Policy
This policy applies to any group or individual classified as a full-time employee(s) in good standing with the City. Any employee(s) that received the annual award shall not be eligible to receive it again for three subsequent calendar years.
C. Criteria
1. Performance: Continued and repeated excellence in overall job performance, which exceeded job requirements and achieved outstanding results.
2. Problem-solving: Solved an extraordinary problem or achieved a considerably difficult goal.
3. Innovation: Successfully implemented an innovative idea where an outstanding result, such as significant cost savings or maximized program effectiveness, was identified.
4. Outstanding Act: Achieved an outstanding act, which brings positive recognition to the City from the public or media.
5. Customer Service: Provide exceptional support to a resident or City department, division project, group or individual.
6. Teamwork: Efforts created excellent teamwork, resulting in a significant accomplishment by a team.
7. Community Contribution: Facilitating a positive change by contributing time, talent, or leadership to one or more community organizations.
D. Process
1. The Mayor’s Award will be presented to one employee or group of employees annually by City Council.
Item: 3
20 2. The Management Services Department will oversee the nomination and selection process.
3. Nominations:
a. Nominations will be submitted by City employees or members of the City Council.
b. Nominations will be submitted using the Mayor’s Award Nomination Form which will be available on the employee intranet or in the Human Resources Division. Additional supporting documentation, such as correspondence relating to the employee’s performance, could also be attached.
c. All completed nomination forms will need to be submitted to Human Resources by October 1 to begin the selection process.
4. Selection:
a. Received nominations will be reviewed by the Management Team.
If a member of the Management Team is nominated, that person will be excluded from the review process.
b. The Management Team will recommend three to five “finalist” nominees for the City Council Ad-Hoc committee to review. c. The Ad-Hoc committee, comprised of the Mayor and Mayor Pro- Tem, will select one employee or group of employees from the finalist group who they feel best exemplifies the established criteria.
5. Recognition:
a. The finalist selected would be recognized at a City Council meeting during the month of December.
b. The award recipient(s) shall receive the following as a result of being selected:
i. Certificate of Recognition from the City Council
ii. A City plaque
iii. $250 gift card to a Lake Forest business or restaurant
City Council Policy: Mayor’s Award, Revised
3/2/2021
Item: 3
21 Attachment 2
Item: 3
22 Certificate of Achievement
Mayor’s Award Finalist
The Lake Forest City Council
recognizes
Employee Name
In gratitude of exemplary service to the
City of Lake Forest.
Robert Pequeño
Mayor
Doug Cirbo
Mayor Pro Tem
Mark Tettemer
Council Member
Scott Voigts
Council Member
Benjamin Yu
Council Member
Item: 3
23 CITY COUNCIL AGENDA REPORT
MEETING DATE: 12/20/2022
DEPARTMENT: City Manager
SUBJECT:
COMMUNITY GIFT CARD PROGRAM UPDATE
RECOMMENDED ACTION(S):
Receive and file.
EXECUTIVE SUMMARY:
On October 4, 2022, the City Council approved a Community Card Customer Agreement with Yiftee, Inc. to provide a buy-one-get-one community gift card program to Lake Forest residents. The initiative is designed to stimulate the local economy while also benefiting Lake Forest residents who can receive matching funds for all gift card purchases. The electronic gift card program is now fully operational with a growing list of over 25 local retail and restaurant businesses participating. Staff recommends the City Council receive and file an update on the gift card program, which will highlight the participating businesses and detail the financial benefits so far provided to the community.
FISCAL IMPACT:
There is no fiscal impact associated with the recommended action.
ATTACHMENTS:
None.
Initiated By: Sean McGovern, Assistant to the City Manager Submitted By: Sean McGovern, Assistant to the City Manager Approved By: Debra Rose, City Manager
Item: 4
24 CITY COUNCIL AGENDA REPORT
MEETING DATE: 12/20/2022
DEPARTMENT: City Clerk
SUBJECT:
MOTION TO WAIVE READING OF RESOLUTIONS AND ORDINANCES
RECOMMENDED ACTION(S):
Said Ordinances and Resolution which appear on the public agenda shall be determined to have been read by title and further reading waived.
EXECUTIVE SUMMARY:
California Government Code 36934 allows titles of ordinances and resolutions to be waived.
FISCAL IMPACT:
There is minimal fiscal impact associated with the recommended action.
ATTACHMENTS:
None.
Initiated By: Vanessa Hall, Assistant City Clerk
Submitted By: Lisa Berglund, City Clerk
Approved By: Debra Rose, City Manager
Item: 5
25 55136.00000\34536956.1
CITY COUNCIL AGENDA REPORT
MEETING DATE: 12/20/2022
DEPARTMENT: City Attorney
SUBJECT:
CONTINUING TO HOLD VIRTUAL MEETINGS PURSUANT TO AB 361
RECOMMENDED ACTION(S):
Make renewed findings that a state of emergency remains in effect and that state and local officials continue to recommend measures that promote social distancing.
EXECUTIVE SUMMARY:
The Governor has issued a series of executive orders in connection with the COVID-19 pandemic, which included a waiver of all physical-presence requirements under the Brown Act. The most recent of these orders was set to expire on September 30, 2021. Assembly Bill (“AB”) 361, which took effect as an urgency measure on September 16, leaves this determination to local agencies, subject to certain findings they must make then renew periodically to allow virtual or telephonic meetings during the pendency of the COVID-19 pandemic.
Staff recommends the City Council make renewed findings that a state of emergency remains in effect at the state level, and that local officials continue to recommend measures that promote social distancing.
BACKGROUND:
The Governor’s Executive Order N-29-20 suspended some of the Brown Act’s in- person attendance requirements, but has since expired. AB 361 extends the waiver of in-person attendance requirements, under some additional rules.
On November 2, 2021, in order to continue to have the opportunity to host virtual, hybrid, or remote meetings in a similar manner as previously permitted under the Governor’s order, the City Council made findings that a state of emergency remains in effect and that state or local officials recommend social distancing measures.
Item: 6
26 55136.00000\34536956.1
1 3
5 5
AB 361 requires that these earlier findings be renewed by the City Council every thirty (30) days in order to continue to make use of virtual or telephonic meetings and relaxed in-person attendance requirements for Council meetings.
DISCUSSION:
AB 361 permits many of the meeting adaptations allowed under the earlier Executive Order (which acted as a temporary waiver of the Brown Act’s in-person attendance requirements), while also adding new requirements to the management of remote and teleconference public meetings.
In order to continue to qualify for AB 361’s waiver of in-person meeting requirements, the Council would need to make findings within 30 days of its November 2, 2021 regular meeting that that a state of emergency remains in effect and that state or local officials recommend social distancing measures.
These findings must be renewed every 30 days for remote meetings to continue.
As the Council meets on the first and third Tuesday of every month, the Council need only renew these findings at every other regular session.
Therefore, staff recommends the City Council find and determine that a state of emergency remains in effect and that state or local officials recommend social distancing measures.
FISCAL IMPACT:
There is no fiscal impact associated with the recommended action.
ATTACHMENTS:
None.
Submitted By: City Attorney
Approved By: City Manager
Item: 6
27 CITY COUNCIL AGENDA REPORT
MEETING DATE: 12/20/2022
DEPARTMENT: City Clerk
SUBJECT:
LOCAL APPOINTMENT LIST "MADDY ACT"
RECOMMENDED ACTION(S):
Affirm the City of Lake Forest Local Appointments List, as submitted.
EXECUTIVE SUMMARY:
In accordance with State Law, Government Code Section 54972, the City Council must prepare and post a Local Appointments List annually. The State Legislature found that there is an abundance of untapped talent within the citizens of the State of California and that this resource was not, all too frequently, aware of the many opportunities which exist to participate in and serve on local regulatory and advisory boards, commissions, and committees. To provide access to information regarding vacancies which occur on local boards, commissions, and committees, Government Code Section 54972 requires that each legislative body prepare a Local Appointments List on or before December 31st of each year consisting of the following:
• A list of appointive terms, which will expire during the next calendar year, with the name of the incumbent appointee, the date of the appointment, the date the term expires, and the necessary qualifications for the position. • A list of all boards, commissions, and committees whose members serve at the pleasure of the legislative body and the necessary qualifications for each position.
The Local Appointments List for the City of Lake Forest is attached (Attachment).
Tonight, staff recommends the City Council affirm the list. A copy of the list will be posted on the City's website, posted in the window box located outside of the main entrance of Lake Forest City Hall, and may also be viewed the City Clerk counter.
Item: 7
28 FISCAL IMPACT:
There is no fiscal impact associated with the recommended action.
ATTACHMENTS:
Local Appointments List
Submitted By: Lisa Berglund, City Clerk
Approved By: Debra Rose, City Manager
Item: 7
29 Attachment
Item: 7
30 CITY OF LAKE FOREST
LOCAL APPOINTMENT LIST
“MADDY ACT”
(Government Code Section 54972)
Pursuant to Government Code Section 54970, the Maddy Act, on or before December 31 st of each year, the City Clerk posts a list of all ongoing boards, commissions, and committees, which are appointed by the City Council. The City of Lake Forest encourages residents to apply for positions on City Commissions.
This can be done by going to:
https://www.lakeforestca.gov/en/government/commissions-and-boards/general-information-and- vacancies or by calling (949) 461-3420.
Qualifications unless otherwise specifically provided by law or ordinance of the City Council, are as follows: all members of boards and commissions of the City shall, at all times during their incumbencies be bona fide residents and registered voters of the City; no member of any board or commission shall be a City employee or person under an employment contract subject to the jurisdiction of the City Council; nor shall any person be a member of more than one (1) board or commission at any one time.
A.) APPOINTIVE TERMS WHICH EXPIRED DURING CALENDAR YEAR 2022:
•Planning Commission (3 Seats)
•Community Services Commission (3 Seats)
•Traffic and Parking Commission (3 Seats)
B.) CURRENT LIST OF APPOINTED OFFICIALS:
PLANNING
COMMISSIONERS
COMMUNITY SERVICES
COMMISSIONERS TRAFFIC & PARKING COMMISSIONERS
* Mark Armando
(12/22)
* Suzy Betz
(12/22)
* Vladimir Anderson
(12/22)
* Francisco Barajas
(12/22)
Kelly Gould
(12/24)
Gerardo Camarena
(12/24)
Jolene Fuentes
(12/24)
* Loretta Herrin
(12/22)
Jim Fouste
(12/24)
* Thomas Ludden
(12/22)
* Margie Matsil
(12/22)
* Jim Richert
(12/22)
Jordan Villwock
(12/24)
Victor Scherr
(12/24)
Benjamin Yu (12/22)
Elected to City Council seat District 2; therefore no
longer serving as a Commissioner.
VECTOR CONTROL * Vladimir Anderson Term Expires: 1/2/2023 * Denotes an expired term and the current appointed Commissioner continues to serve until the Commission appointments are ratified by the City Council. Appointments are scheduled to be made on February 7, 2023
POSTING CERTIFICATION
I, Lisa Berglund, City Clerk of the City of Lake Forest, do hereby certify that the foregoing notice was posted at City Hall in accordance with State law.
Dated: ___________________
Lisa Berglund
City Clerk
State Mandated Posting.
DO NOT REMOVE!
Item: 7
31 CITY COUNCIL AGENDA REPORT
MEETING DATE: 12/20/2022
DEPARTMENT: Finance
SUBJECT:
MONTHLY TREASURER'S REPORT - NOVEMBER 2022
RECOMMENDED ACTION(S):
Receive and file.
EXECUTIVE SUMMARY:
The Treasurer's Report for the month ended November 30, 2022, is attached.
There are no exceptions to the Investment Policy. Total cash and investments equal $171.2 million for the period.
DISCUSSION:
The Treasurer’s Report for the month ended November 30, 2022, is attached.
There are no exceptions to the Investment Policy.
Investment Portfolio
The City’s balances consist of the following:
Type Millions
Local Agency Investment Fund (LAIF) 74.2
California Asset Management Program (CAMP) 43.5
Orange County Investment Pool (OCIP) 41.5
Federated Government Obligations Fund 0.0
Operating Bank Balance – US Bank 12.0
Total Cash and Investments $171.2
The investment portfolio balance (excluding the operating bank balance) was unchanged during the last month. The balance in the investment portfolio was consistent with staff’s expectations based on the operating and capital improvement activities during the month.
Item: 8
32 There were no investment purchases during the month of November 2022. The types of investments currently included in the portfolio are described below with any new information since the last report.
The Local Agency Investment Fund (“LAIF”), Orange County Investment Pool (“OCIP”), and California Asset Management Program (“CAMP”) are the City’s liquidity pools. Liquidity pools are the source of funding for weekly ongoing operating costs. Many cities use only LAIF, while Lake Forest has been more conservative in this respect. The US Bank balance reflected on the previous page is mostly transitory, as a function of holding deposits until the funds are invested and subsequently disbursed from LAIF/OCIP/CAMP for operations.
State law requires that these bank balances be collateralized at 110%. The Federated Government Obligations Fund Service Share Money Market Fund is also mostly transitory, as a function of holding matured investments and earnings until the City purchases new investments. This account is the custodial account for the City’s investment safekeeping institution, US Bank.
LAIF is a conservative investment pool managed by the State. The State cannot access these balances to fund its operational expenditures. Staff believe it is still prudent to maintain funds for liquidity in LAIF. LAIF earned 2.007% on the fund in November.
Orange County Investment Pool (“OCIP”) allows local government agencies to voluntarily invest surplus cash to obtain competitive yields while maintaining safety and liquidity, thereby creating a multi-million-dollar County investment pool that enables investments in diversified instruments. OCIP earned approximately
2.350% on the fund as of November 30, 2022.
CAMP is a conservative short-term money market investment pool for a group of local agencies. CAMP earned approximately 3.9% on the fund as of November 30, 2022.
Cash with Fiscal Agent
During the month, cash with the fiscal agent was unchanged FISCAL IMPACT:
There is no fiscal impact associated with the recommended action ATTACHMENTS:
Monthly Treasurer’s Report
Item: 8
33 Initiated By: Amy Lewis, Assistant Director of Finance Submitted By: Kevin Shirah, Director of Finance/City Treasurer Approved By: Debra Rose, City Manager
Item: 8
34 ATTACHMENT
Item: 8
35 VALUE OF PORTFOLIO
This Month Last Month
Market Value 159,209,934$ 159,036,301$
Book Value 159,209,934$ 159,036,301$
This Month Last Month
Average Maturity (days) 1 1
Average Maturity to Call (days) 1 1
RETURN
This Month Last Month
Average Annual Return 2.614% 2.150%
Average Annual Return to Call 2.614% 2.150%
1. I hereby certify that the investments are in compliance with the investment policy approved by the City Council on December 21, 2021.
2. Although any investment is impacted by market conditions, the current investments are structured to reduce the impact of market conditions.
3. The market values for the investments are provided by the City's Custodian, US Bank.
Local Agency Investment Fund, California Asset Management Program and
4. The City has the ability to meet its budgeted expenditures for the next six months.
Kevin R. Shirah
Director of Finance / City Treasurer
CITY OF LAKE FOREST
MONTHLY INVESTMENT HIGHLIGHTS
November 30, 2022
Orange County Investment Pool market values are the withdrawal amount. 1 Item: 8
36 SUMMARY OF TRANSACTIONS
Investment Securities*
Activity
Dollar Volume
(Par Value)
Transaction
Count
Purchases -$ -$
Maturities -$ 0
Called - Prior to Maturity -$ -$
Sale - Prior to Maturity -$ -$
* The Investment Securities activity is also included in the account summary below.
LAIF, CAMP, OCIP & Money Market Mutual Fund (MMMF)
Category Deposits Withdrawals
Local Agency Investment Fund -$ -$
California Asset Management Program 139,186$ -$
Orange County Investment Pool 36,366$ 1,938$
Federated Government Obligations Fund Service Shares 19$ -$ No exceptions.
EXCEPTIONS TO INVESTMENT POLICY
November 30, 2022
CITY OF LAKE FOREST
MONTHLY INVESTMENT HIGHLIGHTS/
November 30, 2022
EXCEPTIONS TO INVESTMENT POLICY
CITY OF LAKE FOREST
2 Item: 8
37 CITY OF LAKE FOREST
CASH AND INVESTMENTS
November 30, 2022
CASH & INVESTMENTS:
Type Market Value
Bank Accounts 12,014,317$
Investments 0
Local Agency Investment Fund 74,246,703
California Asset Management Program 43,508,173
Orange County Investment Pool 41,447,370
Federated Government Obligations Fund Service Shares 7,687 Total 171,224,250$
3 Item: 8
38 CITY OF LAKE FOREST
PORTFOLIO STRUCTURE
November 30, 2022
COMPARISON OF INVESTMENT PORTFOLIO BY TYPE:
Average
% or $ Average Maturity Allowed
Book % or $ Over Maturity to Call Maturity
Type of Instrument Value Portfolio Allowed Limit (in days) (in days) (in days) U.S. Treasury Bills 0.0% 100% 1825
U.S. Treasury Notes 0.0% 100% 1825
U.S. Treasury Bonds 0.0% 100% 1825
Federal Agencies -$ 0.1% 100% 0 0 1825 Bankers' Acceptances 0.0% 20% 180
Certificates of Deposit (Non-Negotiable) 0.0% 30% 730
Commercial Paper 0.0% 25% 270
Local Agency Investment Fund 74,246,703 46.6% $75 MM N/A N/A N/A California Asset Management Program 43,508,173 27.3% 30% N/A N/A N/A Orange County Investment Pool 41,447,370 26.0% 100% N/A N/A N/A Federated Government Obligations Fund Service Shares 7,687 0.0% 10% N/A N/A N/A Totals 159,209,934$ 100.0%
CALLABLES AS PERCENTAGE OF BOOK VALUE:
Federal Agencies - Callable -$ 0.0% 100% 0 0 1825 4 Item: 8
39 INVESTMENT PORTFOLIO BY ISSUER:
Book % of % or $ Over
Issuer Name Value Portfolio Allowed Limit Quality
Local Agency Investment Fund 74,246,703 46.6% $75 MM N/R California Asset Management Program 43,508,173 27.3% 30% N/R Orange County Investment Pool 41,447,370 26.0% 100% N/R Federated Government Obligations Fund Service Shares 7,687 0.0% 10% AAA Totals 159,209,934$ 100.0%
DISTRIBUTION BY SELLING INSTITUTION:
% of
Name of Institution Book Value Total
Local Agency Investment Fund 74,246,703 46.6%
California Asset Management Program 43,508,173 27.3%
Orange County Investment Pool 41,447,370 26.0%
Federated Government Obligations Fund Service Shares 7,687 0.0% Totals 159,209,934$ 100.0%
CITY OF LAKE FOREST
DISTRIBUTION BY SELLING INSTITUTION
November 30, 2022
PORTFOLIO STRUCTURE
5 Item: 8
40 CITY OF LAKE FOREST
PORTFOLIO DETAILS SORTED BY MATURITY DATES 1
November 30, 2022
Market Par Book Coupon Yield to Purchase Maturity
Type of Instrument Issuer 2 Seller 3 Value 4
Value Value Rate Maturity Date Date
LAIF 5 N/A N/A 74,246,703 74,246,703 74,246,703 N/A N/A N/A N/A CAMP 6
N/A N/A 43,508,173 43,508,173 43,508,173 N/A N/A N/A N/A OCIP 7
N/A N/A 41,447,370 41,447,370 41,447,370 N/A N/A N/A N/A Money Market Fund 8
N/A N/A 7,687 7,687 7,687 N/A N/A N/A N/A
Totals 159,209,934$ 159,209,934$ 159,209,934$
1 All investments are held in safekeeping by US Bank.
2 UST = U.S. Treasury/FHLB = Federal Home Loan Bank/FHLMC = Federal Home Loan Mortgage Co./ 3 RAYMOND = Raymond James & Associates, Inc. / MULTI-BANK = Multi-Bank Securities, Inc. 4 Market values are obtained monthly from US Bank.
5 Local Agency Investment Fund
6 California Asset Management Program
7 Orange County Investment Pool
8 Federated Government Obligations Money Market Fund
6 Item: 8
41 CITY COUNCIL AGENDA REPORT
MEETING DATE: 12/20/2022
DEPARTMENT: Management Services
SUBJECT:
ADOPTION OF UPDATED PART-TIME EMPLOYEE CLASSIFICATION PLAN
AND COMPENSATION SCHEDULE
RECOMMENDED ACTION(S):
Adopt a Resolution entitled: A RESOLUTION OF THE CITY COUNCIL OF THE
CITY OF LAKE FOREST, CALIFORNIA, ADOPTING A REVISED
CLASSIFICATION PLAN AND COMPENSATION SCHEDULE.
EXECUTIVE SUMMARY:
On May 12, 2022, Governor Gavin Newsom announced that minimum wage will increase from $15.00 an hour to $15.50 an hour, effective January 1, 2023. The City of Lake Forest has a Classification Plan and Salary Schedule (“Classification Plan”) that identifies salary ranges for the City’s job classifications. To meet California’s minimum wage requirement for 2023, staff is recommending the City Council adopt a new Classification Plan that updates all the pay grades within the Part-Time salary schedule. By doing so, all part-time wages will meet the minimum wage requirement, effective January 1, 2023. It also helps avoid salary compaction and will assist the City in recruiting and retaining part-time staff during a very tight labor market environment. The proposed change to the Part- Time Salary Schedule will cost approximately $25,000 for the remainder of Fiscal Year 2022-23. Sufficient funds exist within the 2021-2023 Operating Budget to cover the costs of the recommended action.
BACKGROUND:
In April 2016, Governor Jerry Brown signed California Senate Bill 3 (“SB3”) into law, which amended California Labor Code §1182.12 and gradually increased California’s minimum wage to $15.00 per hour by January 1, 2022. SB3 also stated that after the minimum wage reaches $15.00 an hour, the minimum wage rate may be adjusted annually for inflation. Specifically, section 246 of the California Labor Code states that the minimum wage shall automatically increase when inflation exceeds 7% for the prior year, based on the national consumer price index for urban wage earners and clerical workers (“CPI”).
Item: 9
42 2
2 6
6 When this occurs, the maximum minimum wage may be increased is 3.5%.
Since the CPI exceeded 7%, Governor Gavin Newsom announced on May 12, 2022, that California’s minimum wage shall increase to $15.50 per hour for all workers beginning on January 1, 2023, or 3.33%.
DISCUSSION:
The City’s Part-Time Salary Schedule is comprised of seventeen (17) pay grades. Each pay grade includes seven (7) steps – Steps A through G – which are set 5% apart. Part-time employees advance through the steps based on satisfactory job performance and length of service. Presently, the City’s Classification and Part-Time Salary Schedule has one pay grade, H1, with a step that is below $15.50 per hour State-mandated minimum (Attachment 1). Of the current fifty-eight (58) part-time employees, twelve (12) are currently at this pay step. Therefore, pay grade H1 needs to be revised to meet the new mandatory $15.50 per hour pay rate, which becomes effective January 1, 2023.
Increasing the compensation rates in pay grade H1 also creates salary compaction to the grades above it. Salary compaction occurs when there is only a small difference in pay between employees regardless of skills or experience.
To successfully attract and retain part-time employees, salary schedules should avoid salary compaction. Therefore, best practice dictates the remaining salary grades within the Part-Time Salary Schedule be increased (Attachment 2).
To address these two issues, staff recommends the City Council adopt the attached resolution amending the Classification Plan on January 1, 2023 (Attachment 3). Doing so will bring the hourly pay rate for the affected twelve (12) employees to $15.50 per hour, ensuring compliance with the California Labor Code. It also eliminates salary compaction issues by increasing all salary grades accordingly within the Part-Time Salary Schedule. Moreover, the current job market is extremely competitive, especially for part-time staff. Increasing the salary schedule for part-time employees will assist the City in successfully attracting and retaining staff. If approved, the fiscal impact of the updated part- time salary range plan is estimated to be $25,000.
FISCAL IMPACT:
The proposed Part-Time Salary Schedule will cost approximately $25,000 for the remainder of Fiscal Year 2022-23. Sufficient funds exist within the 2021-2023 Operating Budget to cover the costs of the recommended action.
Item: 9
43 2
2 6
6 ATTACHMENTS:
1. City of Lake Forest Part-Time Compensation Schedule (Current)
2. City of Lake Forest Part-Time Compensation Schedule (Proposed)
3. Resolution Adopting a Revised Classification Plan and Salary Schedule Initiated By: Shelly Cisneros, Human Resources Manager
Submitted By: Brett Channing, Deputy City Manager
Approved By: Debra Rose, City Manager
Item: 9
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Attachment 1
Item: 9
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9 2
Part Time Job Classification Pay Grade Hourly Step AHourly Step B Hourly Step C Hourly Step D Hourly Step E Hourly Step F Hourly Step GH17 $32.77 $34.41 $36.13 $37.94 $39.84 $41.83 $43.92H16 $31.21 $32.77 $34.41 $36.13 $37.94 $39.84 $41.83H15 $29.72 $31.21 $32.77 $34.41 $36.13 $37.94 $39.84H14 $28.30 $29.72 $31.21 $32.77 $34.41 $36.13 $37.94Recreation Coordinator H13 $26.95 $28.30 $29.72 $31.21 $32.77 $34.41 $36.13H12 $25.67 $26.95 $28.30 $29.72 $31.21 $32.77 $34.41H11 $24.45 $25.67 $26.95 $28.30 $29.72 $31.21 $32.77H10 $23.29 $24.45 $25.67 $26.95 $28.30 $29.72 $31.21H9 $22.18 $23.29 $24.45 $25.67 $26.95 $28.30 $29.72H8 $21.12 $22.18 $23.29 $24.45 $25.67 $26.95 $28.30H7 $20.11 $21.12 $22.18 $23.29 $24.45 $25.67 $26.95Senior Intern H6 $19.15 $20.11 $21.12 $22.18 $23.29 $24.45 $25.67Recreation Specialist H5 $18.24 $19.15 $20.11 $21.12 $22.18 $23.29 $24.45H4 $17.37 $18.24 $19.15 $20.11 $21.12 $22.18 $23.29Intern; Senior Recreation Leader; Park Attendant H3 $16.54 $17.37 $18.24 $19.15 $20.11 $21.12 $22.18H2 $15.75 $16.54 $17.37 $18.24 $19.15 $20.11 $21.12Recreation Leader H1 $15.00 $15.75 $16.54 $17.37 $18.24 $19.15 $20.11 Part-Time Salary Schedule Effective January 1, 2022 (Current Salary Schedule) Attachment 1
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Attachment 2
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Part Time Job Classification Pay Grade Hourly Step AHourly Step B Hourly Step C Hourly Step DHourly Step E Hourly Step F Hourly Step GH17 $33.83 $35.52 $37.30 $39.17 $41.13 $43.19 $45.35H16 $32.22 $33.83 $35.52 $37.30 $39.17 $41.13 $43.19H15 $30.69 $32.22 $33.83 $35.52 $37.30 $39.17 $41.13H14 $29.23 $30.69 $32.22 $33.83 $35.52 $37.30 $39.17Recreation Coordinator H13 $27.84 $29.23 $30.69 $32.22 $33.83 $35.52 $37.30H12 $26.51 $27.84 $29.23 $30.69 $32.22 $33.83 $35.52H11 $25.25 $26.51 $27.84 $29.23 $30.69 $32.22 $33.83H10 $24.05 $25.25 $26.51 $27.84 $29.23 $30.69 $32.22H9 $22.90 $24.05 $25.25 $26.51 $27.84 $29.23 $30.69H8 $21.81 $22.90 $24.05 $25.25 $26.51 $27.84 $29.23H7 $20.77 $21.81 $22.90 $24.05 $25.25 $26.51 $27.84Senior Intern H6 $19.78 $20.77 $21.81 $22.90 $24.05 $25.25 $26.51Recreation Specialist H5 $18.84 $19.78 $20.77 $21.81 $22.90 $24.05 $25.25H4 $17.94 $18.84 $19.78 $20.77 $21.81 $22.90 $24.05Intern; Senior Recreation Leader; Park Attendant H3 $17.09 $17.94 $18.84 $19.78 $20.77 $21.81 $22.90H2 $16.28 $17.09 $17.94 $18.84 $19.78 $20.77 $21.81Recreation Leader H1 $15.50 $16.28 $17.09 $17.94 $18.84 $19.78 $20.77 Classification and Compensation Part-Time Salary Schedule Effective January 1, 2023 (Proposed) Attachment 2
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Attachment 3
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RESOLUTION NO. _____
A RESOLUTION OF THE CITY COUNCIL OF THE
CITY OF LAKE FOREST, CALIFORNIA,
ADOPTING A REVISED CLASSIFICATION PLAN
AND COMPENSATION SCHEDULE
THE CITY COUNCIL OF THE CITY OF LAKE FOREST DOES
HEREBY RESOLVE AS FOLLOWS:
WHEREAS, the Personnel Rules and Regulations for the City of Lake Forest provides for adoption, by resolution, of the Classification Plan and Compensation Schedule; and
WHEREAS, the Classification Plan and Compensation Schedule has been updated with a revision to the salary ranges for the part-time salary schedule; and
WHEREAS, the City Council’s adoption of the Classification Plan and Compensation Schedule will ensure compliance with the applicable state regulations that require the position classifications and the corresponding compensation be publicly approved; and
WHEREAS, it is necessary to adopt the Classification Plan and Compensation Schedule by resolution.
NOW, THEREFORE, THE CITY COUNCIL OF THE CITY OF LAKE
FOREST, CALIFORNIA, DOES HEREBY RESOLVE, DETERMINE AND
ORDER AS FOLLOWS:
SECTION 1. The revised Classification Plan and Compensation Schedule, implementing a revision to the salary ranges for the part-time salary schedule, attached hereto as Attachment A and incorporated herein by this reference, is hereby adopted with an effective date of January 1, 2023.
PASSED, APPROVED AND ADOPTED this ___ day of _____, 2022 by the following vote, to wit:
Item: 9
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_____________________
ROBERT PEQUEÑO
MAYOR
ATTEST:
______________________________
LISA BERGLUND
CITY CLERK
APPROVED AS TO FORM:
______________________
MATTHEW RICHARDSON
CITY ATTORNEY
STATE OF CALIFORNIA)
COUNTY OF ORANGE ) SS
CITY OF LAKE FOREST )
I, Lisa Berglund, City Clerk of the City of Lake Forest, California, do hereby certify that the foregoing Resolution No.__ was duly passed and adopted at a regular meeting of the Lake Forest City Council on the ___ day of _____, 2022 by the following vote, to wit:
AYES: COUNCIL MEMBERS:
NOES: COUNCIL MEMBERS:
ABSENT: COUNCIL MEMBERS:
ABSTAIN: COUNCIL MEMBERS:
_______________________
LISA BERGLUND
CITY CLERK
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1 3
9 3
City Manager 1 $265,181 7/1/2022 N/A 6/7/2022Assistant City Manager 78 $13,889 $18,056 1 2022-XXDeputy City Manager 76 $13,219 $17,186 1 2022-XXDirector of Public Works/City Engineer 75 $12,897 $16,767 1 2022-XXDirector of Community Development 74 $12,583 $16,358 1 2022-XXDirector of Finance 74 $12,583 $16,358 1 2022-XXDirector of Community Services 71 $11,684 $15,190 0 2022-XXDirector of Economic Development 70 $11,399 $14,819 0 2022-XXDirector of Management Services 69 $11,121 $14,458 0 2022-XXAssistant Director of Community Development 68 $10,850 $14,105 1 2022-XXEngineering Services Manager/Assistant City Engineer 67 $10,585 $13,761 1 2022-XXPlanning Manager 66 $10,327 $13,426 0 2022-XXAssistant Director of Finance 65 $10,075 $13,098 1 2022-XXTraffic Engineering Manager 63 $9,590 $12,467 1 2022-XXInformation Technology Manager 62 $9,356 $12,163 1 2022-XXAccounting Manager 61 $9,128 $11,866 0 2022-XXCity Clerk 61 $9,128 $11,866 1 2022-XXPrincipal Civil Engineer 61 $9,128 $11,866 1 2022-XXPublic Works Maintenance Manager 61 $9,128 $11,866 1 2022-XXFacilities Manager 59 $8,688 $11,294 1 2022-XXHuman Resources Manager 59 $8,688 $11,294 1 2022-XXRecreation Manager 58 $8,476 $11,019 2 2022-XXAssistant to the City Manager 57 $8,269 $10,750 1 2022-XXEconomic Development/Housing Manager 57 $8,269 $10,750 1 2022-XXPublic Safety Manager 57 $8,269 $10,750 1 2022-XXPrincipal Planner 56 $8,067 $10,488 0 2022-XXCommunications & Marketing Manager 55 $7,871 $10,232 1 2022-XXEnvironmental Manager 53 $7,492 $9,739 1 2022-XXAdministrative Services Manager 52 $7,309 $9,502 0 2022-XXSenior Planner 52 $7,309 $9,502 3 2022-XXAccounting Supervisor 51 $7,131 $9,225 1 2022-XXSenior Management Analyst 51 $7,131 $9,225 2 2022-XXInformation Technology Analyst 50 $6,957 $9,044 1 2022-XXSenior Financial Analyst 50 $6,957 $9,044 0 2022-XXEconomic Development Manager 49 $6,787 $8,823 0 2022-XXHousing Manager 49 $6,787 $8,823 0 2022-XXPublic Works Supervisor 49 $6,787 $8,823 0 2022-XXSenior Communications & Marketing Analyst 49 $6,787 $8,823 0 2022-XXCode Enforcement Supervisor 48 $6,622 $8,608 1 2022-XXFacilities Supervisor 48 $6,622 $8,608 1 2022-XXSenior Landscape Administrator 48 $6,622 $8,608 1 2022-XXStreet Maintenance Administrator 48 $6,622 $8,608 1 2022-XXGIS/Applications Analyst 47 $6,460 $8,398 1 2022-XXSenior Recreation Supervisor 47 $6,460 $8,398 3 2022-XXSenior Accountant 46 $6,302 $8,193 0 2022-XXAssociate Planner 45 $6,149 $7,993 1 2022-XXCommunications & Marketing Analyst 45 $6,149 $7,993 1 2022-XXEnvironmental Compliance Inspector 45 $6,149 $7,993 1 2022-XXManagement Analyst 45 $6,149 $7,993 5 2022-XXRecreation Supervisor 45 $6,149 $7,993 2 2022-XXFinance Analyst 44 $5,999 $7,798 1 2022-XXLandscape Administrator 44 $5,999 $7,798 1 2022-XXAccountant 42 $5,710 $7,423 1 2022-XXAssistant City Clerk 42 $5,710 $7,423 1 2022-XXInformation Technology Specialist 42 $5,710 $7,423 0 2022-XXSenior Code Enforcement Officer 42 $5,710 $7,423 0 2022-XXCommunications & Marketing Specialist 41 $5,570 $7,242 1 2022-XXExecutive Assistant 41 $5,570 $7,242 1 2022-XXGIS/Applications Technician 41 $5,570 $7,242 0 2022-XXManagement Assistant 41 $5,570 $7,242 0 2022-XXRecords Coordinator 40 $5,435 $7,065 1 2022-XXAssistant Planner 39 $5,302 $6,893 0 2022-XXCode Enforcement Officer 38 $5,173 $6,725 2 2022-XXSenior Accounting Technician 37 $5,046 $6,561 0 2022-XXEngineering Technician 36 $4,923 $6,401 0 2022-XXEngineering Aide 35 $4,803 $6,244 0 2022-XXHuman Resources Technician 35 $4,803 $6,244 0 2022-XXManagement Aide 35 $4,803 $6,244 2 2022-XXPlanning Aide 35 $4,803 $6,244 0 2022-XXSenior Building Permit Technician 35 $4,803 $6,244 0 2022-XXSenior Permit Technician 35 $4,803 $6,244 1 2022-XXAdministrative Specialist 34 $4,686 $6,092 2 2022-XXAudio-Visual Technician 34 $4,686 $6,092 1 2022-XXAccounting Technician 33 $4,572 $5,944 2 2022-XXBuilding Permit Technician 33 $4,572 $5,944 0 2022-XXFacilities Maintenance Specialist 33 $4,572 $5,944 0 2022-XXPermit Technician 33 $4,572 $5,944 0 2022-XXCommunity Preservation Technician 32 $4,460 $5,799 0 2022-XXRecords Specialist 30 $4,245 $5,519 0 2022-XXSenior Office Specialist 26 $3,846 $5,000 0 2022-XXReceptionist/Cashier 24 $3,661 $4,759 0 2022-XX65* Classifications listed above can be filled on a part time basis at the hourly equivalent of the monthly salary listed FY 2022-23Effective January 1, 2023Classification Plan and Compensation Schedule Full Time Job Classification* Monthly Range MinimumMonthly Range Maximum# of Pos AuthAnnual Effective Date if DifferentResolution #Council Meeting DateSalary Grade Attachment A
Item: 9
52 5
1 3
9 3
Part Time Job Classification Pay GradeHourly Step AHourly Step BHourly Step CHourly Step DHourly Step E Hourly Step FHourly Step GResolution #H17 $33.83 $35.52 $37.30 $39.17 $41.13 $43.19 $45.35 2022-XXH16 $32.22 $33.83 $35.52 $37.30 $39.17 $41.13 $43.19 2022-XXH15 $30.69 $32.22 $33.83 $35.52 $37.30 $39.17 $41.13 2022-XXH14 $29.23 $30.69 $32.22 $33.83 $35.52 $37.30 $39.17 2022-XXRecreation Coordinator H13 $27.84 $29.23 $30.69 $32.22 $33.83 $35.52 $37.30 2022-XXH12 $26.51 $27.84 $29.23 $30.69 $32.22 $33.83 $35.52 2022-XXH11 $25.25 $26.51 $27.84 $29.23 $30.69 $32.22 $33.83 2022-XXH10 $24.05 $25.25 $26.51 $27.84 $29.23 $30.69 $32.22 2022-XXH9 $22.90 $24.05 $25.25 $26.51 $27.84 $29.23 $30.69 2022-XXH8 $21.81 $22.90 $24.05 $25.25 $26.51 $27.84 $29.23 2022-XXH7 $20.77 $21.81 $22.90 $24.05 $25.25 $26.51 $27.84 2022-XXSenior Intern H6 $19.78 $20.77 $21.81 $22.90 $24.05 $25.25 $26.51 2022-XXRecreation Specialist H5 $18.84 $19.78 $20.77 $21.81 $22.90 $24.05 $25.25 2022-XXH4 $17.94 $18.84 $19.78 $20.77 $21.81 $22.90 $24.05 2022-XXIntern; Senior Recreation Leader; Park Attendant H3 $17.09 $17.94 $18.84 $19.78 $20.77 $21.81 $22.90 2022-XXH2 $16.28 $17.09 $17.94 $18.84 $19.78 $20.77 $21.81 2022-XXRecreation Leader H1 $15.50 $16.28 $17.09 $17.94 $18.84 $19.78 $20.77 2022-XX Item: 9
53 CITY COUNCIL AGENDA REPORT
MEETING DATE: 12/20/2022
DEPARTMENT: Management Services
SUBJECT:
AGREEMENT WITH EVERBRIDGE TO PROVIDE NIXLE 360 EMERGENCY
COMMUNICATIONS SERVICES
RECOMMENDED ACTION(S):
1. Approve a sole-source Master Service Agreement with Everbridge, Inc. for Nixle 360 resident notification services.
2. Authorize the City Manager to sign, and the City Clerk to attest, the Master Services Agreement substantially in the form attached and authorize payment for up to five years.
EXECUTIVE SUMMARY:
The City launched the Nixle 360 (“Nixle”) platform provided by Everbridge, Inc. in early 2020 as a way to notify residents of key events and provide emergency information via text, email, or telephone call. Since then, more than 23,400 community members have subscribed to the platform and over 115 notifications have been sent by staff, including several during the Silverado and Bond wildfires in the fall of 2020. In late 2019, the City Manager signed a Master Services Agreement with (“MSA”) Everbridge, Inc., which was extended twice via one-year extensions in 2020 and 2021. The MSA with Everbridge expires on December 25, 2022. Therefore, staff is seeking City Council approval of a new MSA with Everbridge, Inc. for use of the Nixle platform up to five additional years. The compensation for the five additional years totals $72,330. There are sufficient funds in the 2021-2023 Operating Budget to cover the costs of the recommended action.
BACKGROUND:
Resident safety is one of the City’s top priorities. To that end, the City launched a “Stay Safe Lake Forest” campaign in 2020, with the goal of providing educational seminars on safety related matters and implementing new safety projects. One of these projects was the implementation of a resident communication platform for emergencies.
Item: 10
54 The City has access to Orange County’s AlertOC system, which is a tool that allows subscribers to be contacted via phone, email, and SMS (text) messaging.
However, this notification tool can only be used in life-threatening situations and the use must be authorized by the Orange County Emergency Operations Center. Therefore, staff desired to obtain a separate emergency communication tool that provided staff greater flexibility in its use.
In their research, staff found the Nixle platform, which was being used by several cities in region. Nixle, which is solely distributed by Everbridge, Inc., allows the City to provide timely, accurate information to tens of thousands of residents nearly instantly. Staff can send SMS (text), email, and voice messages in an emergency using the cloud based Nixle software, independent of the County’s AlertOC system, or for other important local events and initiatives, such as the closure of a major intersection.
The Nixle platform was formally launched in early 2020. Since then, the City has garnered more than 23,400 subscribers that will receive notifications via text, email, or voice call through the system. The platform has been well used, particularly during emergencies. City staff sent 26 Nixle Alerts and Advisories during the Silverado Fire and the Bond Fire. Staff has sent approximately 70 additional messages through Nixle, advising residents of high-wind events, fires in the nearby areas, and other critical information.
DISCUSSION:
To launch the Nixle platform, the City Manager approved the MSA with Everbridge, Inc. in late 2019 and authorized the initial cost of $15,623.28, which included a setup fee of $1,157.38. Then, the City Manager approved the MSA with Everbridge, Inc. for two additional years at a cost of $14,466 each year, for a total of $44,555.28.
The current MSA with Everbridge, Inc. ends on December 25, 2022. Staff requested a new MSA with an effective date of December 26, 2022, along with pricing for five years (Attachment 1). To ensure alignment with the City’s Municipal Code and Purchasing & Contracting Guidelines (“Purchasing Guidelines”), the City Council will need to approve the MSA and authorize the City Manager to execute the agreement along with approving payments each year.
Everbridge, Inc. is offering the City its previous rate of $14,466 per year without a setup fee. Staff is recommending the City Council authorize the City Manager to approve up to five years of payments for Nixle, which totals $72,330. The MSA automatically renews each year, at which time Everbridge, Inc. sends an invoice Item: 10
55 for the next year’s cost. The City can withdraw from the MSA by providing Everbridge, Inc. with a formal cancellation notice 30 days before the renewal date. Therefore, prior to the conclusion of the fifth year, staff would terminate the MSA and return to the City Council for approval of a new arrangement for communication services.
Per the Purchasing Guidelines, the City Council may approve an agreement without conducting a formal procurement if it deems that approving the agreement would serve the best interests of the City. Municipal Code Section
3.12 stipulates the City Council’s authority to approve an agreement for services without procurement when compliance with procurement procedures is not in the best interest of the City. Everbridge, Inc. offers a unique product with Nixle that has been adopted by many local agencies. Staff contacted two other mass- notification providers, but neither offered any advantages over Nixle in services or cost. The City’s outreach efforts over the past three years have built a database of more than 23,400 subscribers that would not be transferred to a new service, making it in the City’s best interest to remain with Everbridge.
Additionally, on December 2, 2022, Everbridge updated the amount of telephone numbers in the Lake Forest system for voice calls, increasing the contact list from 17,371 to 20,549. Staff also contacted references and all of them had positive experiences working with Everbridge for their Nixle platform (Attachment 2). As a result, staff recommends the City Council direct the City Manager to enter into a MSA with Everbridge, Inc. for the use of the Nixle platform, as conducting a full procurement process and utilizing another platform would not be in the best interest of the City.
FISCAL IMPACT:
The first-year cost of the Nixle system is $14,466. Nixle has agreed to maintain this fixed cost of $14,466 for at least the next five years. There are sufficient funds in the 2021-2023 Operating Budget to cover the costs of the recommended action.
ATTACHMENTS:
1. Everbridge, Inc. Master Services Agreement
2. References for Everbridge, Inc.
Initiated By: Jonathan Volzke, Communications and Marketing Manager Submitted By: Brett Channing, Deputy City Manager
Approved By: Debra Rose, City Manager
Item: 10
56 Attachment 1
Item: 10
57 SLG Master Services Agreement v10 February 2022 1
Everbridge, Inc.
Master Services Agreement
This Master Services Agreement (“Agreement”) is entered into by and between Everbridge , Inc. (“Everbridge”) and __________________________ (“Client”), effective on the date of Client’s signature below ( “Effective Date” ). Everbridge and Client are each sometimes referred to as a “Party” and collectively, the “Parties.”
1. SERVICES.
1.1 Orders. Everbridge shall provide Client access to its proprietary interactive communication solutions (the “Solutions”) subject to the terms and conditions set forth in this Agreement and the description of services and pricing provided in the applicable quote or other ordering document (e.g., statement of work) (the “Quote”) and the applicable Solution documentation (the “Documentation”). If applicable, Everbridge shall provide the training and profess ional services (“Professional Services”) set forth in the Quote. Collectively, the Solutions and Professional Services are referred to as the “ Services”. Everbridge shall provide Client with login and password information for each User (as defined below) and will configure the Solutions based on the maximum number of Contacts (as defined below) or Users, as applicable depending on the Solutions ordered. Client shall undergo the initial setup and training as set forth in the onboarding Documentation within sixty (60) days of the Effective Date. Unless otherwise provided in the applicable Quote or Documentation, Services are purchased as annual subscriptions.
1.2 Users; Contacts . “Users” are individuals who are
authorized by Client from time to time to use the S olutions for the purposes of sending notifications, configuring templates, reporting or managing data, serving as system administrators, or performing similar functions, and who have been supplied user identifications and passwords by Client . Users may include employees and contractors of Client or an Included Department . “Included Department” means any enterprise department, office, agency, or other entity that receives a majority of its funding from the same general or enterprise fund, as applicable, as the Client. “Contacts” are individuals who Client contacts through the Solutions and/or who provides their personal contact information to Everbridge, including through an opt -in portal . If applicable to the particular Solution, t he number of Users and/ or Contacts that may be authorized by Client is set forth on the Quote.
1.3 Affiliated Entities. Departments, divisions, agencies or governmental entities which are affiliated politically, operationally or otherwise with Client, and which are not an Included Department (each, an “Affiliated Entity”) may purchase Services to the same extent as Client, provided, that the Affiliated Entity purchases the Services on the same terms and conditions as are contained in this Agreement pursuant to a fully executed Quote agreed to by Everbridge and such Affiliated Entity. Client and the Affiliated Entity shall maintain separate accounts with Everbridge. Solely as to the Agreement between Everbridge and such Affiliated Entity, all terms and references to “Client” shall refer to such Affiliated Entity upon execution of an applicable Quote. By executing a Quote each Affiliated Entity agrees to be bound by all the terms and conditions herein as to such Affiliated Entity . An entity that otherwise qualifies under this definition will be included within the meaning of Affiliated Entity even though it qualifies after the execution of this Agreement.
2. PAYMENT TERMS. Everbridge shall invoice Client annually in advance for all Solutions and Professional Services, and Client shall pay the fees set forth in the Quote within thirty (30) days from date of invoice. If Client exceeds any role- based numbers, messaging credits or other usage levels specified in the Quote, then Everbridge may invoice Client for any overages at the then applicable rate. All Professional Services must be used within 12 months from date of purchase. Late payments shall accrue interest at a rate of one and one-half percent (1.5%) per month or the highest rate allowed by applicable law, whichever is lower . Such interest shall be in addition to any other rights and remedies of Everbridge. Unless otherwise provided, the fees set forth in the Quote do not include any local, state, federal or foreign taxes, levies or duties of any nature, all of which Client is responsible for paying, except for those relating to Everbridge’s net income or property. If Everbridge is legally obligated to collect or pay taxes for which Client is responsible, the appropriate amount shall be invoiced to and paid by Client, unless Cli ent provides a valid tax exemption certificate.
3. RESPONSIBILITIES.
3.1 Client Data. Client shall ret ain all ownership rights in all Contact data and all electronic data Client transmits to Everbridge to or through the Solutions (“ Client Data ”). Client represents that it has the right to authorize and hereby does authorize Everbridge to collect, store and process Client Data subject to the terms of this Agreement. Client shall maintain a copy of all Contact data it provides to Everbridge.
3.2 Use of Solutions. Client is responsible for all activity occurring under Client’s account(s) and shall comply with all applicable Privacy Laws (as defined below) and all other applicable laws and regulations in connection with Client’s use of the Services, including its provision of Client Data to Everbridge.
Client shall be responsible for ensuring that there is a lawful basis for sending communications through the Solutions to Contacts including, where applicable, obtaining the required consent of Contacts. Client shall use the Service in accordance with Everbridge’s then applicable Acceptable Use Policy posted on www.everbridge.com
. Client shal l promptly notify Everbridge of
any unauthorized use of any password or account of which Client becomes aware. Client acknowledges that the Solutions are a passive conduit for the transmission of Client Data, and Everbridge has no obligation to screen, preview or monitor content, and shall have no liability for any errors or omissions or for any defamatory, libelous, offensive or otherwise unlawful content in any Client Data, or for any losses, damages, claims, or other actions arising out of or in connection with any data sent, accessed, posted or otherwise transmitted via the Solutions by Client , Users or Contacts, except to the extent such losses are cau sed directly by the acts or omissions of Everbridge personnel.
3.3 Data Privacy. Everbridge shall abide by all applicable Privacy Laws in connection with the operation of the Solutions. “Privacy Laws” means all U.S. federal and state laws and regulations regarding consumer and data protection and privacy.
3.4 Data Security. Everbridge’s IT security and
compliance program includes the following standards generally adopted by industry leading SaaS providers: (i) reasonable and appropriate t echnical, organizational , and security measures against the destruction, loss, unavailability, unauthorized access or alteration of Client Data in the possession or under the control of Everbridge, including measures to ensure the availability of information following interruption to, or failure of, critical business Item: 10
58 2
processes; and (ii) an annual assessment of its security controls performed by a n accredited third party audit firm in accordance with the Statement on Standards for Attestation Engagements No. 18 (SSAE 18). Upon request, Everbridge shall provide Client with a copy of its current SSAE 18 SOC 2 report. Everbridge’s security framework is based on the security requirements and controls within US National Institute of Standards and Technology (NIST) Special Publication 800- 53 – Security and Privacy Controls for Information Systems and Organizations. The NIST 800-53 security requirement standard has direct mapping to other security and data privacy frameworks , including global information security standard ISO 27001, HIPAA- HITECH, and HITRUST . The data security procedures that Everbridge follows when providing the Solutions are included at the following URL:
https://docs.everbridge.com/cdn/legal/Data-Security-Exhibit.pdf.
4. TERM. The term of this Agreement shall begin on the
Effective Date and shall expire when all underlying Quotes with Client or its Affiliates have expired in accordance with the terms of such Quotes, unless terminated earlier as provided herein.
Services under an applicable Quote will begin as set forth in such Quote and shall continue for the init ial term specified therein (“Initial Service Term”). If a Quote contains Services added to an existing subscription, such added Services will be coterminous with the Initial Service T erm or applicable renewal Service term (“Renewal Term”), unless otherwise agreed to by the Parties.
Client shall be notified at least sixty (60) days in advance of any Renewal Term. If at the end of the applicable Quote, Client intends to renew the Agreement, but has not provided a timely executed written renewal prior to the end of such term, then Everbridge, in its sole discretion, shall continue the Service(s) hereunder for thirty (30) days (the “ Grace Period ”) in order to secure an executed renewal by Client, provided that Client shall pay to Everbridge the annual fee then in effect divided by twelve (12) (the “Monthly Holdover Fee ”). The Grace Period is provided to Client as a courtesy so that Services will not be terminated prior to the execution of a renewal. Due to insurance and liability reasons Everbridge can only provide one Grace Period and will charge the Monthly Holdover Fee. The Monthly Holdover Fee is instituted in order to protect Client from termination or suspension of the Services, and to ensure that ti mely renewals are entered into.
Monthly Holdover Fees shall not be returned or refunded to the Client as a credit towards any renewal. Except as set forth in an applicable Quote, or unless this Agreement is terminated as provided herein, upon expiration of the term of any Quote, such Quote shall renew automatically for successive subsequent periods of twelve (12) months unless either party notifies the other party of its intent to terminate at least thirty (30) days prior to the end of t he then current term. Everbridge reserves the right to increase its fees in any Renewal Term by three percent (3%).
5. TERMINATION; SUSPENSION.
5.1 Termination by Either Party . Either Party may
terminate this Agreement upon the other Party's material breach of the Agreement, provided that (i) the non-breaching Party sends written notice to the breaching Party describing the breach in reasonable detail; (ii) the breaching Party does not cure the breach within thirty (30) days following its receipt of such notice (the "Notice Period" ); and (iii) following the expiration of the Notice Period, the non- breaching Party sends a second writt en notice indicating its election to terminate this Agreement. If Client terminates this Agreement due to material breach by Everbridge, Client shall be entitled to a refund of any prepaid unused fees on a pro-rata basis , provided that such refund shall be Client’s sole and exclusive remedy.
5.2 Termination or Suspension for Non -Payment. If
Client fails to pay any amounts due within thirty (30) days of their due date, Everbridge may terminate this Agreement upon thirty (30 days’ prior written notice to Client . Termination for non-payment shall not relieve Client of its outstanding obligations (including payment) under this Agreement. In lieu of termination for non- payment, Everbridge may suspend Client’s acc ess to the Solutions upon written notice to Client.
5.3 Suspension. Everbridge may temporarily suspend
Client’s access to the Solutions or any portion thereof for (i) emergency network repairs, threats to, or actual breach of network security; or (ii) any legal, regulatory, or governmental prohibition affecting the Solution. Everbridge shall use its best efforts to notify Client through its Client Portal and/or via email prior to such suspension and shall reactivate any affected portion of the Solution as soon as possible.
6. PROPRIETARY RIGHTS.
6.1 Grant of License. Subject to the terms and
conditions of this Agreement, Everbridge hereby grants to Client, during the term of this Agreement , a limited, non-exclusive, non- transferable, non-sublicensable right to use the Solutions.
6.2 Restrictions. Client shall use the Solution solely for its internal business purpose s. In particular, Client’s use of the Solutions shall not include service bureau use, outsourcing, renting, reselling, sublicensing, or time-sharing. Client shall not (i) sell, transfer, assign, distribute or otherwise commercially exploit or make the Solution available to any third party except as expressly set forth herein; (ii) modify or make derivati ve works based upon the Solution; (ii i) reverse engineer the Solution ; (iv) remove, obscure or alter any proprietary notices or labels on the Solution or any materials made available by Everbridge ; (v) use, post, transmit or introduce any device, software or routine (including viruses, worms or other harmful code) which interferes or attempts to interfere with the operation of the Solution; or (vi) defeat or attempt to defeat any security mechanism of any Solution.
6.3 Reservation of Rights. The Solutions (including all associated computer software (whether in source code, object code, or other form), databases, indexing, search, and retrieval methods and routines, HTML, active server pages, intranet pages, and similar materials) and all intellectual property and other rights, title, and interest therein (collectively, “ IP Rights ”), whether conceived by Everbridge alone or in conjunction with others, constitute Confidential Information and the valuable intellectual property, proprietary material, and trade secrets of Everbridge and its licensors and are protected by applicable intellectual property laws of the United States and other countries. Everbridge owns (i) all voluntary feedback regarding the design or operation of the Services (except for the Client Data) provided to Everbridge by Users, Client and Contacts in conjunction with the Services, and (ii) all aggregated and anonymized transactional, performance, derivative data and metadata generated in connection with the Solutions, which are generally used to improve the functionality and performance of the Services . Except for the rights expressly granted to Client in this Agreement, all rights in and to the Solutions and all of the foregoing elements thereof (including the rights to any work product resulting from Professional Services and to any modification, enhancement, configuration or derivative work of the Solutions) are and shall remain solely owned by Everbridge and its respective licensors. Everbridge may use and provide Solutions and Professional Services to others that are similar to those provided to Client hereunder, and Everbridge may use in engagements with others any knowledge, skills, experience, Item: 10
59 3
ideas, concepts, know-how and techniques used or gained in the provision of the Solutions or Professional Services to Client, provided that, in each case, no Client Data or Client Confidential Information is disclosed thereby.
7. CONFIDENTIAL INFORMATION.
7.1 Definition. “Confidential Information” means all
information of a Party (“Disclosing Party”) disclosed to the other Party (“Receiving Party” ), whether orally, electronically, in writing, or by inspection of tangible objects (including, without limitation, documents or prototypes) , that is designated as confidential or that reasonably should be understood to be confidential given the nature of the information and the circumstances of disclosure . Confidential Information includes without limitation, all Client Data, the Solutions, and either Party’s business and marketing plans, technology and technical
information, product designs, reports and business proce sses.
Confidential Information shall not include any information that: (i) is or becomes generally known to the public without breach of any obligation owed to Disclosing Party; (ii) was known to Receiving Party prior to its disclosure by Disclosing Party without breach of any obligation owed to Disclosing Party; (iii) was independently developed by Receiving Party without breach of any obligation owed to Disclosing Party; or (iv) is received from a third party without breach of any obligation owed to Disclosing Party.
7.2 Protection. Receiving Party shall not disclose or use any Confidential Information of Disclosing Party for any purpose other than performance or enforcement of this Agreement without Disclosing Party’s prior written consent . If Receiving Party is compelled by law to disclose Confidential Information of Disclosing Party, including under the Freedom of Information Act or other public information request (i.e., “state sunshine” laws) it shall provide Disclosing Party with prior notice of such compelled disclosure (to the extent legally permitted) and reasonable assistance, at Disclosing Party's cost, if Disclosing Party wishes to contest the disclosure. Receiving Party shall protect the confidentiality of Disclosing Party's Confidential Information in the same manner that it protects the confidentiality of its own confidential information of like kind (but in no event using less than reasonable care). Receiving Party shall promptly notify Disclosing Party if it becomes aware of any breach of confidentiality of Disclosing Party's Confidential Information.
7.3 Upon Termination. Upon any termination of this
Agreement, the Receiving Party shall continue to maintain the confidentiality of the Disclosing Party's Confidential Information and, upon reques t and to the extent practicable, destroy all materials containing such Confidential Information.
Notwithstanding the foregoing, either Party may retain a copy of any Confidential Information if required by applicabl e law or regulation, in accordance with internal compliance policy, or pursuant to automatic computer archiving and back -up
procedures, subject at all times to the continuing applicability of the provisions of this Agreement.
8. WARRANTIES; DISCLAIMER.
8.1 Everbridge Warranty. Everbridge shall provide the
Solutions in material compliance with the functionality and specifications set forth on the applicable Solution Documentation.
Everbridge shall provide 24X7X365 customer support in
accordance with its most recently published Support Services Guide. Professional Services shall be performed in a professional manner consistent with industry standards.
8.2 Disclaimer. THE FOREGOING REPRESENT THE
ONLY WARRANTIES MADE BY EVERBRIDGE HEREUNDER ,
AND EVERBRIDGE EXPRESSLY DISCLAIMS ALL OTHER
WARRANTIES OF ANY KIND, WHETHER EXPRESS, IMPLIED,
STATUTORY, OR OTHERWISE, WARRANTIES OF
MERCHANTABILITY OR FITNESS FOR A PARTICULAR
PURPOSE, TO THE MAXIMUM EXTENT PERMITTED BY
APPLICABLE LAW. EVERBRIDGE DOES N OT WARRANT
THAT THE SOLUTION WILL OPERATE ERROR FREE OR
WITHOUT INTERRUPTION. WITHOUT LIMITING THE
FOREGOING, IN NO EVENT SHALL EVERBRIDGE HAVE ANY
LIABILITY FOR PERSONAL INJURY (INCLUDING DEATH) OR
PROPERTY DAMAGE ARISING FROM FAILURE OF THE
SOLUTION TO DELIVER AN ELECTRONIC COMMUNICATION,
HOWEVER CAUSED AND UNDER ANY THEORY OF LIABILITY,
EVEN IF EVERBRIDGE HAS BEEN ADVISED OF THE
POSSIBILITY OF SUCH DAMAGE.
8.3 SMS Transmission. CLIENT ACKNOWLEDGES
THAT THE U SE OF SHORT MESSAGING SERVICES (“SMS ”),
ALSO KNOWN AS TEXT MESSAGING, AS A MEANS OF
SENDING MESSAGES INVOLVES A REASONABLY LIKELY
POSSIBILITY FROM TIME TO TIME OF DELAYED,
UNDELIVERED, OR INCOMPLETE MESSAGES AND THAT THE
PROCESS OF TRANSMITTING SMS MESSAGES CAN BE
UNRELIABLE AND INCLUDE MULTIPLE THIRD PARTIES THAT
PARTICIPATE IN THE TRANSMISSION PROCESS, INCLUDING
MOBILE NETWORK OPERATORS AND INTERMEDIARY
TRANSMISSION COMPANIES. ACCORDINGLY, EVERBRIDGE
RECOMMENDS THAT SMS MESSAGING NOT BE USED AS
THE SOLE MEANS OF COMMUNICATION IN AN EMERGENCY
SITUATION.
9. INDEMNIFICATION.
9.1 By Client. Client shall defend, indemnify and hold
Everbridge harmless against any loss or damage (including reasonable attorneys’ fees) incurred in connection with any third party claim, suit or proceeding (“Claim”) against Everbridge arising out of any data sent, posted or otherwise transmitted via the Solution by Client or Contacts , or any breach by Client of Sections 3 or 6.
9.2 By Everbridge . Everbridge shall defend, indemnify
and hold Client harmless from and against any Claim against Client arising out of (i) any breach by Everbridge of applicable Privacy Laws; (ii) any breach by Everbridge of its data security obligations under Section 3.4; or (iii) an allegation that the Solution as contemplated hereunder infringes an issued patent or other IP Right in a country in which the Solution is provided to Client. If (x) any aspect of the Solution is found or, in Everbridge’s reasonable opinion is likely to be found, to infringe upon the IP Right of a third party or (y) the continued use of the Solution is enjoined, then Everbridge will promptly and at its own cost and expense at its option: (i) obtain for Client the right to continue using the Solution; (ii) modify such aspect of the Solution so that it is non- infringing; or (iii) replace such aspect of the Solution with a non -infringing functional equivalent. If, after all commercially reasonable efforts, Everbridge determines in good faith that options (i) - (iii) are not feasible, Everbridge will remove the infringing items from the Solution and refund to Client on a pro-rata basis any prepaid unused fees paid for such infringing element. The remedies set forth in this Section 9.2 are Client’s exclusive remedy for Claims for infringement of an IP Right. Everbridge shall have no obligation or liability for any claim pursuant to this Section to the extent arising from: (i) the combinations, operation, or use of the Solution supplied under this Agreement with any product, device, or software not supplied by Everbridge to the extent the combination creates the infringement; (ii) the unauthorized alteration or modification by Client of the Solution; or (iii) Everbridge’s Item: 10
60 4
compliance with Client's designs, specifications, requests, or instructions pursuant to an engagement for Everbridge
Professional Services relating to the Solution to the extent the claim of infringement is based on the foregoing.
9.3 Indemnification Process. The indemnifying party’s
obligations under this Section 9 are contingent upon the indemnified party (a) promptly giving notice of the Claim to t he indemnifying party once the C laim is known; (b) giving the indemnifying party sole control of the defense and settlement of the Claim (provided that the indemnifying party may not settle such Claim unless such settlement unconditionally release s the indemnified party of all liability and does not adversely affect the indemnified party’s business or service); and (c) providing the indemnifying party all available information and reasonable assistance.
10. LIABILITY LIMITS. To the maximum extent permitted by law, neither Party shall have any liability to the other Party for any indirect, special, incidental, punitive, or consequential damages, however caused, under any theory of liability, and whether or not the P arty has been advised of the possibility of such damage.
Except for its indemnification obligations under Section 9.2, notwithstanding anything in this Agreement to the contrary, in no event shall Everbridge’s aggregate liability, regardless of whether any action or claim is based on warranty, contract, tort or otherwise, exceed amounts paid or due by Client to Everbridge hereunder during the 12-month period prior to the event giving rise to such liability. The foregoing limitations shall apply even if the non-breaching party’s remedies under this Agreement fail their essential purpose.
11. INSURANCE. Everbridge will maintain during the term of this Agreement the following coverages: (i) General Liability insurance, with liability limits of at least $5,000,000; (ii) Network Technology/Cyber Liability coverage with limits of at least $5,000,000; and (iii) workers’ compensation insurance as required by the state or local law in which the work is performed. Upon request by Client, Everbridge shall provide Client a certificate of insurance evidencing such coverages.
12. MISCELLANEOUS.
12.1 Non-Solicitation. As additional protection for
Everbridge’s proprietary information, for so long as this Agreement remains in effect, and for one year thereafter, Client agrees that it shall not, directly or indirectly, solicit, hire or attempt to solicit any employees of Everbridge; provided, that a general solicitation to the public for employment is not prohibited under this section.
12.2 Force Majeure; Limitations. Everbridge shall not be responsible for performance under this Agreement to the extent precluded by circumstances beyond Everbridge’s reasonable control, including without limitation acts of God, acts of government, flood, fire, earthquakes, civil unrest, acts of terror, labor problems, regional technology interruptions, or denial of service attacks . The Solution delivers information for supported Contact paths to public and private networks and carriers, but Everbridge cannot guarantee delivery of the information to the recipients. Final delivery of information to recipients is dependent on and is the responsibility of the designated public and private networks or carriers.
12.3 Waiver; Severability. The failure of either Party
hereto to enforce at any time any of the provisions or terms of this Agreement shall in no way be considered to be a waiver of such provisions. If any provision of this Agreement is found by any court or other authority of competent jurisdiction to be invalid, illegal or unenforceable, that provision shall, to the extent required, be deemed deleted or revised, and the remaining provisions shall continue in full force and effect to the maximum extent possible so as to give effect to the intent of the Parties.
12.4 Assignment. Neither party ma y assign this
Agreement to any third party except upon the other P arty’s prior written consent, which consent shall not be unreasonably withheld or delayed; provided, that no such consent shall be required in the event of an assignment to an Affiliated Entity or to a successor-in- interest to the business of the assigning P arty resulting from a merger, reorganization, or sale of all or substantially all such Party’s assets. Notwithstanding the above, neither Party shall assign this Agreement to any third party whi ch is a competitor of the other Party.
12.5 Governing Law; Attorney’s Fees . This Agreement
shall be governed and construed in accordance with the laws of the Commonwealth of Massachusetts , without regard t o its conflicts of laws rules . The U.N. Convention on Contracts for the International Sale of Goods shall not apply. The prevailing party in any action arising out of this Agreement shall be entitled to its reasonable attorneys’ fees and costs.
12.6 Notices. Legal notices (e.g ., claimed breach or
termination) to be provided under this Agreement shall be delivered in writing (a) in person , (b) by nationally recognized overnight delivery service, or (c) by U.S. certified or first class mail to the other party as set forth on the signature page hereto. All legal notices shall be deemed to have been given upon receipt or, if under (c) , three (3) business days after being deposit ed in the mail. Either party may change its address by giving notice of the new address to the other part y pursuant to this Sectio n and identifying the effective date of such change . Everbridge may provide all other notices to Client ’s billing contact on the Client Registration Form or, with respect to availability, upgrades or maintenance of the Solutions, to the Everbridge Support Center.
12.7 Marketing. Client consents to Everbridge referencing Client’s name as an Everbridge Client in Everbridge publications, its website, and other marketing materials.
12.8 Equal Employment Opportunity. Everbridge, Inc. is
a government contractor and is subject to the requirements of Executive Order 11246, the Rehabilitation Assistance Act and VEVRAA. Pursuant to these requirements, the Equal Opportunity Clauses found at 41 Code of Federal Regulations sections 60-
1.4(a) (1-7), sections 60-250.4(a-m), sections 60-300.5 (1-11) and sections 60-741.5 (a) (1- 6) are incorporated herein by reference as though set forth at length, and made an express part of this Agreement.
12.9 Export Compliant. Neither Party shall export,
directly or indirectly, any technical data acquired from the other pursuant to this Agreement or any product utilizing any such data to any country for which the U.S. Government or any agency thereof at the time of export requires an export license or other governmental approval without first obtaining such license or approval. Client shall not permit Users to send notifications to a Contact in a U.S. embargoed country or in violation of any U.S. export law or regulation.
12.10 U.S. Government End -Users. The Solutions and
related documentation are “commercial items” as defined at 48 C.F.R. 2.101, consisting of “commercial computer software” and “commercial computer software documentation” as such terms are used in 48 C.F.R. 12.212. Consistent with 48 C.F.R. 12.212 and 48 C.F.R. 227.7202- 1 through 227.7202-4, U.S. government customers and end-users acquire licenses to the Solutions and related documentation with only those rights set forth herein.
Item: 10
61 5
12.11 General. This Agreement, including its Exhibits and any Quote, constitutes the entire agreement between the Parties and supersedes all other agreements and understandings between the Parties , oral or written, with respect to the subject matter hereof , including any confidentiality agreements . This Agreement shall not be modified or amended except by a writing signed by both Parties. ANY NEW TERMS OR CHANGES
INTRODUCED IN A PURCHASE ORDER OR OTHER
DOCUMENT ARE VOID AND OF NO FORCE OR EFFECT.
EVERBRIDGE’S ACKNOWLEDGEMENT OF RECEIPT OF
SUCH DOCUMENT OR ACCEPTANCE OF PAYMENT SHALL
NOT CONS TITUTE AGREEMENT TO ANY TERMS OTHER
THAN THOSE SET FORTH IN THIS AGREEMENT. There are no
third party beneficiaries to this Agreement. Any right, obligation or condition that, by its express terms or nature and context is intended to survive the termination or expiration of this Agreement, shall survive any such termination or expiration hereof. This Agreement, and any other document referencing and governed by this Agreement may be executed in one or more counterparts, each of which shall be deemed an original, but which together shall constitute the same agreement. Each Party agrees to be bound by its digital or electronic signature, whether transmitted by fax machine, in the form of an electronically scanned image (e.g., in .pdf form), by email, or by other means of e-signature technology, and each Party agrees that it shall accept the signature of the other Party transmitted in such a manner.
IN WITNESS WHEREOF, the Parties have caused this Agreement to be executed by their duly authorized representatives.
EVERBRIDGE, INC.
By:
Print Name:
Title:
Date:
Address:
25 Corporate Drive
Burlington, Massachusetts 01803
For legal notice:
Attention: Legal Department
CLIENT:
By:
Print Name:
Title:
Date:
Client’s Address:
Attn:
Address for Legal Notice:
Attn:
Item: 10
62 6
EXHIBIT A
Additional Business Terms
The following additional business terms are incorporated by reference into the Agreement as applicable based on the particular products and services described on the Quote.
If Client Is Ordering Nixle® Products or Community Engagement:
1. Client grants to Everbridge a non-exclusive, royalty free, worldwide and perpetual right and license (including sublicense) to (a) use, copy, display, disseminate, publish, translate, reformat and create derivative works from communications Client sends through the Solutions for public facing communications to citizens, other public groups and public facing websites, including social media (e.g., Google®, Facebook®) (collectively, “Public Communications”), (b) use and display Client’s trademarks, service marks and logos, solely as part of the Public Communications to Contacts who have opted in to receive those Communications, and on other websites where Everbridge displays your Public Communications, as applicable, and (c ) place a widget on Client’s website in order to drive Contact opt-in registrations. Client further acknowledges and agrees that all personal information from individuals registering through such widget is owned expressly by Everbridge and such information will be governed by the applicable Privacy Policy.
If Client Is Ordering Everbridge Suite Products:
1. Messaging Credits. The Solutions include units of usage (“ Messaging Credits ”) for communications sent by Client through the Solutions to multiple Contacts via one or more communication paths (“Notifications”). No Messaging Credits shall be required to send Notifications by push notification (Everbridge mobile application), by email or by pager. If Client’s use of the Solutions exceeds the amount of Messaging Credits allocated to the account or previously purchased, Client shall pay for such overages and charges back to the date they were incurred. Unused Messaging Credits expire at the end of the annual billing period under the applicable Quote and are not refundable. Additional Messaging Credits may be purchased separately.
2. Usage. Messaging Credits shall be applied per Notification sent by Client through the Solutions. A single Noti fication is defined as follows:
SMS Text messages:
i. For messages that contain only GSM characters, each 153 characters or portion thereof. ii. For messages that contain any non-GSM characters, each 67 characters or portion thereof. iii. GSM characters include only characters in the GSM 7-bit default alphabet. iv. Character limits for SMS Text messages are determined by telecommunication providers. Everbridge reserves the right to change the length of a single SMS Text message if telecommunication providers update these amounts.
Voice messages or Conference Voice: O ne minute or portion of a minute of the voice message, calculated on a cumulative basis per month, per destination country.
TTY: One minute per TTY message.
Fax: Per page transmitted.
3. Role-based Limits. If Client exceeds any role-based limits (such as the number of Contacts, Resolvers or authorized users of a Solution) set forth on the applicable Quote, Client shall pay for such additional role-based numbers as of the date that the overage began. Payment shall be at the role-based number rate in the Quote and shall be paid for the duration of the term of such Quote.
4. Other Usage Limits. If the applicable Quote sets forth any geographic, departmental, entity -based or other limitation on usage of the Solutions, then Client’s use of the Solutions is expressly limited to Contacts who are based in such geographic area, department or entity or who otherwise meet the usage limitation criteria specified in the Quote. Client’s use of the Solutions with any Contacts w ho are not included within such limitations shall constitute a material default under this Agreement and shall subject such Client to additional charges for such unauthorized usage.
5. Data Feeds. Client shall not use any automated device, computer program, software, tool, algorithm, bot or similar process to mine or systematically scrape or extract data from any of the products, except as authorized in writing by Everbridge.
Notwithstanding anything to the contrary in this Agreement, to the extent that Client has purchased or accesses Data Feeds, the content such feeds are provided solely on an “AS IS” and “AS AVAILABLE” basis and Everbridge disclaims any and all liability of any kind or nature resulting from (a) any inaccuracies or failures with respect to such Data Feeds or (b) any actions taken by Client as a result of its use of the Solutions or its content. All Data Feeds are provided solely as a convenience and do not constitute an endorsement by Everbridge. The sole and exclusive remedy for any failure, defect, or inability to access the content of such Data Feed shall be to terminate the Data Feed with no further payments due. “Data Feed” means data content or websites licensed or provided by third parties to Everbridge and supplied to Client in connection with the Solution (e.g., real time weather system information and warnings, 911 data, third party maps, and situational intelligence) or publicly -available information that Client accesses on the Internet while using the Services.
Clients purchasing Vi sual Command Center or Signal products further agree that they will comply with the Data Feed Terms and Conditions found at
https://www.everbridge.com/wp-content/uploads/Data-Feed-Terms-and-Conditions-Oct- 2019.pdf.
Item: 10
63 7
6. Resident Connection Data. If a Client is purchasing Resident Connection Data, Everbridge provides to Client a limited, non-exclusive, non-transferable, non-sublicensable, right to use mobile, landline and VoIP telephone records (“ Resident Connection Data ”) in connection with emergency notifications sent through the Everbridge Solutions. Resident Connection Data is Confidential Information of Everbridge and is subject to the confidentiality obligations in Section 7 and the license restrictions in Section 6.2 of this Agreement. Unless provided herein, Resident Connection Data is owned expressly by Everbridge and rights to use such data terminates upon the termination or expiration of this Agreement.
7. Incident Management/IT Alerting. If a Client is purchasing the Incident Management or IT Alerting Solution, (a) Clients may only designate the number of Users set forth on the Quote, and such individuals shall only have the access rights pursuant to such designation and role; (b) “ Incident Administrators” are authorized by Client as an administrator for the Incident Management or IT Alerting Solution components and are typically responsible for the configuration of IT Alerting as well as managing and reporting on Incidents ; (c) “ Incident Operators” are authorized by Client as an operator of the Incident Management or IT Alerting Solution and are typically responsible for launching/managing Incidents; and (d) “Group Managers” shall have the ability to build, manage and/or participate in on-call schedules to receive IT related notifications.
Everbridge may limit or throttle Client’s automated use of the Incident Management or IT Alerting Solution in order to protect the stability and security of the Solution.
8. Secure Messaging. If a Client is purchasing peer to peer secure messaging solutions (“Secure Messaging”), Everbridge shall comply with all applicable privacy laws, including the Health Insurance Portability and Accountability Act of 1996 (“HIPAA”), the Health Information Technology for Economic and Clinical Health Act (“ HITECH Act”), the Gramm-Leach- Bliley Act, and the Fair Credit Reporting Act, as applicable based on solution purchased. Our Secured Messaging products for healthcare are subject to our Business Associate Agreement, available at https://www.everbridge.com/wp- content/uploads/2015/07/Business-Associate-Form-lkd-v1-7.7.15.pdf, which is incorporated and made a part of this Agreement. Client acknowledges and agrees that Secure Messaging solutions are intended to deliver non- critical, non- emergency messages between users as a convenience to facilitate communications and are not intended for or suitable for use in situations where a failure or time delay of, or errors or inaccuracies in, the content, data or information provided through the services could lead to death, personal injury or property damage.
Non-Emergency Messaging
If Client is using the solution to send non-emergency calls, text messages or emails to consumers, Client expressly agrees to comply with the Telephone Consumer Protection Act of 1991, including its implementing regulations, the CAN-SPAM Act of 2003, and any other similar laws and regulation (collectively, “Consumer Protection Law”). Client shall not violate these or others applicable laws and warrants that it shall receive express consent from Contacts if its messages fall within these Consumer Protection Laws. Client shall defend, indemnify and hold Everbridge harmless from any violation by Client of Consumer Protection Law. Client further agrees that any marketing or sales related text messages will comply with the policies and guidelines of the Mobile Marketing Association found at http://mmaglobal.com/policies/code-of-conduct.
If Client Is Ordering Everbridge 911 Connect:
1. Everbridge 911 Connect leverages services provided by RapidSOS. Client agrees that by using the RapidSOS Services, Client has read and agreed to the terms of the RapidSOS End User License Agreement, which may be updated or modified by RapidSOS from time to time, and which is located at https://rapidsos.com/business-terms-of-service/.
2. Emergency Communications Center (“ECC”) and Public Safety Answer Point (“PSAP” ) Users, only, shall access the Everbridge 911 Connect Service as part of a response to 911 emergency calls for life, safety or the management of and response to critical incidents that such Users are actively managing. The Everbridge 911 Connect Service is not to be used for any other purpose except in connection with 911 emergency calls, and shall in no circumstances be used for personal use, to find information on any particular person, or for any other unauthorized purpose.
3. Everbridge may terminate Client’s access to the Everbridge 911 Connect Service for material default upon written notice if, in its sole discretion, Everbridge concludes that Client is misusing the Service.
Item: 10
64 8
EXHIBIT B
IPAWS- CMAS/WEA Addendum
This addendum is incorporated by reference into the Agreement as applicable based on the particular products and services described on the Quote.
1 IPAWS Authorization. Client represents and warrants to Everbridge that any employee, agents, or representatives of Client who access IPAWS-OPEN using Client’s credentials provided by FEMA (each, an “IPAWS User”), are authorized by FEMA to use IPAWS-OPEN, have completed all required training, and Client has executed an IPAWS Memorandum of Agreement (“MOA”) with FEMA. Client shall contact Everbridge immediately upon any change in Client or any IPAWS User’s right to access IPAWS-OPEN. Client shall only access IPAWS-OPEN using its designated credentials and FEMA issued digital certificate (“Digital Certificate”). Client acknowledges and agrees that Everbridge shall not have access to its credentials and that Client assumes full responsibility for maintaining the confidentiality of any credentials issued to it.
Client shall be solely responsible for any and all claims, damage s, expenses (including attorneys’ fees and costs) that arise from any unauthorized use or access to IPAWS-OPEN.
1. Credentials. Client shall load and maintain within its Everbridge account Organization, its Digital Certificate, COG ID, and Common Name. Client authorizes and requests Everbridge to use the foregoing stored information to connect Client to IPAWS-OPEN.
2. Messaging. Client acknowledges and agrees that: (i) upon submission of messages to IPAWS-OPEN, Everbridge shall have no further liability for the distribution of such message, and that the distribution through IPAWS -OPEN, including, but not limited to, delivery through the Emergency Alert System or the Commercial Mobile Alert System, is in no way guaranteed or controlled by Everbridge; (ii) Everbridge shall not be liable as a result of any failure to receive messages distributed through IPAWS -OPEN; (iii) IPAWS may include additional features not supported through the Everbridge system, and Everbridge shall not be required to provide such additional fe atures to Client; and (iv) Client shall be solely responsible and liable for the content of any and all messages sent through IPAWS-OPEN utilizing its access codes.
3. Term. Client acknowledges and agrees that access to IPAWS -OPEN shall be available once Client has provided Everbridge with the Digital Certificate and any other reasonably requested information to verify access to the system.
Upon termination of the Agreement access to IPAWS -OPEN shall immediately terminate. In addition, Everbridge may immediately terminate, without liability, access to IPAWS -OPEN, if Client breaches this Addendum, the MOA, or FEMA changes the IPAWS -OPEN system so that it materially change the business terms and/or feasibility for Everbridge to provide such access.
Item: 10
65 Prepared for:
Jonathan Volzke
City of Lake Forest, CA
25550 Commercentre Dr., Suite 100
Lake Forest CA 92630
United States
Ph: 9492825214
Fax:
Email: [email protected]
Quotation
Quote #: Q-121438
Date: 12/2/2022
Expires On: 12/23/2022
Confidential
Salesperson: Caroline Lynch
Phone: 7813739851
Email: [email protected]
Contract Summary Information:
Contract Period: 36 Months
Contract Start Date: 12/26/2022
Contract End Date: 12/25/2025
Contract Option Years (in months) 24 Months
Note: **Quantity on this quote represents the population count
Item: 10
66 Year 1
QTY DESCRIPTION PRICE
84,293 Nixle 360 USD 13,716.00
1 Nixle Data Refresh USD 750.00
Year 1 TOTAL: USD 14,466.00
Year 2
QTY DESCRIPTION PRICE
84,293 Nixle 360 USD 13,716.00
1 Nixle Data Refresh USD 750.00
Year 2 TOTAL: USD 14,466.00
Year 3
QTY DESCRIPTION PRICE
84,293 Nixle 360 USD 13,716.00
1 Nixle Data Refresh USD 750.00
Year 3 TOTAL: USD 14,466.00
Pricing Summary:
Price: USD 14,466.00
Year One Fees: USD 14,466.00
One-time Implementation and Setup Fees: USD 0.00
Professional Services: USD 0.00
Total Year One Fees Due: USD 14,466.00
Ongoing Fees:
Year Two Fees: USD 14,466.00
Year Three Fees: USD 14,466.00
Option Years:
Contract Option Years (in months) 24 Months
Ongoing Annual Fees : USD 14,466.00
Messaging Credits Summary:
Initial Credits Allowance Additional Credits Purchased Total Credits Year 1 2,000,000 0 2,000,000
Year 2 2,000,000 0 2,000,000
Item: 10
67 Year 3 2,000,000 0 2,000,000
1. This Quote and the Service(s) provided are subject to the Everbridge, Inc. –Nixle Solutions service agreement entered into by and between Everbridge and the client identified above (the “Master Service Agreement”).
2. Subject to sales taxes where applicable.
3. Messaging Credits listed above can be used for Notifications and expire at the end of each year. Consumption of Messaging Credits in excess of these amounts in any year will incur additional charges.
4. Except for currency designation, the supplemental notes below, if any, supplied in this Quote are for informational purposes and not intended to be legally binding or override the language of the Master Service Agreement. (*Year One Fees are the total of the first year annual subscription fees and any one-time fees, i.e., Professional Services.)
\AID1\
Please, Sign, Date and Return:
Signature:
\s2\
/s2_sign/
Date:
\d2\
/s2_signdate/
Name (Print):
\n2\
/s2_fullname/
Title:
\t2\
/s2_title/
Please, Sign, Date and Return:
Signature:
\s1\
/s1_sign/
Date:
\d1\
/s1_signdate/
Name (Print):
\n1\
/s1_fullname/
Title:
\t1\
/s1_title/
155 North Lake Avenue, Suite 900
Pasadena, CA 91101 USA
Tel: +1-818-230-9700
Fax: +1-818-230-9505
THANK YOU FOR YOUR BUSINESS!
Item: 10
68 Attachment 2
Item: 10
69 Contact 1 Contact 2 Contact 3
City of Dana Point City of Newport Beach City of Placentia # Questions Response Response Response
1 How long have you
used the system, and
has it been reliable?
We’ve used Nixle for a couple
of years now, and we’ve never
had an issue with reliability.
I believe we’ve had Nixle since 2010.
I’ve been in charge of the account
since I started in this role in 2018. It
has been a reliable way for us to
communicate with residents that
have opted into getting messages.
I’ve been with Placentia for the past 3
years. The Police Department had a
contract with Nixle prior to me starting
here and we have renewed our
contract since. I like the system and its
use is simple. Our public safety
communications uses it most
frequently to notify the community of
road closures and hazards.
2 What messages have
you sent through Nixle
and did they help in
your outreach efforts?
Some cities might use Nixle on
a more regular basis for traffic
alerts, or construction. In my
opinion, over messaging can
take away from the urgency of
an emergency situation so, we
only use it for emergencies.
Knock on wood we haven’t had
many but, we have used it
several times in training the
City Staff, most recently we
used it for the Shake Out Drill in
October. We’ve also used it
when there are fireworks
outside of July 4th. Just to
notify surrounding residents to
take extra precautions with
pets due to the loud noise.
We mainly use Nixle to send out
crime alerts, traffic advisories
(closed intersections, etc.), press
releases, and emergency
communications.
Nixle has been a reliable system. The
messaging does seem to help and keep
the public aware. We are benefitted
by having a private community
Facebook page that promotes Nixle and
encourages the community to sign up.
3 Is there anything that
would make you
hesitate to enter
Sometimes I wonder if the
contract is worth it given how
infrequently we use it.
My overall thoughts are that Nixle
has been a great communication
resource for us and we have had
At this time there is no reason why we
would discontinue the use of Nixle and
there is a benefit to having our
Item: 10
70 another agreement for
Nixle?
However, this is the case for
many Emergency Management
tools. It’s something that we
pay for and train our staff on
but, you hope that you never
have to use it. The same can be
said for an Emergency
Operations Center, fire
extinguishers, AED devices and
so on.
very few problems with using the
system, but there are a few things
that could be improved.
subscription. AlertOC is also Nixle, but
AlertOC doesn’t afford the same
flexibility to having our own
account. The ability to set up multiple
notification groups comes in
handy. We have Nixle groups for City
EOC activation, CERT, the public, and
City staff for evacuation of City Hall.
4 Any other comments? I was pleased with the training
Everbridge provided and there
are many tools that come with
the software to help with
getting residents to sign
up. They have premade social
media posts, flyers, and
handouts to assist with your
Nixle registration
campaign. Keep in mind, that
unless you have a Wireless
Emergency Alerts (WEA)
certification, your Nixle will
only reach those that have
registered to receive
messages. They make the sign
up very easy as well, residents
just need to text their zip code
one time to 888777 to opt in.
Nixle owns the contacts of all the
people who sign up for the service,
so they aren’t visible to us. On one
hand, they manage all of that which
is nice, but on the other, it would
make it pretty difficult for us to
switch to a new system since we’d
have to build back up 12 years
worth of contacts.
None.
Item: 10
71 CITY COUNCIL AGENDA REPORT
MEETING DATE: 12/20/2022
DEPARTMENT: Community Development
SUBJECT:
FIRST AMENDMENT TO AGREEMENT WITH INTERWEST CONSULTING
GROUP, INC. FOR BUILDING AND SAFETY SERVICES
RECOMMENDED ACTION(S):
1. Approve the First Amendment to the Interwest Consulting Group, Inc. (“Interwest”) Agreement for Building and Safety Services to increase total compensation by $2,240,000 for a total not-to-exceed amount of $5,840,000 and add a new billing rate for overtime building and safety services, which may be requested and funded by an applicant.
2. Authorize the Mayor to sign, and the City Clerk to attest, the First Amendment substantially in the form attached.
EXECUTIVE SUMMARY:
On March 25, 2021, the City Council awarded a three-year Professional Consultant Agreement to Interwest Consulting Group (“Interwest”) with a total not-to-exceed compensation amount of $3,600,000 for Building and Safety Services. The term of the Professional Consultant Services Agreement with Interwest (“Agreement”) is set to expire on April 30, 2024. The compensation amount in the Agreement was based upon the estimated volume of development projected to occur over the three-year term. Due to the significant increase in permits, plan check, and inspection activity during Fiscal Year 2021-22 for new residential construction and projected upcoming development activity, additional compensation is necessary to provide the commensurate level of professional services. The remaining compensation balance (approximately $734,355) is not sufficient to cover the anticipated expenditures through the end of the term of the Agreement.
The proposed First Amendment to the Agreement would increase the total compensation by $2,240,000 for a total not-to-exceed amount of $5,840,000. The amendment also includes a new billing rate for overtime building and safety services, which may be requested and funded by an applicant. The First Amendment would not change the term of the Agreement.
Item: 11
72 2
3 5
5 Compensation to Interwest is paid via fees collected by the City for projects performed by permit and development applicants. The Fiscal Year 2022-2023 Budget for the Community Development Department includes $1,209,000 for Building and Safety Services. This amount will need to be increased during the mid-year budget adjustment process to reflect the actual revenue received based on accelerated residential building activity
BACKGROUND:
Since incorporation in 1991, the City has utilized the services of a consulting firm to provide Building and Safety Services to residents and businesses who are building new structures or improving property within the city. On March 16, 2021, after a competitive proposal process consistent with the City’s Purchasing and Contracting Guidelines (“Purchasing Guidelines”), the City Council approved the current Agreement with Interwest for Building and Safety Services. The Agreement includes a three-year term (May 1, 2021, to April 30, 2024) with a total not-to-exceed compensation amount of $3,600,000. At the discretion of the City Council, and based on vendor performance, two one-year extensions may be granted.
The Interwest Agreement is budgeted based on revenue projections of permit issuance, plan check fees, and inspections conducted each year. In accordance with the Agreement, Interwest receives 52% of these revenues. Due to the increase in permit issuance, plan check review, and inspection activity for new residential construction during 2022 and projected upcoming development activity, additional compensation is necessary to provide the commensurate level of professional services. The remaining compensation balance is not sufficient to cover the anticipated expenditures through the end of the term. This proposed First Amendment to the Agreement would increase the total compensation by $2,240,000 for a new total not-to-exceed amount of $5,840,000. The First Amendment would not extend the term of the Agreement.
DISCUSSION:
The services provided by Interwest include the following:
•Plan check services for building, electrical, mechanical, plumbing and erosion control
•Permit issuance for building, electrical, mechanical, and plumbing •Inspection services for building, electrical, mechanical, plumbing and erosion control
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3 5
5 •Building Official administration, processing of complex code issues and dispute resolution
•Review and comment on new development proposals
•Customer service provided by Building Technicians
•National Pollution Discharge Elimination System (“NPDES”) tabulation •Assistance with the configuration, implementation, and on-going support for the automated permit system, EnerGov
To date, the scope of work as set forth in the Agreement has been successfully fulfilled by Interwest. The compensation paid to Interwest under the Agreement is 52% of the fees collected by the City for permit issuance, building plan check fees, and inspection services. The City retains 48% of the fees collected. These fees are calculated in accordance with the City’s adopted Fee Schedule. The three-year Agreement included $3,600,000 in compensation. The compensation amount was based on an estimate of future construction activity. Due to favorable market conditions and consumer enthusiasm for the Meadows development by Toll Brothers, the pace of new construction exceeded the conservative estimate made in 2021. From the commencement of the Agreement in April of 2021 to November of 2022, the City has remitted $2,865,642 to Interwest Consulting Group. The remaining funds (approximately $734,358) will not be sufficient to cover the anticipated costs for services until the end of the three-year term described in the Agreement.
Staff contacted the developers of the various residential communities within the City to anticipate the upcoming volume of construction. In addition, staff factored into account the likely activity in the commercial/industrial sectors, as well as home improvement and additions. At this time, staff estimates that an additional $2,240,000 will be required to cover the cost of Building and Safety Services through the remainder of the contract.
The proposed First Amendment also includes a new billing rate, set at 1.5 times the standard hourly rate, for overtime building and safety services, which may be requested and funded by the applicant. This would allow for an acceleration of the standard timeframe for service delivery (10-day plan check turnaround and inspections within 24 hours) for plan check, inspection, or other services. For example, an applicant may request after hours inspections or desire expedited permit issuance due to economic factors.
Staff recommends the City Council approve the proposed First Amendment to the Interwest Agreement. The First Amendment has been reviewed and approved as to form by the City Attorney’s Office. If approved, the First Amendment would increase the compensation amount in the Agreement to $5,840,000. Compensation to Interwest is paid for through fees collected by the City for projects performed by permit and development applicants. Should the Item: 11
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5 City Council approve the First Amendment, a mid-year budget adjustment would need to be processed to reflect the actual revenue received and expenditures for building and safety services based on the next year of anticipated building activity.
FISCAL IMPACT:
The proposed First Amendment would increase the compensation amount in the Interwest Agreement by $2,240,000, bringing the total compensation to $5,840,000 for the initial three-year term. The cost of the permit, plan check, and inspection fees are borne by the applicant. For applicant-requested overtime building and safety services, the applicant will be invoiced for the specific service on an hourly basis.
The Fiscal Year 2022-2023 Budget for the Community Development Department includes $1,209,000 for Building and Safety Services. This amount will need to be increased during the mid-year budget adjustment process to reflect the actual revenue received based on accelerated residential building activity.
ATTACHMENTS:
1. First Amendment to Agreement with Interwest Consulting Group Inc.
2. Agreement with Interwest Consulting Group Inc.
Initiated By: Arianna Ford, Management Assistant
Submitted By: Gayle Ackerman, AICP, Director of Community Development Approved By: Debra Rose, City Manager
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75 ATTACHMENT 1
ATTACHMENT 1
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76 55136.00200\31919338.1 - 1 -
CITY OF LAKE FOREST
FIRST AMENDMENT TO
AGREEMENT FOR PROFESSIONAL CONSULTANT SERVICES
PARTIES AND DATE.
This First Amendment to the Agreement for Professional Consultant Services (“First Amendment”) is entered into on the day of , ,by and between the City of Lake Forest, a municipal corporation, organized under the laws of the State of California, with its principal place of business at 100 Civic Center Drive, Lake Forest, CA 92630 (“City”) and Interwest Consulting Group, Inc., a California corporation, with its principal place of busine ss at 1 Jenner, Suite 160, Irvine, CA 92618 ("Consultant"). City and Consultant are sometimes individually referred to herein as "Party" and collectively as "Parties."
RECITALS.
2.1 Agreement. The Parties entered into that certain Agreement for Building and Safety Consulting Services dated March 25, 2021 (“Agreement”).
2.2 First Amendment. The Parties now desi re to amend the Agreement in order to increase the total amount of compensation under the Agreement.
TERMS.
3.1 Compensation. Section 3.3.1 of the Agre ement is hereby amended in its entirety to read as follows:
Consultant shall receive compens ation, including authorized reimbursements, for all Services rendered under this Agreement at the rates set forth in Exhibit “C” attached hereto and incorporated herein by reference. The total compensation shall not exceed FIVE
MILLION EIGHT HUNDRED FORTY THOUSAND DOLLARS
($5,840,000) without written approval of the City Council or City Manager as applicable. Extra Work may be authorized, as described below, and if authorized, will be compensated at the rates and manner set forth in this Agreement.
3.2 Remaining Provisions of Agreement. Except as otherwise specifically set forth in this First Amendment, the remaining provisions of the Agreement shall remain in full force and effect.
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77 55136.00200\31919338.1 - 2 -
CITY OF LAKE FOREST INTERWEST CONSULTING GROUP, INC.
By:
Robert Pequeno
Mayor
By:
Chris Giordano
President
[If Corporation, TWO SIGNATURES,
President OR Vice President AND Secretary
OR Treasurer REQUIRED]
ATTEST:
By:
Lisa Berglund
City Clerk
By:
David Kniff
Assistant Secretary
APPROVED AS TO FORM:
By:
Best Best & Krieger LLP
City Attorney
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78 55136.00200\31919338.1 Attachment “1”-1
ATTACHMENT “1” TO FIRST AMENDMENT TO
AGREEMENT FOR PROFESSIONAL CONSULTANT SERVICES
EXHIBIT “C”
COMPENSATION
Consultant shall be paid for services rendered in accordance with Section 3.3 of the Agreement and as described above under Exhibit “A” Scope of Services the not-to-exceed fee of five million eight hundred forty thousand dollars ($5,840,000). The not-to-exceed fee shall be equal to 52% of the monthly combined plan review and inspecti on fees collected by the Building and Safety Division. This fee includes the as needed se rvices provided by the Stormwater Compliance Manager and Stormwater Compliance Inspector. Any specialized Services that exceed the scope of services will be billed at the hourly rates shown below. No extra services will be billed by Consultant without prior authorization by the City.
Certified Classification Hourly Rates
*Deputy Building Official 125
*Building Official 145
*Permit Technician 70
*ICC Certified Plans Examiner 105
*Plan Check Engineer 135
*ICC Certified Building Inspector 70 to 95
*CASp Specialist 115
*Stormwater Compliance Manager 135
*Stormwater Compliance Inspector 110
*Overtime will be billed at 1.5 times the regular rate as authorized by the City.
In the event that this Agreement is renewed purs uant to Section 3.1.2, the rates set forth above may be increased or reduced each year at the time of renewal, but any increase shall not exceed the Consumer Price Index, All Urban Consumers, Los Angeles-Long Beach-Anaheim.
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79 ATTACHMENT 2
ATTACHMENT 2
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80 CITY OF LAKE FOREST
PROFESSIONAL CONSUL TANT SERVICES AGREEMENT
1. PARTIES AND DATE,
This Agreement is made and entered into this 2f3 day of Mflt.f<~ 20 LJ , by and between the City of Lake Forest, a municipal corporation, organized under the laws of the State of California, with its principal place of business at 100 Civic Center Drive, Lake Forest, California, 92630 C'City") and lnterwest Consulting Group, Inc., a California corporation, with its principal place of business at 1 Jenner, Suite 160, Irvine CA 92618 ("Consultant"). City and Consultant are sometimes individually referred to herein as "Partyn and collectively as "Parties. n
2. RECITALS.
2.1 Consultant.
Consultant desires to perform and assume responsibility for the provision of certain professional building and safety consulting services required by the City on the terms and conditions set forth in this Agreement. Consultant represents that it is experienced ,in providing professional building and safety consulting services to public clients, is licensed in the State of Califom!a, and is familiar with the plans of City.
2.2 Project.
City desires to engage Consultant to render such professional building and safety consulting services for the project ("Project") as set forth in this Agreement.
3. TERMS.
3.1 Scope of Services and Term.
3.1.1 General Scope of Services. Consultant promises and agrees to furnish to the City all labor, materials, tools, equipment, services, and incidental and customary work necessary to fully and adequately supply the professional building and safety consulting services necessary for the Project ("Services"). The Services are more particularly described in Exhibit "A" attached hereto and incorporated herern by reference. All Services shall be subject to, and performed in accordance with, this Agreement, the exhibits attached hereto and incorporated herein by reference, and all applicable local, state and federal laws, rules and regulations.
3.1.2 Term. The term of this Agreement shall be from May 1, 2021 to April 30, 2024, unless earlier terminated as provided herein. The City shall have the unilateral option, at its sole discretion, to renew this Agreement automatically for no more than two (2) additional one- year terms. Consultant shall complete the Services within the term of this Agreement, and shall meet any other established schedules and deadlines. ·
3.2 ResponsibHltles of Consultant.
3.2.1 Inde pendent Contractor ; Control and Payment of Subordinates. The Services shall be performed by Consultant or under its supervision. Consultant will determine the (BB&K 2019)
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81 means, methods and details of performing the Services subject to the requirements of this Agreement. City retains Consultant on an independent contractor basis and not as an employee.
Consultant retains the right to perfonn similar or different services for others during the term of this Agreement. Any additional personnel performing the Services under this Agreement on behalf of Consultant shall also not be employees of City and shall at all times be under Consultant's exclusive direction and control. Neither City, nor any of its officials, officers, directors, employees or agents shall have control over the conduct of Consultant or any of Consultant's officers, employees, or agents, except as set forth in this Agreement Consultant shall pay all wages, salaries, and other amounts due such personnel in connection with their performance of Sen.rices under this Agreement and as required by law. Consultant shall be responsible for all reports and obligations respecting such additional personnel, including, but not limited to: social security taxes, income tax withholding, unemployment insurance, disability insurance, and workers' compensation insurance.
3.2.2 Schedule of Servioes. Consultant shall perform the Services expeditiously, within the term of this Agreement, and in accordance with the Schedule of Services set forth in Exhibit
1 '8" attached hereto and incorporated herein by reference. Consultant represents that it has the professional and technical personnel required to perform the Services in conformance with such conditions. In order to facilitate Consultant's conformance with the Schedule, City shall respond to Consultant's submittals In a timely manner. Upon request of City, Consultant shall provide a more detailed schedule of anticipated perfonnance to meet the Schedule of Services.
3.2.3 Conformance to Applicable Requirements. All work prepared by Consultant shall be subject to the approval of City.
3.2.4 Substitution of Key Personnel. Consultant has represented to City that certain key personnel will perform and coordinate the Services under this Agreement. Should one or more of such personnel become unavailable, Consultant may substitute other personnel of at least equal competence upon written approval of City. In the event that City and Consultant cannot agree as to the substitution of key personnel, City shall be entitled to terminate this Agreement for cause. As discussed below, any personnel who fail or refuse to perform the Services in a manner acceptable to the City, or who are determined by the City to be uncooperative, incompetent, a threat to the adequate or timely completion of the Project or a threat to the safety of persons or property, shall be promptly removed from the Project by the Consultant at the request of the City. The key personnel for performance of this Agreement are as follows: Ron Beehler, SE, CBO, ICC, Director, Building and Safety Services and Fred Marzara, PE, ICC, Project Manager, Building Official.
3.2.5 City's Representative. The City hereby designates Gayle Ackerman.
Director of Community Development, or her designee, to act as its representative in all matters pertaining to the administration and performance of this Agreement (~City's Representative 0 ).
City's Representative shall have the power to act on behalf of the City for review and approval of all products submitted by Consultant but not the authority to enlarge the Scope of Work or change the total compensation due to Consultant under this Agreement. The City Manager shall be authorized to act on Citys behalf and to execute all necessary documents which enlarge the Scope of Work or change the Consultant's total compensation subject to the provisions contained in Section 3.3 of this Agreement. Consultant shall not accept direction or orders from any person other than the City Manager, City's Representative or his/her designee.
3.2.6 Consultant's Representative. Consultant hereby designates Ron Beehler, (BB&K2019)
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82 SE, CBO, ICC, Director, Building and Safety Services, or his/her designee, to act as its representative for the perfonnance of this Agreement ("Consultant's Representative").
Consultant's Representative shall have full authority to represent and act on behalf of the Consultant for all purposes under this Agreement. The Consultant's Representative shall supervise and direct the Services, using his/her best skill and attention, and shall be responsible for all means, methods, techniques, sequences, and procedures and for the satisfactory coordination of all portions of the Services under this Agreement.
3.2.7 Coordination of Servfc.es. Consultant agrees to work closely with City staff in the performance of Services and shall be available to City's staff, consultants and other staff at all reasonable times.
3.2.8 Standard of Care: Performance of Employees. Consultant shall perform all Services under this Agreement in a skillful and competent manner, consistent with the standards generally recognized as being employed by professionals in the same discipline in the State of California. Consultant represents and maintains that it is skilled in the professional calling necessary to perform the Services. Consultant warrants that all employees and subconsultants shall have sufficient skill and experience to perform the Services assigned to them. Finally, Consultant represents that it, its employees and subconsultants have all licenses, pennits, qualifications and approvals of whatever nature that are legaHy required to perfonn the Services, and that such licenses and approvals shall be maintained throughout the term of this Agreement.
As provided for in the indemnification provisions of this Agreement, Consultant shall perfonn, at Its own cost and expense and without reimbursement from the City, any services necessary to correct errors or omissions which are caused by the Consultant's failure to comply with the standard of care provided for herein. Any employee of the Consultant or its sub-consultants who is detennined by the City to be uncooperative, incompetent, a threat to the adequate or timely completion of the Project. a threat to the safety of persons or property, or any employee who fails or refuses to perfonn the Services in a manner acceptable to the City, shall be promptly removed from the Project by the Consultant and shall not be re~employed to pertorm any of the Services or to work on the Project.
3.2.9 Laws and R.egulations. Consultant shall keep itself fully informed of and in compliance wlth all tocal, state and federal laws, rules and regulations in any manner affecting the pertormance of the Project or the Services, including all Cal/OSHA requirements, and shall give all notices required by law. Consultant shall be liable for all violations of such laws and regulations in connection with Services. If Consultant performs any work knowing it to be contrary to such laws, rules and regulations, Consultant shall be solely responsible for all costs arising therefrom. Consultant shall defend, indemnify and hold City,. its officials, directors, officers, employees, agents, and volunteers free and harmless, pursuant to the indemnification provisions of this Agreement, from any claim or liability arising out of any failure or alleged failure to comply with such laws, rules or regulations.
3.2.10 Safe~. Consultant shall execute and maintain its work so as to avoid injury or damage to any person or property. In carrying out Its Services, the Consultant shall at all times be in compliance with all applicable local, state and federal laws, rules and regulations, and shall exercise all necessary precautions for the safety of employees appropriate to the nature of the work and the conditions under which the work is to be performed. Safety precautions, where applicable, shall include, but shall not be limited to: (A) adequate life protection and lifesaving equipment and procedures; (8) instructions in accident prevention for all employees and subconsultants, such as safe walkways, scaffolds, fall protection ladders, bridges, gang planks, (BB&K2019)
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83 confined space procedures, trenching and shoring, equipment and other safety devices, equipment and wearing apparel as are necessary or lawfully required to prevent accidents or injuries; and (C) adequate facilities for the proper inspection and maintenance of all safety measures.
3.2.11 Insurance. Consultant agrees to procure and maintain, at Consultant's expense all insurance specified in Exhibit ~o~ attached hereto and by this reference incorporated herein. Consultant shall require all subconsultants to calT)' the same policies and limits of insurance that the Consultant is required to maintain, unless otherwise approved in writing by the City.
3.2. 12 Water Quality Management and Compliance.
3.2.12.1 Storm Water Management. Storm, surface, nuisance, or other waters may be enoountered at various times during the Services. Consultant hereby acknowledges that it has investigated the risk arising from such waters, and assumes any and all risks and liabilities arising therefrom.
3.2.12.2 Comgliance with Water Quality Laws , Ordinances and Regulations. Consultant shall keep itself and all subcontractors, staff, and employees fully informed of and in compliance with all local, state and federal laws, rules and regulations that may impact, or be implicated by the performance of the Services including, without limitation, all applicable provisions of the City's ordinances regulating water quality and storm water; the Federal Water Pollution Control Act (33 U..S.C. § 1251, et seq.); the Califomia Porter-Cologne Water Quality Control Act (Water Code§ 13000 et seq.); and any and all regulations, policies, or permits issued pursuant to any such authority. Consultant must additionally comply with the lawful requirements of the City, and any other municipality, drainage district, or other local agency with jurisdiction over the location where the Services are to be conducted, regulating water quality and storm water discharges.
3.2.12.3 Compliance with DAMP and LIP. In addition to compliance with the laws, ordinances and regulations Usted in Section 3.2.12.2 of this Agreement, Consultant must comply with all applicable requirements ofthe Orange County Drainage Area Management Plan ("DAMP"), the City of Lake Forest Local Implementation Plan ("UP") and the applicable Water Quality Management Plan ('WQMP"). The DAMP contains requirements related to design and construction of public projects. Consultant must be familiar tihe DAMP .. and the LIP and comply with the requirements as specified th~.rein.
A copy of the DAMP is available on the internet at:
https:1/media.ocqov.com/qov/pw/watersheds/documents/dam p/default.asp A copy of the LIP is available on the internet at:
http://www.lakeforestca.gov/depts/pw/\wter/local tmplementation plan %28lip%29.asp More information on 1he applicable WQMP is available on the internet at:
http://wwN.lakeforestca.gov/depts/pw/water/water quality management plan (wgmp).asp (BB&K 2019)
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84 3.2.12.4 Standard of Care. Consultant warrants that all employees and subcontractors shall have sufficient skill and experience to perform the work assigned to them without impacting water quality in violation of the laws, regulations and policies described in Sections 3.2.12.2 and 3.2.12.3 of this Agreement. Consultant further warrants that it, its employees and subcontractors have or will receive adequate training, as determined by the City, regarding these requirements as they may relate to the Services.
3.2.12.5 Liabflit y for Non-com pliance.
(A) Indemnity: Failure to comply with laws, regulations, and ordinances listed in Sections 3.2.12.2 and 3.2.12.3 of this Agreement is a violation of federal and state law. Notw[thstanding any other indemnity contained in this Agreement, Consultant agrees to indemnify and hold harmless the City, its officials, officers, agents, employees and authorized volunteers from and against any and all claims, demands, losses or liabilities of any kind or nature which the City, its officials, officers, agents, employees and authorized volunteers may sustain or incur for noncompliance with the laws, regulations, and ordinances listed above, arising out of or in connection with the Services, except for liability resulting from the· sole established negligence, willful misoonduct or active negligence of the City, its officials, officers, agents, employees or authorized volunteers.
(B} Defense: City reserves the right to defend any enforcement action or civil action brought against the City for Consultant's failure to comply with any applicable water quality law, regulation, or policy. Consultant hereby agrees to be bound by, and to reimburse the City for the costs associated with, any settlement reached between the City and the relevant enforcement entity.
(C) Damages: City may seek damages from Consultant for
delay in oompleting the Services caused by Consultant's failure to comply with the la\lVS, regulations and policies described iin Sections 3.2.12.2 and 3.2.12.3 of this Agreement, or any other relevant water quality law, regulation, or policy.
3.3 Fees and Payments.
3.3.1 Compensation. Consultant shall receive compensation, including authorized reimbursements, for all Services rendered under this Agreement at the rates set forth in Exhibit "C' attached hereto and incorporated herein by reference. The total compensation shall not exceed THREE MILLION SIX HUNDRED THOUSAND DOLLARS ($3,600,000) without written approval of the City Council or City Manager as applicable. Extra Work may be authorized, as described below, and if authorized, wm be compensated at the rates and manner set forth in this Agreement.
3.3.2 Payment of Compensation. Consultant shall submit to City a monthly invoice which indicates work completed and hours of Services rendered by Consultant. The invoice shall describe the amount of Services provided since the initial commencement date, or since the start of the subsequent billing periods, as appropriate, through the date of the invoice.
City shall, within 30 days of receiving such invoice, review the invoice and pay all non-disputed and approved charges thereon. If the City disputes any of Consultant's fees, the City shall give written notice to Consultant within thirty (30) days of receipt of an invoice of any disputed fees set forth therein.
(BB&K:2019)
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85 3.3.3 Reimbursement for Expenses. Consultant shall not be reimbursed for any expenses unless authorized in writing by City, or included in Exhibit "C" of this Ag.reement.
3.3.4 Extra Work. At any time during the term of this Agreement, City may request that Consultant perfom, Extra Work. As used herein, "Extra Work" means any work which is determined by City to be necessary for the proper completion of the Project, but which the Parties did not reasonably anticipate would be necessary at the execution of this Agreement.
Consultant shall not perform, nor be compensated for, Extra Work without written authorizati>on from the City.
3.3.5 Rate tncreases. In the event that this Agreement is renewed pursuant to Section 3.1.2, the rate set forth in Exhibit "C~ may be adjusted each year at the time of renewal as set forth in Exhibit "C."
3.4 Labor Code Requirements.
3.4.1 Prevailing Wages. Consultant is aware of the requirements of California Labor Code Section 1720, et seq., and 1770, et seq., as well as California Code of Regulations, Title 8, Section 16000, et seq., ("Prevailing Wage Laws"), which require the payment of prevailing wage rates and the perlonnance of other requirements on °public works" and "maintenance" projects. If the Services are being performed as part of an applicable •public works• or 1 'maintenance1' project, as defined by the Prevailing Wage Laws, and since the total compensation is $1,000 or more, Consultant agrees to fully comply with such Prevailing Wage Laws. City shall provide Consultant with a copy of the prevailing rates of per diem wages in effect at the commencement of this Agreement Consultant shall make copies of the prevailing rates of per diem wages for each craft, classification or type of worker needed to execute the Services available to interested parties upon request, and shall post copies at the Consultant's principal place of business and at the project site. It is the intent of the parties to effectuate the requirements of sections 1771, 1774, 1775, 1776, 1777.5, 1813, and 1815 of the Labor Code within this Agreement, and Consultant shall therefore comply with such Labor Code sections to the fullest extent required by law. Consultant shall defend, indemnify and hold the City, its officials, officers, employees, agents, and volunteers free and hannless from any claim or liability arising out of any failure or alleged failure to comply with the Prevailing Wage Laws.
3.4.2 Registration. If the Services are being performed as part of an applicable "public works" or "maintenance" project, in addition to the foregoing, then pursuant to Labor Code sections 1725.5 and 1771.1 , the Consultant and all subconsultants must be registered with the Department of Industrial Relations {"DIR"). Consultant shall maintain registration for the duration of the project and require the same of any subconsultants. This project may also be subject to compliance monitoring and enforcement by the DIR. It shall be Contractor's sole responsibility to comply with all applicable registration and labor compliance requirements, including the submission of payroll records directly to the DIR.
3.5 Accounting Records.
3.5.1 Maintenance and Inspection. Consu~tant shall maintain complete and accurate records with respect to all costs and expenses incurred under this Agreement. All such records shall be clear1y identifiable. Consultant shall allow a representative of City during nonnal business hours to examine, audit, and make transcripts or copies of such records and any other documents created pursuant to this Agreement. Consultant shaH allow inspection of all work, data, (BB&K2019)
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86 documents, proceedings. and activities related to the Agreement for a period of three (3) years from the date of final payment under this Agreement.
3.6 Genera.I Provisions.
3.6.1 Termination of Agreement.
3.6.1.1 Grounds for Termination. City may, by written notice to Consultant, terminate the whole or any part of this Agreement at any time and without cause by giving written notice to Consultant of such termination, and specifying the effective date thereof, at least seven (7) days before the effective date of such termination. Upon tennination, Consultant shall be compensated only for those services which have been adequately rendered to City, and Consultant shall be entitled to no further compensation. Consultant may not terminate this Agreement except for cause.
3.6.1.2 Effect of Termination. If this Agreement is terminated as provided herein, City may require Consultant to provide all finished or unfinished Documents and Data and other information of any kind prepared by Consultant in connection with the performance of Services under this Agreement. Consultant shall be required to provide such document and other information within fifteen ( 15) days of the request.
3.6.1.3 Additional Servlces. In the event this Agreement is terminated in whole or in part as provided herein, City may procure, upon such terms and in such manner as it may determine appropriate, servlces similar to those terminated.
3.6.1.4 DeUverv of Notices. AH notices permitted or required under this Agreement shall be given to the respective parties at the following address, or at such other address as the respective parties may provide in writing for this purpose:
Consultant:
City:
lnteiwest Consulting Group, Inc.
1 Jenner, Suite 160
Irvine, CA 92618
ATTN: Ron Beehler, Director, Building and Safety Svcs.
City of Lake Forest
100 Civic Center Drive
Lake Forest, CA 92630
ATTN: City Clerk
Such notice shall be deemed made when personally deltvered or when mailed, forty-eight (48) hours after deposit in the U.S. Mail, first class postage prepaid and addressed to the party at its applicable address. Actual notice shall be deemed adequate notice on the date actual notice occurred, regardless of the method of service.
3.6.2 Ownershi p of Materials and Confidentialit y.
3.6.2.1 Documents & Data: Licensin g of Intellectual Property . This Agreement creates a non-exclusive and perpetual license for City to copy, use, modify, reuse, or sublicense any and all copyrights, designs, and other intellectual property embodied in plans, specifications, studies, drawings, estimates, and other documents or works of authorship fixed in (BB&K2019)
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87 any tangible medium of expression, including but not limited to, physical drawings or data magnetically or otherwise recorded on computer diskettes, which are prepared or caused to be prepared by Consultant under this Agreement (NOocuments & Data"). Consultant shall require all subconsultants to agree in writing that City is granted a non-exclusive and perpetual license for any Documents & Data the subconsultant prepares under this Agreement. Consultant represents and warrants that Consultant has the legal right to license any and all Documents & Data.
Consultant makes no such representation and warranty in regard to Documents & Data which were prepared by design professionals other than Consultant or provided to Consultant by the City. City shall not be limited in any way fn its use of the Documents & Data at any time, provided that any such use not within the purposes intended by this Agreement shall be at City's sole risk.
3.6.2.2 Confidentiality. All ideas, memoranda, specifications, plans, procedures, drawings, descriptions, computer program data, input record data, written information, and other Documents & Data either created by or provided to Consultant in connection with the periormanoe of this Agreement shall be held confidential by Consultant. Such materials shall not, without the prior written consent of City, be used by Consultant for any purposes other than the performance of the Services. Nor shall such materials be disclosed to any person or entity not connected with the performance of the Services or the Project. Nothing furnished to Consultant which is otherwise known to Consultant or is generally known, or has become known, to the related industry shall be deemed oonfidential. Consultant shall not use City's name or insignia, photographs of the Project, or any publicity pertaining to the Services or the Project in any magazine, trade paper, newspaper, television or radio production or other similar medium without the prior written consent of City.
3.6.2.3 Confidential lnformation. The City shall refrain from releasing Consultant's proprietary Information eProprietary Information") unless the City's legal counsel determines that the release of the Proprietary lnfomiation is required by the California Public Records Act or other applicable state or federal law, or order of a court of competent jurisdiction , in which case the City shall notify Consultant of its intention to reiease Proprietary Information.
Consultant shall have five (5) working days after receipt of the Release Notice to give City written notice of Consultant's objection to the City's release of Proprietary lnfom,ation. Consultant shall indemnify, defend and hold harmless the City, and its officers, directors, employees, and agents from and against all Uability, loss, cost or expense (induding attorney's fees) arising out of a legal action brought to compel the release of Proprietary Information. City shall not release the Proprietary Information after receipt of the Objection Notice unless either: (1) Consultant fails to fully indemnify, defend (with City's choice of legal counsel), and hold City harmless from any legal action brought to compel such release; and/or (2} a final and non-appealable order by a court of competent jurisdiction requires that City release such infonnation.
3.6.3 Cooperation; Further Acts. The Parties shall fully cooperate with one another, and shall take any additional acts or sign any additional documents as may be necessary, appropriate or convenient to attain the purposes of this Agreement.
3.6.4 Attorne y's Fees. If either party commences an actton against the other party, either legal, administrative or otherwise, arising out of or in connection with this Agreement, the prevailing party in such litigation shaU be entitled to have and recover from the losing party reasonable attorney's fees and all other costs of such action.
3.6.5 Indemnification.
(BB&K 2019)
55136.00200\31918793.1
Item: 11
88 To the fullest extent permitted by law, Consultant shall defend (witl1 oounsel of City's choosing), indemnify and hold the City, its officials, officers, employees, volunteers and agents free and harmless from any and all claims, demands, causes of action, costs, expenses, liability, loss, damage or injury of any kind, in law or equity, to property or persons, including wrongful death, in any manner arising out of, pertaining to, or incident to any alleged acts, errors or omissions, or willful misconduct of Consultant, its officials, officers, employees, subcontractors, consultants or a.gents in conne<:ition with the performance of the Consultant's Services, the Project or this Agreement, including without limitation the paymerit of all damages, expert witness fees and attorneys fees and other related costs and expenses. Consuttant;s obligation to indemnify shall not be restricted to insurance proceeds, if any, received by the Consultant or the City, its officials, officers, employees, agents or volunteers.
If Consultant's obligation to defend, indemnify, and/or hold harmless arises out of Consultant's perfonnance as a "design professional" (as that term is defined under Civil Code section 2782.8), then, and only to the extent required by Civil Code section 2782,8, which is fully incorporated herein, Consultant's indemnification obl.igation shall be limited to claims that arise out of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the Consultant, and, upon Consultant obtaining a final adjudication by a court of competent jurisdiction, Consultant's liability for such daim, including the cost to defend, shall not exceed the Consultant's proportionate percentage of fault
3.6.6 Entire Agreement. This Agreement contains the entire Agreement of the parties with respect to the subject matter hereof, and supersedes all prior negotiations, understandings or agreements. This Agreement may only be modified by a writing signed by both parties.
3.6.7 Governin g Law. This Agreement shaH be governed by the laws of the State of California. Venue shall be in Orange County .
3.6.8 Time of Essence. Time is of the essence for each and every provision of this Agreement.
3.6.9 City's Rlqht to Employ other Consultants. City reserves right to employ other consultants in connection with this Project.
3.6.1 O Successors and Assigns. This Agreement shall be binding on the successors and assigns of the parties.
3.6.11 Assignment or Transfer. Consultant shall not assign, hypothecate, or transfer. either directly or by operation of law, this Agreement or any interest herein without the prior written consent of the City. Any attempt to do so shall be null and void, and any assignees, hypothecates or transferees shall acquire no right or interest by reason of such attempted assignment, hypothecation or transfer.
3.6.12 Construction; References: _Captions. Since the Parties or their agents have participated fully in the preparation of this Agreement, the language of this Agreement shall be construed simply, according to its fair meaning, and not strictJy for or against any Party. Any term referencing time, days or period for performance shall be deemed calendar days and not work days. All references to Consultant include all personnel, employees, agents, and subconsultants of Consultant. except as otherwise. specified in this Agreement. AD references to City include its (BB&K2019)
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Item: 11
89 elected officials, officers ,. employees, agents, and volunteers except as otherwise specified in this Agreement. The captions of the various artioles and paragraphs are for convenience and ease of reference only, and do not define, limit, augment, or describe the soope, content, or intent of this Agreement.
3.6.13 Amendment; Modification. No supplement, modification, or amendment of this Agreement shall be binding unless executed in writing and signed by bath Parties.
3.6.14 Waiver. No waiver of any default shall constitute a waiver of any other default or breach, wtiether of the same or other covenant or condition. No waiver, benefit, privilege, or service voluntarily given or performed by a Party shall give the other Party any contractual rights by custom, estoppal, or otherwise.
3.6.15 No Third-Pa rty Beneficiaries. There are no intended third party beneficiaries of any right or obligation assumed by the Parties.
3.6.16 Invalid ity; Severabili ty. If any portion of this Agreement is deciared invalid, illegal, or otherwise unenforceable by a court of competent jurisdiction. the remaining provisions shall continue in full force and effect.
3.6.17 Prohibited Interests. Consultant maintains and warrants that it has not employed nor retained any company or person, other than a bona fide employee working solely for Consultant. to solicit or secure this Agreement. Further. Consultant warrants that it has not paid nor has it agreed to pay any company or person, other than a bona fide employee working solely for Consultant, any fee, commission, percentage, brokerage fee, gift or other consideration contingent upon or resulting from the award or making of this Agreement. For breach or violation of this warranty, City shall have the right to rescind this Agreement without liability. For the term of this Agreement, no member, officer or employee of City, during the term of his or her servlce with City, shall have any direct interest in this Agreement, or obtain any present or anticipated material benefit arising therefrom.
3.6.18 Egual Opportunity Employment. Consultant represents that it is an equal opportunity employer and it shall not discriminate against any subconsultant, employee or applicant for employment because of race, religion, cofor, national origin, handicap, ancestry, sex or age. Such non-discrimination shall include, but not be limited to, all activities related to initial employment, upgrading, demotion, transfer, recruitment or recruitment advertising, layoff or termination . Consultant shall also comply with all relevant provisions of City's Minority Business Enterprise program, Affirmative Action Plan or other related programs or guidelines currently in effect or hereinafter enacted.
3.6.19 Labor Certification. By its signature hereunder, Consultant certifies that it is aware of the provisions of Section 3700 of the California labor Code which require every employer to be insured against liability for Worker's Compensation or to undertake self-insurance in accordance with the provisions of that Code, and agrees to comply with such provisions before commencing the performance of the Services.
3.6.20 Authority to Enter Agreement. Consultant has alt requisite power and authority to conduct i1s business and to execute, deliver, and perform the Agreement. Each Party warrants that the individuals who have signed this Agreement have the legal power. right, and authority to make this Agreement and bind each respective Party. (BB&K 2019)
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Item: 11
90 3.6.21 Counterparts. TMs Agreement may be signed in counterparts, each of which shall constitute an original.
3. 7 Subcontracting.
3.7.1 Prior Approval Required. Consultant shall not subcontract any portion of the work required by this Agreement. except as expressly stated herein, without prior written approval of City. Subcontracts, if any, shall contain a provision making them subject to all provisions stipulated in this Agreement.
3.7.2 Use of Independent Contractors and Subcontractors. Consultant is aware of statutory and case law regarding classification of workers as independent contractors, including California tabor Code Section 2750.3 and Dynamex Ogerations W~st 1 Inc. v. Su~rior Court, 4 Cal. 5th 903 (2018). To ensure that Consultant is in compliance with the California Labor Code, Consultant shall only utilize its employees to provide the Services. Consultant may not provide the services through any independent contractor, subcontractor or subconsultant (1'Subcontractor(s)") unless approved by the City as set forth in Section 3.6.1 of the Agreement.
Consultant represents and warrants that all personnel who perform the Services on Consultant's behalf are Consultant's employees, and that Consultant complies with all applicable laws, rules and regulations governing its employees, including, but not limited to, the California Labor Code, Unemployment Insurance Code and al applicable Industrial Welfare Commission Wage Orders.
City shall have the right to audit Consultant's compliance with this Section; upon City's request, Consultant shall provide within five (5} business days documents sufficient to demonstrate its compliance with this Section including, but not limited to, W4s, itemized wage statements, employee handbooks. and time cards for any of Consultant personnel who provides the Services.
Any provisions in the Agreement which provide, imply or suggest that Consultant may use Subcontractors to provide the Services are modified to be consistent with this Section. fn the event that City authorizes Consultant to use a Subcontractor, Consultant shall enter into a written agreement with the Subcontractor, which must include all applicable provisions of the Agreement, including a restriction on the Subcontractor's use of further Independent contractors, subcontractors or subconsultants without the City's prior written consent.
3.7.3 Acknowledgment of Employment Relationship. Consultant shall provide each of its employees who it assigns to provide the Serv1ces with a copy of the "ACKNOWLEDGMENT OF EMPLOYMENT RELATIONSHIP" attached hereto as Exhibit QA-1" ("Acknowledgment"), attached hereto and incorporated herein by reference. Each employee who provides the Services must execute the Acknowledgment before Consultant may permit the employee to provide Services for City. Consultant shall provide a copy of each executed Acknowledgment to City upon City's request.
(BB&K2019)
55136.00200\319'18793.1
.,.Signatures on following page*"
-11-
Item: 11
91 INTERWEST CONSUL TING GROUP, INC.
By: ___ ....,.__ ___ 1,111Ja. -;..,.ft-,.+-... -_ -_ -_ -_ -_ -_ -_ -_ -_ -- By: 1...-:~....;,,...:~~=,i~~ii'--- ~--- Terry Ro i e
ATTEST:
By:
City Clerk
APPROVED AS TO FORM:
By: A- /ft; a , 1
Best Best & Krieger LLP
City Attorney
(BB&K2019)
55136.00200\31918793.1
By:
-12-
[If C rporation, 0 SIGNATURES,
President OR Vice President AND
Secretary OR Treasurer REQUIRED]
gi I COO I Vice President
Item: 11
92 EXHIBIT RAIi
SCOPE OF SERVICES
The consultant shall provide the following professional services:
GENERAL SERVICES
• Plan checking services for erosion control, building (architectural and structural), electrical, mechanical and plumbing work.
• Issuing pennits for building, electrical, mechanical and plumbing work. • Managing/coordinating review of plans (for permits to be issued by the Building and Safety Division) by other Departments/Divisions, including routing of plans for plan checking (as appropriate, on a case-by-case basis), transmitting comments to permit applicants, and maintaining records of plan check comments. • Inspection services for erosion control, building, electrical, mechanical and plumbing work, including all work requiring a permit issued by the Building & Safety Division, as well as walls/fences, signs, parking lot striping, and other improvements shown on approved plans. Inspectors will be required to verify consistency between approved plans and as-built projects as a standard practice with all inspections, and to report any significant deviations to the Director or her/his designee prior to final of permits. • Administration by Building Official including, but not limited to, resolution of complex Building Code issues, Building Code adoption including recommendation of code refinements.
• Assistance to the public at the counter within City Hall and via phone and e-mail regarding City processes and code/pellTlit requirements. Intake of plans for review. • Review of oonceptual plans for development proposals and preparation of plan review memoranda identifying significant code compliance deficiencies that may impact the project design and/or feasibility.
• Ability to use the City's pennitting software to track all building and safety services based on City-established plan submittal and review, permit issuance, inspectlon, and record management processes.
• Assistance with the configuration, implementation, and on-going support of the City's permitting software (City currently utilizes EnerGov by Tyler Technologies). • Assistance with the transition of additional or new permitting software to further implement online plan submittal, plan review and permit issuance. • Coordination/cooperation with. and consultant to. Planning. Code Enforcement, Public Works and other City staff regarding building, plumbing, mechanical, electrical codes, permitting requirements, permit/projecVinspection status ► and other related matters.
• Coordination with Planning, Code Enforcement, Public Works and other City staff on all requirements for permit issuance including compliance with conditions of approval. • Ongoing training for assigned personnel for full compliance with current building code standards, software updates, etc.
• Review and support of digital digital/electronic plan tracking and review and support when such services are available.
• Assign personnel with all materials, resources and training necessary to conduct plan reviews, induding a current copy of the applicable City amendments, policies, procedures and forms.
{BB&K 2019)
!56136.00000\31918793.1
Item: 11
93 • Provision of City-approved mobile devices and mobile data plans compatible to the City's permitting and land management system for building inspectors or personnel as-needed.
SPECIALIZED SERVICES
• Hillside Development Review and Inspection
Due to the location of new residential construction in the City's hillside areas, the City anticipates plan check, permitting, and inspection activity relating to hillside grading, mechanically-stabilized earth (MSE) retaining walls, other soil retaining systems, and drainage.
Responsibility for grading plan check, permitting, and inspections for grading and drainage was transferred to the City's Public Works Department in 2012. However, the Building and Safety Division retains responsibility for reviewing soHs reports, foundations. and retaining walls.
The Building and Safety consultant is required to have access to licensed professionals, well versed in the field of geotechnical issues, to provide plan checking of retaining walls and review of geotechnical reports, as wen as any special inspections that may be needed. It is expected that these professionals will coordinate with Public Works Department staff on an as-needed basis with regard to geotechnical matters.
• Permitting System Use, Support, Future Online Permitting and Mobile Devices:
The City currently uses EnerGov by Tyler Technologies, a permitting software program.
E.nerGov provides functionality for multiple City departments and divisionsr including the Building and Safety Division, for tracking and managing project reviews, plan check submittals, permit issuance, and inspection activity. New software may be introduced to facilitate a platform for increased online permitting.
The Building and Safety Services consultant will be required to use E.nerGov or any future software system, to track all building and safety services based upon City-established plan submittal and review, permit issuance, inspection, and record management processes. The consultant shall also assist City staff/consultants as requested with Energov permit, inspection, and fee configuration to support Building and Safety opera.tions.
The consultant will be required to fumish its Building Inspectors with City-approved mobile devices with mobile data plans compatible with the City's permitting and land management system, and to pay the annual software licensing and support fees for the mobile portion of the software. The consultant will also be responsible for the ongoing maintenance and replacement of the mobile devices if damaged or at "end-of-life." The consultant's mobile device "end-of-life~ shall be aligned to the City's IT equipment and device replacement standards, which most of the City's end-user IT equipment is plaoed and refreshed every 34 years after purchase. EnerGov's mobile application (EnerGov IG Inspect app) currently requires tablet devices with Apple iOS, and the Mobile Software Licensing cost is approximately $700-$800 per device per year. • Electronic Plan Checking:
At such time as electronic plan check services are established, plan checkers assigned to the City shall be proficient in the use of the selected software as necessary to accommodate the (BB&K2019)
55136.00200\31918793.1
Item: 11
94 public demand for electronic plan checking in accordance with maximum service delivery timeframes stated herei:n. Applicants for building permits may choose to submit plans electronically. Therefore, the consultant shall have the capability to accommodate electronic plan checking.
CORE POSITIONS:
The City has identified "Core Positions" that are instrumental to ensure that a responsive and consistent level of professional service is provided to the public and development community.
The personnel serving in the Core Positions are required to work in Lake Forest City Hall during the hours that City Hall is open to the public, provided however that inspection staff will primarily work in the field. Lake Forest City Hall is open Monday through Friday tmm 8:00 a.m. to 6:00 p.m., excluding 10 holidays annually1. The Core Posmons are also required to be avajlable to respond to emergency situations for structural assessments that may be ,required at times when City Hall is closed for business.
The consultant shall include in their proposal the Full-time staffing of the following Core Positions:
Core Position 1: Building Official with Plan Check Capabilities The position is responsible for performing Chief Building Official Services. The Building Official is responsible for overseeing building plan check, inspection, code compliance and permitting, and acts as an official City representative on buildi,ng~related matters.
Duties shall include:
• Serve as the City's Building Official, enforcing construction and construction site stormwater management codes to ensure public and environmental safety and health;
• Oversee and manage required construction site stonnwater quality inspection, reporting and records maintenance;
• Establish and implement building procedures to ensure a high level of customer satisfaction;
• Plan check complex building plans;
• Provide over-the-counter plan check for minor residential remodels and commercial tenant improvements;
• Provide information and assistance to homeowners, businesses and the development community;
• Resolve interpretation issues for complianoe with adopted codes; • Manage staffing levels and staff to ensure that all established timeframes are met and ensure quality control review of plan checks and inspections; • Interface with other City departments/divisions in coordinating plan approval and building/storrnwater code related issues;
1 The City reserves the right to change the hours that City Hall is open without amending the contract and with 10-days minimum notice to consultant. (BB&K2019)
55136.00200\31918793.1
Exhibit "A"-3
Item: 11
95 • Ensure use of the City's permitting software by subordinates to track all building and safety services based on City established plan submittal and review, permit issuance, inspection, and record management processes;
• May be required to attend one or more City Council and/or Planning Commission meetings annually, on an as-needed basis, to address Building & Safety related matters.
Qualifications:
• Five or more years increasingly responsible plans examination, building inspections and structural engineering experience, including two or more years in a supervisory or lead role;
• Equivalent to a Bachelor's degree from an accredited college or university, with major course work in engineering, pubUc administration or related field; • Possession of valid ICC certification as a Certified Building Official and ICC certification as a Plans Examiner;
• Experience with residential tract development highly desirable; • Experience with use and configuration of permit tracking software; • Certification as a Qualified SWPPP practitioner or Qualified SWPPP Developer is highly desirable:
• Registered Civil Engineer highly desirable;
• Certification as a California Access Specialist {CASP) highly desirable; • Excellent oral and written communication skills;
• Solution-oriented customer service experience with a wide range of customers, including developers, contractors, homeowners, business owners and City staff.
Core Position 2: Senior Building Inspector
Quties shalUnclude:
• Supervise building inspectors asstgned to Lake Forest and ensure that records are maintained for all building/inspection activities;
• Provide buildingfconstruction site inspections to ensure compllance with the conditions of approval and code requirements set forth on the plans for which the permit was issued, including code compliance with stormwater management requirements for construction sites;
• Resolve Code interpretation issues in the field; Qualifications:
• Three or more years of experience as a Building Inspector; • Certification as a Qualified SWPPP practitioner or Qualified SWPPP Developer with underlying certification is highly desirable;
• ICC Certification as a Building Inspector;
• ICC Certification as a Combination Building Inspector highly desirable; • Experience with residential tract inspection;
• Solution-oriented customer service experience with a wide range of customers including developers, contractors, homeowners, business owners and City staff.
Core Position 3: Lead Permit Technician
(BB&K2019)
55136.00200\31918793.1
Exhibit •A·.4
Item: 11
96 Consultant shall provide a Lead Permit Technician. The services of the Lead Pennit Technician shall be required to meet maximum service timeframes, depending on current and future workload.
Duties shall include:
Provide assistance at the building counter, accept plans, issue pennits, provide information to general public, calculate charges and fees, prepare statistical reports, coordinate with the Orange County Fl"e Authority review process and personnel, maintain records and prepare documents for storage and/or imaging and maintain NPOES records for new construction.
Qualifications:
• Two or more years of experience performing required technical building and safety support functions;
• High school diploma;
• ICC Certification as a Permit Technician highly desJrable; • Experience with the use of permit tracking software;
• Solution-oriented customer service experience with a wide range of customers, including contractors, homeowners, business owners and City staff.
SUPPORT POSITIONS:
In addition to the three Core Positions outlined above, the consultant is required to provide supplemental personnel on an as-needed basis to ensure that the City's Maximum Service Timeframes are met. The consultant shall be responsible for ensuring that all personnel assigned to Lake Forest have sufficient on-going training and continuing education to perform their assigned duties.
Support Position(s): Plans Examiner/Deputy Building Officia~ Office space for supplemental plan checking for building plans may be provided at City Hall but may take p·lace at an off ~site location provided by the consultant.
Duties shall include:
• All duties of the Building Official when serving as the Acting Building Official; • Review plans prepared by or on behalf of applicants for compliance with building ordinances of the City and State disabled-access and energy regulations; • Coordination with other City departments/divisions in order that the requirements of those departments can be incorporated within such building plans:
• Coordinate reviews by other appropriate agencies having jurisdiction in such matters related to the enforoement of Fire, Sanitation and Health Codes; • When satisfied that all building-related conditions of approval and the appropriate requirements of the City's Building Codes have been met, and upon approval as necessary of other City departments, consultant shall issue pennits as appropriately set forth in such codes.
Qualifications:
(BB&K2019)
55136.00200\31918793, 1
Exhibit "A"-5
Item: 11
97 • Registered Civil Engineer highly desirable;
• Three or more years of experience as a Plans Examiner; • ICC Certification as a Plans Examiner;
• Certification as a California Access Specialist (GASP) desirable; • Experience with the use of permitting software;
• Solution-oriented customer service experience with a wide range of customers including architects, engineers, developers, contractors, homeowners, business owners and City staff.
Support Posltlon(s): Stonnwater Compllance Manager
Duties shall include:
• Oversees maintenance of NPDES site inventory and annual reporting; • Responsible to ensure the regular inspection and monitoring of construction sites City- wide for compliance with SWPPP requirements and BMP compliance verification;
• Provides quarterly training to building inspectors assigned to the City; • Serves as liaison to City staff;
(Staffing to be provided as support to consultant's City Hall-based team on an as- needed basis.)
Qualifications:
• Possess and maintain a certification for Qualified SWPPP practitioner or Qualified SWPPP Developer,
Support Position(s): Building lnspector(s)
Buildlng inspectors shall be provided as necessary to meet the City's Maximum Service Delivery Timeframes. Inspectors shaU be provided office space within City Hall and shall be available for typically 2 hours per day but as needed to meet with applicants, schedule inspections and return phone calls.
Duties shall include:
• Provide building inspection services and building/construction site inspection during the course of construction to verify and enforce compliance with approved plans, conditions of approval as set forth on the plans corresponding to the issued permit, and applicable provisions of the City's ordinances and Codes, including code compliance with stormwater management requirements for construction sites.
Qualifications:
• Two or more years of experience as a Building Inspector; • ICC Certification as a Building lnspedor;
• Certification as a ·Qualified SWPPP practitioner or Qualified SWPPP Developer with underlying certification highly desirable;
{BB&K2019)
55136.00200\31918793.1
Exhibit "A"-6
Item: 11
98 • ICC Certification as a Combination Building Inspector highly desirable; • Solution-orrented customer service experience with a wide range of customers including architects, engineers, contractors, homeowners and business owners.
Support Posltlon(s): Pennlt Technlclan(s)
On an as needed basis, consultant shall provide Pe11T1it Technician(s) to assist the consultant's Lead Permit Technician, The services of the Permit Technician{s) shall be as required to meet maximum service timeframes, based on the current and future workload.
Duties shall include:
• Provide assistance at the building counter, accept plans, issue permits, provide information to the general public, calculate charges and fees, prepare statistical reports, coordinate with other City staff/Departments/Divisions and Orange County Fire Authority, maintain records and prepare doct.Jments for storage and/or imaging and maintain NPDES records for new construction.
Qualifications:
• Two or more years of experience performing required technical building and safety support functions;
• High school diploma;
• ICC Certification as a Permit Technician highly des1irable; • Experience with the use of an permit tracking software; • Solution-oriented customer service experience with a wide range of customers, including architects. engineers, contractors. homeowners, business owners and City staff.
Miscellaneous
The consultant shall be responsible to furnish all field personnel assigned to the City of Lake Forest with uniform shirts and jackets that identify each individual as an employee of the selected consulting firm working under contract to the City of Lake Forest. (BB&K2019)
55136.00200'\31918793.1
Exhibit •A"•7
Item: 11
99 EXHIBIT "A-1t•
ACKNOWLEDGMENT OF EMPLOYMENT RELATIONSHIP
lnteiwest Consulting Group, Inc. ("lnterwest") provides cost-efficient staffing services for its public agency clients . One of lnterwest's clients is the City of Lake Forest ("City").
I nterwest and the City are parties to a Professional Consultant Services Agreement ("Agreement"), pursuant to which lnterwest provides a variety of services to the City as called for in the Agreement ("Services").
In connection with tnterwest's performance of the Agreement, It ass!gns its employees to provide the Services . Because lnterwest has assigned you as one of its employees who will provide the Services, which may include working out of the City's offices or utiHzing the City's resources, it is important that you understand that you are an lnteiwest employee, and not an employee of the City.
By signing below, you acknowledge and agree to the following:
• You are an employee of lnterwest. lnterwest will set your working days and hours, set your assignments (which may be with entities other than City), evaluate your performance, handle disciplinary matters, pay your wages, and provide any required or offered benefits.
• You are not an employee of the City. The City does not set your working days or hours, evaluate your performance, handle disciplinary matters, pay your wages, or provide any benefits of any kind.
• By providing the Services on behalf of lnterwest, neither you or the City intend to create an employment relationsh ip as between you and the City. • The City may provide general instructions to you regarding the results or objectives it wants achieved in connection with the Services. However, only lnterwest may instruct you on the manner or means by which you provide such Services.
• If you believe the City is attempting to control the manner or means by which you provide the Services, or otherwise exercise control over you beyond the setting of objectrves, goals or deadlines, you must immediately notify lnterwest.
Signature: _________ _
Print: ------------
Date: -------
Item: 11
100
EXHIBIT "'B"'
SCHEDULE OF SERVICES
MAXIMUM SERVICE DELIVERY TIMEFRAMES:
The consultant shall be responsible for managing its personnel levels based on the level of development activity within the City, as necessary to ensure that the following timeframes are met or exceeded at all times:
Service Timeframe for delivery
Major plan check: 2 weeks (10 working days}
Subsequent plan checks-:----- +-1-week {5 working days) .
Minor plan checks and single-story 3days if submitted into plan check or over the homeowner additions: counter
Building inspection: The following working day if request is received before 5 PM
Water Quality Inspections: As required byNPDES Pe·rm1t -- - --- -- WaterOuaTiiy Annual Reporting:- As required by NPDES Pemiit Maintenance of NPDES Site Inventory: lAs required by NPDES Permit _ __ _ Permit assistance at the public counter: ~verage within 10 minutes of customer arrival Return of telephone calls and e-mails: Within 24 hours
Monthly statistical acoounting and Completed at the end· of each month preparation of plans for imaging:
(BB&K 2019) Exhibit •5·.1
55136.00200\31918793.1
Item: 11
101
EXHIBIT "C"
COMPENSATION
Consult.ant shall be paid for services rendered in accordance with Section 3.3 of the Agreement and as described above under Exhibit "A" Scope of Services the not-to-exceed fee of three million six hundred thousand dollar ($3,600,000) . The not-to-exceed fee shall be equal to 52% of the monthly combined plan review and inspection fees collected by the Building and Safety Division.
This fee includes the as needed services provided by the Stormwater Compliance Manager and Stormwater Compliance Inspector. Any specialized Services that exceed the scope of services will be billed at the hourly rates shown below. No extra services will be billed by Consultant without prior authorization by the City.
Certified Classification ,_Houri}!_ Rates -. - ·--· Deputy Building Official 125 Building Official 145
Permit Technician 70
ICC Certified Plans Examiner ---
___ 105
Plan Check Engineer 135
ICC Certified Buiidino Inspector 70 to 95
CASp Specialist 115
Stormwater Compliance Manager 135 - - - - 110 Stormwater Compliance Inspector In the event that this Agreement is renewed pursuant to Section 3.1.2, the rates set forth above may be increased or reduced each year at the time of renewali, but any increase shall not exceed the Consumer Price lndex, AH Urban Consumers, Los Angeles-Long Beach-Anaheim. (BB&K 2017)
55136.00200\31918793.1
E,chlbll "C"-1
Item: 11
102
EXHIBIT "0"
INSURANCE REQUIREMENTS
3.2.11 lusuranoe.
3.2.11.1 Time for Compliance. Consultant shall not commence work under this Agreement until it has provided evldence satisfactory to the City that it has secured all insurance required under this section. In addition, Consultant shall not allow any subconsultant to commence work on any subcontract until it has provided evidence satisfactory to the City that the suboonsultant has secured all insurance required under thi,s section.
3.2.11.2 Types of Insurance Required. As a condition precedent to the effectiveness of this Agreement for work to be perfonned hereunder, and without limiting the indemnity provisions of the Agreement, the Consultant, in partial performance of its obligations under such Agreement, shall procure and maintain in full force and effect during the tenn of the Agreement the following policies of insurance. If the existing policies do not meet the insurance requirements set forth herein, Consultant agrees to amend, supplement or endorse the policies todo so.
(A) Commercial Ge,neral Uabilfty: Commercial General Liability Insurance which affords coverage at least as broad as Insurance Services Office "occurrence" form CG 0001, or the exact equivalent, with llmits of not less than $1,000,000 per occurrence and no less than $2,000,000 ,in the general aggregate. Defense costs shall be paid in addition to the limits. The policy shall contain no endorsements or provisions ( 1) limiting coverage for contractual liability; (2) excluding coverage for claims or suits by one insured against another (cross-liability}:
or (3) containing any other exclusion(s) contrary to the terms or purposes of this Agreement. (B} Automobile Liability Insurance: Automobile Liability Insurance with coverage at least as broad as Insurance Services Office Form CA 0001 covering "Any Auto• (Symbol 1 ). or the exact equivat:ent. covering bodily injury and property damage for all activities with limits of not less than $1,000,000 combined limit for each occurrence. (C) Workers' Compensation: Workers' Compensation
Insurance, as required by the State of California and Employer's Liability Insurance witti a limit of not less than $1,000,000 par accident for bodily injury and disease. (D) Professional liability (Errors & Omissions): Professional Liability insurance or Errors & Omissions insurance appropriate to Consultant's profession with limits of not less than $1,000,000. Covered professional services shall specifically include all work to be performed under the Agreement and delete any exclusions that may potentially affect the work to be performed (for example, any exclusions relating to lead, asbestos, pollution, . testing. underground storage tanks, laboratory analysis, soil work, etc.). If coverage is written on a claims-made basis, the retroactive date shall precede the effectlve date of the initial Agreement and continuous coverage will be maintained or an extended reporting period will be exercised for a period of at least three (3) years from termination or e~iration of this Agreement.
3.2.11.3 Insurance Endorsements. Required insurance policies shall contain the following provisions. or Consultant shall provide endorsements on forms approved by the City to add the following provisions to the ins...-ance policies:
(BB&K2019)
55136.00200\31918793.1
(A) Commercial General Liability:
Exhibit "D" -1
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(1) Additional Insured: The City, its officials. officers, employees, agents, and volunteers shall be additional insureds with regard to liability and defense of suits or claims arising out of the performance of the Agreement.
Additional Insured Endorsements shall not (1) be
restricted to "ongoing operations"; (2) exclude "oontractual liability-; (3) restrict coverage to "sole" liability of Consultant; or (4) contain any other exclusions contrary to the te1111s or purposes of this Agreement. For all policies of Commercial General Liability insurance, Consultant shall provide endorsements in the form of ISO CG 20 10 10 01 and 20 37 10 01 (or endorsements providing the exact same coverage) to effectuate this requirement. (2l Cancellation: Required insurance policies shall not be canceled or the coverage reduced until a thirty (30) day written notice of cancellation has been served upon the City except ten (10) days shall be allowed for non-payment of premium. (B) Automobile Liability:
(C) Cancellation: Required insurance policies shall not be canceled or the coverage reduced until a thirty (30) day written notice of cancellation has been served upon the City except ten (10) days shall be allowed for non-payment of premium.
3.2.11.4 Professional Liability (Errors & Omissions):
(A) Cancellation: Required insurance policies shall not be canceled or the coverage reduced until a thirty (30) day written notice of cancellation has been served upon the City except ten (10) days shall be allowed for non-payment of premium. (B) Contraotual Liability Exclusion Deleted: This insurance shall include contractual liability applicable to this Agreement. The policy must "pay on behalf or the insured and include a provision establishing the insurer's duty to defend.
3.2.11.5 Workers' Compensation:
{A) Cancellation: Required insurance policies shall not be canceled or the coverage reduced until a thirty (30) day written notice of cancellation has been served upon the City except ten (10) days shall be allowed for non-payment of premium. (B) Waiver of Subrogation: A waiver of subrogation stating that the insurer waives all rights of subrogation against the City, its officials, officers, employees, agents, and volunteers.
3.2.11.6 Primary and Non-Contributing Insurance. All policies of Commercial General Liability and Automobile Liability insurance shall be primary and any other insurance, deductible, or self-insuranoe maintained by the City, as officials, officers, employees, agents, or volunteers shall not contribute with this primary insurance. Pollcles shall contain or be endorsed to contain such provisions.
3.2.11.7 Waiver of Subrogation. AH policies of Commercial General Liabrlity and Automobile Liability insurance shall contain or be endorsed to waive subrogation against the City, its officials, officers, employees, agents. and volunteers or shall specifically allow Consultant or others providing insurance evidence in compliance with these specifications to (BB&K2019)
55136.00200\31918793.1
Exhibit "D"·2
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waive their right of ,recovery prior to a loss. Consultant hereby waives its own right of recovery against the City, its officials, officers, employees, agents, and volunteers, and shall require similar written express waivers and insurance clauses from each of its subconsultants.
3.2.11.8 Deductibles and Self •Insured Retentions. Any deductible or self insured retention must be approved in writing by the City and shall protect the City, its officials, officers, employees, agents, and volunteers in the same manner and to the same extent as they would have been protected had the policy or policies not contained a deductible or self-insured retention.
3.2.11.9 Evidence of Insurance. The Consultant, concurrently with the execution of the Agreement, and as a condition precedent to the effectiveness thereof, shall deliver either certified copies of the required policies, or original certificates on forms approved by the City, together with all endorsements affecting each policy. Required insurance policies shall not be in compliance if they include any limiting provision or endorsement that has not been submitted to the City for approval. The certificates and endorsements for each insurance policy shall be signed by a person authorized by that Insurer to bind coverage on its behalf. At least fifteen (15 days) prior to the expiration of any such policy, evidence of insurance showing that such insurance coverage has been renewed or extended shall be filed with the City. If such coverage is cancelled or reduced and not replaced Immediately so as to avoid a lapse in the required coverage, Consultant shall, within ten {10) days after receipt of written notice of such cancellation or reduction of coverage, file with the City evidence of insurance showing that the required insurance has been reinstated or has been provided through another insurance company or companies.
3.2.11.1 O Fanure to Maintain Coverage. In the event any policy of insurance required under this Agreement does not comply with these specifications or is canceled and not replaced immediately so as to avoid a lapse in the required coverage, City has the right but not the duty to obtain the insurance it deems necessary and any premium paid by City will be promptly reimbursed by Consultant or City will withhold amounts sufficient to pay premium from Consultant payments. In the alternative, City may cancel this Agreement effective upon notice.
3.2.11.11 Acceptability of ,Insurers. Each such policy shaill be from a company or companies with a current A.M. Best's rating of no less than A:VII and authorized to transact business of insurance In the State of California, or otherwise allowed to place insurance through surplus line brokers under applicable provisions of the California Insurance Code or any federal law.
3.2.11.12 Enforcement of Agreement Provisions ( non estoppel).
Consultant acknowledg ;es and agrees that actual or alleged failure on the part of the City to inform Consultant of non-compliance with any requirement imposes no additional obligation on the City nor does it waive any rights hereunder.
3.2.11.13 Requirements Not Limiting. Requirement of specific coverage or minimum limits contained in this Appendix are not intended as a limitation on coverage, limits, or other requirement, or a waiver of any coverage nonnally provided by any insurance.
3.2.11.14 Insurance for Subconsuttants. Consultant shall include all subconsultants engaged in any work for Consultant relating to lhis Agreement as additional insureds under the Consultant's policies, or the Consultant shall be responsible for causing (BB&K2019)
55136.00200\31918793.1
Exhibit "D" -3
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subconsultants to purchase the appropriate insurance in compliance with the terms of these Insurance Requirements, including adding the City, its officials, officers, employees, agents, and volunteers as additional insureds to the suboonsultant's policies. All policies of Commercial General Liability insurance provided by Consultant's subconsultants performing work relating to this Agreement shall be endorsed to name the City, its officials, officers, employees, agents and volunteers as additional insureds using endorsement form ISO CG 20 38 04 13 or an endorsement providing equivalent coverage. Consultant shall not allow any subconsultant to commence work on any subcontract relating to this Agreement until it has received satisfactory evidence of subconsultant's compliance with all insurance requirements under thf s Agreement, to the extent applicable. The Consultant shall provide satisfactory evidence of compliance with this section upon request of the City.
(BB&K2019)
55136.00200\31918793.1
Exhibit ·o· -4
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CITY COUNCIL AGENDA REPORT
MEETING DATE: 12/20/2022
DEPARTMENT: Public Works
SUBJECT:
AWARD OF CONTRACT FOR CONTRACT ADMINISTRATION AND
CONSTRUCTION INSPECTION SERVICES – SENIOR CENTER PATIO
SHADE STRUCTURE
RECOMMENDED ACTION(S):
1. Award a Professional Consultant Services Agreement to Transtech Engineers, Inc. with a compensation amount of $69,405 for Contract Administration and Construction Inspection Services - Senior Center Patio Shade Structure.
2. Authorize the Mayor to sign, and the City Clerk to attest to the Agreement substantially in the form attached.
EXECUTIVE SUMMARY:
On September 22, 2022, the City issued a Request for Proposals (“RFP”) to secure a consultant for Contract Administration and Construction Inspection ("CA/CI") services for the Senior Center Patio Shade Structure. The City received three proposals in response to the RFP solicitation. Transtech Engineers, Inc. (“Transtech”) of Chino, California, received the highest score through the proposal evaluation process.
Based on the satisfactory review of Transtech’s proposal, staff recommends the City Council approve the proposed Professional Consultant Services Agreement (“Agreement”) with Transtech for CA/CI services for the Senior Center Patio Shade Structure (Attachment 1). The Agreement includes a $69,405 compensation amount and a three-year term with two optional one-year extensions.
The project is funded through a Community Development Block Grant and would require additional funding and reporting requirements to be included in the bid documentation. Funds for these services are included as part of the individual project budget within the City’s Capital Improvement Project (“CIP”) Fund.
Pending City Council approval, Transtech would provide CA/CI services for the Item: 12
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Senior Center Patio Shade Structure, funded through the City’s Community Development Block Grant ("CDBG").
BACKGROUND:
The City utilizes consultants to provide CA/CI services for its construction projects. CA/CI consultants provide independent plan check and constructability review of construction plans and bid documents. CA/CI consultants also provide construction oversight and inspection for Capital Improvement Program (“CIP”) projects to ensure the contractors comply with design documents and perform quality work.
This project would have the consultant assist with the bid documentation preparation and provide construction administration and construction inspection services for the construction of a patio shade structure at the Lake Forest Senior Center. The project is funded through a Community Development Block Grant and the project would require additional funding and reporting requirements to be included in the bid documentation.
DISCUSSION:
On September 22, 2022, the City Manager approved the RFP for CA/CI – Senior Center Patio Shade Structure and authorized staff to solicit proposals. Staff posted the RFP on PlanetBids, the City’s electronic bid management system, and received three proposals from the following firms:
• Transtech Engineers, Inc.
• Ardurra
• Z&K Consultants, Inc.
The proposals were subsequently reviewed by a City Manager-approved selection panel consisting of staff from the Public Works Department and the City Manager’s office:
Public Works Department:
• Public Works Director
• Assistant City Engineer
City Manager’s Office:
• Senior Management Analyst
During the review of the technical proposals, the selection panel scored proposals based on criteria described in the RFP. Staff evaluated the proposals using the following criteria:
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• Expertise and experience, including the firm's work on comparable engagements, quality of the firm's personnel assigned to the project, and the quality of the firm's management support personnel. • Appropriateness of services outlined in the proposal to meet the City's need.
• Distinguishing features, skills, and/or services.
Ardurra did not submit a technical proposal and only provided a cost proposal. As the RFP required a technical proposal, staff deemed the Ardurra proposal as non-responsive and it was not scored.
Both Transtech and Z&K scored at least a 60-point average minimum score from the combined reviews of the technical proposals. Pursuant to the City's Purchasing and Contracting Guidelines (“Purchasing Guidelines”), the City invited the firms that scored a minimum of 60 points to the interview phase of the selection process to discuss their respective approaches to the requested services.
The results of the technical review and the interview phases are summarized in Table 1 below:
Table 1: Proposal Review Scores
Technical Review Qualifications
Interview
Rater: Rater:
Firm 1 2 3
Technical
Review
Subtotal
1 2 3
Interview
Subtotal
Transtech 74 89 80 243 114 130 133 377
Z&K 69 86 70 225 112 142 126 380
The results of the two firms cost proposals and technical and interview phases are summarized in Table 2 below:
Table 2: Cost Proposal Review
Firm
Cost
Proposal
Cost
Proposal
Score
Technical
Review
Subtotal
Interview
Subtotal
Total
Score
Rank
Transtech $69,405.00 120 243 377 497 1
Z&K $399,200.00 66 225 380 446 2
Transtech scored higher than the other consultant based on its cost proposal, well-prepared presentations, excellent examples of similar engagements, and thorough responses to the interview questions. Compensation for CA/CI Item: 12
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contracts is based on a time-and-materials basis, with hourly rates secured for a construction manager, construction inspector, and clerical support.
The cost proposals submitted by the firms consisted of estimated hours for the project and hourly rates. At the conclusion of the interview process, both firms interviewed had the opportunity to submit a last, best, and final cost proposal and both Transtech and Z&K elected to submit revised cost proposals for the work.
Staff reviewed the proposed hours and hourly rates provided in Transtech’s cost proposal. The CA/CI service cost is contingent upon the total number of working days required for construction, so the cost could increase or decrease depending on the actual duration of the project and if the construction contractor completes the project within the estimated project delivery window. The hourly rates Transtech provided are reasonable and are comparable to the hourly rates the City is currently paying for similar services.
After the interview and cost scoring processes, Transtech was ranked as the most qualified firm by the selection panel as prescribed by the City’s Purchasing Guidelines. The selection panel was most impressed by Transtech’s approach to managing the construction related to the deadlines imposed by the CDBG grant.
In addition, staff checked references for similar work performed by Transtech (Attachment 2). All three references provided good reviews for Transtech. The proposed Agreement with Transtech provides for a three-year term with two one- year term extensions. The proposed Agreement includes a compensation amount of $69,405. If approved, the Agreement term would begin on December 6, 2022, and end on December 5, 2025, unless extended.
Transtech’s scope of work is provided as Exhibit A of the proposed Agreement.
The Agreement describes the process for securing extra work from the consultant and the City’s Purchasing Guidelines allow the City Manager to authorize up to 10% of additional work beyond the compensation amount.
Consistent with the City’s Purchasing Guidelines, the Finance Department prepared the Agreement and the City Attorney’s Office reviewed and approved it as to form.
FISCAL IMPACT:
The proposed Agreement with Transtech includes a three-year term that would end on December 6, 2025, and a $69,405 compensation amount. The project budget has $350,000 of CDBG-CV Grant funding for this project. Therefore, sufficient funds exist to cover the costs of the recommended actions.
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ATTACHMENTS:
1. Agreement with Transtech Engineers, Inc.
2. Reference Check for Transtech Engineers, Inc.
Initiated By: Douglas Erdman, Assistant City Engineer
Submitted By: Thomas E. Wheeler, P.E., Director of Public Works/City Engineer Approved By: Debra Rose, City Manager
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Attachment 1
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Attachment 2
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Contact #1: Contact #2: Contact #3:
Agency: City of Temple City City of Ontario City of Monterey Park Contact Info: Bryan Cook, City Manager Ed Diaz, Associate Engineer Ron Bow, City Manager [email protected] [email protected] [email protected] (626) 285-2171 (909) 334-3265 (951)739-4912
QUESTIONS RESPONSE RESPONSE RESPONSE
1. What were the services
performed?
Primrose Park Project - Project
and Construction Management
Ongoing construction
management and design.
Garvey Ranch Basketball Court
Improvements
2. How would you rate the
quality of work?
(poor, fair, good, very good)
Very good. Very good. Very good.
3. Did the firm meet all
deadlines? (Yes/No)
Yes, there were delays but not
due to Transtech. Yes
Yes, and exceeded our
expectations throughout the
project management phase.
4. Was day-to-day
communication with the firm
satisfactory? (Yes/No)
Yes Yes Yes
5. Were there any issues with
the firm? (Yes/No) (No, please
explain.)
No, Transtech did an
outstanding job addressing
issues in the midst of the
pandemic.
None. Not at all.
6. Do you have any additional
comments or information
regarding your experience with
the firm?
Again, this project was
completed in the midst of the
pandemic with supply chain
issues and Transtech did an
outstanding job.
Really fast at responding to
requests.
They are a professional firm that
delivers the product on time with
quality and outstanding customer
service.
DATE: 2/28/22
CITY OF LAKE FOREST
DEPARTMENT OF PUBLIC WORKS
Construction Administration and Construction Inspection Services - Senior Center Patio Shade Structure Transtech
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CITY COUNCIL AGENDA REPORT
MEETING DATE: 12/20/2022
DEPARTMENT: City Clerk
SUBJECT:
UPDATED RECORDS RETENTION SCHEDULE
RECOMMENDED ACTION(S):
Adopt a Resolution entitled: A RESOLUTION OF THE CITY COUNCIL OF THE
CITY OF LAKE FOREST, CALIFORNIA, ADOPTING AND UPDATING THE
CITY-WIDE RECORDS RETENTION SCHEDULE FOR THE RETENTION AND
DESTRUCTION OF RECORDS MAINTAINED BY THE CITY AND
RESCINDING RESOLUTION NO. 2016-20
EXECUTIVE SUMMARY:
The California Government Code describes the need for local governments to create and maintain a records retention schedule. The California Government Code identifies which records must be kept permanently and establishes City Council authority to adopt a retention schedule for the destruction of records that are no longer necessary.
The provisions of California Government Code Section § 34090 et seq., states that the authority to destroy records shall be implemented by City Council resolution. The resolution provides for the destruction of records with the approval of the City Attorney. The updated records retention schedule is attached for the City Council’s review and approval (Exhibit A to Attachment 1).
The updated retention schedule now includes newly identified records that were not listed in the City’s previous schedule and includes changes to reflect updated state requirements and current practice. Furthermore, the updated retention schedule has a new layout, which makes the document more legible for all users.
The updated retention schedule lists specific statutes to improve clarity and identifies the department responsible for maintaining and disposing of certain records. These details will provide improved organization and prevent multiple departments from filing and storing copies of the same records. Most importantly, the revised schedule identifies the record types that can be retained in electronic rather than paper format, which will increase efficiency in records management and provide cost savings to the City.
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The proposed records retention schedule will provide guidelines to staff regarding the retention and destruction of City records; provide for the identification, maintenance, safeguarding, and destruction of records in the normal course of business; ensure prompt and accurate retrieval of records across a wide variety of media types; and ensure compliance with legal and regulatory requirements. In addition, the proposed resolution includes language that grants continuing authority from the City Council to the City Manager, or his/her designee, to dispose of obsolete City records that have been retained for the required time period. Additionally, the proposed resolution includes language that requires the City Attorney’s signature as written consent for destruction of obsolete records in accordance with the schedule.
The City Clerk and Records Specialist worked with Gladwell Governmental Services, Inc., an expert in local government records, to review the current Records Retention Schedule and Policy to incorporate updates based upon changes in local, state, and federal laws affecting the retention of the City’s records. The most significant changes include a more detailed description of record types for improved identification, rather than being included under an umbrella category, and retaining certain Finance records for time periods that meet municipal government auditing standards, rather than retaining those records permanently.
In the previous retention schedule, there was a retention timeframe labeled, “While Current/Permanent.” In practice, staff found this retention timeframe unclear. Therefore, this retention timeframe has been removed from the proposed retention schedule. The proposed schedule also includes records not previously included, such as Audit Committee Agendas, FPPC Forms (800 Series), AB 1234 Ethics Training Certificates, AB 1661 Harassment Training Certificates, Bylaws of Commissions, Unalterable Media (WORM Drive), Cable TV Video Programming, Harassment Claims, and COVID-19 Notifications to Employees. The proposed records retention schedule has been reviewed by each Department Director and the proposed resolution has been reviewed by the City Attorney.
FISCAL IMPACT:
There is no fiscal impact associated with the recommended action.
ATTACHMENTS:
Resolution Approving Updated Records Retention Schedule with Exhibit A - Records Retention Schedule
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Initiated By: Jennifer Weiss, Records Coordinator
Submitted By: Lisa Berglund, City Clerk
Approved By: Debra Rose, City Manager
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ATTACHMENT
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RESOLUTION NO. 2022____
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF
LAKE FOREST, CALIFORNIA, ADOPTING AN UPDATED
CITY-WIDE RECORDS RETENTION SCHEDULE FOR THE
RETENTION AND DESTRUCTION OF RECORDS
MAINTAINED BY THE CITY AND RESCINDING RESOLUTION
NO. 2016-20
WHEREAS, California Government Code Section 34090 provides that, with the approval of the City Council and the written consent of the City Attorney, the head of a City department may destroy any City record, document, instrument, book or paper, under his or her charge, without making a copy thereof, after the same is no longer required, provided that certain records are exempt from such destruction; and
WHEREAS, the City of Lake Forest Custodian of Records and Gladwell Governmental Services, Inc., an expert in local government records, have prepared the records retention schedule (“schedule”) for consideration and adoption by the City Council; and
WHEREAS, the City Attorney has reviewed and approves the schedule, as evidenced by his signature on this Resolution, in accordance with the provisions of California Government Code Section 34090; and the City Attorney and City Council hereby acknowledge that the City Attorney's signature on this Resolution and subsequent Records Destruction Authorization Forms constitutes written consent under California Government Code Section 34090 for the destruction of obsolete and unnecessary records and documents in accordance with the schedule.
NOW, THEREFORE, THE CITY COUNCIL OF THE CITY OF LAKE
FOREST DOES HEREBY RESOLVE AS FOLLOWS:
Section 1. Incorporation of Recitals. The City Council hereby finds and determines that the recitals of this Resolution are true and correct and are hereby incorporated into this Resolution.
Section 2. Approval of the Schedule. The City Council hereby approves and adopts the Schedule, attached hereto as Exhibit "A", incorporated herein by this reference. All records of the City shall be maintained in accordance with the schedule. The City Council’s approval of this schedule and adoption of this Resolution shall constitute approval, Item: 13
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as required by statute, of the destruction of any, and all obsolete City records that have been maintained in accordance with the schedule.
Section 3. Grant of Authority. The City Council hereby grants to the City Manager, or his or her designee, ongoing authority without further approval required by the City Council, and with the written consent of the City Attorney for each proposed destruction of records, to authorize the destruction of any, and all obsolete City records that have been maintained in accordance with the schedule approved by the City Council and adopted by this Resolution.
Section 4. Custodian of City Records. The City Clerk is hereby designated the official “Custodian of Records” and shall develop policies and procedures for the implementation of the schedule and is authorized to carry out such policies and procedures under the direction of the City Manager. The Custodian of Records is authorized to update the schedule from time to time to incorporate changes in local, state and federal laws affecting retention of City records.
Section 5. Rescinding Prior Resolutions. The City Council hereby rescinds Resolutions No. 2016-20, and any other resolutions or portions thereof to the extent that they conflict with this Resolution.
Section 6. Severability. If any provision of this Resolution or the application thereof to any person or circumstance is held invalid, such invalidity shall not affect other provisions or applications of the Resolution which can be given effect without the invalid provision or application, and to this end the provisions of this Resolution are severable. The City Council hereby declares that it would have adopted this Resolution irrespective of the invalidity of any particular portion thereof.
Section 7. Effective Date. This Resolution shall become effective immediately upon its adoption.
Section 8. Attest. The City Clerk shall attest as to the adoption and execution of this Resolution and shall cause the same to be maintained in the permanent records of the City.
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PASSED, APPROVED AND ADOPTED this 20th day of December
2022, by the following vote, to wit:
ROBERT PEQUEÑO
MAYOR
ATTEST:
LISA BERGLUND, MPA
CITY CLERK
APPROVED:
MATTHEW E. RICHARDSON
CITY ATTORNEY
STATE OF CALIFORNIA )
COUNTY OF ORANGE ) SS
CITY OF LAKE FOREST )
I, Lisa Berglund, City Clerk of the City of Lake Forest, California, do hereby certify that the foregoing Resolution No. 2022-___ was duly passed and adopted at a regular meeting of the Lake Forest City Council on the 6th day of December, 2022 by the following vote, to wit:
AYES: COUNCIL MEMBERS:
NOES: COUNCIL MEMBERS:
ABSENT: COUNCIL MEMBERS:
ABSTAIN: COUNCIL MEMBERS:
__________________________
LISA BERGLUND, MPA
CITY CLERK
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Exhibit A
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HOW TO USE RETENTION SCHEDULES
©1995-2021 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission
A legend explaining the information presented in the retention schedule has been printed on the back of each page for your easy reference; an index to locate records is also provided.
The specified retention period applies regardless of the media of the record: If a record is stored on paper and a computer file on a hard drive, both records should be destroyed (or erased) after the specified period of time has elapsed.
Copies or duplicates of records should never be retained longer than the prescribed period for the original record.
STRUCTURE: CITYWIDE, DEPARTMENTS & DIVISIONS
The City -wide retention schedule inclu des those records all departments have in common (letters, memorandums, purchase orders, etc.). These records are NOT repeated in the Department retention schedule, unless that department is the Office of Record, and therefore responsible for maintaining t he original record for the prescribed length of time.
Each department has a separate retention schedule that describes the records that are unique to their department, or for which they are the Office of Record. Where appropriate, the department retention schedules are organized by Division within that Department. If a record is not listed in your department retention schedule, refer to the City-wide retention schedule. An index will be provided for your reference.
BENEFITS
This retention schedule has been developed by Diane R. Gladwell, MMC, an expert in Municipal Government records, and will provide the City with the following benefits:
• Reduce administrative expenses, expedite procedures
• Free filing cabinet and office space
• Reduce the cost of records storage
• Eliminate duplication of effort within the City
• Find records faster
• Easier purging of file folders
• Determine what media should be used to store records
For questions, please contact the City Clerk.
AUTHORIZATION TO DESTROY RECORDS:
Destruction of an original record that has exceeded its retention period must be authorized according to City Policies & Procedures prior to destroying it.
• If there is a minimum retention (“Minimum 2 years"), destruction of the document must be authorized before it is destroyed, as it is an original record.
Copies, drafts, notes and non-records do NOT require authorization, and can be destroyed “When No Longer Required.”
• If there is NOT a minimum retention ("When No Longer Required"), it does NOT need to be authorized prior to destruction, as it is a preliminary draft / transitory record or a copy.
On every page of the schedules (near the top, just under the column headin gs) are important instructions, including instructions regarding holds on destroying records. “Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).”
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RECORDS RETENTION SCHEDULE LEGEND
©1995 – 2022 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission
OFR (Office of Record): The department that keeps the original or “record copy.” Usually it is the department that originates the record, unless the item is for a City Council meeting (then it is the City Clerk.)
Records Description: The record series (a group of like records).
Transitory Records not retained in the ordinary course of business , that do NOT have substantive content : Preliminary drafts, notes, or interagency or intra - agency memoranda and records having only transitory value. Examples: Telephone messages, meeting room reservation schedules , logs, source records entered into a computer system that qualifies as a “trusted system”, etc.
Non-Record: Documents, studies, books and pamphlets produced by outside agencies, preliminary drafts not retained in the ordinary course of business.
Retention/Disposition: Active: How long the file remains in the immediate office area (guideline) Inactive: How long the file is in off-site storage, stored on Optical Disk or Microforms (guideline) Total Retention: The total number of years the record will be retained
For file folders containing documents with different retention timeframes, use the document with the longest retention time.
P = Permanent
Indefinite = No fixed or specified retention period; used for databases, because the data fields are interrelated.
Vital? = Those records that are needed for basic operations in the event of a disaster.
Media Options (guideline) – the form of the record: Mag = Electronic Computer Magnetic Media (Hard drives, Networks, USB Drives, Cloud, etc.) Mfr = Microforms (aperture cards, microfilm, microfiche, or jackets) Ppr = Paper
OD = Optical Disk, CD-r, DVD-r, WORM, or other media which does not allow changes
Scan / Import (guideline): “S” indicates the record should be scanned into the document imaging system; “I” indicates the record should be electronically imported into the document imaging system; “M” indicates the record should be microfilmed
Destroy Paper after Imaged & QC’d / Trustworthy Electronic Record: “Yes” indicates the electronic record may serve as the OFFICIAL record (and the paper version may be destroyed, or the record may be electronically generated and never exist in paper format;) IF the document has been imaged (electronically generated, scanned or imported and placed on Unalterable Media or Immutable Cloud Media, DVD-R, CD-R, or WORM cation, or microfilmed) which is stored in a safe & separate location, and both the images and indexing Quality Checked (“QC’d”). The electronic record or image must contain all significant details from the original and be an adequate substitute for the original document for all purposes , and other legal mandates apply. Includes all electronic records which are to serve as the Official Record.
Legend for legal citations (§: Section) B&P: Business & Professions Code (CA) CBC: California Building Code CC: Civil Code (CA) CCP: Code of Civil Procedure (CA) CCR: California Code of Regulations (CA) CFC: California Fire Code CFR: Code of Federal Regulations (US) EC: Elections Code (CA) EVC: Evidence Code (CA) FA: Food & Agriculture Code FC: Family Code (CA) FTB: Franchise Tax Board (CA) GC: Government Code (CA) H&S: Health & Safety Code (CA) HUD: Housing & Urban Develop. (US) LC: Labor Code (CA) Ops. Cal. Atty. Gen..: Attorney General Opinions (CA) PC: Penal Code (CA) PRC Public Resources Code R&T: Revenue & Taxation Code (CA) UFC: Uniform Fire Code USC: United States Code (US) VC: Vehicle Code (CA) W&I: Welfare & Institutions Code (CA)
Item: 13
166
Ver. 5.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-1 Office of
Record (OFR) Retention No. Records Description Total
Retention Vital? Media
Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper
after
Imaged &
QC'd?
Comments / Reference
Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule.
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
HOLDS: Litigation, claims, complaints, audits, public records act requests, and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Lead Dpt. CW-001
Affidavits of Publications / Affidavits of Posting
Notices / Legal Advertising / Notices / Proofs of
Publications / Public Hearing Notices
2 years
Mag,
Mfr, OD,
Ppr
S / I Yes: After
QC & OD
Brown Act challenges must be filed within
30 or 90 days of action; Statute of
Limitations on Municipal Government
actions is 3 - 6 months; GC §§34090,
54960.1(c)(1)
Lead Dept. CW-002
Agreements & Contracts ADMINISTRATION
(WITHOUT Grant Funding)
(Project Administration, Certified Payrolls, etc.)
Send all Final Agreements or Contracts to the
City Clerk
Completion +
10 years
Yes: Before
Completion
Mag,
Mfr, OD,
Ppr
S / I Yes: After
QC & OD
City preference; Covers E&O Statute of
Limitations; Published Audit Standards=4-7
years; Statute of Limitations: Contracts &
Spec's=4 years, Wrongful Death=comp. + 5
years, Developers=comp. + 10 years;
Statewide guidelines propose termination +
5 years; CCP §337 et. seq., GC §34090
Lead Dept. CW-003
Agreements & Contracts: ADMINISTRATION
(WITH Grant Funding)
(Project Administration, Certified Payrolls)
Send all Final Agreements or Contracts to the
City Clerk
Completion +
10 years or
After Funding
Agency Audit,
if required,
whichever is
longer
Yes: Before
Completion
Mag,
Mfr, OD,
Ppr
S / I Yes: After
QC & OD
Some grant funding agencies require
audits; Statute of Limitations for Errors &
Omissions is 10 years; Statute of
Limitations: Contracts & Spec's=4 years,
Wrongful Death=comp. + 5 years,
Developers=comp. + 10 years; CCP §337
et. seq., 2 CFR 200.334; 24 CFR 91.105(h),
92.505, & 570.502(b), 29 CFR 97.42; OMB
Circular A-133GC §34090
Lead Dept. CW-004 Agreements & Contracts: Unsuccessful
Proposals, Unsuccessful RFPs 2 years Mag,
Ppr GC §34090
Lead Dept. CW-005 Bidder Lists 2 years
Mag,
Mfr, OD,
Ppr
S / I Yes: After
QC & OD GC §34090
CW-006
Boards, Commissions, & Committees:
External Organizations - Agendas, Minutes,
Resolutions, or other documents
(e.g. County Board of Supervisors)
When No
Longer
Required
Mag,
Ppr
Does not require destruction authorization
form; Non-records
CITY-WIDE (Used by All Departments)
LAKE FOREST, CA. ©1995-2021 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted:
Item: 13
167
Ver. 5.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-2 Office of
Record (OFR) Retention No. Records Description Total
Retention Vital? Media
Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper
after
Imaged &
QC'd?
Comments / Reference
Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule.
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
HOLDS: Litigation, claims, complaints, audits, public records act requests, and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
CITY-WIDE (Used by All Departments)
Staffing Dept. CW-007
Boards, Committees, Commissions, Ad-Hoc
Committees: Citizen Advisory Created by the
City Council - AGENDAS & STAFF REPORTS
Minimum 2
years
Mag,
Mfr, OD,
Ppr
S / I Yes: After
QC & OD Department Preference; GC §34090 et seq.
Staffing Dept. CW-008
Boards, Committees, Commissions, Ad-Hoc
Committees: Citizen Advisory Created by the
City Council - AUDIO RECORDINGS
2 years Mag Department Preference; GC §34090.6
Staffing Dept. CW-009
Boards, Committees, Commissions, Ad-Hoc
Committees: Citizen Advisory Created by the
City Council - MINUTES
P
Mag,
Mfr, OD,
Ppr
S / I No GC §34090(e)
Staffing Dept. CW-010 Committees: City Council Subcommittees, AGENDAS and MINUTES 2 years Mag,
Ppr
Only Citizen Advisory Boards appointed by
the City Council must retain minutes
permanently (Council Subcommittees
present their recommendations to the full
Council); GC §34090 et seq.
Staffing Dept. CW-011
Committees: Employee Committees, Employee
Staff Meetings / Department Staff Meetings
AGENDAS and MINUTES
2 years Mag,
Ppr
Only Citizen Advisory Boards appointed by
the City Council must retain minutes
permanently (Council Subcommittees
present their recommendations to the full
Council); GC §34090 et seq.
Lead
(Responding)
Dept.
CW-012 Complaints / Concerns from Citizens
(Excludes Police Officers)
Minimum 2
years Mag,
Ppr
City preference; Statute of Limitations for
personal property, fraud, etc. is 3 years;
Claims must be filed in 6 months; CCP
§§338 et seq., 340 et seq., 342, GC
§34090
Lead Dept. CW-013 Copies or duplicates of any record
Copies -
When No
Longer
Required
Mag Ppr Does not require destruction authorization
form; GC §34090.7
LAKE FOREST, CA. ©1995-2021 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted:
Item: 13
168
Ver. 5.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-3 Office of
Record (OFR) Retention No. Records Description Total
Retention Vital? Media
Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper
after
Imaged &
QC'd?
Comments / Reference
Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule.
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
HOLDS: Litigation, claims, complaints, audits, public records act requests, and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
CITY-WIDE (Used by All Departments)
Lead Dept. CW-014
Correspondence or Staff Notes - Related to a
CEQA Permit ( Environmental Impact Reports,
EIRs, Negative Declarations, etc.)
Project
Approval or
Denial
+ 2 years
Mag,
Mfr, OD,
Ppr
S / I Yes: After
QC & OD
Not all internal communications and notes
are required to be saved; "E-mails that do
not provide insight into the project or the
agency’s CEQA compliance with respect to
the project — are not within the scope of
section 21167.6, subdivision (e) and need
not be retained." Golden Door Properties,
LLC v. Superior Court of San Diego County
(County of San Diego, et al., Real Parties in
Interest) (53 Cal.App.5th 733); PRC
21167,6; GC §34090
Dept. that
Authors
Document
or
Receives the
City's Original
Document
CW-015
Correspondence - ROUTINE (Content relates
in a substantive way to the conduct of the
public's business)
(e.g. Letters, Memorandums, Administrative,
Chronological, General Files, Reading File,
Working Files, etc.)
2 years
Mag,
Mfr, OD,
Ppr
S / I Yes: After
QC & OD GC §34090
LAKE FOREST, CA. ©1995-2021 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted:
Item: 13
169
Ver. 5.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-4 Office of
Record (OFR) Retention No. Records Description Total
Retention Vital? Media
Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper
after
Imaged &
QC'd?
Comments / Reference
Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule.
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
HOLDS: Litigation, claims, complaints, audits, public records act requests, and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
CITY-WIDE (Used by All Departments)
Dept. that
Authors
Document
or
Receives the
City's Original
Document
CW-016
Correspondence - TRANSITORY /
PRELIMINARY DRAFTS, Interagency and
Intraagency Memoranda NOT retained in the
ordinary course of business
Content NOT Substantive, or NOT made or
retained for the purpose of preserving the
informational content for future reference
(e.g. calendars, checklists, social media
posting, employee directories, flyers, invitations,
instant messaging, inventories, logs, mailing
lists, meeting room registrations, speaker cards,
staff videoconference chats, notes and
recordings, supply inventories, staff
videoconferences, chats, notes, recordings,
telephone messages, text messages,
transmittal letters, thank yous, requests from
other cities, preliminary notices for construction
projects, undeliverable envelopes, visitors logs,
voice mails, webpages, etc.)
When No
Longer
Required
Mag,
Ppr
Does not require destruction authorization
form; Electronic and paper records are filed
and retained based upon their CONTENT.
Records, e-mails, electronic records, or
social media postings where the Content
relates in a substantive way to the
conduct of the public's business, or that
ARE made or retained for the purpose
of preserving the informational content
for future reference are saved by printing
them out and placing in a file folder, or
saving them electronically in a folder
outside the e-mail system; If not mentioned
here, consult the City Attorney to determine
if a record is considered transitory /
preliminary drafts. GC §34090, GC §6252;
64 Ops. Cal. Atty. Gen. 317 (1981)); City of
San Jose v. Superior Court (Smith).
S218066. Supreme Court of California,
2017
Lead Dept. CW-017 Drafts & Notes: Drafts that are revised (retain final version)
When No
Longer
Required
Mag,
Ppr
Does not require destruction authorization
form; As long as the drafts and notes are
not retained in the "Regular Course of
Business". Consult the City Attorney to
determine if a record is considered a draft.
GC §§34090, 6252, 6254(a)
LAKE FOREST, CA. ©1995-2021 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted:
Item: 13
170
Ver. 5.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-5 Office of
Record (OFR) Retention No. Records Description Total
Retention Vital? Media
Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper
after
Imaged &
QC'd?
Comments / Reference
Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule.
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
HOLDS: Litigation, claims, complaints, audits, public records act requests, and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
CITY-WIDE (Used by All Departments)Dept. that
Authors
Document
or
Receives the
City's Original
Document
CW-018 E-mail Correspondence 2 years Mag,
Ppr City preference; GC §34090
Lead Dept. CW-019 GIS Database / Data / Layers (both City-wide and Specialized)
When No
Longer
Required
Yes Mag
Does not require destruction authorization
form; The Lead Department should print out
historical documents (or save source data)
prior to replacing the data, if they require
the data or output for historical purposes;
Department Preference (Preliminary
documents); GC §34090 et seq.
Lead Dept. CW-020 Grants (UNSUCCESSFUL Applications,
Correspondence) 2 years Mag,
Ppr GC §34090
Lead Dept. CW-021
Grants / CDBG (Community Development Block
Grant) / Reimbursable Claims / FEMA
Reimbursements / OES Reimbursements
(SUCCESSFUL Reports, other records required
to pass the funding agency's audit, if required)
Applications (successful), grant agreement,
copies of invoices, program rules, regulations &
procedures, reports to grant funding agencies,
correspondence, audit records, completion
records
After Funding
Agency Audit,
if required -
Minimum 5
years
Mag,
Mfr, OD,
Ppr
S / I Yes: After
QC & OD
Meets auditing standards; Grants covered
by a Consolidated Action Plan are required
for 5 years; Uniform Admin. Requirements
for Grants to Local Governments is 3 years
from expenditure report or final payment of
grantee or subgrantee; statewide guidelines
propose 4 years; 2 CFR 200.334; 24 CFR
91.105(h), 92.505, 570.490, &
570.502(a&b), 29 CFR 97.42; OMB Circular
A-110 & A-133; GC §34090
Lead Dept. CW-022 Newspaper Clippings / Media Clippings When No
Longer
Required
Ppr
Does not require destruction authorization
form; Non-records - may be obtained from
the newspaper company; GC §34090
LAKE FOREST, CA. ©1995-2021 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted:
Item: 13
171
Ver. 5.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-6 Office of
Record (OFR) Retention No. Records Description Total
Retention Vital? Media
Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper
after
Imaged &
QC'd?
Comments / Reference
Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule.
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
HOLDS: Litigation, claims, complaints, audits, public records act requests, and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
CITY-WIDE (Used by All Departments)
Human
Resources CW-023 Personnel Files (Department-level Files) Shred After
Separation or
Transfer + 3
years
Before
Separation
Mag,
Ppr
Does not require destruction authorization
form; All Originals are sent to Human
Resources; GC §34090.7
Lead Dept. CW-024 Personnel Files (Supervisor's Notes)
Shred After
Incorporation
into
Performance
Evaluation or
Documented
Discipline
Before
Annual
Evaluation
Mag,
Ppr
Does not require destruction authorization
form; Notes maintained in a separate folder
to be incorporated into performance
evaluation, or to document progressive
discipline; GC §34090 et seq.
Lead Dept. CW-025 Photographs
When No
Longer
Required
Mag,
Ppr
Preliminary Drafts; destroy unnecessary
photographs. GC §§34090, 6252, 6254(a)
Lead Dept.
(Who Uses the
Vehicle)
CW-026
Pre-Trip Inspections / Vehicle Safety Checks /
Daily Vehicle Inspections / Daily Equipment
Checks
2 years Ppr GC §34090; 13 CCR 1234(c)
Lead Dept. CW-027 Public Relations / Press Releases 2 years Mag, Ppr GC §34090
Lead Dept.
(Who Ordered
the Appraisal)
CW-028 Real Estate Appraisal Reports: Property NOT
purchased, Loans not funded, etc. 2 years Mag,
Ppr
Not accessible to the public; Statewide
Guidelines show 2 years; GC §§34090,
6254(h)
Lead Dept.
(Who Ordered
the Appraisal)
CW-029 Real Estate Appraisal Reports: Purchased
Property, Funded Loans
Minimum 5
years
Yes: Before
Purchase
Mag,
Mfr, OD,
Ppr
S Yes: After
QC &OD
Not accessible to the public until purchase
has been completed; meets grant auditing
requirements; 2 CFR 200.334; 24 CFR
91.105(h), & 570.502(b); 29 CFR 97.42, GC
§34090
CW-030
Reference Materials: Policies, Procedures,
Brochures, Flyers, Manuals, Newsletters, etc:
Produced by OUTSIDE ORGANIZATIONS
(League of California Cities, Chamber of
Commerce, etc.)
When No
Longer
Required
Mag,
Ppr
Does not require destruction authorization
form; Non-Records
LAKE FOREST, CA. ©1995-2021 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted:
Item: 13
172
Ver. 5.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-7 Office of
Record (OFR) Retention No. Records Description Total
Retention Vital? Media
Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper
after
Imaged &
QC'd?
Comments / Reference
Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule.
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
HOLDS: Litigation, claims, complaints, audits, public records act requests, and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
CITY-WIDE (Used by All Departments)
Lead Dept. CW-031
Reference Materials: Policies, Procedures,
Brochures, Flyers, Manuals, Newsletters,
Administrative Policies, etc: Produced by
YOUR Department
Minimum 2
years
Mag,
Mfr, OD,
Ppr
S / I Yes: After
QC & OD
Statewide guidelines propose superseded +
2 or 5 years; GC §34090
Lead Dept. CW-032
Reference Materials: Policies, Procedures,
Brochures, Flyers, Manuals, Newsletters,
Administrative Policies, etc: Produced by
OTHER Departments
When
Superseded Mag,
Ppr
Does not require destruction authorization
form; Copies; GC §34090.7
Lead Dept. CW-033 Reports and Studies (Historically significant - e.g., Zoning Studies) P
Mag,
Mfr, OD,
Ppr
S / I Yes: After
QC & OD
Administratively and Historically significant,
therefore retained permanently; GC §34090
Lead Dept. CW-034 Reports and Studies (other than Historically significant reports - e.g. Annual Reports) 10 years
Mag,
Mfr, OD,
Ppr
S / I Yes: After
QC & OD
Information is outdated after 10 years;
statewide guidelines propose 2 years; If
historically significant, retain permanently;
GC §34090
Lead Dept. CW-035 Special Projects / Subject Files / Issue Files Minimum 2 years
Mag,
Mfr, OD,
Ppr
S / I Yes: After
QC & OD Department Preference; GC §34090 et seq.
Lead Dept. CW-036
Surveys / Questionnaires (that the City issues).
If a summary of the data is compiled, the survey
forms are considered a draft or transitory
record, and can be destroyed as drafts (When
No Longer Required)
2 years
Mag,
Mfr, OD,
Ppr
S / I Yes: After
QC & OD GC §34090
LAKE FOREST, CA. ©1995-2021 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted:
Item: 13
173
Ver. 5.0 RECORDS RETENTION SCHEDULE: CITY-WIDE STANDARDS Page CW-8 Office of
Record (OFR) Retention No. Records Description Total
Retention Vital? Media
Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper
after
Imaged &
QC'd?
Comments / Reference
Retentions apply to the department that is NOT the Office of Record (OFR), or the "Lead Department". If you are the OFR, refer to your department retention schedule.
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
HOLDS: Litigation, claims, complaints, audits, public records act requests, and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
CITY-WIDE (Used by All Departments)
Lead Dept. CW-037
Training Presented by City Staff - COURSE
RECORDS
(Attendance Rosters, Outlines and Materials;
includes Ethics, Harassment, & Safety Training
& Tailgates)
5 years
Mag,
Mfr, OD,
Ppr
S / I Yes: After
QC & OD
Department preference; Ethics Training is 5
years; Statewide guidelines propose 7
years; Calif. Labor Division is required to
keep their OSHA records 7 years;
EEOC/FLSA/ADEA (Age) requires 3 years
for promotion, demotion, transfer, selection,
or discharge; State Law requires 2 -3 years
for personnel actions; 8 CCR §3203 et
seq., 29 CFR 1627.3(b)(ii), LC §6429(c);
GC §§12946, 34090, 53235.2(b)
Lead Dept. CW-038
Volunteer Applications, Waivers / Unpaid Intern
Applications - SUCCESSFUL
Includes Volunteer Agreement and e-mail
confirmation of Livescan clearance from Human
Resources;
Inactive /
Separation +
3 years
Mag,
Mfr, OD,
Ppr
S / I Yes: After
QC & OD
Department preference; EEOC / FLSA /
ADEA (Age) requires 1-3 years; State Law
requires 2 - 3 years; 29 CFR 1627.3(b)(i),
29 CFR 1602.14 et seq.2 CCR 11013(c);
GC §§12946, 34090
Lead Dept. CW-039 Volunteer Applications, Waivers / Unpaid Intern Applications - UNSUCCESSFUL 3 years Mag,
Ppr
Department preference; EEOC / FLSA /
ADEA (Age) requires 1-3 years; State Law
requires 2 - 3 years; 29 CFR 1627.3(b)(i),
29 CFR 1602.14 et seq.2 CCR 11013(c);
GC §§12946, 34090
LAKE FOREST, CA. ©1995-2021 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted:
Item: 13
174
Ver. 10.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC-1 Office of
Record
(OFR)
Retention No. Records Description Total
Retention Vital? Media
Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper after
Imaged &
QC'd?
Comments / Reference
If the record is not listed here, refer to the Retention for City-Wide Standards .
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
City Clerk CC-001
Agenda Packets: City Council, Housing
Authority, Rancho Canada Financing
Authority, Redevelopment Agency,
Successor Agency, Oversight Board
P Mag, Mfr,
OD, Ppr S / I Yes: After
QC & OD Department preference; GC §34090
City Clerk CC-002
Agenda Packets: Advisory Bodies - Citizens
Traffic Advisory Group (CTAG), Community
Services Commission, Planning
Commission, Traffic & Parking Commission
P Mag, Mfr,
OD, Ppr S / I Yes: After
QC & OD Department preference; GC §34090
City Clerk CC-003
Agreements & Contracts - ALL
(INFRASTRUCTURE, OR IF IMAGED,
JPAs, MOUs)
Agreement or Contract includes all
contractual obligations (e.g. Specifications
and Successful Proposal or Scope of Work,
Insurance Certificates and RFPs / Request
for Proposals)
Examples of Infrastructure: Architects,
Buildings, bridges, covenants, development,
environmental, Joint Powers, MOUs, park
improvements, property & property restrictions,
redevelopment, reservoirs, sewers, sidewalks,
street & alley improvements, settlement,
subdivisions, utilities, water, etc.
P Mag, Mfr,
OD, Ppr S / I Yes: After
QC & OD
Department Preference; All infrastructure
contracts should be permanent for
emergency preparedness; Statute of
Limitations is 4 years; 10 years for Errors &
Omissions; land records are permanent by
law; CCP §337 et. seq., GC §34090;
Contractor has retention requirements in 48
CFR 4.703
CITY CLERK
LAKE FOREST, CA. ©1995-2022 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted:
Item: 13
175
Ver. 10.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC-2 Office of
Record
(OFR)
Retention No. Records Description Total
Retention Vital? Media
Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper after
Imaged &
QC'd?
Comments / Reference
If the record is not listed here, refer to the Retention for City-Wide Standards .
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
CITY CLERK
City Clerk CC-004
Agreements & Contracts - ALL (NON-
INFRASTRUCTURE, Professional
Services Agreements - NOT IMAGED)
Agreement or Contract includes all
contractual obligations (e.g. Specifications
and Successful Proposal or Scope of Work,
Insurance Certificates and RFPs / Request
for Proposals)
Examples of Non-Infrastructure: Consultants,
Franchises, Landscaping, Painting, Slurry Seals
(Paving), Tree Trimming, Leases, Personnel,
Professional Services, etc.
Completion
+ 10 years
Yes: Before
Completion
Mag, Mfr,
OD, Ppr S / I Yes: After
QC & OD
Department Preference; Statute of
Limitations is 4 years; 10 years for Errors &
Omissions; land records are permanent by
law; CCP §§337. 337.1(a), 337.15, 343; GC
§34090, Contractor has retention
requirements in 48 CFR 4.703(a)
Finance /
General
Ledger
CC-005
Audit Committee (Subcommittee of the City
Council)
AGENDAS & AGENDA PACKETS
P Mag, Mfr,
OD, Ppr S / I Yes: After
QC & OD Department preference; GC §34090
City Clerk CC-008 City Manager's Weekly Update 2 years Mag, Mfr, OD, Ppr S / I Yes: After
QC & OD GC §34090
City Clerk CC-009 Board & Commission / Committee
Applications for Appointment 2 years Mag, Mfr,
OD, Ppr S / I Yes: After
QC & OD GC §34090
City Clerk CC-010 Board & Commission / Committee Maddy
Act Lists / Vacancy Notices 2 years Mag, Mfr,
OD, Ppr S / I Yes: After
QC & OD
Must post on bulletin board for current year;
GC §34090
City Clerk CC-011
Bonds: CIP Labor & Materials, Performance
Bonds, Letters of Credit, Encroachment
Permits Only
Release of
Bond / Letter
of Credit
Mag, Mfr,
OD, Ppr S Yes: After
QC & OD
Does not require destruction authorization
form; Security; GC §34090
LAKE FOREST, CA. ©1995-2022 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted:
Item: 13
176
Ver. 10.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC-3 Office of
Record
(OFR)
Retention No. Records Description Total
Retention Vital? Media
Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper after
Imaged &
QC'd?
Comments / Reference
If the record is not listed here, refer to the Retention for City-Wide Standards .
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
CITY CLERK
City Clerk CC-012 City Articles of Incorporation P Mag, Mfr, OD, Ppr S / I Yes: After
QC & OD Department preference; GC §34090
City Clerk CC-013 Claim for Damages Form 2 years Yes: Until Settlement
Mag, Mfr,
OD, Ppr S / I Yes: After
Settled
Department preference (Risk Management
maintains the Claim file); GC §34090
City Clerk CC-014
Filing System / Subject Files / Function
Filing System - HISTORICALLY
SIGNIFICANT, LAND, PLANNING,
CAPITAL IMPROVEMENT
INFRASTRUCTURE PROJECTS
P Mag, Mfr,
OD, Ppr S / I Yes: After
QC & OD Department preference; GC §34090
City Clerk CC-015
Filing System / Subject Files / Function
Filing System - NOT HISTORICALLY
SIGNIFICANT
Minimum 2
years Mag, Ppr Yes: After
QC & OD Department preference; GC §34090
City Clerk CC-016
FPPC Economic Interest Filings (FPPC 700
Series Forms - Statement of Economic
Interests): PRIOR TO ELECTRONIC
FILING SOFTWARE
7 years Mag, Mfr,
OD, Ppr S / I Yes: After
2 years
City maintains original statements; GC
§81009(d)(e)(f)&(g)
City Clerk CC-017
FPPC Economic Interest Filings (FPPC 700
Series Forms - Statement of Economic
Interests): ELECTRONICALLY FILED
10 years Mag, OD
Statements filed electronically are required
for 10 years; City maintains copies only;
original statements are filed with FPPC; GC
§81009(f)&(g); GC §84615
City Clerk CC-018 Proclamations / Commendations /
Memoriums / Recognitions, etc. 2 years Mag, Mfr,
OD, Ppr S / I Yes: After
QC'd & OD GC §34090
City Clerk CC-019 FPPC Form 801 (Gift to Agency Report) 7 years Mag, Mfr, OD, Ppr S / I Yes: After
2 years Must post on website; GC §81009(e)
City Clerk CC-020 FPPC Form 802 (Event Ticket / Pass
Distributions Agency Report) 7 years Mag, Mfr,
OD, Ppr S / I Yes: After
2 years
Should post on website for 4 years; GC
§81009(e)
LAKE FOREST, CA. ©1995-2022 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted:
Item: 13
177
Ver. 10.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC-4 Office of
Record
(OFR)
Retention No. Records Description Total
Retention Vital? Media
Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper after
Imaged &
QC'd?
Comments / Reference
If the record is not listed here, refer to the Retention for City-Wide Standards .
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
CITY CLERK
City Clerk CC-021 FPPC Form 803 (Behested Payment
Report) 7 years Mag, Mfr,
OD, Ppr S / I Yes: After
2 years GC §81009(e)
City Clerk CC-022 FPPC Form 804 (Agency Report of New
Positions) P Mag, Mfr,
OD, Ppr S / I Yes: After
2 years FPPC Regulation 18734(c); GC §81009e
City Clerk CC-023 FPPC Form 805 (Agency Report of
Consultants) P Mag, Mfr,
OD, Ppr S / I Yes: After
2 years GC §34090; GC §81009(e)
City Clerk CC-024 FPPC Form 806 (Agency Report of Public Official Appointments) 7 years Mag, Mfr,
OD, Ppr S / I Yes: After
2 years
Must post on website; 2 CCR 18705.5; 2
CCR 18702.5(b)(3); GC §34090; GC
§81009(e)
City Clerk CC-025
Campaign Disclosure Statements (FPPC
400 Series Forms, 501 Form):
UNSUCCESSFUL CANDIDATES,
ELECTRONICALLY FILED / NETFILE -
WITH or WITHOUT Committees
10 years Mag, Mfr,
OD, Ppr S / I Yes: After
QC
Campaign statements must be posted on
the City’s website within 72 hours and
remain on line for 4 years; Statements filed
electronically are required for 10 years; GC
§81009(b)&(g); GC §84615
City Clerk CC-026
Campaign Filings (FPPC 400 Series Forms
& Form 501): UNSUCCESSFUL
CANDIDATES
5 years Mag, Mfr,
OD, Ppr S / I Yes: After
2 years
Paper must be retained for at least 2 years;
GC §81009(b)&(g)
City Clerk CC-027
Campaign Filings (FPPC 400 Series Forms
& Form 501): SUCCESSFUL
CANDIDATES (Elected Officials)
P Mag, Mfr,
OD, Ppr S / I Yes: After
2 years
Paper must be retained for at least 2 years;
GC §81009(b)&(g)
City Clerk CC-028
Campaign Filings (FPPC 400 Series
Forms): THOSE NOT REQUIRED TO FILE
ORIGINAL WITH CITY CLERK (copies)
4 years Mag, Ppr S / I Yes: After
2 years
Paper must be retained for at least 2 years;
GC §81009(f)&(g)
City Clerk CC-029
Campaign Filings (FPPC 400 Series
Forms): OTHER COMMITTEES (PACS -
not candidate-controlled)
7 years Mag, Ppr S / I Yes: After
2 years
Paper must be retained for at least 2 years;
GC §81009(c)&(g)
CITY CLERK ELECTIONS (CONSOLIDATED WITH COUNTY)
LAKE FOREST, CA. ©1995-2022 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted:
Item: 13
178
Ver. 10.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC-5 Office of
Record
(OFR)
Retention No. Records Description Total
Retention Vital? Media
Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper after
Imaged &
QC'd?
Comments / Reference
If the record is not listed here, refer to the Retention for City-Wide Standards .
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
CITY CLERK
City Clerk CC-030
Candidate File: Nomination Papers,
Candidate Statement Forms, Ballot
Designation Worksheet, etc. -
SUCCESSFUL CANDIDATES
Term of
Office + 4
years
Mag, Ppr S / I Yes: After
QC & OD
Department Preference; Statewide
guidelines proposes 4 years for successful
candidates, 2 years for unsuccessful; CA law
states term of office and 4 years after the
expiration of term and does not delineate
between the two; EC §17100
City Clerk CC-031
Candidate File: Nomination Papers,
Candidate Statement Forms, Ballot
Designation Worksheet, etc. -
UNSUCCESSFUL CANDIDATES
Election + 4
years Mag, Ppr S / I Yes: After
QC & OD
Statewide guidelines proposes 4 years for
successful candidates, 2 years for
unsuccessful; CA law states term of office
and 4 years after the expiration of term and
does not delineate between the two; EC
§17100
City Clerk CC-032
Elections - GENERAL, WORKING or
ADMINISTRATION Files (Correspondence,
Applications to fill a Vacancy on the City
Council, Precinct Maps, County Election
Services, Candidate Statements to be
printed in the Sample Ballot, Polling
Locations and Precinct Board Members,
Notices, Postings, etc.)
Minimum 2
years Mag, Ppr S / I Yes: After
QC & OD GC §34090
City Clerk CC-033 Elections - Petitions (Initiative, Recall or Referendum)
Results + 8
months, or
Final
Examination
+ 1 year
after petition
examination
if petition is
insufficient
Ppr
Not accessible to the public; The 8 month
retention applies after election results, or
final examination if no election, unless there
is a legal or FPPC proceeding. EC
§§17200(b)(3), 17400
City Clerk CC-034 Secretary of State Statement of Facts / Registry of Public Officials 2 years Mag, Ppr GC §34090 (End of Elections Section)
LAKE FOREST, CA. ©1995-2022 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted:
Item: 13
179
Ver. 10.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC-6 Office of
Record
(OFR)
Retention No. Records Description Total
Retention Vital? Media
Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper after
Imaged &
QC'd?
Comments / Reference
If the record is not listed here, refer to the Retention for City-Wide Standards .
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
CITY CLERK
City Clerk CC-035
Ethics Training Certificates (AB 1234
Training Certificates) - City Council, Board
and Commission Members, City Staff
5 years Mag, Mfr,
OD, Ppr S Yes: After
QC'd & OD GC §§34090, 53235.2(b)
City Clerk CC-036
Historical Records, Photographs, &
Historical Projects (e.g. City Anniversaries,
Incorporation, City Seal, Awards of
significant historical interest, Grand
Openings, etc.)
P Mag, Mfr,
OD, Ppr S Yes: After
QC'd & OD
City Clerk determines historical significance;
records can address a variety of subjects
and media. Some media (e.g. audio and
video tape) may be limited because of the
media's life expectancy; GC §34090
City Clerk CC-037
Minutes: City Council, Housing Authority,
Rancho Canada Financing Authority,
Redevelopment Agency, Successor Agency,
Oversight Board
P Mag, Mfr,
OD, Ppr S / I
No (Keep
paper
version
after
scanning)
GC §34090(e)
City Clerk CC-038
Minutes: Advisory Bodies - Citizens Traffic
Advisory Group (CTAG), Community
Services Commission, Planning
Commission, Traffic & Parking Commission
P Mag, Mfr,
OD, Ppr S / I
No (Keep
paper
version
after
scanning)
GC §34090(e)
City Clerk CC-039 Oath of Office / Appointments: City Council, Boards and Commissions
Separation +
4 years
Mag, Mfr,
OD, Ppr S / I Yes: After
QC'd & OD
Department Preference; Statute of
Limitations: Public official misconduct is
discovery of offense + 4 years, GC
§§36507, 34090; PC §§801.5, 803(c); 29
USC 1113
City Clerk CC-040 Ordinances P Mag, Mfr,
OD, Ppr S / I
No (Keep
paper
version
after
scanning)
GC §34090(e)
City Clerk CC-041 Passport Transmittals 24 months Mag, Ppr US Passport requirement to destroy forms monthly; GC §34090
LAKE FOREST, CA. ©1995-2022 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted:
Item: 13
180
Ver. 10.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC-7 Office of
Record
(OFR)
Retention No. Records Description Total
Retention Vital? Media
Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper after
Imaged &
QC'd?
Comments / Reference
If the record is not listed here, refer to the Retention for City-Wide Standards .
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
CITY CLERK
City Clerk CC-042
Public Records Requests / Subpoenas
Duces Tecum
Includes Copyright Release Forms /
Requests & Permissions to Receive Copies
of Plans (to and from Architects / Engineers)
2 years Mag, Mfr,
OD, Ppr S / I Yes: After
QC'd & OD GC §34090
City Clerk CC-043 Recorded Documents: Deeds, Easements, Liens, Right-of-Ways, etc. P Mag, Mfr,
OD, Ppr S / I Yes: After
QC'd & OD GC §34090(e)
City Clerk CC-044
Recordings: Audio of City Council
Meetings, Housing Authority, Rancho
Canada Financing Authority,
Redevelopment Agency, Successor Agency,
Oversight Board
30 days Mag, OD Audio Required for 30 days; GC §54953.5(b) City Clerk CC-045
Recordings: Video of City Council Meetings,
Housing Authority, Rancho Canada
Financing Authority, Redevelopment
Agency, Successor Agency, Oversight
Board
P Mag, OD
Department preference; video tapes of
meetings are required for 90 days; GC
§34090.6
City Clerk CC-046
Recordings: Audio of Advisory Bodies -
Citizens Traffic Advisory Group (CTAG),
Community Services Commission, Planning
Commission, Traffic & Parking Commission
30 days Mag, OD Audio Required for 30 days; GC §54953.5(b) City Clerk CC-047
Recordings: Video of Advisory Bodies -
Citizens Traffic Advisory Group (CTAG),
Community Services Commission, Planning
Commission, Traffic & Parking Commission
P Mag, OD
Department preference; video tapes of
meetings are required for 90 days; GC
§34090.6
City Clerk CC-048 Records Destruction Authorization Forms & Backup documentation (All Departments) P Mag, Mfr,
OD, Ppr S / I Yes: After
QC'd & OD Department preference; GC §34090
LAKE FOREST, CA. ©1995-2022 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted:
Item: 13
181
Ver. 10.0 RECORDS RETENTION SCHEDULE: CITY CLERK Page CC-8 Office of
Record
(OFR)
Retention No. Records Description Total
Retention Vital? Media
Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper after
Imaged &
QC'd?
Comments / Reference
If the record is not listed here, refer to the Retention for City-Wide Standards .
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
CITY CLERK
City Clerk CC-049
Records Retention Schedules / Authorized
Amendments to Records Retention
Schedules
P Mag, Mfr,
OD, Ppr S / I Yes: After
QC'd & OD Department preference; GC §34090
City Clerk CC-050
Resolutions: City Council, Housing
Authority, Rancho Canada Financing
Authority, Redevelopment Agency,
Successor Agency, Oversight Board
P Mag, Mfr,
OD, Ppr S / I
No (Keep
paper
version
after
scanning)
GC §34090(e)
City Clerk CC-051 Resolutions: Advisory Bodies - Planning Commission, Traffic & Parking Commission P Mag, Mfr,
OD, Ppr S / I
No (Keep
paper
version
after
scanning)
GC §34090(e)
City Clerk CC-052
Vehicle Titles / Pink Slips (All City-owned
vehicles / motorcycles, including those
provided to OCSD)
Upon Sale
or Disposal
of Vehicle
Mag, Ppr
Does not require destruction authorization
form; Title is transferred to new owner or
auction house
LAKE FOREST, CA. ©1995-2022 Gladwell Governmental Services, Inc. (909) 337-3516 - all rights reserved Do not duplicate or distribute without prior written permission Adopted:
Item: 13
182
Ver. 3.2 RECORDS RETENTION SCHEDULE: CITY MANAGER Page CM-1 Office of
Record
(OFR)
Retention No. Records Description Total
Retention Vital? Media
Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper
after
Imaged
& QC'd?
Comments / Reference
If the record is not listed here, refer to the Retention for City-Wide Standards .
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods (retention resumes after settlement).
CITY MANAGER
City
Manager CM-001 City Manager Correspondence Minimum 2
years Mag, Ppr Department preference; GC §34090
City
Manager CM-002
Legislative Advocacies, Support or
Opposition to proposed Federal or State
Legislation
Minimum 2
years Mag, Ppr Department preference; GC §34090
City
Manager CM-003 Projects / Subject Files (Subject will change over time)
Minimum 2
years Mag, Ppr Department Preference; GC §34090 et seq.
ECONOMIC DEVELOPMENT
City
Manager /
Economic
Develop.
CM-004 Economic Development Projects / Business
Recruitment and Retention
Minimum 2
years Mag, Ppr Department Preference; GC §34090 et seq.
FORMER REDEVELOPMENT PROJECTS
City
Manager /
Redevelop.
CM-005
Redevelopment Plans, Redevelopment
Projects (Historical Records Only)
Send all Deeds, Easements or Rights of
Way to City Clerk
P Yes Mag, Mfr,
OD, Ppr S / I
Yes:
After QC
& OD
Department preference; GC §34090 et seq.
City
Manager /
Redevelop.
CM-006 Redevelopment Projects (Not Historical) 10 years Yes Mag, Ppr Department preference; GC §34090 et seq.
LAKE FOREST, CA. ©1995 - 2022 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted:
Item: 13
183
Ver. 3.2 RECORDS RETENTION SCHEDULE: CITY MANAGER Page CM-2 Office of
Record
(OFR)
Retention No. Records Description Total
Retention Vital? Media
Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper
after
Imaged
& QC'd?
Comments / Reference
If the record is not listed here, refer to the Retention for City-Wide Standards .
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods (retention resumes after settlement).
POLICE SERVICES
City
Manager /
Police
Services
CM-007 Homeless Services Minimum 5
years Mag, Ppr
Meets auditing standards; Grants covered by a
Consolidated Action Plan are required for 5
years; Uniform Admin. Requirements for Grants
to Local Governments is 3 years from
expenditure report or final payment of grantee or
subgrantee; statewide guidelines propose 4
years; 2 CFR 200.334; 24 CFR 91.105(h),
92.505, 570.490, & 570.502(a&b), 29 CFR 97.42;
OMB Circular A-110 & A-133; GC §34090
City
Manager /
Police
Services
CM-008
Orange County Sheriff Contract
Administration
(Insurance Certificates, Project
Administration, etc.)
Completion
+ 10 years
Yes: Before
Completion
Mag, Mfr,
OD, Ppr S/I
Yes:
Upon
Completi
on
City preference; Covers E&O Statute of
Limitations; Published Audit Standards=4-7
years; Statute of Limitations: Contracts &
Spec's=4 years, Wrongful Death=comp. + 5
years, Developers=comp. + 10 years; Statewide
guidelines propose termination + 5 years; CCP
§337 et. seq., GC §34090
LAKE FOREST, CA. ©1995 - 2022 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted:
Item: 13
184
Ver. 3.2 RECORDS RETENTION SCHEDULE: CITY MANAGER Page CM-3 Office of
Record
(OFR)
Retention No. Records Description Total
Retention Vital? Media
Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper
after
Imaged
& QC'd?
Comments / Reference
If the record is not listed here, refer to the Retention for City-Wide Standards .
Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
HOLDS: Litigation, claims, complaints, audits, pending records requests, and/or investigations suspend normal retention periods (retention resumes after settlement).
RISK MANAGEMENT
City
Manager /
Risk
Manage.
CM-009
Accident Reports / Incident Action Reports
(Members of the Public - Whether or Not a
Claim is Filed)
2 years Mag, Ppr GC §34090
City
Manager /
Risk
Manage.
CM-010
Claims Against the City, including rejections
or settlement agreements
(City Clerk receives the claim form, and
forwards it to the Risk Manager)
Resolution
+ 5 years
Yes: Until
Resolution
Mag, Mfr,
OD, Ppr S / I
Yes:
After QC
& OD
Department Preference; Claim must be filed
within 1 year, lawsuit within 2 years; complaints
against peace officers within 5 years; CCP §337
et seq.; GC §§911.2, 34090, 34090.6; PC
§832.5(b)
City
Manager /
Risk
Manage.
CM-011 OSHA Citations and Inspections 5 years Mag, Ppr
OSHA requires 5 years; State law requires 2
years; 8 CCR §3203(b)(1), OMB 1220-0029; GC
§34090; LC §6429c
City
Manager /
Risk
Manage.
CM-012 Safety Inspections Conducted by CA JPIA
or the City 5 years Mag, Ppr Department Preference; GC §34090 LAKE FOREST, CA. ©1995 - 2022 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted:
Item: 13
185
Ver. 9.0 RECORDS RETENTION SCHEDULE: COMMUNITY DEVELOPMENT BuildingSafety, Code Enforcement, Housing, Planning)
Page CD-1
Office of
Record (OFR) Retention No. Records Description Total
Retention Vital? Media
Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper
after
Imaged &
QC'd?
Comments / Reference
If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
BUILDING & SAFETY
Building &
Safety CD-001 Address Files / Building Permits P Yes (all) Mag,
Mfr, OD,
Ppr
S / I Yes: After
QC & OD GC §34090, H&S §19850
Building &
Safety CD-002 Building Permit Database (Tyler) Indefinite Yes (all) Mag Department Preference - Data is interrelated; GC §34090, H&S §19850
Building &
Safety CD-003 Building Plans - Cancelled or Withdrawn
Minimum
Cancelled or
Withdrawn
Mag,
Mfr, OD,
Ppr
S / I Yes: After
QC & OD
Department preference; Preliminary
drafts not retained in the ordinary course
of business; CBC §104.7; H&S§19850,
GC §34090
Building &
Safety CD-004 Building Plans - Expired P
Mag,
Mfr, OD,
Ppr
S / I Yes: After
QC & OD
Department preference; CBC §104.7;
H&S§19850, GC §34090
Building &
Safety CD-005 Building Plans - Finalled - TENANT
IMPROVEMENTS P Yes (all)
Mag,
Mfr, OD,
Ppr
S / I Yes: After
QC & OD
Department Preference; Law requires for
the life of the building for commercial and
common interest dwellings only; CBC
104.7 & 107.5, H&S§19850, GC §34090
Building &
Safety CD-006
Building Plans - Finalled - INDUSTRIAL,
COMMERCIAL, MULTI-FAMILY DWELLINGS,
PLACES OF PUBLIC ACCOMMODATION
P Yes (all)
Mag,
Mfr, OD,
Ppr
S / I Yes: After
QC & OD
Department Preference; Law requires for
the life of the building for commercial and
common interest dwellings only; CBC
104.7 & 107.5, H&S§19850, GC §34090
Building &
Safety CD-007
Building Plans - Finalled - SINGLE FAMILY
RESIDENTIAL - SFR and APPURTENANCES
Energy Calculations, Structural Calculations
P Yes (all)
Mag,
Mfr, OD,
Ppr
S / I Yes: After
QC & OD
Department preference; State law
requires plans need not be filed for
dwellings less than 2 stories, garages &
appurtenances, farms/ranches, 1-story
with bearing walls less than 25'; CBC
requires 180 days from completion date;
CBC 104.7 & 107.5, H&S§19850, GC
§34090
LAKE FOREST, CA. ©1995-2022 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted:
Item: 13
186
Ver. 9.0 RECORDS RETENTION SCHEDULE: COMMUNITY DEVELOPMENT BuildingSafety, Code Enforcement, Housing, Planning)
Page CD-2
Office of
Record (OFR) Retention No. Records Description Total
Retention Vital? Media
Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper
after
Imaged &
QC'd?
Comments / Reference
If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Building &
Safety CD-008 California Building Codes / Uniform Building Codes
Minimum
While
Ordinance is
in Force
Mag,
Mfr, OD,
Ppr
S Yes: After
QC & OD
Does not require destruction
authorization form; GC §50022.6
Building &
Safety CD-009 Certificate of Occupancy (CofO) P Yes (all) Mag,
Mfr, OD,
Ppr
S Yes: After
QC & OD Department Preference; GC §34090
Building &
Safety CD-010 Geotechnical and Soils Reports (all) P
Mag,
Mfr, OD,
Ppr
S/I Yes: After
QC & OD Department Preference; GC §34090
Building &
Safety CD-011 Plan Check Comments (Site Plan File) When Permit is Finalled
Mag,
Mfr, OD,
Ppr
S Yes: After
QC & OD
Does not require destruction
authorization form; Department
Preference (Preliminary Drafts); GC
§34090
Building &
Safety CD-012 Stop Work Notices, Correction Notices After Permit is Finalled
Mag,
Mfr, OD,
Ppr
S Yes: After
QC & OD
Does not require destruction
authorization form; Department
Preference (Preliminary Drafts); GC
§34090
LAKE FOREST, CA. ©1995-2022 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted:
Item: 13
187
Ver. 9.0 RECORDS RETENTION SCHEDULE: COMMUNITY DEVELOPMENT BuildingSafety, Code Enforcement, Housing, Planning)
Page CD-3
Office of
Record (OFR) Retention No. Records Description Total
Retention Vital? Media
Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper
after
Imaged &
QC'd?
Comments / Reference
If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
CODE ENFORCEMENT
Code Enforce. CD-013 Notice of Violations ./ Code Enforcement Citations Minimum 2 years
Mag,
Mfr, OD,
Ppr
S/I Yes: After
QC & OD Department preference; GC §34090
Code Enforce. CD-014 Code Enforcement Database Indefinite Yes (all) Mag Department Preference - Data is interrelated; GC §34090, H&S §19850
Code Enforce. CD-015
Code Enforcement / Abatement Case Files
(Includes appeals and Code Enforcement
Complaint Letters)
Minimum 2
years
Yes: Until
Resolution Mag, Ppr Department preference; GC §34090
LAKE FOREST, CA. ©1995-2022 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted:
Item: 13
188
Ver. 9.0 RECORDS RETENTION SCHEDULE: COMMUNITY DEVELOPMENT BuildingSafety, Code Enforcement, Housing, Planning)
Page CD-4
Office of
Record (OFR) Retention No. Records Description Total
Retention Vital? Media
Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper
after
Imaged &
QC'd?
Comments / Reference
If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
HOUSING
Housing CD-016
Correspondence or Staff Notes - Related to a
CEQA Permit where Housing is the Lead
Department (Environmental Impact Reports,
EIRs, Negative Declarations, etc.)
Project
Approval or
Denial
+ 2 years
Mag, Ppr
Not all internal communications and
notes are required to be saved; "E-mails
that do not provide insight into the project
or the agency’s CEQA compliance with
respect to the project — are not within the
scope of section 21167.6, subdivision (e)
and need not be retained." Golden Door
Properties, LLC v. Superior Court of San
Diego County (County of San Diego, et
al., Real Parties in Interest) (53
Cal.App.5th 733); PRC 21167,6; GC
§34090
Housing CD-017
Environmental Determinations (Finals):
Environmental Impact Reports (EIRs), Negative
Declarations, etc.) / CEQA
Where Housing is the Lead
P
Mag,
Mfr, OD,
Ppr
S Yes: After
QC & OD
Usually filed in the project file; Final
environmental determinations are
required to be kept a "reasonable period
of time"; 14 CCR §15095(c); GC §34090
Lead Dept. CD-018 Sub-Recipient Grants Agreements
After Funding
Agency
Audit, if
required -
Minimum 5
years
Mag, Ppr
Meets auditing standards; Grants covered
by a Consolidated Action Plan are
required for 5 years; Uniform Admin.
Requirements for Grants to Local
Governments is 3 years from expenditure
report or final payment of grantee or
subgrantee; statewide guidelines propose
4 years; 2 CFR 200.334; 24 CFR
91.105(h), 92.505, 570.490, &
570.502(a&b), 29 CFR 97.42; OMB
Circular A-110 & A-133; GC §34090
Housing CD-019 Housing Applications Rejected (First Time Home Buyers, Life/Safety, Rehabilitation, HOME, etc.) 5 years Mag, Ppr GC §34090 LAKE FOREST, CA. ©1995-2022 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted:
Item: 13
189
Ver. 9.0 RECORDS RETENTION SCHEDULE: COMMUNITY DEVELOPMENT BuildingSafety, Code Enforcement, Housing, Planning)
Page CD-5
Office of
Record (OFR) Retention No. Records Description Total
Retention Vital? Media
Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper
after
Imaged &
QC'd?
Comments / Reference
If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Housing CD-020
Housing Programs: Affordable Housing Projects,
HOME, Rehabilitation, CDBG-funded Housing
Projects, etc.
WITH a Recapture / Resale Restriction
Send all Deeds to the City Clerk
5 years after
the
Affordability
Period
Terminates,
or the Written
Agreement
Terminates,
Whichever is
Longer
Mag,
Mfr, OD,
Ppr
S / I Yes: After
QC & OD
HUD requires 5 years after the project
completion; documents imposing
recapture / resale restrictions are 5 years
after the affordability period terminates;
Uniform Admin. Requirements for Grants
to Local Governments is 3 years from
expenditure report; statewide guidelines
propose 4 years; 2 CFR 200.334; 24
CFR 92.508(a)&(c) & 570.502(a)(16),
982.158, 884.214; 29 CFR 97.42, GC
§34090
Housing CD-021
Housing Programs: Affordable Housing Projects,
HOME, Rehabilitation, CDBG-funded Housing
Projects, etc.
WITHOUT a Recapture / Resale Restriction
Send all Deeds to the City Clerk
Loan Pay-off
+ 5 years
Mag,
Mfr, OD,
Ppr
S / I Yes: After
QC & OD
HUD requires 5 years after the
agreement terminates; Consistent with
Consolidated Plan Requirements;
Required for 3-4 years from expenditure
or performance report; 2 CFR 200.334;
24 CFR 92.508(a)&(c) & 570.502(a)(16),
982.158, 884.214; 29 CFR 97.42, GC
§34090
LAKE FOREST, CA. ©1995-2022 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted:
Item: 13
190
Ver. 9.0 RECORDS RETENTION SCHEDULE: COMMUNITY DEVELOPMENT BuildingSafety, Code Enforcement, Housing, Planning)
Page CD-6
Office of
Record (OFR) Retention No. Records Description Total
Retention Vital? Media
Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper
after
Imaged &
QC'd?
Comments / Reference
If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
PLANNING
Planning CD-022
Planning Projects - Approved Permanent
Entitlements & Permits
(Includes Associated CEQA Noticing, Conditions
of Approval, Environmental Determinations, Staff
Reports, Plans)
Examples:
Accessory Dwelling Unit Permit
Changed Plan
Determination of Public Convenience or Necessity
Eucalyptus Tree Cutting Annual Master Permit
Minor Planned Sign Program
Planned Sign Program
Reasonable Accommodation Requests
Sand and Gravel Permit
Site Development Permit
Tentative Parcel Map
Tentative Tract Map
Time Extension (Subdivision)
Two-Unit and Urban Lot Split Permit (SB-9)
Use Determination
Use Permit
Variance
Wireless Communication Facility Permit
P Yes
Mag,
Mfr, OD,
Ppr
S / I Yes: After
QC & OD
Department preference; Final
environmental determinations are
required to be kept a "reasonable period
of time"; 14 CCR §15095(c); GC§§34090,
34090.7
Planning CD-023 Annexations / Boundaries / Consolidations /
LAFCO P
Mag,
Mfr, OD,
Ppr
S / I Yes: After
QC & OD Land Records; GC §34090
LAKE FOREST, CA. ©1995-2022 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted:
Item: 13
191
Ver. 9.0 RECORDS RETENTION SCHEDULE: COMMUNITY DEVELOPMENT BuildingSafety, Code Enforcement, Housing, Planning)
Page CD-7
Office of
Record (OFR) Retention No. Records Description Total
Retention Vital? Media
Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper
after
Imaged &
QC'd?
Comments / Reference
If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Planning CD-024
Business Permits:
Adult Business Permit
Cyber Café License
Entertainment Permit
Marijuana Testing Lab Permit
Massage Establishment License
Shopping Cart Containment Program
Expiration +
2 years
Yes:
During
Event
Mag, Ppr Department preference; GC§§34090
Planning CD-025 Census, Demographics
When No
Longer
Required
Mag, Ppr
Does not require destruction
authorization form; (Non-Records -
Census Bureau is OFR)
Lead Dept. CD-026
Correspondence or Staff Notes - Related to a
CEQA Permit where Planning is the Lead
Department (Environmental Impact Reports,
EIRs, Negative Declarations, etc.)
Project
Approval or
Denial
+ 2 years
Mag, Ppr
Not all internal communications and
notes are required to be saved; "E-mails
that do not provide insight into the project
or the agency’s CEQA compliance with
respect to the project — are not within the
scope of section 21167.6, subdivision (e)
and need not be retained." Golden Door
Properties, LLC v. Superior Court of San
Diego County (County of San Diego, et
al., Real Parties in Interest) (53
Cal.App.5th 733); PRC 21167,6; GC
§34090
Planning CD-027 County Entitlements within the City Boundaries Planning Applications P
Mag,
Mfr, OD,
Ppr
S / I Yes: After
QC & OD Department preference; GC §34090
Planning CD-028
Environmental Determinations - Finals:
Environmental Impact Reports (EIRs), Negative
Declarations, etc.) / CEQA
Where Planning is the Lead (Inside City
Boundaries
P
Mag,
Mfr, OD,
Ppr
S Yes: After
QC & OD
Usually filed in the project file; Final
environmental determinations are
required to be kept a "reasonable period
of time"; 14 CCR §15095(c); GC §34090
LAKE FOREST, CA. ©1995-2022 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted:
Item: 13
192
Ver. 9.0 RECORDS RETENTION SCHEDULE: COMMUNITY DEVELOPMENT BuildingSafety, Code Enforcement, Housing, Planning)
Page CD-8
Office of
Record (OFR) Retention No. Records Description Total
Retention Vital? Media
Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper
after
Imaged &
QC'd?
Comments / Reference
If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Planning CD-029 General Plan Conformances P
Mag,
Mfr, OD,
Ppr
S / I Yes: After
QC & OD Department preference; GC §34090
Planning CD-030 General Plan, Elements and Amendments P Mag,
Mfr, OD,
Ppr
S / I Yes: After
QC & OD Department preference; GC §34090
Planning CD-031 Long Range Planning / Planning Studies P Mag,
Mfr, OD,
Ppr
S Yes: After
QC & OD Department preference; GC §34090
Planning CD-032 Materials Boards
When No
Longer
Required
Mag, Ppr
Does not require destruction
authorization form; Preliminary drafts not
retained in the ordinary course of
business; GC §34090
Planning CD-033 Planned Communities, Specific Plans, Feature Plans, and Area Plans P
Mag,
Mfr, OD,
Ppr
S / I Yes: After
QC & OD Department preference; GC §34090
Planning CD-034 Planning Commission
AGENDAS & AGENDA PACKETS P
Mag,
Mfr, OD,
Ppr
S / I Yes: After
QC & OD
Department preference; Original Staff
Reports are filed in the project file; GC
§34090
Planning CD-035 Planning Commission
AUDIO or VIDEO RECORDINGS 2 years
Mag,
Mfr, OD,
Ppr
S / I Yes: After
QC & OD
Department preference; Audio Required
for 30 days; GC §54953.5(b); video tapes
of meetings are required for 90 days; GC
§34090.6
Planning CD-036 Planning Commission
MINUTES, BYLAWS, RESOLUTIONS P
Mag,
Mfr, OD,
Ppr
S / I No GC §34090
Planning CD-037 Pre-application Letter P
Mag,
Mfr, OD,
Ppr
S Yes: After
QC & OD Department preference; GC §34090
LAKE FOREST, CA. ©1995-2022 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted:
Item: 13
193
Ver. 9.0 RECORDS RETENTION SCHEDULE: COMMUNITY DEVELOPMENT BuildingSafety, Code Enforcement, Housing, Planning)
Page CD-9
Office of
Record (OFR) Retention No. Records Description Total
Retention Vital? Media
Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper
after
Imaged &
QC'd?
Comments / Reference
If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Planning CD-038
Temporary Use Permits (TUP)
Examples: Eucalyptus Tree Cutting Permit
Outdoor Vendor Permit
Single Season Agricultural Sales Permit
Special Event Permit
Temporary Banner Permit (Commercial and Non-
Commercial)
Temporary Outdoor Promotion
Expiration +
2 years
Yes:
During
Event
Mag, Ppr Department preference; GC§§34090
Planning CD-039 Zoning Confirmation Letter / Zoning Verification Letter 2 years
Mag,
Mfr, OD,
Ppr
S Yes: After
QC & OD GC §34090
Planning CD-040 Zoning Maps (Historically Significant) P Yes (all) Mag,
Mfr, OD,
Ppr
S No Department Preference; GC §34090
Planning CD-041 Zoning Ordinance Amendments / Zone Changes P Yes Mag,
Mfr, OD,
Ppr
S / I Yes: After
QC & OD
Department Preference (copies); GC
§34090.7
LAKE FOREST, CA. ©1995-2022 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted:
Item: 13
194
Ver. 3.0 RECORDS RETENTION SCHEDULE: COMMUNITY SERVICES Page CS-1 Office of
Record (OFR) Retention No. Records Description Total
Retention Vital? Media
Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper
after
Imaged &
QC'd?
Comments / Reference
If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
COMMUNITY SERVICES
Community
Services CS-001 _Recreation Database / Class Registration Database (ACTIVE net) Indefinite Mag, Ppr May contain e-packets with electronic waivers; Data is interrelated; GC §34090
Community
Services CS-002 Activity Guide / Class Guide / Program Guide (Final)
Minimum 2
years
Yes: During
Class or
Program
Mag,
Mfr, OD,
Ppr
S / I
Yes: After
QC'd &
OD
Department preference; GC §34090
Community
Services CS-003
Applications / Participants' Registration / Liability
Forms / Release of Liability Forms / Photo
Releases / Waivers of Liability / Permissions:
Camps, Field Trips, Authorization to give
Medicine, etc.
2 years
Yes: During
Class or
Program
Mag, Ppr GC §34090
Community
Services CS-004 Community Services Commission
AGENDAS & AGENDA PACKETS P
Mag,
Mfr, OD,
Ppr
S / I Yes: After
QC & OD Department preference; GC §34090
Community
Services CS-005 Community Services Commission
MINUTES, BYLAWS P Mag, Ppr GC §34090(e)
Community
Services CS-006 Community Services Commission
AUDIO or VIDEO RECORDINGS 2 years Mag
Department preference; Audio Required
for 30 days; GC §54953.5(b); video tapes
of meetings are required for 90 days; GC
§34090.6
Community
Services CS-007 Contracts for Instructors and Performers Completion + 2 years
Yes: During
Class or
Program
Mag, Ppr Department preference; CCP §337; GC
§34090
Community
Services CS-008 Evaluations / Surveys (Programmatic Evaluations of Recreation programs)
When No
Longer
Required
Mag, Ppr
Does not require destruction
authorization form; Content Not
Substantive / Preliminary drafts /
Transitory records; GC §34090
LAKE FOREST, CA. ©1995-2022 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted:
Item: 13
195
Ver. 3.0 RECORDS RETENTION SCHEDULE: COMMUNITY SERVICES Page CS-2 Office of
Record (OFR) Retention No. Records Description Total
Retention Vital? Media
Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper
after
Imaged &
QC'd?
Comments / Reference
If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Community
Services CS-009
Park Facility Use Requests / Field Rentals /
Facility Use Applications and Permits (includes
ABC Permits, where required)
2 years Mag, Ppr GC §34090 et. seq.
Community
Services CS-010 Rosters / Sign-in / Sign-Out Sheets for classes and programs 2 years Mag, Ppr GC §34090
Community
Services CS-011 Schedules / Hours (classes and staff)
When No
Longer
Required
Mag, Ppr
Does not require destruction
authorization form; Content not
substantive; Preliminary drafts not
retained in the ordinary course of
business; GC §34090
Community
Services CS-012 Senior Advisory Committee
ALL RECORDS: Agendas, Minutes, etc. 2 years
Mag,
Mfr, OD,
Ppr
S / I Yes: After
QC & OD
Not an advisory body appointed by the
City Council (advises the Community
Services Commission); GC §34090
LAKE FOREST, CA. ©1995-2022 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted:
Item: 13
196
Ver. 10.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN-1 Office of
Record
(OFR)
Retention No. Records Description Total Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper after
Imaged &
QC'd?
Comments / Reference
If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
FINANCE / ACCOUNTS PAYABLE & PURCHASING
Finance /
Accounts
Payable &
Purchasing
FIN-001 1099's / 1096's 4 years After
Audit
Mag, Mfr,
OD, Ppr S / I Yes: After
QC & OD
Department Preference; IRS: 4 years
after tax is due or paid (longer for
auditing & contractor delinquency); Ca.
FTB: 3 years; 26 CFR §31.6001-1(e)(2),
R&T §19530, GC §34090; 29 USC 436
Finance /
Accounts
Payable &
Purchasing
FIN-002
Accounts Payable / Invoices and Backup /
Warrants / Refunds / Credit Card
Statements / P-Card Statements
(Includes Invoices, Travel Expense
Reimbursements, etc.)
4 years After
Audit
Yes: Before
Completion
Mag, Mfr,
OD, Ppr S / I Yes: After
QC & OD
City preference; Covers E&O Statute of
Limitations; Published Audit
Standards=4-7 years; Statute of
Limitations: Contracts & Spec's=4
years, Wrongful Death=comp. + 5
years, Developers=comp. + 10 years;
Statewide guidelines propose
termination + 5 years; CCP §337 et.
seq., GC §34090
Finance /
Accounts
Payable &
Purchasing
FIN-003 Checks / Warrants (Cashed) 4 years After
Audit
Mag, Mfr,
OD, Ppr S / I Yes: After
QC & OD
Meets municipal government auditing
standards; GC § 34090
Finance /
Accounts
Payable &
Purchasing
FIN-004 Checks / Warrants (VOIDED) 4 years After
Audit
Mag, Mfr,
OD, Ppr S / I Yes: After
QC & OD Preliminary drafts; GC §34090
Finance /
Accounts
Payable &
Purchasing
FIN-005 Petty Cash 4 years After
Audit
Mag, Mfr,
OD, Ppr S / I Yes: After
QC & OD
Department preference; Meets auditing
standards; GC §34090 et seq.
Finance /
Accounts
Payable &
Purchasing
FIN-006 W-9s Vendor Inactive
+ 3 years
Yes: Until
Paid
Mag, Mfr,
OD, Ppr S / I Yes: After
QC & OD
Meets IRS Auditing Standards (3 years
after the last payment to the vendor);
GC §34090
LAKE FOREST, CA. ©1995-2022 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted:
Item: 13
197
Ver. 10.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN-2 Office of
Record
(OFR)
Retention No. Records Description Total Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper after
Imaged &
QC'd?
Comments / Reference
If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
FINANCE / ACCOUNTS RECEIVABLE
Finance /
Accounts
Receivable
FIN-007 Accounts Receivable: Invoices to Outside
Entities
4 years After
Audit
Yes: Until
Paid
Mag, Mfr,
OD, Ppr S / I Yes: After
QC & OD
Department preference; Meets auditing
standards; GC §34090 et seq.
Finance /
Accounts
Receivable
FIN-008 Auctions of Surplus Property 4 years After
Audit
Yes: Until
Paid
Mag, Mfr,
OD, Ppr S / I Yes: After
QC & OD
Department preference; Meets auditing
standards; GC §34090 et seq.
Finance /
Accounts
Receivable
FIN-009 Cash Receipts / Daily Cash Summaries /
Cashiers Reports / Cash Reports
4 years After
Audit
Mag, Mfr,
OD, Ppr S / I Yes: After
QC & OD
Department preference; Meets auditing
standards; GC §34090 et seq.
FINANCE / DEBT SERVICES
Finance /
Debt Services FIN-010
Bonds & Bond Sales / Official Statements /
Transcripts / Certificates of Participations
(COPs) - Includes Continuing Disclosure
Reports
See Bank Statements for statement
retention.
P Yes: Until
Maturity
Mag, Mfr,
OD, Ppr S / I Yes: After
QC & OD
Department Preference; Statute of
Limitations for bonds, mortgages, trust
deeds, notes or debentures is 6 years;
Bonds issued by local governments are
10 years; There are specific
requirements for disposal of unused
bonds; CCP §§336 et seq. 337.5(a); 26
CFR 1.6001-1(e): GC §43900 et seq.
FINANCE / GENERAL LEDGER
Finance /
General
Ledger
FIN-011 _Financial Services Database Indefinite Yes Mag Data Fields / Records are interrelated; GC §34090
Finance /
General
Ledger
FIN-012 Audit Work Papers When No Longer
Required
Mag, Mfr,
OD, Ppr S / I Yes: After
QC & OD
Does not require destruction
authorization form; Preliminary drafts /
content not substantive; GC §34090
Finance /
General
Ledger
FIN-013 Audits - Annual Financial Reports / Annual
Comprehensive Financial Report (ACFR) P Mag, Mfr,
OD, Ppr S / I Yes: After
QC & OD Department Preference; GC §34090
LAKE FOREST, CA. ©1995-2022 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted:
Item: 13
198
Ver. 10.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN-3 Office of
Record
(OFR)
Retention No. Records Description Total Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper after
Imaged &
QC'd?
Comments / Reference
If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Finance /
General
Ledger
FIN-014
Audits - Single Audits, Grant Audits, IRS
Audits, Transportation Audits, PERS Audit,
etc.
10 years After
Audit
Mag, Mfr,
OD, Ppr S / I Yes: After
QC & OD
Department Preference (meets
municipal government auditing
standards); GC §34090
Finance /
General
Ledger
FIN-015 Audits by the DMV & CHP 5 years Mag, Mfr,
OD, Ppr S/I Yes: After
QC & OD
Consistent with CHP requirements;
OSHA requires 1 year; 8 Ca. Code Reg.
§ 3203(b)(1); GC § 34090
Finance /
General
Ledger
FIN-016
Bank Statements and Trustee Statements,
Fiscal Agent Statements, Investment
Account Statements, Bank Reconciliations
4 years After
Audit
Mag, Mfr,
OD, Ppr S / I Yes: After
QC & OD
Department Preference; meets auditing
standards; GC §34090, 26 CFR 31.6001-
1 City Clerk FIN-017 Budgets - Adopted P Mag, Mfr,
OD, Ppr S / I Yes: After
QC & OD
Department Preference (City Clerk
retains in the City Council Agenda
Packet); GC §34090.7
Finance /
General
Ledger
FIN-018 Budgets Work Papers When No Longer
Required
Mag, Mfr,
OD, Ppr S / I Yes: After
QC & OD
Does not require destruction
authorization form; Preliminary drafts;
GC §34090
Finance /
General
Ledger
FIN-019 Escheat (Unclaimed money / uncashed
checks)
4 years After
Audit
Mag, Mfr,
OD, Ppr S / I Yes: After
QC & OD
Department preference; All tangible
property held by government agencies
escheats after 3 years; Statute of
Limitations is 1 year for seized property;
CCP §§340(d), 1519; GC §34090
City Clerk FIN-020 GANN Limit (adopted by Resolution) P Mag, Mfr, OD, Ppr S / I Yes: After
QC & OD
Department Preference (City Clerk
retains all resolutions); GC §34090.7
Finance /
General
Ledger
FIN-021 Journal Entries / Journal Vouchers 4 years After Audit
Mag, Mfr,
OD, Ppr S / I Yes: After
QC & OD
Department Preference; meets auditing
standards; GC §34090, 26 CFR 31.6001-
1 City Clerk FIN-022 OES / FEMA Claims and Backup
Documentation 10 years Mag, Mfr,
OD, Ppr S / I Yes: After
QC & OD
Department Preference (City Clerk
retains in the City Council Agenda
Packet); GC §34090.7
LAKE FOREST, CA. ©1995-2022 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted:
Item: 13
199
Ver. 10.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN-4 Office of
Record
(OFR)
Retention No. Records Description Total Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper after
Imaged &
QC'd?
Comments / Reference
If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Finance /
General
Ledger
FIN-023
Reports, General Ledger, Subsidiary
Ledgers, Reconciliations, Registers,
Transaction Histories, Balance Sheets,
Revenue & Expenditure Reports, etc.
(CURRENT DATABASE - ANNUAL,
MONTHLY OR PERIODIC)
When No Longer
Required
Mag, Mfr,
OD, Ppr S / I Yes: After
QC & OD
Does not require destruction
authorization form; Department
preference (The Financial System
Database is the original; reports are
considered drafts or copies); GC
§34090
Finance /
General
Ledger
FIN-024
Reports: Annual State or Federal: State
Controller's Report, Local Government
Compensation Report, Gas Tax, MOE
(Maintenance of Effort) Report, Street
Report, etc.
4 years After
Audit
Mag, Mfr,
OD, Ppr S / I Yes: After
QC & OD
Department Preference; Meets auditing
standards; GC §34090
Finance /
General
Ledger
FIN-025
Reports: General Ledger, Revenue &
Expenditure Reports, (list to come from
City) etc. (LEGACY DATABASE -
ANNUAL, MONTHLY OR PERIODIC)
4 years After
Audit
Mag, Mfr,
OD, Ppr S / I Yes: After
QC & OD
Department preference (The Financial
System Database is the original; reports
are considered drafts or copies); GC
§34090
Finance /
General
Ledger
FIN-026 Tax - Sales Tax Reports When No Longer
Required
Mag, Mfr,
OD, Ppr S / I Yes: After
QC & OD
Does not require destruction
authorization form; Compilation of Non-
Records / Preliminary drafts used to
project revenue; GC §34090
City Clerk FIN-027 Treasurer's Report 4 years After
Audit
Mag, Mfr,
OD, Ppr S / I Yes: After
QC & OD
Department Preference (City Clerk
retains in the City Council Agenda
Packet); GC §34090.7
FINANCE / PAYROLL
Finance /
Payroll FIN-028
1095-C, 1094-C (Employer-Provided
Health Insurance Offer and Coverage &
Transmittal Form)
4 years After
Audit
Mag, Mfr,
OD, Ppr S / I Yes: After
QC & OD
Department Preference; Instructions
state "Generally, keep copies of
information returns you filed with the
IRS or have the ability to reconstruct the
data for at least 3 years, from the due
date of the returns"; GC §34090
Finance /
Payroll FIN-029 CalPERS Audit / PERS Audits 4 years After Audit
Mag, Mfr,
OD, Ppr S / I Yes: After
QC & OD
Department preference; Meets
municipal government auditing
standards; GC §34090
LAKE FOREST, CA. ©1995-2022 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted:
Item: 13
200
Ver. 10.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN-5 Office of
Record
(OFR)
Retention No. Records Description Total Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper after
Imaged &
QC'd?
Comments / Reference
If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Finance /
Payroll FIN-030
CalPERS Reports - PERS Reports Annual
Valuation Reports, Actuarial Valuation
Reports
4 years After
Audit
Mag, Mfr,
OD, Ppr S / I Yes: After
QC & OD
Department preference; Meets
municipal government auditing
standards; GC §34090
Finance /
Payroll FIN-031
DE-6, DE-7, DE-9, DE-34, DE-43, W-3 &
DE-166, 941 Forms, PERS / FICA &
Medicare Adjustments - Quarterly Payroll
Tax Returns / OASDI, Federal Tax
Deposits, Adjustments, etc.
4 years After
Audit
Mag, Mfr,
OD, Ppr S / I Yes: After
QC & OD
Department Preference; IRS: 4 yrs after
tax is due or paid; Ca. FTB: 3 years;
Articles show 7 years; IRS Reg
§31.6001-1(e)(2), R&T §19530; 29CFR
516.5 - 516.6, 29USC 436, GC §34090
Finance /
Payroll FIN-032 Employee Payroll Files - Includes Benefit Deduction Authorizations, W-4s
Separation + 5
years
Mag, Mfr,
OD, Ppr S / I Yes: After
QC & OD
Department preference; Meets
municipal government auditing
standards; W-4s are required four years
after the due date of such tax for the
return period to which the records
relate, or the date such tax is paid,
whichever is the later; 26 CFR 31-6001-
1; GC §34090
Finance /
Payroll FIN-033 Garnishments (Court Order) Separation + 5 years
Mag, Mfr,
OD, Ppr S / I Yes: After
QC & OD GC §34090; 26 CFR 31.6001.1
Finance /
Payroll FIN-034 Payroll Database Indefinite Yes Mag, Mfr, OD, Ppr S / I Yes: After
QC & OD
Data Fields / Records are interrelated;
GC §34090
Finance /
Payroll FIN-035 Payroll Reports / Payroll Register -
Periodic Bi-weekly Payroll Report
4 years After
Audit
Mag, Mfr,
OD, Ppr S / I Yes: After
QC & OD
Department preference; Meets
municipal government auditing
standards; PERS Circular letter 200-051-
17; GC §34090
Finance /
Payroll FIN-036 Time Cards / Time Sheets 4 years After
Audit
Mag, Mfr,
OD, Ppr S / I Yes: After
QC & OD
Department preference; Meets auditing
standards (audit + 4 years); IRS
requires 4 years; Ca. requires 2 yr min.;
FTB keeps 3 years; IRS Reg §31.6001-
1(e)(2), R&T §19530; LC § 1174(d); 29
CFR 516.5; 29 CFR 516.5 & 516.6(c);
GC §34090
LAKE FOREST, CA. ©1995-2022 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted:
Item: 13
201
Ver. 10.0 RECORDS RETENTION SCHEDULE: FINANCE Page FIN-6 Office of
Record
(OFR)
Retention No. Records Description Total Retention Vital? Media Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper after
Imaged &
QC'd?
Comments / Reference
If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Finance /
Payroll FIN-037 W-2's 4 years After
Audit
Mag, Mfr,
OD, Ppr S / I Yes: After
QC & OD
Department preference for Grant
Auditing Purposes; Meets municipal
government auditing standards; GC
§34090
Finance /
Payroll FIN-038 W-4's
Superseded or
Separated + 4
years
Mag, Mfr,
OD, Ppr S / I Yes: After
QC & OD
W-4s are required four years after the
due date of such tax for the return
period to which the records relate, or the
date such tax is paid, whichever is the
later. 26 CFR 31-6001-1; GC §34090
LAKE FOREST, CA. ©1995-2022 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted:
Item: 13
202
Ver. 2.0 RECORDS RETENTION SCHEDULE: INFORMATION TECHNOLOGY Page IT-1 Office of
Record
(OFR)
Retention No. Records Description Total
Retention Vital? Media
Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper after
Imaged &
QC'd?
Comments / Reference
If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Information
Technology IT-001 Backups / Computer Backups (ALL)
When No
Longer
Required
Yes Mag.
Does not require destruction authorization
form; Used for Disaster Recovery
Purposes Only; Considered a copy and
can be destroyed when no longer
required; GC §34090 et seq.
Information
Technology IT-002 Enterprise System Catalogue (Listing of Enterprise-wide Software, posted on line)
When
Superseded Yes Mag. GC §34090 et seq.
Information
Technology IT-003
UNALTERABLE MEDIA / IMMUTABLE
CLOUD MEDIA (WORM / DVD-r / CD-r /
Blue Ray-R) or other unalterable media that
does not permit additions, deletions, or
changes
P OD
For legal compliance for Trustworthy
Electronic Records (when the electronic
record serves as the official record); GC
34090, 12168.7, EVC 1550, CCR 22620 et
seq.
INFORMATION TECHNOLOGY
LAKE FOREST, CA. ©1995-2022 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted:
Item: 13
203
Ver. 4.1 RECORDS RETENTION SCHEDULE: MANAGEMENT SERVICES (Communications, Human Resources)
Page MS-1
Office of
Record
(OFR)
Retention No. Records Description Total
Retention Vital? Media
Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper after
Imaged &
QC'd?
Comments / Reference
If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
MANAGEMENT SERVICES / COMMUNICATIONS
Manage.
Services /
Commun.
MS-001 Cable TV Video, Programming, Production &
Scheduling 2 years Mag, Ppr GC §34090
Manage.
Services /
Commun.
MS-002
Cable TV Video: Historical events (City's
major anniversaries, etc.) - whether aired or
not
P Tape
(Mag)
When content is of historic significance;
GC §34090.7
Manage.
Services /
Commun.
MS-003 Press Releases / Media Packets, etc. 2 years Mag, Ppr GC §34090
MANAGEMENT SERVICES / HUMAN RESOURCES
Manage.
Services /
Human
Resources
MS-004 Benefit Plan Documents (CalPERs Benefit
Plans, Optical, Dental, etc.)
Duration of the
Contract + 6
years
Yes: For
Duration of
Contract
Mag, Ppr
EEOC / ADEA (Age) requires 1 year after
benefit plan termination; Federal law
requires 6 years after filing date for
retirement; State Law requires 2 years
after action; 29 CFR 1627.3(b)(2); 29 USC
1027; 11 CCR 560; 28 CCR 1300.85.1;
GC §34090
Manage.
Services /
Human
Resources
MS-005
Classification / Reorganization Studies (for
employee classifications and department
structures)
Minimum 3
years Mag, Ppr
Department preference; Bureau of
National Affairs recommends 2 years for
all supplementary Personnel records;
Wage rate tables are 1 or 2 years; State
requires 2 years; 29 CFR 516.6, 29 CFR
1602.14, GC §§12946, 34090
Manage.
Services /
Human
Resources
MS-006 Compensation Surveys & Studies Minimum 3
years Mag, Ppr
Department preference; Bureau of
National Affairs recommends 2 years for
all supplementary Personnel records;
Wage rate tables are 1 or 2 years; State
requires 2 years; 29 CFR 516.6(2), 29
CFR 1602.14, GC §§12946, 34090
LAKE FOREST, CA. ©1995-2022 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted:
Item: 13
204
Ver. 4.1 RECORDS RETENTION SCHEDULE: MANAGEMENT SERVICES (Communications, Human Resources)
Page MS-2
Office of
Record
(OFR)
Retention No. Records Description Total
Retention Vital? Media
Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper after
Imaged &
QC'd?
Comments / Reference
If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Manage.
Services /
Human
Resources
MS-007 Contracts for Investigators Completion +
5 years
Yes: Before
Completion Mag, Ppr
Department preference; Statute of
Limitations for contractual obligations is 4
years; CCP §§337. 337.1(a), 337.15, 343;
GC §34090
Manage.
Services /
Human
Resources
MS-008 COVID-19 Notifications to Employees 3 years Mag Ppr LC §6409.6(k), GC §34090 Manage.
Services /
Human
Resources
MS-009
Department of Fair Employment & Housing
(DFEH or EEOC) Claims / Harassment
Claims
Separation + 6
years Mag, Ppr
Department preference; All State and
Federal laws require retention until final
disposition of formal complaint; State
requires 2 years after "fully and finally
disposed"; 2 CCR 11013(c); GC §§12946,
34090
Manage.
Services /
Human
Resources
MS-010 DMV Pull Notices (ALL)
When
Superseded or
Upon
Separation
Mag, Ppr Does not require destruction authorization
form; Department Preference; GC §34090
Manage.
Services /
Human
Resources
MS-011 Drug & Alcohol Test Results (All - Positives
and Negatives) 5 years Mag Ppr
Department preference; D.O.T. Requires 5
years for positive tests, 1 year for negative
tests; EEOC/FLSA/ADEA (Age) requires 3
years physical examinations; State Law
requires 2 years; 29 CFR 1627.3(b)(1)(v),
GC §§12946, 34090; 49 CFR 655.71 et
seq.; 49 CFR 382.401 et seq. 49 CFR
653.71
Manage.
Services /
Human
Resources
MS-012 Employee Investigations Separation + 6
years
Mag, Mfr,
OD, Ppr S Yes: After
QC & OD
Department Preference; statute of
limitations for EEOC/FLSA/ADEA (Age)
requires 3 years for promotion, demotion,
transfer, selection, or discharge; State Law
requires 2 -3 years; 29 CFR 1602.31 &
1627.3(b)(1), GC §§12946, 34090;
LAKE FOREST, CA. ©1995-2022 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted:
Item: 13
205
Ver. 4.1 RECORDS RETENTION SCHEDULE: MANAGEMENT SERVICES (Communications, Human Resources)
Page MS-3
Office of
Record
(OFR)
Retention No. Records Description Total
Retention Vital? Media
Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper after
Imaged &
QC'd?
Comments / Reference
If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Manage.
Services /
Human
Resources
MS-013 Employment Verifications
When No
Longer
Required
Mag, Ppr
Does not require destruction authorization
form; Non-records, content is not
substantive; GC §34090 et seq.
Manage.
Services /
Human
Resources
MS-014 Grievances Separation + 6
years
Mag, Mfr,
OD, Ppr S Yes: After
QC & OD
Department Preference; statute of
limitations for retirement benefits is 6
years from last action; EEOC/FLSA/ADEA
(Age) requires 3 years for promotion,
demotion, transfer, selection, or discharge;
State Law requires 2 -3 years; 29 CFR
1602.31 & 1627.3(b)(1), GC §§ 3105,
12946, 34090; LC 1198.5; 26 CFR 31-
6001-1; 53235.2(b); 53237.2(b)
Manage.
Services /
Human
Resources
MS-015 Harassment Prevention Training Proof of
Completion 5 years Mag, Mfr,
OD, Ppr S Yes: After
QC'd & OD GC §§34090, 53237.2(b)
Manage.
Services /
Human
Resources
MS-016 I-9s Separation + 6
years
Mag, Mfr,
OD, Ppr S Yes: After
QC & OD
Department preference; Required for 1
year from termination or 3 years from
hiring, whichever is later; EEOC / FLSA /
ADEA (Age) requires 3 years for "any
other forms of employment inquiry"; State
Law requires 2 -3 years; 8 CFR 274a.2; 29
CFR 1627.3(b)(1); GC §§12946, 34090
Manage.
Services /
Human
Resources
MS-017 Job Descriptions / Classification
Specifications
Minimum
Superseded +
3 years
Mag, Mfr,
OD, Ppr S / I Yes: After 1
year
Department preference;
EEOC/FLSA/ADEA (Age) requires 3 years
for promotion, demotion, transfer,
selection, or discharge; State Law requires
2 -3 years; retirement benefits is 6 years
from last action; 29 CFR 1602.31 &
1627.3(b)(1), 8 CCR §3204(d)(1) et seq.,
GC §§12946, 34090
LAKE FOREST, CA. ©1995-2022 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted:
Item: 13
206
Ver. 4.1 RECORDS RETENTION SCHEDULE: MANAGEMENT SERVICES (Communications, Human Resources)
Page MS-4
Office of
Record
(OFR)
Retention No. Records Description Total
Retention Vital? Media
Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper after
Imaged &
QC'd?
Comments / Reference
If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Manage.
Services /
Human
Resources
MS-018 OSHA Logs - 200, 300, 301, 301A 5 years Mag, Ppr OSHA requires 5 years; State law requires
2 years; 8 CCR 14300.33(a), 8 CCR
§3203(b)(1), GC §34090.7; LC §6429c
Manage.
Services /
Human
Resources
MS-019
Personnel Files - Employee File / Benefit
File (Main File)
Includes Application, Benefit Enrollments,
Evaluations, Oaths of Office, Oath for
Disaster Worker, Policy Acknowledgements,
Personnel Action Forms, etc.
Separation + 6
years
Mag, Mfr,
OD, Ppr S Yes: After
QC & OD
Department Preference; statute of
limitations for retirement benefits is 6
years from last action; EEOC/FLSA/ADEA
(Age) requires 3 years for promotion,
demotion, transfer, selection, or discharge;
State Law requires 2 -3 years; 29 CFR
1602.31 & 1627.3(b)(1), GC §§ 3105,
12946, 34090; LC 1198.5; 26 CFR 31-
6001-1; 53235.2(b); 53237.2(b)
Manage.
Services /
Human
Resources
MS-020
Personnel Files - Medical File (all
employees)
Pre-employment Medical Clearances, ADA
Accommodations, Fit for Duty, Respirator Fit
Tests, etc.
Separation +
30 years or
Termination of
Benefits + 5
years
(whichever is
longer)
Yes: Until
Separation
Mag, Mfr,
OD, Ppr S Yes: After
QC & OD
Department preference; Files maintained
separately; Claims can be made for 30
years for toxic substance exposure; 8 CCR
§3204(d)(1) et seq., 8 CCR 5144, 8 CCR
15400.2; 29 CFR 1910.1020(d)(1)(i), GC
§§12946, 34090
Manage.
Services /
Human
Resources
MS-021
Recruitment and Testing File / NeoGov
Database
(Includes Advertisements, Applications for
Unsuccessful Candidates, Interview Notes,
Job Brochures, Test Data, Testing Analysis
& statistical Metric, Job Analysis, Rating
Sheets, Scantrons, etc.)
Hiring
Decision + 4
years
Mag, Ppr
State Law requires 4 years; EEOC / FLSA
/ ADEA (Age) requires 1-3 years; 29 CFR
1627.3(b)(1), 29 CFR 1602.14 et seq.2
CCR 11013(c); GC §§12946, 34090
Manage.
Services /
Human
Resources
MS-022 Workers Compensation Claim Runs 5 years Mag Ppr
Department preference (meets municipal
government auditing standards); GC
§34090
LAKE FOREST, CA. ©1995-2022 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted:
Item: 13
207
Ver. 4.1 RECORDS RETENTION SCHEDULE: MANAGEMENT SERVICES (Communications, Human Resources)
Page MS-5
Office of
Record
(OFR)
Retention No. Records Description Total
Retention Vital? Media
Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper after
Imaged &
QC'd?
Comments / Reference
If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Manage.
Services /
Human
Resources
MS-023
Workers Compensation Claims / Long Term
Disability Claims (Includes all Accident,
Incident, or Injury Reports from Employees)
Separation +
30 years or
Termination of
Benefits + 5
years
(whichever is
longer)
Yes: Until
Separation
Mag, Mfr,
OD, Ppr S Yes: After
QC & OD
Department preference; Files maintained
separately; Claims can be made for 30
years for toxic substance exposure; 8 CCR
§3204(d)(1) et seq., 8 CCR 5144, 8 CCR
15400.2; 29 CFR 1910.1020(d)(1)(i), GC
§§12946, 34090
LAKE FOREST, CA. ©1995-2022 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted:
Item: 13
208
Ver. 10.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS
(ALL DIVISIONS)
Page PW-1
Office of Record
(OFR) Retention No. Records Description Total
Retention Vital? Media
Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper
after
Imaged &
QC'd?
Comments / Reference
If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
PUBLIC WORKS / ADMINISTRATION
Public Works /
Admin. PW-001 Construction & Demolition Waste Management Plans / C&D Waste Management / Weight Tickets 10 years Mag, Ppr Department Preference; GC §34090
Public Works /
Admin. PW-002 Fine Letters 10 years Mag,
Ppr Department Preference; GC §34090
Public Works /
Admin. PW-003 Household Hazardous Waste Management /
HHW / Door to Door Program 10 years Mag,
Ppr Department Preference; GC §34090
Public Works /
Admin. PW-004
Recycling / AB 939 Compliance / SB 1383
Compliance (Organic Waste Collection and
Recycling)/ Waste Management Diversion & Haul
Tickets
10 years Mag,
Ppr
Department preference; SB 1383
compliance is required for 5 years; Low-
Carbon Fuel Standard regulations credits
can be received for 10 years, and are
eligible for an extension; 14 CCR §
18995;.2 H&S §39730.7; GC §34090
Public Works /
Admin. PW-005 Solid Waste Tonnage Reports / Statistics 10 years Mag, Ppr Department preference; GC §34090 Public Works /
Admin. PW-006 Solid Waste: Contract Administration Files Completion + 10 years
Yes:
Before
Completion
Mag,
Mfr, OD,
Ppr
S/I
Yes:
Upon
Completio
n
Department preference; Covers Statute of
Limitations for Contracts (errors and
omissions does not apply); Published
Audit Standards=4-7 years; Statute of
Limitations: Contracts & Spec's=4 years,
Wrongful Death=comp. + 5 years,
Statewide guidelines propose termination
+ 5 years; CCP §337 et. seq., GC §34090
LAKE FOREST, CA. ©1995-2022 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted:
Item: 13
209
Ver. 10.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS
(ALL DIVISIONS)
Page PW-2
Office of Record
(OFR) Retention No. Records Description Total
Retention Vital? Media
Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper
after
Imaged &
QC'd?
Comments / Reference
If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
PUBLIC WORKS / ENGINEERING
Public Works /
Engineering PW-007 Bridge Inspections P Yes (all)
Mag,
Mfr, OD,
Ppr
S/I Yes: After
QC
Department preference (Cal Trans
Records)
Public Works /
Engineering PW-008
Capital Improvement Projects (CIP) - Where
Engineering is the Lead: Administration File
Project Administration, Certified Payrolls,
Construction Manager's Logs, Hazardous
Materials Plans, Meeting Minutes, Project
Schedules, Progress meetings, Real Estate
Appraisals, RFIs & Responses, Construction
Inspections (including CCTV Videos of Storm
Drain Lines related to a project), Daily
Inspections, Daily Logs, Punch Lists, etc.
Completion +
10 years or
After Funding
Agency
Audit, if
required,
whichever is
longer
Yes: Until
Completed
Mag,
Mfr, OD,
Ppr
S/I Yes: After
QC & OD
Some grant funding agencies require
audits; Statute of Limitations for Errors &
Omissions is 10 years; Published Audit
Standards=4-7 years; Statute of
Limitations: Contracts & Spec's=4 years,
Wrongful Death=comp. + 5 years,
Developers=comp. + 10 years; Statewide
guidelines propose termination + 5 years;
CCP §337 et. seq., GC §34090
Public Works /
Engineering PW-009
Capital Improvement Projects (CIP) Where
Engineering is the Lead: Permanent File
Specifications & Addenda, Contract Copies,
Change Orders, CEQA / Environmental
Documents - EIRs, Negative Declarations,
Exemptions, Materials Testing Reports, Photos,
Soil Reports, Studies, Submittals, Successful
Proposal, Surveys, etc.
P Yes: Until
Completed
Mag,
Mfr, OD,
Ppr
S/I Yes: After
QC & OD
Department preference; retained for
disaster preparedness purposes;
Statewide guidelines propose Permanent
for Infrastructure plans; Final
environmental determinations are
required to be kept a "reasonable period
of time"; 14 CCR §15095(c); CCP §337
et. seq., GC §34090
Public Works /
Engineering PW-010
Drawings, Maps, Plans and Record Drawings,
Large-Format Drawings, Survey Record Maps,
Capital Improvement Project "As-Built"
- Where Engineering is the Lead
P Yes (all)
Mag,
Mfr, OD,
Ppr
S/I Yes: After
QC & OD Drafts should be destroyed; GC §34090
Public Works /
Engineering PW-011
Encroachment Permits / Excavation Permits:
Permanent (Structures in the City's Right of Way,
Retaining Walls, etc.)
Includes Insurance Certificates
P Yes: Until
Completion Mag, Ppr Department Preference; GC §34090
LAKE FOREST, CA. ©1995-2022 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted:
Item: 13
210
Ver. 10.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS
(ALL DIVISIONS)
Page PW-3
Office of Record
(OFR) Retention No. Records Description Total
Retention Vital? Media
Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper
after
Imaged &
QC'd?
Comments / Reference
If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Public Works /
Engineering PW-012
Encroachment Permits / Excavation Permits:
Temporary (Street Permits, Temporary
Construction, Sidewalk Repairs, Traffic Control,
Transportation Permits, Utility Cuts, etc.)
Includes Insurance Certificates
Minimum 2
years
Yes: Until
Completion Mag, Ppr GC § 34090
Public Works /
Engineering PW-013
Engineering Studies / Surveys (Public Right-of-
Way) - Geotechnical and Soil Reports / Hydrology
Reports / Preliminary Studies / Project
Assessments
P
Mag,
Mfr, OD,
Ppr
S/I Yes: After
QC & OD Department Preference; GC §34090
Public Works /
Engineering PW-014 Grading Permits & Inspections P
Mag,
Mfr, OD,
Ppr
S/I Yes: After
QC & OD Department Preference; GC §34090
Public Works /
Engineering PW-015
Private Development: Administration File
Construction Inspections (including CCTV Videos
of Storm Drain Lines related to a project),
Construction Bonds, Indemnity Bonds, Photos,
Private Lab Verifications, Testing Lab Final
Reports
Completion +
10 years
Yes: Until
Completed
Mag,
Mfr, OD,
Ppr
S/I Yes: After
QC & OD
Statute of Limitations for Errors &
Omissions is 10 years; Published Audit
Standards=4-7 years; Statute of
Limitations: Contracts & Spec's=4 years,
Wrongful Death=comp. + 5 years,
Developers=comp. + 10 years; CCP §337
et. seq., GC §34090
Public Works /
Engineering PW-016
Private Development: Permanent File
Drainage, Driveway, Encroachments, Grading
Permits & Plans, Rights of Way, Soils Reports,
Stormwater, etc.
Dedications, Easements, Abandonments (City
Clerk is OFR)
P Yes: Until
Completed
Mag,
Mfr, OD,
Ppr
S/I Yes: After
QC & OD
Department preference; retained for
disaster preparedness purposes; Final
environmental determinations are
required to be kept a "reasonable period
of time"; 14 CCR §15095(c); CCP §337
et. seq., GC §34090
Public Works /
Engineering PW-017
Prop. 218 (Solid Waste Fees Only) Mailing List,
Master File, Protest Letters / Ballots,
Tabulation
2 years Mag, Ppr GC §53753(e)(2)
LAKE FOREST, CA. ©1995-2022 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted:
Item: 13
211
Ver. 10.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS
(ALL DIVISIONS)
Page PW-4
Office of Record
(OFR) Retention No. Records Description Total
Retention Vital? Media
Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper
after
Imaged &
QC'd?
Comments / Reference
If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Public Works /
Engineering PW-018
Recorded Documents: Deeds, Easements, Right
of Ways, Abandonments / Vacation, Liens / Lien
Releases
Send all finals to the City Clerk
P
Mag,
Mfr, OD,
Ppr
S / I Yes: After
QC & OD GC §34090(a)
PUBLIC WORKS / ENVIRONMENTAL COMPLIANCE
Public Works /
Environ.
Compliance
PW-019
Aboveground Storage Tanks (Agency Owned)
Spill Prevention Control and Countermeasures (SPCC),
Inspections, Integrity Testing, Maintenance, Repairs
20 years
Mag
(comput
er), Ppr
Department Preference; applies to both
Tier I and Tier II Tanks; (Tier II tanks are
required to have an integrity test every 20
years); GC §34090
Public Works /
Environ.
Compliance
PW-020 Regulatory reports/submission to regulatory
agencies (suggest at least 8 years) 10 years
Mag,
Mfr, OD,
Ppr
S / I Yes: After
QC & OD Department preference; GC §34090
Public Works /
Environ.
Compliance
PW-021 Stormwater: Enforcement Actions / Illegal
Discharges and Illicit Connections 10 years
Mag,
Mfr, OD,
Ppr
S / I Yes (after
2 years)
Required for a minimum of 5 years; 40
CFR 122.41(j)(2); SWRCB Order 2006-
03; 40 CFR §§122.21, 122.41, 122.44;
GC §34090
Public Works /
Environ.
Compliance
PW-022 Stormwater: Inspections 10 years
Mag,
Mfr, OD,
Ppr
S / I Yes: After
QC & OD
Required for a minimum of 5 years; 40
CFR 122.41(j)(2); SWRCB Order 2006-
03; 40 CFR §§122.21, 122.41, 122.44;
GC §34090
Public Works /
Environ.
Compliance
PW-023 Stormwater: NPDES Monitoring Reports Minimum 5
years
Mag,
Mfr, OD,
Ppr
S / I Yes: After
QC & OD
Department preference; Monitoring
records required for 3 years; 40 CFR
§§122.21, 122.41, 122.44; GC §34090
Public Works /
Environ.
Compliance
PW-024 Stormwater: NPDES Permits (Issued to the City)
Minimum
Permit
Superseded
+ 5 years
Yes: Until
Expiration Mag, Ppr
Department Preference; Monitoring
records required for 3 years; 40 CFR
§§122.21, 122.41, 122.44; GC §34090
CCP §337 et seq.
LAKE FOREST, CA. ©1995-2022 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted:
Item: 13
212
Ver. 10.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS
(ALL DIVISIONS)
Page PW-5
Office of Record
(OFR) Retention No. Records Description Total
Retention Vital? Media
Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper
after
Imaged &
QC'd?
Comments / Reference
If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Public Works /
Environ.
Compliance
PW-025 Water Quality Management Plans (WQMPs) P
Mag,
Mfr, OD,
Ppr
S / I Yes: After
QC & OD Department preference; GC §34090
PUBLIC WORKS / FACILITIES
Public Works /
Maint. Serv. -
Facilities
PW-026 AQMD Permits - for Generators, etc. Issue Date + 5 years Mag, Ppr 40 CFR 70.6; GC §34090
Public Works /
Maint. Serv. PW-027 Generator Operation Logs & Annual Inspections 5 years Mag, Ppr AQMD Rule 1470; Form 400–E–13a instructions; GC §34090
Public Works /
Maint. Serv. -
Facilities
PW-028 Pressure Vessel Certifications
Expiration of
Certificate or
Permit
Mag,
Mfr, OD,
Ppr
S Yes: After
1 year
Department preference; GC §34090 et.
seq.
Public Works /
Maint. Serv. -
Facilities
PW-029 Elevator Permits
Expiration of
Certificate or
Permit
Mag,
Mfr, OD,
Ppr
S Yes: After
1 year
Department preference; GC §34090 et.
seq.
Lead Dept. PW-030
Safety Data Sheet (SDS) / Material Safety Data
Sheet (MSDS) / Chemical Use Report Form (or
records of the chemical / substance / agent,
where & when it was used)
30 years
Mag,
Mfr, OD,
Ppr
S Yes - After
QC & OD
Previous MSDS may be obtained from a
service; MSDS may be destroyed as long
as a record of the chemical / substance /
agent, where & when it was used is
maintained for 30 years; Applies to
qualified employers; Claims can be made
for 30 years for toxic substance
exposures; 8 CCR 3204(d)(1)(B)(2 and
3), 29 CFR 1910.1020(d)(1)(i), GC
§34090
Division
Providing Service
/ Work
PW-031
Work Orders / Service Requests - CRM / CMMS
DATABASE (Computerized Maintenance
Management System)
Indefinite Mag Data is interrelated; GC §34090
LAKE FOREST, CA. ©1995-2022 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted:
Item: 13
213
Ver. 10.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS
(ALL DIVISIONS)
Page PW-6
Office of Record
(OFR) Retention No. Records Description Total
Retention Vital? Media
Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper
after
Imaged &
QC'd?
Comments / Reference
If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Division
Providing Service
/ Work
PW-032
Work Orders / Service Requests - All
Information Entered in CRM / CMMS Database
(Paper drafts)
When No
Longer
Required
Mag Ppr
Does not require destruction
authorization form; Preliminary drafts (the
database is the original); GC §34090
Division
Providing Service
/ Work
PW-033
Work Orders / Service Requests - NOT entered
in CRM / CMMS Database (or partial information
entered into CMMS Database)
(Division providing service retains originals;
Division requesting service is considered a copy)
5 years Mag Ppr City Preference; CCP §§338 et seq., 340 et seq., 342, GC §34090
PUBLIC WORKS / TRAFFIC
Public Works /
Traffic PW-034 Traffic Calming Requests / Stop Sign Surveys (Speed Humps, etc.) 5 years Mag Ppr Department preference; GC §34090 Sheriff, Police
Dept. or State PW-035 Traffic Collision Reports / SWTRS Copies -
When No
Longer
Required
Mag Ppr Does not require destruction
authorization form; copies; GC §34090.7
Public Works /
Traffic PW-036 Traffic Counts 5 years Mag Ppr Department preference; GC §34090 Public Works /
Traffic PW-037 Traffic Speed Surveys / Stop Sign Warrants 5 years Mag Ppr Department preference (required every 5
years, but can be extended to 7 or 10
years); GC §34090
Public Works /
Traffic PW-038 Traffic Studies 5 years Mag Ppr Department preference; GC §34090 Public Works /
Traffic PW-039 Underground Service Alerts (USA's) / Dig Alerts 3 years Mag, Ppr Department Preference (the Regional
Notification Center has the obligation to
retain the notice for 3 years); GC
§§4216.2(d) & 4216.3(d), GC §34090
LAKE FOREST, CA. ©1995-2022 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted:
Item: 13
214
Ver. 10.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS
(ALL DIVISIONS)
Page PW-7
Office of Record
(OFR) Retention No. Records Description Total
Retention Vital? Media
Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper
after
Imaged &
QC'd?
Comments / Reference
If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
PUBLIC WORKS / MAINTENANCE SERVICES
Public Works /
Maint. Serv. PW-040 CCTV Videos of Storm Drain Lines - Maintenance Only 10 years Mag, Ppr Department preference; GC §34090 Public Works /
Maint. Serv. PW-041 Herbicide or Pesticide Applications / Use (All Areas) 2 years Mag, Ppr
Department Preference (agricultural
pesticide records are required for 2
years); GC §34090; 3 CCR 6623
Public Works /
Maint. Serv. PW-042 Inspections or Audits by the DMV & CHP 5 years Mag,
Mfr, OD,
Ppr
S/I Yes: After
QC & OD
Consistent with CHP requirements;
OSHA requires 1 year; 8 Ca. Code Reg.
§ 3203(b)(1); GC § 34090
Public Works /
Maint. Serv. PW-043 Operations & Maintenance Manuals (O&M Manuals)
Life of
Facility or
Equipment
Mag, Ppr Department Preference; GC §34090 et.
seq.
Public Works /
Maint. Serv. PW-044 Playground Inspections 10 years Mag, Ppr Department preference; GC §34090 Public Works /
Maint. Serv. PW-045 Tree Database Indefinite Mag, Ppr Department preference (data is inter- related); GC §34090
Public Works /
Maint. Serv. PW-046 Trees in City Right-of-Way: Inspections, Arborist Reports (City-owned Street Trees) 10 years Mag, Ppr Department preference; GC §34090 Division
Providing Service
/ Work
PW-047
Work Orders / Service Requests - CRM / CMMS
DATABASE (Computerized Maintenance
Management System)
Indefinite Mag Data is interrelated; GC §34090
Division
Providing Service
/ Work
PW-048
Work Orders / Service Requests - All
Information Entered in CRM / CMMS Database
(Paper drafts)
When No
Longer
Required
Mag Ppr
Does not require destruction
authorization form; Preliminary drafts (the
database is the original); GC §34090
LAKE FOREST, CA. ©1995-2022 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted:
Item: 13
215
Ver. 10.0 RECORDS RETENTION SCHEDULE: PUBLIC WORKS
(ALL DIVISIONS)
Page PW-8
Office of Record
(OFR) Retention No. Records Description Total
Retention Vital? Media
Options
Image:
I=Import
M=Mfr
S=Scan
Destroy
Paper
after
Imaged &
QC'd?
Comments / Reference
If the record is not listed here, refer to the Retention for City-Wide Standards Retentions begin when the act is completed, and imply a full file folder (e.g. last document + 2 years), since destruction is normally performed by file folder.
HOLDS: Litigation, complaints, claims, public records act requests, audits and/or investigations suspend normal retention periods (retention resumes after settlement or completion).
Division
Providing Service
/ Work
PW-049
Work Orders / Service Requests - NOT entered
in CRM / CMMS Database (or partial information
entered into CMMS Database)
(Division providing service retains originals;
Division requesting service is considered a copy)
5 years Mag Ppr City Preference; CCP §§338 et seq., 340 et seq., 342, GC §34090
LAKE FOREST, CA. ©1995-2022 Gladwell Governmental Services, Inc. - all rights reserved Do not duplicate or distribute without prior written permission from GGS (909) 337-3516 Adopted:
Item: 13
216
CITY COUNCIL AGENDA REPORT
MEETING DATE: 12/20/2022
DEPARTMENT: City Manager
SUBJECT:
CONSIDERATION OF CATALYTIC CONVERTER PROGRAM PARTICIPATION AGREEMENTS AND AN AGREEMENT WITH YIFTEE, INC.
RECOMMENDED ACTION(S):
1. Approve and authorize the City Manager to enter into the proposed Participation Agreements with various local businesses pursuant to the Catalytic Converter Painting & Etching Program and the Catalytic Converter Shield Program Guidelines.
2. Authorize the City Manager to enter into subsequent Participation Agreements with future applicants of the Catalytic Converter Painting & Etching and Catalytic Converter Shield Programs pursuant to the guidelines of each program.
3. Approve and authorize the City Manager to enter into the proposed Agreement with Yiftee, Inc. to administer an up-front gift card rebate program as part of the Catalytic Converter Shield Program.
4. Approve the proposed changes to the Program Guidelines for the Catalytic Converter Painting & Etching Program and the Catalytic Converter Shield Program.
EXECUTIVE SUMMARY:
On October 4, 2022, the City Council approved two programs to help Lake Forest residents and law enforcement mitigate catalytic converter theft: the Catalytic Converter Painting & Etching Program ("P&E Program") and the Catalytic Converter Shield Program (“Shield Program”). Each program requires businesses to submit an application to participate and offer painting and etching and/or shield installation services. Staff review each application to ensure business applicants meet all the requirements of either program and attest to an impact from COVID-19.
The City opened the application process on November 16, 2022. As of December 15, 2022, the City received two applications for the P&E Program and Item: 14
217
2 3
8 3
three applications for the Shield Program. All applicants have been vetted by staff and comply with the requirements of each program. Businesses are eligible to participate in either or both programs. Each business has been notified of their approval status and has signed a Participation Agreement, which binds the business to the terms of the program. Staff recommends the City Council approve and authorize the City Manager to enter into the attached Participation Agreements (Attachment 1) and authorize the City Manager to enter into subsequent Participation Agreements with future applicants, so long as applicants meet all the requirements described in the Program Guidelines for the program they are applying for.
The Shield Program requires the City to provide an electronic gift card to residents who have submitted and received approval of their application. Yiftee, Inc. (“Yiftee”), the City’s provider of the current Shop & Dine Community Gift Card Program, is able to provide a specific gift card that can only be used to purchase catalytic converter shield installation services from a business with an approved Participation Agreement. The fee charged by Yiftee for the City to provide these cards is $8 each. Staff recommends the City Council authorize the City Manager to enter into the attached Community Card Customer Agreement for Lake Forest Catalytic Converter Program (Attachment 2) on behalf of the City.
Lastly, staff recommends the City Council approve the proposed modifications to the Program Guidelines for the both the P&E and Shield Programs. The proposed modifications clarify that local businesses (and not just residents) are eligible to participate in either program, subject to a five-vehicle limit per business (Attachment 3).
The 2021-2023 Operating Budget includes sufficient funds to cover the costs of the recommended actions.
BACKGROUND:
On February 15, 2022, the City Council approved the Strategic Economic Investment Program (“SEIP”). The SEIP assigns $8,303,350 in economic support funds to three business types: restaurants, hotels, and other businesses impacted by COVID-19. On October 4, 2022, the City Council approved the P&E Program and the Shield Program with the intent of providing economic support to local automotive repair businesses while also mitigating catalytic converter theft.
Under the P&E Program, residents can apply to have their catalytic converters painted and have their vehicle identification number ("VIN") permanently etched onto the frequently stolen part. In doing so, law enforcement will more easily be able to apprehend catalytic converter thieves and prove the parts were stolen to facilitate prosecutions. Under the P&E Program, any local automotive business Item: 14
218
2 3
8 3
that has attested to having a negative economic impact related to COVID-19 can receive $125 per vehicle serviced on a reimbursement basis. The City has had success with previous "paint and etch" events, as residents are interested in trying to deter and apprehend would-be thieves of the expensive auto part.
Under the Shield Program, residents can apply to receive a $250 gift card from the City to help cover the cost of purchasing and installing a theft deterrent shield to protect their catalytic converter. Shields must be purchased from one of two major shield producers in California (Cap City Muffler, dba "Get Cat Security" and Miller Cat) and installed at a Lake Forest automotive repair shop. Only automotive repair shops that have applied and been approved to participate in the program are eligible. The $250 gift card would only be redeemable at automotive repair shops that have been approved to participate and funds can only be used towards the purchase and installation of the theft deterrent shields.
Staff published the Program Guidelines of both the P&E Program and the Shield Program on November 16, 2022. To date, two businesses have successfully applied to participate in the P&E Program and three businesses have been vetted to participate in the Shield Program. Staff plan to keep the business application process open continuously so more automotive repair businesses can apply and participate after the programs officially launch and begin providing benefits to residents.
DISCUSSION:
To ensure businesses that applied to the two theft mitigation programs abide by the Program Guidelines, staff recommends the City Council approve authorize the City Manager to enter into the attached Participation Agreements (Attachment 1). The Participation Agreements legally bind the applicant businesses to the terms of each program. A list of businesses that have submitted applications and been preliminarily approved to participate is provided in Table 1 below. These Participation Agreements were reviewed and approved as to form by the City Attorney’s Office.
Table 1: Successful Applications to Participate in Theft Mitigation Programs Painting & Etching Program Shield Program
Elite Automotive Services LLC
Kinnessys Auto Repair
Elite Automotive Services LLC
Mission Auto Center
OC Auto Care
The Participation Agreements do not include a term length, but the contract can be terminated by either party via written notice. Compensation to business Item: 14
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2 3
8 3
participants will vary, as Lake Forest residents have the option to decide which business they would like to utilize. Each Participation Agreement includes reference to the compensation that will be provided to business that complete services pursuant to the Program Guidelines. Staff recommends the City Council approve the attached Participation Agreements and authorize the City Manager to enter into subsequent Participation Agreements, so long as business applicants are confirmed to be compliat with Program Guidelines.
Payments to businesses participating in the P&E Program will be made on a reimbursement-style basis. After residents apply to participate, staff will review their application to ensure their vehicle qualifies. Then, residents will receive an approval document and be able to use this document to schedule an appointment at any participating business to have the service performed. Once the work is completed, the business will be required to submit a reimbursement form to the City to be paid for the services provided. On October 4, 2022, the City Council approved a $30,000 program budget for the P&E Program, which will cover the costs of the providing painting and etching services to 240 vehicles.
Under the Shield Program, the City is to provide an electronic gift card to residents after their application to participate is approved. The gift card is only redeemable at businesses in Lake Forest that have been approved to participate.
The gift card would automatically expire after six months from the date issued unless the City specified an alternative expiration schedule. Staff recommends the City Council approve and authorize the City Manager to sign the attached Community Card Customer Agreement for Lake Forest Catalytic Converter Program (“Yiftee Catalytic Converter Agreement”) (Attachment 2). Yiftee is already the provider of the City’s communitywide electronic gift card program and has proved successful. The fee per card to provide this service is $8 per $250 gift card. The City Council authorized $29,154 in funds for the Shield Program on October 4, 2022, and this anticipated fee cost was included in the proposed budget for the program. The program budget for the Shield Program is identified in Table 2 below.
Table 2: Shield Program Budget
Description Budget
$250 Gift Cards (x113) $28,250
Fee $0.50 Per Card + 3% Card
Value ($8 x 113)
$904
Total Cost $29,154
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2 3
8 3
The Yiftee Catalytic Converter Agreement is being proposed a sole-sourced procurement, which is subject to the City Council’s approval pursuant to the City’s Purchasing and Contracting Guidelines. The City already has an active agreement with Yiftee for the Shop & Dine Community Gift Card Program. The proposed Yiftee Catalytic Converter Agreement would facilitate the provision of similar gift cards, but the cards could only be used to purchase catalytic converter shield installation services at local businesses approved to participate in the Shield Program. Yiftee requires the City enter into a new Yiftee Catalytic Converter Agreement (rather than amend the City’s existing agreement with Yiftee) as a standalone program. Staff suggests entering into the Yiftee Catalytic Converter Agreement, as it is in the best interest of the City to do so.
At the October 4, 2022 City Council Meeting, the City Council inquired about the ability of local businesses to participate in either of the catalytic converter theft mitigation programs, as some businesses have fleet vehicles that are targeted by thieves. While businesses were never expressly excluded from participation, staff prepared modifications to the Program Guidelines for City Council consideration (Attachment 3). In summary, these modifications (red text in Attachment 3) would specifically allow local businesses to participate, subject to a five-vehicle limit per business.
First, staff recommends the City Council approve and authorize the City Manager to sign the attached Participation Agreements (Attachment 1). Second, staff recommends the City Council authorize the City Manager to enter into subsequent Participation Agreements on behalf of the City, pursuant to the guidelines of both the P&E and Shield Programs. Third, staff recommends the City Council approve and authorize the City Manager to enter into the attached Yiftee Catalytic Converter Agreement (Attachment 2). Lastly, staff recommends the City Council approve the modifications presented to the Program Guidelines of both the P&E and Shield Programs (Attachment 3). The 2021-2023 Operating Budget includes sufficient funds to cover the costs of the recommended action.
FISCAL IMPACT:
The term of the Yiftee Catalytic Converter Agreement can be terminated by either party via a 30-day written notice. The term of the Participation Agreements can be terminated by either party upon delivery of notice. The 2021-2023 Operating Budget includes sufficient funding to cover the costs of the recommended actions.
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2 3
8 3
ATTACHMENTS:
1. Participation Agreements with Various Vendors for Catalytic Converter Theft Mitigation Program
2. Yiftee Community Card Customer Agreement for Lake Forest Catalytic Converter Program
3. Program Guidelines for Painting & Etching and Shield Programs (proposed changes in red)
Initiated By: Sean McGovern, Assistant to the City Manager Submitted By: Debra Rose, City Manager
Approved By: Debra Rose, City Manager
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ATTACHMENT 1
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55136.00000\40774074.1
City of Lake Forest
Participation Agreement - Catalytic Converter Shield Installation Program This Participation Agreement (“Agreement”) is entered into between Elite Automotive Services LLC, a Limited Liability Company (“Business Participant”), and the City of Lake Forest, a California Municipal Corporation (the “City”).
Definitions
“Business Participant” mea
ns an automotive business that provides Catalytic Converter Shield Installation services.
“Catalytic Converter” means an automotive part that is a component of a vehicle’s exhaust system. Some vehicles have multiple catalytic converters. “Program” means the Catalytic Converter Shield Installation Program whereby the City subsidizes Resident Participants’ costs in obtaining Catalytic Converter Shield Installation and related services from one or more Business Participants. The Program’s Guidelines are attached hereto and incorporated herein as Exhibit “A.” “Resident Participant” means City residents who apply to participate in the Program and are approved for participation by the City of Lake Forest. “Shield” means a theft deterrent device made of metal (aluminum or steel), specifically designed to prevent the theft of an exposed Catalytic Converter(s) from the undercarriage of a vehicle.
“Shield Installation Services” means the installation by Business Participant of one or more Shields on or upon a vehicle’s Catalytic Converter(s). Shield Installation Services expressly exclude any other automotive install ation, maintenance, customization, repair work, sale of goods, or personal services.
Terms of Agreement
1. City
Obligations: City shall
1.1. Add Business Participant to a list of participating businesses in the Program and provide Business Participant’s contact and/or address information (as provided by Business Participant) and direct Resident Participants to use City-issued Program gift cards (“Gift Cards”) to receive Shield Installation Services at one of the listed participating Businesses.
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2. Business Participant Obligations: Business Participant shall
2.1 Provide City with its preferred contact and address information at which Business Participant would prefer to be contacted by Resident Participants, and inform City within a reasonable time if that information changes.
2.2 Accept from Resident Participants Gift Cards as full or partial payment towards the costs associated with perfo rming Shield Installation Services.
Business Participant shall not accept the Gift Cards as payment for any maintenance, repairs, customization, auto body work, or other automotive repair or elective services other than those necessitated by the Shield Installation Services. Business Participant shal l not charge Resident Participants an increased amount for Shield Installation Services on the basis of Resident Participants’ use of a Gift Card or participation in the Program.
2.3 Perform Shield Installation Services in a reasonable and workmanlike fashion.
2.4 Maintain records related to the Prog ram, including but not limited to: (1) records related to the vehicle make, model, title owner, and VIN/serial number(s) associated with the Catalytic Converter brought in for Shield Installation Services; and (2) invoices and receipts identifying the Resident Participant for whom Shield Installation Services were provided, the particular services performed, the charges for such services, and the method(s) by which the Resident Participant paid for the Shield Installation Services (including the portion(s) thereof paid with Gift Card(s)).
Business Participant shall maintain Program records for at least three years from the date of their creation and shall allow the City access, upon written request, to inspect all such records within a reasonable time. If the City’s review of Business Participant’s Program records reveals that a Gift Card(s) were used, in whole or in part, as payment for anything other than the Shield Installation Services, Business Participant shall remit any such amounts to the City, with interest. Business Participant shall retain such records of Shield Installation Services regardless of whether a Gift Card was ultimately used as full or partial payment.
3. Indemnification
To the f
ullest extent permitted by law, Business Participant shall defend, indemnify and hold the City, its officials, employees, agents and authorized volunteers free and harmless from any and all claims, demands, causes of action, suits, actions, proceedings, costs, expenses, liability, judgments, awards, decre es, settlements, loss, damage or injury of any kind, in law or equity, to property or persons (collectively, “Claims”) in any manner arising out of, pertaining to, or incident to any alleged acts, errors or omissions, or willful misconduct of Business Participant, its offi cials, officers, employees, subcontractors, consultants or agents in connection with the performance of the Business Participant ’s services, or this Agreement, including without limitation the payment of all consequential damages, expert witness fees and attorneys’ fees and other related costs and expenses.
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55136.00000\40774074.1
4. Termination
Either party t
o this Agreement may terminate the Agreement by written notice to the other party, effective upon receipt.
Z Traieh, CEO Debra Rose
Authorized Business
Representative Name & Title
City Manager Name
Authorized Representative
Signature
City Manager Signature
Signature Date Signature Date
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55136.00000\40774074.1
EXHIBIT A – PROGRAM GUIDELINES
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EXHIBIT A
Catalytic Converter Shield Program
Program Guidelines
Summary
The grant program provides direct funds to residents seeking to purchase and install catalytic converter shields for certain vehicles subject to frequent catalytic converter theft. Under this program, residents will be able to receive a $250 gift card that is redeemable at any participating automotive repair shop that has a certified installer relationship with either Miller Cat or Get Cat Security (Cap City Muffler). Automotive repair shops that wish to participate in this program are encouraged to apply and demonstrate they’ve experienced a negative economic impact related to COVID-19.
Purpose
Catalytic converter theft is a significant property crime impacting communities across the United States. According to the California Bureau of Automotive Repair, replacing a stolen catalytic converter can cost residents several thousand dollars. Thieves can quickly steal catalytic converters in less than a few minutes with electric saws and other power tools.
Despite the best efforts of law enforcement, catalytic converter theft remains stubbornly common. Catalytic converter shields are theft deterrent devices that make it more difficult for would-be thieves to steal catalytic converters and resell them to unscrupulous recycling centers. Catalytic converter thieves prefer to
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quickly remove catalytic converters and leave the area. Catalytic converter shields make it significantly more difficult to catalytic converters, and in some cases, nearly impossible without certain uncommon tools. In theory, the presence of a catalytic converter shield will lead to would-be thieves deciding not to attempt to remove the catalytic converter and move on to an easier target.
How this Program Works for Businesses
1. Local automotive business can submit this grant application form to the City of Lake Forest to be reviewed by staff.
2. Application must include details of COVID-19 impacts. Applicants can demonstrate they’ve had a COVID-19 impact by….
a. Summarizing retail sale revenue losses related to COVID-19
b. Summarizing employee retention and recruitment challenges related to COVID-19
c. Documenting that other COVID-19-related relief funds have been received by Federal, State, and or local public agencies
d. Summarizing significant operational cost increases related to complying with COVID-19-related government mandates
3. If approved, local business will be eligible to process program-specific gift cards from residents with a value of $250. The gift cards will be provided electronically to residents by Yiftee, Inc. Residents will apply to receive the gift card via an online form. Once approved, residents will receive the electronic gift card and a program authorization notice. Local business will be required to sign a program participation agreement which will require gift cards can only be redeemed for the purchase and installation of catalytic converter shields.
4. Residents will then schedule a time to visit the local business and have a shield installed. The local business will need to procure the shield on behalf of the resident and provide a final invoice to the resident once the shield is installed. The invoice must include the cost of materials (shield and associated hardware) and labor. Resident will be able to use the gift card (valued at $250) towards the payment of the invoice. The remaining balance on the invoice after the gift card is redeemed is the responsibility of the resident.
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5. Once this gift card is redeemed and the catalytic converter shield is installe
d, no further action is required by the local business.
How this Program Works for Residents
1. Any Lake Forest resident that owns or leases a vehicle listed in this pre- qualified list [LINK] is eligible to participate. Residents are encouraged to visit the
websites for Miller Cat [LINK] and Get Cat Security [LINK] to browse
shields that will fit their vehicle. Only shields produced by Miller Cat and
Get Cat Security are eligible under this program. Residents who lease v
ehicles are encouraged to contact their lease administrator to confirm c
atalytic converter shield installation is allowed per the conditions of their l
ease.
2. To apply, residents can [CLICK HERE] to be redirected to a fillable form.
Reside
nts will be required to submit a photocopy/scan of their current vehicle r
egistration that describes their vehicle make, model, and year, along w
ith the address for which the vehicle is registered. Only vehicles register
ed to a Lake Forest address are eligible under this program.
3. Once approved, Lake Forest residents will receive a confirmation email that will i
nclude an electronic gift card with a $250 redemption value.
Reside
nts will need to contact an automotive shop that is approved to particip
ate in this program and accept the gift card to coordinate shield installation. A list of participating automotive shops is provided here [LINK].
4. Once catalytic converter shield is installed on the vehicle, resident will be require
d to pay the full amount of the invoice generated by the automotive shop th
at performed the work. Resident will be responsible for any invoice
d amount in excess of $250.
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Local Business Application – Catalytic Converter Shield Rebate Program Background Information
1. Busines s Name
2. Busines s Address
3. Business Phone
4. Business Website (if applicable)
5. Busines s Email
6. Contact Name (person filling out
form on
behalf of business)
7. Are you authorized to submit
this form
on behalf of the
busines
s?
(__) Yes
(__) No
COVID-19 Impact Information
1. Was your business negatively
impacte
d by COVID-19 and
related econ
omic effects?
(__) Yes
(__) No
2. Which of these impacts best
describ
es how your business
was impacted by COVID-19
(check a
ll that apply)
(__) Increased costs related to
employee recruitment and retention
(__) Loss in retail sale revenue
(__) Increased operational costs to
comply with COVID-19-related
mandates and public health orders
(__) Our business received economic
assistance for COVID-19-related
impacts from Federal, State, and/or
local public agencies.
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COVID-19 Impact Information
3. If you received COVID-19-
related econ
omic assistance,
which pr
ogram did you
particip
ate in?
(__) Federal Payment Protection
Program (PPP)
(__) COVID-19 EIDL (Economic
Disaster Loan)
(__) SBA Debt Relief
(__) FEMA Disaster Recovery
(__) Grant or Other Economic
Assistance from State of California
(__) Grant or Other Economic
Assistance from County of Orange
(__) Grants or Other Economic
Assistance from City of Lake Forest
(__) Other, please describe:
4. Please describe the financial
impact y
our business
experienced due to COVID-19.
Business Capabilities
1. Does your business currently
provide install
ation services for
catalytic conv
erter shields?
(__) Yes
(__) No
2. Does your business have a
“certified
installer” or other
relation
ship with either Get Cat
Security
or Miller Cat that
evidenc
es the capability of your
(__) Yes
(__) No
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Business Capabilities
business to install shield
equipment properly?
3. Is your business able to accept
credit cards and gift cards
provided by Mastercard?
(__) Yes
(__) No
4. Does your business have the
ability to accept Mastercard
credit or gift cards that require a
manual entry of card numbers?
(__) Yes
(__) No
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55136.00000\40788823.1
City of Lake Forest
Participation Agreement - Catalytic Converter Painting and Etching Program
This Participation Agreement (“Agreement”) is entered into between Elite Automotive Services, LLC, a Limited Liability Company (“Business Participant”), and the City of Lake Forest, a California Municipal Corporation (the “City”).
Definitions
“Business Participant” means an automotive business that provides Catalytic Converter Painting & Etching Services.
“Catalytic Converter” means an automotive part that is a component of a vehicle’s exhaust system. Some vehicles have multiple catalyti c converters. A Catalytic Converter must be attached to its respective vehicle and visible from the vehi cle’s undercarriage (i.e. “exposed”) to be eligible for Painting & Etching Services.
“Etching” means the process by which an etching machine or a Dremel tool is used to permanently etch a vehicle’s unique 17-character Vehicle Identification Number (“VIN”) and other identifying information into the surface of a Catalytic Converter in order to identify the Catalytic Converter in the event it is removed from a vehicle.
“Painting” means the process by which a Catalytic Converter is painted with high heat spray paint in order to identify the Catalytic Converter in the event it is removed from a vehicle.
“Program” means the Catalytic Converter Painting & Etching Program whereby the City reimburses participating businesses for costs of providing Painting & Etching Services to Resident Participants. The Program’s Guidelines are attached hereto and incorporated herein as Exhibit “A.”
“Resident Participant” means City residents who apply to participate in the Program and are approved for participation by the City of Lake Forest.
“Painting & Etching Services” means the act(s) of Etching and Painting a vehicle’s Catalytic Converter(s) by Business Participa nt. Painting & Etching Services expressly exclude any other automotive installation, maintenance, customization, repair work, sale of goods, or personal services.
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55136.00000\40788823.1
Terms of Agreement
1. City Obligations. The City shall:
1.1 Add Business Participant to a list of participating businesses in the Program and provide Business Participant’s contact and/or address information (as provided by Business Participant) and direct Resident Participants to receive Painting & Etching Services at one of the listed participating businesses.
1.2 Upon receipt of a written reimbursement request from Business Participant with adequate supporting documentation, reimburse Business Participant for all or a portion of the ordinary price associated with the performance of Painting & Etching Services for Resident Partic ipants. The precise amount(s) to be reimbursed may vary on a case-by-case basis and are subject to outside considerations including, but not limited to, availability of funds and the number of participating businesses that submit reim bursement requests. In any event, the City shall not be obligated to reimburse Business Participant for more than One Hundred Twenty-Five Dollars ($125).
2. Business Participant Obligations . Business Participant shall:
2.1 Provide City with its preferred contact and address information at which Business Participant would prefer to be contacted by Resident Participants, and inform City within a reasonable time if that information changes.
2.2 Provide Painting & Etching Services at no cost to Resident Participants.
Business Participant shall not provide Painting & Etching Services for or upon the Catalytic Converters of vehicles that are not included in a Resident Participant’s City-approved Program application documents.
2.3 Perform Painting & Etching Services in a reasonable and workmanlike fashion. All Etchings shall be clearl y visible from the undercarriage of the associated vehicle. Paint used in this process must be capable of withstanding the heat emitted by the Catalytic Converter.
2.4 After completing Painting & Etchi ng Services for a Resident Participant, timely submit a detailed reim bursement request to the City using the Program’s template reimbursement form (attached hereto and incorporated herein as Exhibit “B”). The reimbursement request must inc lude the approval number associated with the Resident Participant and a copy of the vehicle registration for the vehicle to which the painted and etched Catalytic Converter is attached. Business Participant shall not seek reimbursement for any maintenance, repairs, customization, auto body work, or other automotive repair or elective services other than those necessitated by the Pa inting & Etching Services. Business Participant shall not charge, request, or invoice the City any increased amount for
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55136.00000\40788823.1
Painting & Etching Services provided to Resident Participants greater than One Hundred Twenty-Five Dollars ($125).
2.5 Maintain records related to the Prog ram, including but not limited to: (1) records related to the vehicle make, mode l, title owner, and VIN/serial number(s) associated with the Catalytic Converter brought in for Painting & Etching Services; and (2) invoices and receipts identifying the Resident Participant for whom Painting & Etching Services were provided, the particular services performed, the charges for such services, and the amounts paid by the Resident Participant in the same transaction(s). Business Participant s hall maintain Program records for at least three years from the date of their creation and shall allow the City access, upon written request, to inspect all such records within a reasonable time. If the City’s review of Business Participant’s Program records reveals that Business Participant made and the City granted one or more reimbursement requests for any amounts other than those for the Painting & Etching Services, Business Participant shall remit any such amounts to the City, with interest.
3. Indemnification
To the fullest extent permi tted by law, Business Participant shall defend, indemnify and hold the City, its officials, employees, agents and authorized volunteers free and harmless from any and all claims, demands, causes of action, suits, actions, proceedings, costs, expenses, liability, judgments, awards, decre es, settlements, loss, damage or injury of any kind, in law or equity, to property or persons (collectively, “Claims”) in any manner arising out of, pertaining to, or incident to any alleged acts, errors or omissions, or willful misconduct of Business Participant, its offi cials, officers, employees, subcontractors, consultants or agents in connection with the performance of the Business Participant ’s services, or this Agreement, including without limitation the payment of all consequential damages, expert witness fees and attorneys’ fees and other related costs and expenses.
4. Termination
Either party to this Agreement may terminate the Agreement by written notice to the other party, effective upon receipt.
Z Traieh, CEO Debra Rose
Authorized Business
Representative Name & Title
City Manager Name
Authorized Representative
Signature
City Manager Signature
Signature Date Signature Date
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55136.00000\40788823.1
EXHIBIT A – PROGRAM GUIDELINES
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EXHIBIT A
Catalytic Converter Etching Program Grant
Program Guidelines
Summary
The grant program provides direct payments to qualified automotive repair shops and other businesses that perform catalytic converter painting and etching services for Lake Forest residents. Local businesses that had or continue to have a demonstrated impact from COVID-19 are eligible to apply. If approved, Lake Forest businesses will receive $125 to provide painting and etching of up to two exposed catalytic converters per vehicle. Only vehicles on the City’s approved list are eligible. Certain vehicles that have exposed catalytic converters may be eligible.
Purpose
Catalytic converter theft is a significant property crime impacting communities across the United States. According to the California Bureau of Automotive Repair, replacing a stolen catalytic converter can cost residents several thousand dollars. Thieves can quickly steal catalytic converters in less than a few minutes with electric saws and other power tools.
If apprehended by law enforcement, suspected thieves in possession of catalytic converters are difficult to prosecute because the stolen property must have a documented link to the vehicle it was stolen from. At this time, most catalytic converters are not manufactured with unique serial numbers or other insignias that would identify them to the source vehicle. Painting and etching a catalytic
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converter can help law enforcement and criminal prosecutors link suspected stolen catalytic converters with the source vehicle. This can lead to more streamlined prosecutions which will deter theft and bring justice to property crime victims.
How this Program Works for Businesses
1. Local automotive business can submit this grant application form to the City of Lake Forest to be reviewed by staff.
2. Application must include details of COVID-19 impacts. Applicants can demonstrate they’ve had a COVID-19 impact by….
a. Summarizing retail sale revenue losses related to COVID-19
b. Summarizing employee retention and recruitment challenges related to COVID-19
c. Documenting that other COVID-19-related relief funds have been received by Federal, State, and or local public agencies
d. Summarizing significant operational cost increases related to complying with COVID-19-related government mandates
3. If approved, local business will be able to receive $125 per vehicle serviced. Residents will be able to schedule an appointment through the ordinary scheduling process at the business. Resident will present to the business the Program Validation Form. The Program Validation Form includes a scanned copy of the vehicle’s registration card.
4. Once work is completed, local business will submit to the City on a bi- weekly basis an invoice that includes the number of vehicles serviced and the corresponding Program Validation Forms.
5. Local business invoice will be processed through the ordinary accounts payable process at the City of Lake Forest (mailed check).
How this Program Works for Residents
1. Any Lake Forest resident that owns or leases a vehicle listed in this pre- qualified list [LINK] is eligible to participate. Residents who lease vehicles are encouraged to contact their lease administrator to confirm catalytic
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converter painting and etching is allowed per the conditions of the lease.
2. If Lake Forest resident owns a vehicle that has a catalytic converter(s) that is accessible by sliding underneath the vehicle, but the vehicle make/model/year is not listed in the pre-qualified list, resident is encouraged to provide evidence (pictures and description) that the catalytic converter(s) on their vehicle are vulnerable to theft.
3. To apply, residents can [CLICK HERE] to be redirected to a fillable form.
Residents will be required to submit a photo copy/scan of their current vehicle registration that describes their vehicle make, model, and year, along with the address for which the vehicle is registered. Only vehicles registered to a Lake Forest address are eligible under this program.
4. Once approved, Lake Forest residents will receive an authorization number to present to a participating automotive shop that provides services pursuant to this program. A list of these shops is here: [LINK].
5. Resident is encouraged to make an appointment at a participating automotive shop to receive the etching and painting service free of charge.
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Local Business Application – Catalytic Converter Etching Program
Background Information
1. Business Name
2. Business Address
3. Business Phone
4. Business Website (if applicable)
5. Business Email
6. Contact Name (person filling out
form on behalf of business)
7. Are you authorized to submit
this form on behalf of the
business?
(__) Yes
(__) No
COVID-19 Impact Information
1. Was your business negatively
impacted by COVID-19 and
related economic effects?
(__) Yes
(__) No
2. Which of these impacts best
describes how your business
was impacted by COVID-19
(check all that apply)
(__) Increased costs related to
employee recruitment and retention
(__) Loss in retail sale revenue
(__) Increased operational costs to
comply with COVID-19-related
mandates and public health orders
(__) Our business received economic
assistance for COVID-19-related
impacts from Federal, State, and/or
local public agencies.
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COVID-19 Impact Information
3. If you received COVID-19-
related economic assistance,
which program did you
participate in?
(__) Federal Payment Protection
Program
(__) COVID-19 EIDL
(__) SBA Debt Relief
(__) FEMA Disaster Recovery
(__) Grant or Other Economic
Assistance from State of California
(__) Grant or Other Economic
Assistance from County of Orange
(__) Grants or Other Economic
Assistance from City of Lake Forest
(__) Other, please describe:
4. Please describe the financial
impact your business
experienced due to COVID-19.
Business Capabilities
1. Does your business currently
offer catalytic converter painting
and etching as a service?
(__) Yes
(__) No
2. Is your business able to transmit
photocopies of vehicle
registration documents
submitted by residents along
with invoices to the City of Lake
Forest on a regular basis?
(__) Yes
(__) No
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Business Capabilities
3. Is your business able to provide
painting and etching services for
up to two catalytic converters
per vehicle at a rate of $125 per
vehicle?
(__) Yes
(__) No
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55136.00000\40788823.1
EXHIBIT B – REIMBURSEMENT FORM
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Reimbursement Request Form
Catalytic Converter Painting & Etching Program
This form is to be used by Lake Forest businesses participating the Catalytic Converter Painting & Etching Program. Program participants are required to submit this form to the City at least monthly to receive reimbursement payments from the City. Reimbursement checks will be made out to the participating business name and mailed to the business address.
PROGRAM PARTICIPANT INFORMATION
Business Name:
Business Address:
(Street Number, Street Name, City,
Zip)
Business Phone:
Business Contact Person Name:
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SUMMARY OF WORK PERFORMED
# Vehicle Make Vehicle
Model
Vehicle
Year
License
Plate #
Program Approval
Number
Vehicle
Registration
Verified?
(Y/N)
# of
Catalytic
Converters
Painted &
Etched
- HONDA
ELEMENT 2009 ABC7123 100125 Y 1
1 2
3 4
5 6
7 8
9 10
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# Vehicle Make Vehicle
Model
Vehicle
Year
License
Plate #
Program Approval
Number
Vehicle
Registration
Verified?
(Y/N)
# of
Catalytic
Converters
Painted &
Etched
11 12
13 14
15 16
17 18
19 20
21 22
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# Vehicle Make Vehicle
Model
Vehicle
Year
License
Plate #
Program Approval
Number
Vehicle
Registration
Verified?
(Y/N)
# of
Catalytic
Converters
Painted &
Etched
23 24
25 26
27 28
29 30
31 32
33 34
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# Vehicle Make Vehicle
Model
Vehicle
Year
License
Plate #
Program Approval
Number
Vehicle
Registration
Verified?
(Y/N)
# of
Catalytic
Converters
Painted &
Etched
35 36
37 38
39 40
41 42
43 44
45 46
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# Vehicle Make Vehicle
Model
Vehicle
Year
License
Plate #
Program Approval
Number
Vehicle
Registration
Verified?
(Y/N)
# of
Catalytic
Converters
Painted &
Etched
47 48
49 50
Submitter Name
City Reviewer Name
Submitter Signature
City Reviewer Signature
Submission Date Approval Date
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55136.00000\40788823.1
City of Lake Forest
Participation Agreement - Catalytic Converter Painting and Etching Program
This Participation Agreement (“Agreement”) is entered into between Kinnessys Auto Repair Inc., a Corporation (“Business Participant”), and the City of Lake Forest, a California Municipal Corporation (the “City”).
Definitions
“Business Participant” means an automotive business that provides Catalytic Converter Painting & Etching Services.
“Catalytic Converter” means an automotive part that is a component of a vehicle’s exhaust system. Some vehicles have multiple catalyti c converters. A Catalytic Converter must be attached to its respective vehicle and visible from the vehi cle’s undercarriage (i.e. “exposed”) to be eligible for Painting & Etching Services.
“Etching” means the process by which an etching machine or a Dremel tool is used to permanently etch a vehicle’s unique 17-character Vehicle Identification Number (“VIN”) and other identifying information into the surface of a Catalytic Converter in order to identify the Catalytic Converter in the event it is removed from a vehicle.
“Painting” means the process by which a Catalytic Converter is painted with high heat spray paint in order to identify the Catalytic Converter in the event it is removed from a vehicle.
“Program” means the Catalytic Converter Painting & Etching Program whereby the City reimburses participating businesses for costs of providing Painting & Etching Services to Resident Participants. The Program’s Guidelines are attached hereto and incorporated herein as Exhibit “A.”
“Resident Participant” means City residents who apply to participate in the Program and are approved for participation by the City of Lake Forest.
“Painting & Etching Services” means the act(s) of Etching and Painting a vehicle’s Catalytic Converter(s) by Business Participa nt. Painting & Etching Services expressly exclude any other automotive installation, maintenance, customization, repair work, sale of goods, or personal services.
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Terms of Agreement
1. City Obligations. The City shall:
1.1 Add Business Participant to a list of participating businesses in the Program and provide Business Participant’s contact and/or address information (as provided by Business Participant) and direct Resident Participants to receive Painting & Etching Services at one of the listed participating businesses.
1.2 Upon receipt of a written reimbursement request from Business Participant with adequate supporting documentation, reimburse Business Participant for all or a portion of the ordinary price associated with the performance of Painting & Etching Services for Resident Partic ipants. The precise amount(s) to be reimbursed may vary on a case-by-case basis and are subject to outside considerations including, but not limited to, availability of funds and the number of participating businesses that submit reim bursement requests. In any event, the City shall not be obligated to reimburse Business Participant for more than One Hundred Twenty-Five Dollars ($125).
2. Business Participant Obligations . Business Participant shall:
2.1 Provide City with its preferred contact and address information at which Business Participant would prefer to be contacted by Resident Participants, and inform City within a reasonable time if that information changes.
2.2 Provide Painting & Etching Services at no cost to Resident Participants.
Business Participant shall not provide Painting & Etching Services for or upon the Catalytic Converters of vehicles that are not included in a Resident Participant’s City-approved Program application documents.
2.3 Perform Painting & Etching Services in a reasonable and workmanlike fashion. All Etchings shall be clearl y visible from the undercarriage of the associated vehicle. Paint used in this process must be capable of withstanding the heat emitted by the Catalytic Converter.
2.4 After completing Painting & Etchi ng Services for a Resident Participant, timely submit a detailed reim bursement request to the City using the Program’s template reimbursement form (attached hereto and incorporated herein as Exhibit “B”). The reimbursement request must inc lude the approval number associated with the Resident Participant and a copy of the vehicle registration for the vehicle to which the painted and etched Catalytic Converter is attached. Business Participant shall not seek reimbursement for any maintenance, repairs, customization, auto body work, or other automotive repair or elective services other than those necessitated by the Pa inting & Etching Services. Business Participant shall not charge, request, or invoice the City any increased amount for
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Painting & Etching Services provided to Resident Participants greater than One Hundred Twenty-Five Dollars ($125).
2.5 Maintain records related to the Prog ram, including but not limited to: (1) records related to the vehicle make, mode l, title owner, and VIN/serial number(s) associated with the Catalytic Converter brought in for Painting & Etching Services; and (2) invoices and receipts identifying the Resident Participant for whom Painting & Etching Services were provided, the particular services performed, the charges for such services, and the amounts paid by the Resident Participant in the same transaction(s). Business Participant s hall maintain Program records for at least three years from the date of their creation and shall allow the City access, upon written request, to inspect all such records within a reasonable time. If the City’s review of Business Participant’s Program records reveals that Business Participant made and the City granted one or more reimbursement requests for any amounts other than those for the Painting & Etching Services, Business Participant shall remit any such amounts to the City, with interest.
3. Indemnification
To the fullest extent permi tted by law, Business Participant shall defend, indemnify and hold the City, its officials, employees, agents and authorized volunteers free and harmless from any and all claims, demands, causes of action, suits, actions, proceedings, costs, expenses, liability, judgments, awards, decre es, settlements, loss, damage or injury of any kind, in law or equity, to property or persons (collectively, “Claims”) in any manner arising out of, pertaining to, or incident to any alleged acts, errors or omissions, or willful misconduct of Business Participant, its offi cials, officers, employees, subcontractors, consultants or agents in connection with the performance of the Business Participant ’s services, or this Agreement, including without limitation the payment of all consequential damages, expert witness fees and attorneys’ fees and other related costs and expenses.
4. Termination
Either party to this Agreement may terminate the Agreement by written notice to the other party, effective upon receipt.
Edgard Guevara, Owner Debra Rose
Authorized Business
Representative Name & Title
City Manager Name
Authorized Representative
Signature
City Manager Signature
Signature Date Signature Date
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55136.00000\40788823.1
EXHIBIT A – PROGRAM GUIDELINES
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EXHIBIT A
Catalytic Converter Etching Program Grant
Program Guidelines
Summary
The grant program provides direct payments to qualified automotive repair shops and other businesses that perform catalytic converter painting and etching services for Lake Forest residents. Local businesses that had or continue to have a demonstrated impact from COVID-19 are eligible to apply. If approved, Lake Forest businesses will receive $125 to provide painting and etching of up to two exposed catalytic converters per vehicle. Only vehicles on the City’s approved list are eligible. Certain vehicles that have exposed catalytic converters may be eligible.
Purpose
Catalytic converter theft is a significant property crime impacting communities across the United States. According to the California Bureau of Automotive Repair, replacing a stolen catalytic converter can cost residents several thousand dollars. Thieves can quickly steal catalytic converters in less than a few minutes with electric saws and other power tools.
If apprehended by law enforcement, suspected thieves in possession of catalytic converters are difficult to prosecute because the stolen property must have a documented link to the vehicle it was stolen from. At this time, most catalytic converters are not manufactured with unique serial numbers or other insignias that would identify them to the source vehicle. Painting and etching a catalytic
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converter can help law enforcement and criminal prosecutors link suspected stolen catalytic converters with the source vehicle. This can lead to more streamlined prosecutions which will deter theft and bring justice to property crime victims.
How this Program Works for Businesses
1. Local automotive business can submit this grant application form to the City of Lake Forest to be reviewed by staff.
2. Application must include details of COVID-19 impacts. Applicants can demonstrate they’ve had a COVID-19 impact by….
a. Summarizing retail sale revenue losses related to COVID-19
b. Summarizing employee retention and recruitment challenges related to COVID-19
c. Documenting that other COVID-19-related relief funds have been received by Federal, State, and or local public agencies
d. Summarizing significant operational cost increases related to complying with COVID-19-related government mandates
3. If approved, local business will be able to receive $125 per vehicle serviced. Residents will be able to schedule an appointment through the ordinary scheduling process at the business. Resident will present to the business the Program Validation Form. The Program Validation Form includes a scanned copy of the vehicle’s registration card.
4. Once work is completed, local business will submit to the City on a bi- weekly basis an invoice that includes the number of vehicles serviced and the corresponding Program Validation Forms.
5. Local business invoice will be processed through the ordinary accounts payable process at the City of Lake Forest (mailed check).
How this Program Works for Residents
1. Any Lake Forest resident that owns or leases a vehicle listed in this pre- qualified list [LINK] is eligible to participate. Residents who lease vehicles are encouraged to contact their lease administrator to confirm catalytic
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converter painting and etching is allowed per the conditions of the lease.
2. If Lake Forest resident owns a vehicle that has a catalytic converter(s) that is accessible by sliding underneath the vehicle, but the vehicle make/model/year is not listed in the pre-qualified list, resident is encouraged to provide evidence (pictures and description) that the catalytic converter(s) on their vehicle are vulnerable to theft.
3. To apply, residents can [CLICK HERE] to be redirected to a fillable form.
Residents will be required to submit a photo copy/scan of their current vehicle registration that describes their vehicle make, model, and year, along with the address for which the vehicle is registered. Only vehicles registered to a Lake Forest address are eligible under this program.
4. Once approved, Lake Forest residents will receive an authorization number to present to a participating automotive shop that provides services pursuant to this program. A list of these shops is here: [LINK].
5. Resident is encouraged to make an appointment at a participating automotive shop to receive the etching and painting service free of charge.
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Local Business Application – Catalytic Converter Etching Program
Background Information
1. Business Name
2. Business Address
3. Business Phone
4. Business Website (if applicable)
5. Business Email
6. Contact Name (person filling out
form on behalf of business)
7. Are you authorized to submit
this form on behalf of the
business?
(__) Yes
(__) No
COVID-19 Impact Information
1. Was your business negatively
impacted by COVID-19 and
related economic effects?
(__) Yes
(__) No
2. Which of these impacts best
describes how your business
was impacted by COVID-19
(check all that apply)
(__) Increased costs related to
employee recruitment and retention
(__) Loss in retail sale revenue
(__) Increased operational costs to
comply with COVID-19-related
mandates and public health orders
(__) Our business received economic
assistance for COVID-19-related
impacts from Federal, State, and/or
local public agencies.
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COVID-19 Impact Information
3. If you received COVID-19-
related economic assistance,
which program did you
participate in?
(__) Federal Payment Protection
Program
(__) COVID-19 EIDL
(__) SBA Debt Relief
(__) FEMA Disaster Recovery
(__) Grant or Other Economic
Assistance from State of California
(__) Grant or Other Economic
Assistance from County of Orange
(__) Grants or Other Economic
Assistance from City of Lake Forest
(__) Other, please describe:
4. Please describe the financial
impact your business
experienced due to COVID-19.
Business Capabilities
1. Does your business currently
offer catalytic converter painting
and etching as a service?
(__) Yes
(__) No
2. Is your business able to transmit
photocopies of vehicle
registration documents
submitted by residents along
with invoices to the City of Lake
Forest on a regular basis?
(__) Yes
(__) No
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Business Capabilities
3. Is your business able to provide
painting and etching services for
up to two catalytic converters
per vehicle at a rate of $125 per
vehicle?
(__) Yes
(__) No
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55136.00000\40788823.1
EXHIBIT B – REIMBURSEMENT FORM
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Reimbursement Request Form
Catalytic Converter Painting & Etching Program
This form is to be used by Lake Forest businesses participating the Catalytic Converter Painting & Etching Program. Program participants are required to submit this form to the City at least monthly to receive reimbursement payments from the City. Reimbursement checks will be made out to the participating business name and mailed to the business address.
PROGRAM PARTICIPANT INFORMATION
Business Name:
Business Address:
(Street Number, Street Name, City,
Zip)
Business Phone:
Business Contact Person Name:
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SUMMARY OF WORK PERFORMED
# Vehicle Make Vehicle
Model
Vehicle
Year
License
Plate #
Program Approval
Number
Vehicle
Registration
Verified?
(Y/N)
# of
Catalytic
Converters
Painted &
Etched
- HONDA
ELEMENT 2009 ABC7123 100125 Y 1
1 2
3 4
5 6
7 8
9 10
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# Vehicle Make Vehicle
Model
Vehicle
Year
License
Plate #
Program Approval
Number
Vehicle
Registration
Verified?
(Y/N)
# of
Catalytic
Converters
Painted &
Etched
11 12
13 14
15 16
17 18
19 20
21 22
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# Vehicle Make Vehicle
Model
Vehicle
Year
License
Plate #
Program Approval
Number
Vehicle
Registration
Verified?
(Y/N)
# of
Catalytic
Converters
Painted &
Etched
23 24
25 26
27 28
29 30
31 32
33 34
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# Vehicle Make Vehicle
Model
Vehicle
Year
License
Plate #
Program Approval
Number
Vehicle
Registration
Verified?
(Y/N)
# of
Catalytic
Converters
Painted &
Etched
35 36
37 38
39 40
41 42
43 44
45 46
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# Vehicle Make Vehicle
Model
Vehicle
Year
License
Plate #
Program Approval
Number
Vehicle
Registration
Verified?
(Y/N)
# of
Catalytic
Converters
Painted &
Etched
47 48
49 50
Submitter Name
City Reviewer Name
Submitter Signature
City Reviewer Signature
Submission Date Approval Date
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55136.00000\40774074.1
City of Lake Forest
Participation Agreement - Catalytic Converter Shield Installation Program
This Participation Agreement (“Agreement”) is entered into between Mission Auto Center, a Corporation (“Business Participant”), and the City of Lake Forest, a California Municipal Corporation (the “City”).
Definitions
“Business Participant” means an automotive business that provides Catalytic Converter Shield Installation services.
“Catalytic Converter” means an automotive part that is a component of a vehicle’s exhaust system. Some vehicles have multiple catalytic converters.
“Program” means the Catalytic Converter Shield Installation Program whereby the City subsidizes Resident Participants’ costs in obtaining Catalytic Converter Shield Installation and related services from one or more Business Participants. The Program’s Guidelines are attached hereto and incorporated herein as Exhibit “A.”
“Resident Participant” means City residents who apply to participate in the Program and are approved for participation by the City of Lake Forest.
“Shield” means a theft deterrent device made of metal (aluminum or steel), specifically designed to prevent the theft of an exposed Catalytic Converter(s) from the undercarriage of a vehicle.
“Shield Installation Services” means the installation by Business Participant of one or more Shields on or upon a vehicle’s Catalytic Converter(s). Shield Installation Services expressly exclude any other automotive install ation, maintenance, customization, repair work, sale of goods, or personal services.
Terms of Agreement
1. City Obligatio ns: City shall
1.1. Add Business Participant to a list of participating businesses in the Program and provide Business Participant’s contact and/or address information (as provided by Business Participant) and direct Resident Participants to use City-issued Program gift cards (“Gift Cards”) to receive Shield Installation Services at one of the listed participating Businesses.
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2. Business Participant Obligations: Business Participant shall
2.1 Provide City with its preferred contact and address information at which Business Participant would prefer to be contacted by Resident Participants, and inform City within a reasonable time if that information changes.
2.2 Accept from Resident Participants Gift Cards as full or partial payment towards the costs associated with perfo rming Shield Installation Services.
Business Participant shall not accept the Gift Cards as payment for any maintenance, repairs, customization, auto body work, or other automotive repair or elective services other than those necessitated by the Shield Installation Services. Business Participant shal l not charge Resident Participants an increased amount for Shield Installation Services on the basis of Resident Participants’ use of a Gift Card or participation in the Program.
2.3 Perform Shield Installation Services in a reasonable and workmanlike fashion.
2.4 Maintain records related to the Prog ram, including but not limited to: (1) records related to the vehicle make, mode l, title owner, and VIN/serial number(s) associated with the Catalytic Converter brought in for Shield Installation Services; and (2) invoices and receipts identifying the Resident Participant for whom Shield Installation Services were provided, the particular services performed, the charges for such services, and the method(s) by which the Resident Participant paid for the Shield Installation Services (including the portion(s) thereof paid with Gift Card(s)).
Business Participant shall maintain Program records for at least three years from the date of their creation and shall allow the City access, upon written request, to inspect all such records within a reasonable time. If the City’s review of Business Participant’s Program records reveals that a Gift Card(s) were used, in whole or in part, as payment for anything other than the Shield Installation Services, Business Participant shall remit any such amounts to the City, with interest. Business Participant shall retain such records of Shield Installation Services regardless of whether a Gift Card was ultimately used as full or partial payment.
3. Indemnification
To the fullest extent permi tted by law, Business Participant shall defend, indemnify and hold the City, its officials, employees, agents and authorized volunteers free and harmless from any and all claims, demands, causes of action, suits, actions, proceedings, costs, expenses, liability, judgments, awards, decre es, settlements, loss, damage or injury of any kind, in law or equity, to property or persons (collectively, “Claims”) in any manner arising out of, pertaining to, or incident to any alleged acts, errors or omissions, or willful misconduct of Business Participant, its offi cials, officers, employees, subcontractors, consultants or agents in connection with the performance of the Business Participant ’s services, or this Agreement, including without limitation the payment of all consequential damages, expert witness fees and attorneys’ fees and other related costs and expenses.
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4. Termination
Either party to this Agreement may terminate the Agreement by written notice to the other party, effective upon receipt.
David Atta, Owner Debra Rose
Authorized Business
Representative Name & Title
City Manager Name
Authorized Representative
Signature
City Manager Signature
Signature Date Signature Date
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EXHIBIT A – PROGRAM GUIDELINES
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EXHIBIT A
Catalytic Converter Shield Program
Program Guidelines
Summary
The grant program provides direct funds to residents seeking to purchase and install catalytic converter shields for certain vehicles subject to frequent catalytic converter theft. Under this program, residents will be able to receive a $250 gift card that is redeemable at any participating automotive repair shop that has a certified installer relationship with either Miller Cat or Get Cat Security (Cap City Muffler). Automotive repair shops that wish to participate in this program are encouraged to apply and demonstrate they’ve experienced a negative economic impact related to COVID-19.
Purpose
Catalytic converter theft is a significant property crime impacting communities across the United States. According to the California Bureau of Automotive Repair, replacing a stolen catalytic converter can cost residents several thousand dollars. Thieves can quickly steal catalytic converters in less than a few minutes with electric saws and other power tools.
Despite the best efforts of law enforcement, catalytic converter theft remains stubbornly common. Catalytic converter shields are theft deterrent devices that make it more difficult for would-be thieves to steal catalytic converters and resell them to unscrupulous recycling centers. Catalytic converter thieves prefer to
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quickly remove catalytic converters and leave the area. Catalytic converter shields make it significantly more difficult to catalytic converters, and in some cases, nearly impossible without certain uncommon tools. In theory, the presence of a catalytic converter shield will lead to would-be thieves deciding not to attempt to remove the catalytic converter and move on to an easier target.
How this Program Works for Businesses
1. Local automotive business can submit this grant application form to the City of Lake Forest to be reviewed by staff.
2. Application must include details of COVID-19 impacts. Applicants can demonstrate they’ve had a COVID-19 impact by….
a. Summarizing retail sale revenue losses related to COVID-19
b. Summarizing employee retention and recruitment challenges related to COVID-19
c. Documenting that other COVID-19-related relief funds have been received by Federal, State, and or local public agencies
d. Summarizing significant operational cost increases related to complying with COVID-19-related government mandates
3. If approved, local business will be eligible to process program-specific gift cards from residents with a value of $250. The gift cards will be provided electronically to residents by Yiftee, Inc. Residents will apply to receive the gift card via an online form. Once approved, residents will receive the electronic gift card and a program authorization notice. Local business will be required to sign a program participation agreement which will require gift cards can only be redeemed for the purchase and installation of catalytic converter shields.
4. Residents will then schedule a time to visit the local business and have a shield installed. The local business will need to procure the shield on behalf of the resident and provide a final invoice to the resident once the shield is installed. The invoice must include the cost of materials (shield and associated hardware) and labor. Resident will be able to use the gift card (valued at $250) towards the payment of the invoice. The remaining balance on the invoice after the gift card is redeemed is the responsibility of the resident.
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5. Once this gift card is redeemed and the catalytic converter shield is installed, no further action is required by the local business.
How this Program Works for Residents
1. Any Lake Forest resident that owns or leases a vehicle listed in this pre- qualified list [LINK] is eligible to participate. Residents are encouraged to visit the websites for Miller Cat [LINK] and Get Cat Security [LINK] to browse shields that will fit their vehicle. Only shields produced by Miller Cat and Get Cat Security are eligible under this program. Residents who lease vehicles are encouraged to contact their lease administrator to confirm catalytic converter shield installation is allowed per the conditions of their lease.
2. To apply, residents can [CLICK HERE] to be redirected to a fillable form.
Residents will be required to submit a photocopy/scan of their current vehicle registration that describes their vehicle make, model, and year, along with the address for which the vehicle is registered. Only vehicles registered to a Lake Forest address are eligible under this program.
3. Once approved, Lake Forest residents will receive a confirmation email that will include an electronic gift card with a $250 redemption value.
Residents will need to contact an automotive shop that is approved to participate in this program and accept the gift card to coordinate shield installation. A list of participating automotive shops is provided here [LINK].
4. Once catalytic converter shield is installed on the vehicle, resident will be required to pay the full amount of the invoice generated by the automotive shop that performed the work. Resident will be responsible for any invoiced amount in excess of $250.
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Local Business Application – Catalytic Converter Shield Rebate Program
Background Information
1. Business Name
2. Business Address
3. Business Phone
4. Business Website (if applicable)
5. Business Email
6. Contact Name (person filling out
form on behalf of business)
7. Are you authorized to submit
this form on behalf of the
business?
(__) Yes
(__) No
COVID-19 Impact Information
1. Was your business negatively
impacted by COVID-19 and
related economic effects?
(__) Yes
(__) No
2. Which of these impacts best
describes how your business
was impacted by COVID-19
(check all that apply)
(__) Increased costs related to
employee recruitment and retention
(__) Loss in retail sale revenue
(__) Increased operational costs to
comply with COVID-19-related
mandates and public health orders
(__) Our business received economic
assistance for COVID-19-related
impacts from Federal, State, and/or
local public agencies.
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COVID-19 Impact Information
3. If you received COVID-19-
related economic assistance,
which program did you
participate in?
(__) Federal Payment Protection
Program (PPP)
(__) COVID-19 EIDL (Economic
Disaster Loan)
(__) SBA Debt Relief
(__) FEMA Disaster Recovery
(__) Grant or Other Economic
Assistance from State of California
(__) Grant or Other Economic
Assistance from County of Orange
(__) Grants or Other Economic
Assistance from City of Lake Forest
(__) Other, please describe:
4. Please describe the financial
impact your business
experienced due to COVID-19.
Business Capabilities
1. Does your business currently
provide installation services for
catalytic converter shields?
(__) Yes
(__) No
2. Does your business have a
“certified installer” or other
relationship with either Get Cat
Security or Miller Cat that
evidences the capability of your
(__) Yes
(__) No
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Business Capabilities
business to install shield
equipment properly?
3. Is your business able to accept
credit cards and gift cards
provided by Mastercard?
(__) Yes
(__) No
4. Does your business have the
ability to accept Mastercard
credit or gift cards that require a
manual entry of card numbers?
(__) Yes
(__) No
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55136.00000\40774074.1
City of Lake Forest
Participation Agreement - Catalytic Converter Shield Installation Program
This Participation Agreement (“Agreement”) is entered into between OC Auto Care, a Corporation (“Business Participant”), and the City of Lake Forest, a California Municipal Corporation (the “City”).
Definitions
“Business Participant” means an automotive business that provides Catalytic Converter Shield Installation services.
“Catalytic Converter” means an automotive part that is a component of a vehicle’s exhaust system. Some vehicles have multiple catalytic converters.
“Program” means the Catalytic Converter Shield Installation Program whereby the City subsidizes Resident Participants’ costs in obtaining Catalytic Converter Shield Installation and related services from one or more Business Participants. The Program’s Guidelines are attached hereto and incorporated herein as Exhibit “A.”
“Resident Participant” means City residents who apply to participate in the Program and are approved for participation by the City of Lake Forest.
“Shield” means a theft deterrent device made of metal (aluminum or steel), specifically designed to prevent the theft of an exposed Catalytic Converter(s) from the undercarriage of a vehicle.
“Shield Installation Services” means the installation by Business Participant of one or more Shields on or upon a vehicle’s Catalytic Converter(s). Shield Installation Services expressly exclude any other automotive install ation, maintenance, customization, repair work, sale of goods, or personal services.
Terms of Agreement
1. City Obligatio ns: City shall
1.1. Add Business Participant to a list of participating businesses in the Program and provide Business Participant’s contact and/or address information (as provided by Business Participant) and direct Resident Participants to use City-issued Program gift cards (“Gift Cards”) to receive Shield Installation Services at one of the listed participating Businesses.
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2. Business Participant Obligations: Business Participant shall
2.1 Provide City with its preferred contact and address information at which Business Participant would prefer to be contacted by Resident Participants, and inform City within a reasonable time if that information changes.
2.2 Accept from Resident Participants Gift Cards as full or partial payment towards the costs associated with perfo rming Shield Installation Services.
Business Participant shall not accept the Gift Cards as payment for any maintenance, repairs, customization, auto body work, or other automotive repair or elective services other than those necessitated by the Shield Installation Services. Business Participant shal l not charge Resident Participants an increased amount for Shield Installation Services on the basis of Resident Participants’ use of a Gift Card or participation in the Program.
2.3 Perform Shield Installation Services in a reasonable and workmanlike fashion.
2.4 Maintain records related to the Prog ram, including but not limited to: (1) records related to the vehicle make, mode l, title owner, and VIN/serial number(s) associated with the Catalytic Converter brought in for Shield Installation Services; and (2) invoices and receipts identifying the Resident Participant for whom Shield Installation Services were provided, the particular services performed, the charges for such services, and the method(s) by which the Resident Participant paid for the Shield Installation Services (including the portion(s) thereof paid with Gift Card(s)).
Business Participant shall maintain Program records for at least three years from the date of their creation and shall allow the City access, upon written request, to inspect all such records within a reasonable time. If the City’s review of Business Participant’s Program records reveals that a Gift Card(s) were used, in whole or in part, as payment for anything other than the Shield Installation Services, Business Participant shall remit any such amounts to the City, with interest. Business Participant shall retain such records of Shield Installation Services regardless of whether a Gift Card was ultimately used as full or partial payment.
3. Indemnification
To the fullest extent permi tted by law, Business Participant shall defend, indemnify and hold the City, its officials, employees, agents and authorized volunteers free and harmless from any and all claims, demands, causes of action, suits, actions, proceedings, costs, expenses, liability, judgments, awards, decre es, settlements, loss, damage or injury of any kind, in law or equity, to property or persons (collectively, “Claims”) in any manner arising out of, pertaining to, or incident to any alleged acts, errors or omissions, or willful misconduct of Business Participant, its offi cials, officers, employees, subcontractors, consultants or agents in connection with the performance of the Business Participant ’s services, or this Agreement, including without limitation the payment of all consequential damages, expert witness fees and attorneys’ fees and other related costs and expenses.
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4. Termination
Either party to this Agreement may terminate the Agreement by written notice to the other party, effective upon receipt.
Waise Nawabi, Owner Debra Rose
Authorized Business
Representative Name & Title
City Manager Name
Authorized Representative
Signature
City Manager Signature
Signature Date Signature Date
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55136.00000\40774074.1
EXHIBIT A – PROGRAM GUIDELINES
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EXHIBIT A
Catalytic Converter Shield Program
Program Guidelines
Summary
The grant program provides direct funds to residents seeking to purchase and install catalytic converter shields for certain vehicles subject to frequent catalytic converter theft. Under this program, residents will be able to receive a $250 gift card that is redeemable at any participating automotive repair shop that has a certified installer relationship with either Miller Cat or Get Cat Security (Cap City Muffler). Automotive repair shops that wish to participate in this program are encouraged to apply and demonstrate they’ve experienced a negative economic impact related to COVID-19.
Purpose
Catalytic converter theft is a significant property crime impacting communities across the United States. According to the California Bureau of Automotive Repair, replacing a stolen catalytic converter can cost residents several thousand dollars. Thieves can quickly steal catalytic converters in less than a few minutes with electric saws and other power tools.
Despite the best efforts of law enforcement, catalytic converter theft remains stubbornly common. Catalytic converter shields are theft deterrent devices that make it more difficult for would-be thieves to steal catalytic converters and resell them to unscrupulous recycling centers. Catalytic converter thieves prefer to
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quickly remove catalytic converters and leave the area. Catalytic converter shields make it significantly more difficult to catalytic converters, and in some cases, nearly impossible without certain uncommon tools. In theory, the presence of a catalytic converter shield will lead to would-be thieves deciding not to attempt to remove the catalytic converter and move on to an easier target.
How this Program Works for Businesses
1. Local automotive business can submit this grant application form to the City of Lake Forest to be reviewed by staff.
2. Application must include details of COVID-19 impacts. Applicants can demonstrate they’ve had a COVID-19 impact by….
a. Summarizing retail sale revenue losses related to COVID-19
b. Summarizing employee retention and recruitment challenges related to COVID-19
c. Documenting that other COVID-19-related relief funds have been received by Federal, State, and or local public agencies
d. Summarizing significant operational cost increases related to complying with COVID-19-related government mandates
3. If approved, local business will be eligible to process program-specific gift cards from residents with a value of $250. The gift cards will be provided electronically to residents by Yiftee, Inc. Residents will apply to receive the gift card via an online form. Once approved, residents will receive the electronic gift card and a program authorization notice. Local business will be required to sign a program participation agreement which will require gift cards can only be redeemed for the purchase and installation of catalytic converter shields.
4. Residents will then schedule a time to visit the local business and have a shield installed. The local business will need to procure the shield on behalf of the resident and provide a final invoice to the resident once the shield is installed. The invoice must include the cost of materials (shield and associated hardware) and labor. Resident will be able to use the gift card (valued at $250) towards the payment of the invoice. The remaining balance on the invoice after the gift card is redeemed is the responsibility of the resident.
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5. Once this gift card is redeemed and the catalytic converter shield is installed, no further action is required by the local business.
How this Program Works for Residents
1. Any Lake Forest resident that owns or leases a vehicle listed in this pre- qualified list [LINK] is eligible to participate. Residents are encouraged to visit the websites for Miller Cat [LINK] and Get Cat Security [LINK] to browse shields that will fit their vehicle. Only shields produced by Miller Cat and Get Cat Security are eligible under this program. Residents who lease vehicles are encouraged to contact their lease administrator to confirm catalytic converter shield installation is allowed per the conditions of their lease.
2. To apply, residents can [CLICK HERE] to be redirected to a fillable form.
Residents will be required to submit a photocopy/scan of their current vehicle registration that describes their vehicle make, model, and year, along with the address for which the vehicle is registered. Only vehicles registered to a Lake Forest address are eligible under this program.
3. Once approved, Lake Forest residents will receive a confirmation email that will include an electronic gift card with a $250 redemption value.
Residents will need to contact an automotive shop that is approved to participate in this program and accept the gift card to coordinate shield installation. A list of participating automotive shops is provided here [LINK].
4. Once catalytic converter shield is installed on the vehicle, resident will be required to pay the full amount of the invoice generated by the automotive shop that performed the work. Resident will be responsible for any invoiced amount in excess of $250.
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Local Business Application – Catalytic Converter Shield Rebate Program
Background Information
1. Business Name
2. Business Address
3. Business Phone
4. Business Website (if applicable)
5. Business Email
6. Contact Name (person filling out
form on behalf of business)
7. Are you authorized to submit
this form on behalf of the
business?
(__) Yes
(__) No
COVID-19 Impact Information
1. Was your business negatively
impacted by COVID-19 and
related economic effects?
(__) Yes
(__) No
2. Which of these impacts best
describes how your business
was impacted by COVID-19
(check all that apply)
(__) Increased costs related to
employee recruitment and retention
(__) Loss in retail sale revenue
(__) Increased operational costs to
comply with COVID-19-related
mandates and public health orders
(__) Our business received economic
assistance for COVID-19-related
impacts from Federal, State, and/or
local public agencies.
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COVID-19 Impact Information
3. If you received COVID-19-
related economic assistance,
which program did you
participate in?
(__) Federal Payment Protection
Program (PPP)
(__) COVID-19 EIDL (Economic
Disaster Loan)
(__) SBA Debt Relief
(__) FEMA Disaster Recovery
(__) Grant or Other Economic
Assistance from State of California
(__) Grant or Other Economic
Assistance from County of Orange
(__) Grants or Other Economic
Assistance from City of Lake Forest
(__) Other, please describe:
4. Please describe the financial
impact your business
experienced due to COVID-19.
Business Capabilities
1. Does your business currently
provide installation services for
catalytic converter shields?
(__) Yes
(__) No
2. Does your business have a
“certified installer” or other
relationship with either Get Cat
Security or Miller Cat that
evidences the capability of your
(__) Yes
(__) No
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Business Capabilities
business to install shield
equipment properly?
3. Is your business able to accept
credit cards and gift cards
provided by Mastercard?
(__) Yes
(__) No
4. Does your business have the
ability to accept Mastercard
credit or gift cards that require a
manual entry of card numbers?
(__) Yes
(__) No
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ATTACHMENT 2
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Yiftee Community Card Customer Agreement, Revised 2022-09-18
Community Card Customer Agreement for Lake Forest Catalytic Converter Program
THIS AGREEMENT (the “Agreement”) is made effective as of __________, 2022 (the “Effective Date”) by and between Yiftee Inc., a Delaware corporation, with an address at 325 Sharon Park Drive #215, Menlo Park, CA 94025 (“Yiftee”) and _____________________________ with an address at ______________ _________________________________________(“Customer”). The parties agree a follows:
1. Definitions.
1.1 “Merchant” means a merchant, prospect or other contact that may be using or desire to use Yiftee Services to redeem eGifts.
1.2 “Participant” means a Merchant who has opted to participate in a Community Card by running an Activation Card and agreeing to the Merchant Agreement.
1.3 “Yiftee Services” means Yiftee’s gift-giving platform. It is the technology foundation for Community Cards.
1.4 “Purchaser” means a person or entity that purchases or redeems eGifts.
1.5 “eGift” means a digital virtual gift voucher used as payment for goods or services at a Participant.
1.6 “Offer” or “Offers” mean specific benefits that Participants provide to consumers who use their Community Cards in their store, as determined by the Participants and posted on their eGift Card web page.
1.7 “Chargeback” means a purchase that has been disputed by the person who owns the credit card used to purchase an eGift. Chargebacks cause the amount of the purchase to be refunded to the cardholder out of Yiftee’s bank account and often also include an associated fee.
2. Merchant Enrollment.
2.1 Merchant Enrollment Obligations
(a) Customer will collect a set of Merchants who have elected to participate in the Yiftee Services.
Merchants must all be located in the same state in the USA, due to varying gift card laws by state. Each Merchant must agree to the Yiftee Merchant Agreement located on the Yiftee.com website. Merchants who have not agreed to the Merchant Agreement will not be able to utilize the Yiftee Services to redeem eGifts. Customer will upload into the Yiftee Services or provide the names of the Merchants who intend to participate to Yiftee. Upon the agreed upon launch date, the billing for the Yiftee Services will begin (“Commencement Date”). This billing will include the agreed-upon cost for each Participant or group thereof as defined in Appendix A.
(b) Yiftee will provide to Customer or directly to Merchants, upon receipt of the set of Merchant names in 2.1a, a set of unique Activation Cards to be run by each Merchant. Customer will inform Merchants of their individual Activation Card and provide instructions on its use. Additionally, Customer will inform Merchants that running the Activation Card implies consent to the Merchant Agreement located on the Yiftee.com website.
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Yiftee Community Card Customer Agreement, Revised 2022-09-18
(c) As Merchants run the Activation Cards, they will be included in the set of Merchants enabled to participate in the Yiftee Services, i.e. the Participants. Participant may also post their Offers to be available for eGift Card holders who redeem gifts in their stores. (d) Yiftee will bill Customer or Merchants as described in Appendix A. Customer can add or remove Participants and fees will be adjusted accordingly, if applicable. There will be no retroactive adjustments allowed by Yiftee (that is, a cancelled Participant’s billing obligation will result in that Participant’s cost to Customer, as defined in Appendix A, to be eliminated beginning only on the next annual billing cycle).
A Participant may be added to the list of Participants at any time (“Enrollment Time”), with billing adjustment for said Participant to begin immediately and to be included in the current month’s billing. (e) Each party shall comply with good, ethical and moral business practices and all applicable laws and regulations in engaging in any activities here under.
(f) Fees and payment terms applicable to the subject matter here under shall be as set forth in Appendix A. Customer is not entitled to compensation other than what is described in Appendix A. (g) Customer is responsible and liable for any disputes or liability arising out of its relationships with Merchants and Participants, except with respect to any liability of Yiftee under this agreement.
2.2 Yiftee Materials.
Yiftee may provide Customer with certain materials for use in conjunction with promoting the Yiftee Services here under (“Yiftee Materials”). No rights or licenses, express or implied, are granted in those Yiftee Materials or otherwise, except as expressly and unambiguously set forth in this Agreement.
2.3 Limited Licenses.
Subject to the terms and conditions of this Agreement, Yiftee hereby grants to Customer, a non- exclusive, non-transferable, non-assignable, non-sublicensable right and license to access and use the Yiftee Services and Yiftee Materials solely for the purposes of Customer’s performance of this Agreement.
2.4 Trademark License.
Subject to the terms and conditions of this Agreement, Yiftee hereby grants Customer and Customer hereby grants Yiftee a non-exclusive, non-transferable, non-assignable, non-sublicensable, royalty-free license to use Yiftee’s or Customer’s name, trade names, trademarks, service marks, and logos (collectively, a party’s “Marks”) solely in connection with Customer’s and Yiftee’s promotion and marketing of the Yiftee Services, subject to written usage guidelines, if any, made mutually available.
3. Chargebacks. When purchasing eGifts using Purchasers’ credit cards or other forms of payment using the Yiftee “Order Desk” functionality , or any purchase using Customer’s Community Card account with a third party credit card that is not Customer’s, C ustomer is responsible for verifying that the Purchaser owns the payment instrument and has authority to use it for said purchase. Should Yiftee receive a Chargeback, Yiftee will attempt to cancel any outstanding value on the eGift purchased and Customer will be liable for any remaini ng balance and fees incurred by Yiftee. Customer is not liable for Chargebacks for gifts purchased through the normal Yiftee eGift process where Customer is not party to the gift purchase.
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Yiftee Community Card Customer Agreement, Revised 2022-09-18
4. Ownership. As between the parties, Yiftee owns all right, title and interest in and to the Yiftee Services, Yiftee’s Marks and the Yiftee Materials. Customer owns all right, title and interest in and to Customer’s Marks.
5. Warranties Disclaimer. YIFTEE AND ITS LICENSORS MAKE NO WARRANTIES TO CUSTOMER,
EXPRESS OR IMPLIED, AND SPECIFICALLY DISCLAIM ALL IMPLIED WARRANTIES OF MERCHANTABILITY,
NONINFRINGEMENT, AND FITNESS FOR A PARTICULAR PURPOSE, AND ALL WARRANTIES ARISING OUT OF USAGE OR TRADE, COURSE OF DEALING AND COURSE OF PERFORMANCE.
6. Liability Limitation. EXCEPT FOR LIABILITY ARISING UNDER SECTION 8, NEITHER PARTY (NOR ITS
LICENSORS) WILL BE LIABLE OR OBLIGATED WITH RESPECT TO ANY SUBJECT MATTER OF THIS
AGREEMENT OR UNDER ANY CONTRACT, TORT, STRICT LIABILITY OR OTHER LEGAL OR EQUITABLE
THEORY, WHETHER OR NOT ADVISED OF THE POSSIBILITY OF SUCH DAMAGES WHATSOEVER, FOR ANY
SPECIAL, INDIRECT, INCIDENTAL, EXEMPLARY, PUNITIVE, RELIANCE OR CONSEQUENTIAL DAMAGES, INCLUDING LOSS OF PROFITS, REVENUE, DATA OR USE AND IN NO EVENT SHALL EITHER PARTY’S LIABILITY EXCEED THE GREATER OF $500 OR THE AMOUNTS PAID AND/OR PAYABLE BY YIFTEE TO
CUSTOMER (AND/OR BY CUSTOMER TO YIFTEE, IF PAYMENTS ARE PAYABLE BY CUSTOMER TO YIFTEE IN ACCORDANCE WITH PROPOSAL) HEREUNDER IN THE TWELVE (12) MONTH PERIOD PRECEDING THE APPLICABLE CLAIM.
7. Term and Termination.
7.1 Term. This Agreement shall be effective as of the Effective Date and shall continue in full force on an annual period from the Effective Date, and thereafter shall automatically renew annually, unless and until either party terminates this Agreement pursuant to Section 7.2.
7.2 Termination.
(a) Either party may, at its option, terminate this Agreement upon thirty (30) days written notice to the other party for any reason or for no reason whatsoever. (b) Either party may terminate this Agreement if the other party materially breaches a term of this Agreement and fails to cure such breach within fifteen (15) days after receipt of written notice of such breach from the non-breaching party.
(c) Participants are obligated to honor all outstanding eGifts issued by Yiftee for the entire duration of those eGift's validity periods. Termination does not relieve Participants from honoring conditions outlined in the Merchant Agreement.
7.3 Effect of Termination. Upon any termination: (a) Customer shall immediately cease all promotion of the Yiftee Services and shall immediately return to Yiftee, or at the option of Yiftee, destroy, all Confidential Information (as defined below) of Yiftee disclosed to Customer, Yiftee Materials, and any Yiftee Services, hardware and software provided to Customer here under, (b) Yiftee shall immediately return to Customer, or at the option of Customer, destroy, all Confidential Information of Customer disclosed to Yiftee here under, and (c) all licenses granted under this Agreement shall immediately cease. The following Sections shall survive termination and remain in effect 1, 4, 5, 6, 7.3, 8 and 9. Any termination of this Agreement shall be without prejudice to any other rights or remedies available under this Agreement or at law.
8. Confidentiality. Because of this Agreement, the parties may have access to information that is confidential to the disclosing party (“Confidential Information”). Confidential Information shall include, DocuSign Envelope ID: FF57BB19-E5E2-4C31-BB03-B435D0953B5D Item: 14
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Yiftee Community Card Customer Agreement, Revised 2022-09-18
without limitation, Purchaser lists and information relating to the parties’ products and pricing and all information designated as confidential by the disclosing party at the time of disclosure. A party’s Confidential Information shall not include any information which (i) becomes generally publicly available through no wrongful act or omission of the receiving party; (ii) is lawfully acquired by the receiving party from a third party without any breach of a confidentiality obligation; or (iii) is independently developed without use of or reference to the disclosing party’s Confidential Information. Each party agrees to maintain the confidentiality of the other party’s Confidential Information using the same degree of care that it uses with regard to its confidential information of like nature, but in no event less than reasonable care, and to protect as a trade secret any portion of the other party’s Confidential Information by preventing any unauthorized copying, use, distribution, installation or transfer of possession of such information. If required by law, the receiving party may disclose Confidential Information of the disclosing party, but will give adequate prior notice of such disclosure to the disclosing party to permit the disclosing party to intervene and to request protective orders or other confidential treatment therefor. The parties acknowledge that money damages will not be an adequate remedy if this Section 8 is breached and, therefore, either party may, in addition to any other legal or equitable remedies, seek an injunction or other equitable relief against such breach or threatened breach without the necessity of posting any bond or surety.
9. Non-solicitation
During the term of this Agreement, neither party will (on behalf of itself or any other person or entity) solicit any Purchaser or Merchant of the other party to restrict, limit, or terminate such Purchaser’s or Merchant’s participation in the other party’s products and services.
10. Miscellaneous
10.1 Notices. Any notice or other communication required or permitted in this Agreement shall be in writing and shall be deemed to have been duly given on the day of service if served personally or by facsimile transmission with confirmation, or three (3) days after mailing if mailed by First Class mail, registered or certified, postage prepaid, and addressed to the respective parties at the addresses set forth above, or at such other addresses as may be specified by either party pursuant to the terms and provisions of this section.
10.2 Assignment. Customer may not assign or otherwise transfer, without the prior written consent of Yiftee, its rights, duties or obligations under this Agreement to any person or entity, in whole or in part. Yiftee may freely assign or otherwise transfer this Agreement in connection with the sale of all or substantially all of its business or assets. This Agreement shall be binding upon and inure to the benefit of the parties hereto and their respective successors and permitted assigns.
10.3 Severability. Any provision of this Agreement that is determined to be unenforceable or unlawful shall not affect the remainder of the Agreement and shall be severable therefrom, and the unenforceable or unlawful provision shall be limited or eliminated to the minimum extent necessary to that this Agreement shall otherwise remain in full force and effect and enforceable.
10.4 Entire Agreement. This Agreement constitutes the entire agreement between the parties and supersedes any and all prior agreements between them, whether written or oral, with respect to the subject matter hereof, and may not be amended, modified or provision hereof waived, except in a writing signed by the parties hereto. No waiver by either party, whether express or implied, of any provision of this Agreement, or of any breach thereof, shall constitute a continuing waiver of such provision or a breach or waiver of any other provision of this Agreement.
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Yiftee Community Card Customer Agreement, Revised 2022-09-18
IN WITNESS WHEREOF, the parties have executed this Agreement as of the Effective Date.
Customer’s organization (Print): YIFTEE, INC.
Authorized signature: Authorized signature:
Name, Title: Name, Title: Donna Novitsky, Yiftee CEO
DocuSign Envelope ID: FF57BB19-E5E2-4C31-BB03-B435D0953B5D Best Best & Krieger LLP, City Attorney
Approved as to Form:
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Yiftee Community Card Customer Agreement, Revised 2022-09-18
Community Card Customer Agreement
APPENDIX A - Pricing
Customer and Participants are not required to pay Yiftee a subscription fee or a revenue share.
Customer will deliver funds to Yiftee via check, ACH or wire transfer in advance of launching the program and therefore, as a result, Customer qualifies to pay the reduced eDelivery fee of $0.50+3% of the face value of the gift upon purchase. If Customer or any other party desires to purchase gifts using a credit card, the normal fee of $1+5% of the face value of the gift will be charged. Customer must contact Yiftee to enable the option to use a credit card for purchase.
Participants receive full value of redemptions less credit card processing fees for a card-not-present (CNP) transaction upon redemption. Yiftee does not control these fees; they are set by the Merchant Acquirer who is their credit card processor.
Where permitted by law, Yiftee will implement a monthly maintenance fee on eGift Cards that have been inactive (i.e. no spending on the Card) for periods of greater than 12 consecutive months.
Yiftee eGift Cards do not generally expire. Subject to applicable laws, in some cases eGift Cards given by corporations or merchants as promotions, rewards and awards may have expiration dates. In the case of eGift Cards expiring, Yiftee retains 10% of the original eGift Card value not to exceed the remaining unspent funds and refunds the balance to the purchaser’s Yiftee eGift Card account. eDelivery fees are not refunded. Expiring eGift Cards do not incur maintenance fees.
Participants may choose, at their discretion, to post Offers to encourage Purchasers to use their Community Cards in their stores.
Participants may choose, at their discretion, to offer rebates as fund raisers to local groups such as schools, churches and other non-profits. Such programs are an incentive for the local groups to sell Community Cards to their members, and for the Purchasers to use them in specific stores who are offering rebates. Yiftee will work with the Participants and Purchasers to execute such programs.
No tipping is allowed on Yiftee eGift Cards.
The maximum and minimum prices of gifts are determined by Yiftee in its sole discretion.
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ATTACHMENT 3
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Catalytic Converter Etching Program Grant
Summary
The grant program provides direct payments to qualified automotive repair shops and other businesses that perform catalytic converter painting and etching services for Lake Forest residents and businesses (businesses subject to five- vehicle maximum). Local businesses that had or continue to have a demonstrated impact from COVID-19 are eligible to apply. If approved, Lake Forest businesses will receive $125 to provide painting and etching of up to two exposed catalytic converters per vehicle. Only vehicles on the City’s approved list are eligible. Certain vehicles that have exposed catalytic converters may be eligible.
Purpose
Catalytic converter theft is a significant property crime impacting communities across the United States. According to the California Bureau of Automotive Repair, replacing a stolen catalytic converter can cost residents several thousand dollars. Thieves can quickly steal catalytic converters in less than a few minutes with electric saws and other power tools.
If apprehended by law enforcement, suspected thieves in possession of catalytic converters are difficult to prosecute because the stolen property must have a documented link to the vehicle it was stolen from. At this time, most catalytic converters are not manufactured with unique serial numbers or other insignias that would identify them to the source vehicle. Painting and etching a catalytic converter can help law enforcement and criminal prosecutors link suspected stolen catalytic converters with the source vehicle. This can lead to more streamlined prosecutions which will deter theft and bring justice to property crime victims.
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How this Program Works for Businesses
1. Local automotive businesses can submit this grant application form to the City of Lake Forest to be reviewed by staff.
2. Application must include details of COVID-19 impacts. Applicants can demonstrate they’ve had a COVID-19 impact by….
a. Summarizing retail sale revenue losses related to COVID-19
b. Summarizing employee retention and recruitment challenges related to COVID-19
c. Documenting that other COVID-19-related relief funds have been received by Federal, State, and or local public agencies
d. Summarizing significant operational cost increases related to complying with COVID-19-related government mandates
3. If approved, local business will be able to receive $125 per vehicle serviced. Residents and local businesses with vehicles registered to their Lake Forest business address will be able to schedule an appointment through the ordinary scheduling process at the business. Resident or business will present to the participating business the Program Validation Form. The Program Validation Form includes a scanned copy of the vehicle’s registration card.
4. Once work is completed, local business will submit to the City on a bi- weekly basis an invoice that includes the number of vehicles serviced and the corresponding Program Validation Forms.
5. Local business invoices will be processed through the ordinary accounts payable process at the City of Lake Forest (mailed check).
How this Program Works for Residents
1. Any Lake Forest resident or business that owns or leases a vehicle listed in this pre-qualified list (www.lakeforestca.gov/CatGrant) is eligible to participate. Residents who lease vehicles are encouraged to contact their lease administrator to confirm catalytic converter painting and etching is allowed per the conditions of the lease.
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2. If Lake Forest resident or business owns a vehicle that has a catalytic converter(s) that is accessible by sliding underneath the vehicle, but the vehicle make/model/year is not listed in the pre-qualified list, resident or business is encouraged to provide evidence (pictures and description) that the catalytic converter(s) on their vehicle are vulnerable to theft.
3. To apply, residents and businesses can visit
www.lakeforestca.gov/CatGrant to be redirected to a fillable form.
Residents will be required to submit a photocopy/scan of their current vehicle registration that describes their vehicle make, model, and year, along with the address for which the vehicle is registered. Only vehicles registered to a Lake Forest address are eligible under this program.
4. Once approved, Lake Forest residents and businesses will receive an authorization document to present to a participating automotive shop that provides services pursuant to this program. A list of these shops is here:
www.lakeforestca.gov/CatGrant.
5. Residents and businesses are encouraged to make an appointment at a participating automotive shop to receive the etching and painting service free of charge.
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Sample Local (Automotive Repair) Business Application – Catalytic Converter Etching Program
Background Information
1. Business Address
2. Business Phone
3. Business Website (if applicable)
4. Business Email
5. Contact Name (person filling out
form on behalf of business)
6. Are you authorized to submit
this form on behalf of the
business?
(__) Yes
(__) No
COVID-19 Impact Information
1. Was your business negatively
impacted by COVID-19 and
related economic effects?
(__) Yes
(__) No
2. Which of these impacts best
describes how your business
was impacted by COVID-19
(check all that apply)
(__) Increased costs related to
employee recruitment and retention
(__) Loss in retail sale revenue
(__) Increased operational costs to
comply with COVID-19-related
mandates and public health orders
(__) Our business received economic
assistance for COVID-19-related
impacts from Federal, State, and/or
local public agencies.
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COVID-19 Impact Information
3. If you received COVID-19-
related economic assistance,
which program did you
participate in?
(__) Federal Payment Protection
Program
(__) COVID-19 EIDL
(__) SBA Debt Relief
(__) FEMA Disaster Recovery
(__) Grant or Other Economic
Assistance from State of California
(__) Grant or Other Economic
Assistance from County of Orange
(__) Grants or Other Economic
Assistance from City of Lake Forest
(__) Other, please describe:
4. Please describe the financial
impact your business
experienced due to COVID-19.
Business Capabilities
1. Does your business currently
offer catalytic converter painting
and etching as a service?
(__) Yes
(__) No
2. Is your business able to transmit
photocopies of vehicle
registration documents
submitted by residents along
with invoices to the City of Lake
Forest on a regular basis?
(__) Yes
(__) No
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Business Capabilities
3. Is your business able to provide
painting and etching services for
up to catalytic converters per
vehicle at a rate of $125 per
vehicle?
(__) Yes
(__) No
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Catalytic Converter Shield Rebate Program
Summary
The grant program provides direct funds to residents and local businesses seeking to purchase and install catalytic converter shields for certain vehicles subject to frequent catalytic converter theft. Under this program, residents and local businesses (subject to a five-vehicle maximum) will be able to receive a $250 gift card that is redeemable at any participating automotive repair shop that has a certified installer relationship with either Miller Cat or Get Cat Security (Cap City Muffler). Automotive repair shops that wish to participate in this program are encouraged to apply and demonstrate they’ve experienced a negative economic impact related to COVID-19.
Purpose
Catalytic converter theft is a significant property crime impacting communities across the United States. According to the California Bureau of Automotive Repair, replacing a stolen catalytic converter can cost residents several thousand dollars. Thieves can quickly steal catalytic converters in less than a few minutes with electric saws and other power tools.
Despite the best efforts of law enforcement, catalytic converter theft remains stubbornly common. Catalytic converter shields are theft deterrent devices that make it more difficult for would-be thieves to steal catalytic converters and resell them to unscrupulous recycling centers. Catalytic converter thieves prefer to quickly remove catalytic converters and leave the area. Catalytic converter shields make it significantly more difficult to catalytic converters, and in some cases, nearly impossible without certain uncommon tools. In theory, the Item: 14
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presence of a catalytic converter shield will lead to would-be thieves deciding not to attempt to remove the catalytic converter and move on to an easier target.
How this Program Works for Businesses
1. Local automotive business can submit this grant application form to the City of Lake Forest to be reviewed by staff.
2. Application must include details of COVID-19 impacts. Applicants can demonstrate they’ve had a COVID-19 impact by….
a. Summarizing retail sale revenue losses related to COVID-19
b. Summarizing employee retention and recruitment challenges related to COVID-19
c. Documenting that other COVID-19-related relief funds have been received by Federal, State, and or local public agencies
d. Summarizing significant operational cost increases related to complying with COVID-19-related government mandates
3. If approved, local business will be eligible to process program-specific gift cards from residents with a value of $250. The gift cards will be provided electronically to residents by Yiftee, Inc. Residents (or local businesses with vehicles registered to their local business address) will apply to receive the gift card via an online form. Once approved, residents will receive the electronic gift card and a program authorization notice. Local business will be required to sign a program participation agreement which will require gift cards can only be redeemed for the purchase and installation of catalytic converter shields.
4. Residents and approved local businesses will then schedule a time to visit the local automotive repair business and have a shield installed. The local automotive repair business will need to procure the shield on behalf of the resident and provide a final invoice to the resident or local business participant once the shield is installed. The invoice must include the cost of materials (shield and associated hardware) and labor. Resident will be able to use the gift card (valued at $250) towards the payment of the invoice. The remaining balance on the invoice after the gift card is redeemed is the responsibility of the resident.
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5. Once this gift card is redeemed and the catalytic converter shield is installed, no further action is required by the local business.
How this Program Works for Residents
1. Any Lake Forest resident that owns or leases a vehicle listed in this pre- qualified list www.lakeforestca.gov/CatGrant is eligible to participate.
Residents are encouraged to visit the websites for Miller Cat (www.millercat.com) and Get Cat Security (www.getcatsecurity.com) to browse shields that will fit their vehicle. Residents who lease vehicles are encouraged to contact their lease administrator to confirm catalytic converter shield installation is allowed per the conditions of their lease.
2. To apply, residents and local businesses with vehicles registered to their local business address can visit www.lakeforestca.gov/CatGrant to be redirected to a fillable form. Residents and local businesses will be required to submit a photocopy/scan of their current vehicle registration that describes their vehicle make, model, and year, along with the address for which the vehicle is registered. Only vehicles registered to a Lake Forest address are eligible under this program.
3. Once approved, Lake Forest residents and local businesses will receive a confirmation email that will include an electronic gift card with a $250 redemption value. Residents and local businesses will need to contact an automotive shop that is approved to participate in this program and accept the gift card to coordinate shield installation. A list of participating automotive shops is provided here: www.lakeforestca.gov/CatGrant.
4. Once catalytic converter shield is installed on the vehicle, resident or local business with vehicles registered to their local business address will be required to pay the full amount of the invoice generated by the automotive shop that performed the work. Residents and local businesses will be responsible for any invoiced amount in excess of $250.
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Sample Local Business (Automotive Shop) Application – Catalytic Converter Shield Rebate Program
Background Information
1. Business Address
2. Business Phone
3. Business Website (if applicable)
4. Business Email
5. Contact Name (person filling out
form on behalf of business)
6. Are you authorized to submit
this form on behalf of the
business?
(__) Yes
(__) No
COVID-19 Impact Information
1. Was your business negatively
impacted by COVID-19 and
related economic effects?
(__) Yes
(__) No
2. Which of these impacts best
describes how your business
was impacted by COVID-19
(check all that apply)
(__) Increased costs related to
employee recruitment and retention
(__) Loss in retail sale revenue
(__) Increased operational costs to
comply with COVID-19-related
mandates and public health orders
(__) Our business received economic
assistance for COVID-19-related
impacts from Federal, State, and/or
local public agencies.
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COVID-19 Impact Information
3. If you received COVID-19-
related economic assistance,
which program did you
participate in?
(__) Federal Payment Protection
Program (PPP)
(__) COVID-19 EIDL (Economic
Disaster Loan)
(__) SBA Debt Relief
(__) FEMA Disaster Recovery
(__) Grant or Other Economic
Assistance from State of California
(__) Grant or Other Economic
Assistance from County of Orange
(__) Grants or Other Economic
Assistance from City of Lake Forest
(__) Other, please describe:
4. Please describe the financial
impact your business
experienced due to COVID-19.
Business Capabilities
1. Does your business currently
provide installation services for
catalytic converter shields?
(__) Yes
(__) No
2. Does your business have a
“certified installer” or other
relationship with either Get Cat
Security or Miller Cat that
evidences the capability of your
(__) Yes
(__) No
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Business Capabilities
business to install shield
equipment properly?
3. Is your business able to accept
credit cards and gift cards
provided by Mastercard?
(__) Yes
(__) No
4. Does your business have the
ability to accept Mastercard
credit or gift cards that require a
manual entry of card numbers?
(__) Yes
(__) No
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CITY COUNCIL AGENDA REPORT
MEETING DATE: 12/20/2022
DEPARTMENT: City Manager
SUBJECT:
AUTHORIZING APPLICATION FOR PERMANENT LOCAL HOUSING
ALLOCATION PROGRAM GRANT AND APPROVAL OF THE PROPOSED
FIVE-YEAR PLAN
RECOMMENDED ACTION(S):
1. Conduct the noticed public hearing to review and consider the Five-Year Permanent Local Housing Allocation Plan.
2. Adopt a Resolution entitled: AUTHORIZING RESOLUTION OF THE CITY
COUNCIL OF THE CITY OF LAKE FOREST, CALIFORNIA
AUTHORIZING THE APPLICATION AND ADOPTING THE PERMANENT
LOCAL HOUSING ALLOCATION (PLHA) PLAN FOR THE PLHA
PROGRAM.
3. Authorize the City Manager to execute the Permanent Local Housing Allocation Program Application, the Permanent Local Housing Allocation Program Standard Agreement, and any subsequent amendments or modifications related to the Program or grant.
EXECUTIVE SUMMARY:
As part of a comprehensive package of California housing legislation in 2017, Senate Bill 2 (“SB 2”) established a funding source for eligible affordable housing and homelessness prevention activities through a recordation fee on certain real estate transactions. The Permanent Local Housing Allocation (“PLHA”) is a permanent program with revenue estimates updated on a 5-year cycle. The PLHA fund is estimated to provide $1,326,420 to the City over the initial 5-year allocation period (2019-2023).
The City is eligible to apply for $221,070 in 2019 funds, $343,611 in 2020 funds, and $378,133 in 2021 funds. The revenue from SB 2 will vary year-to-year, as revenue is dependent on real estate transactions that may fluctuate in activity.
Staff would submit streamlined applications for 2022 and 2023 once funding availability for subsequent years is made public. The City would be eligible to Item: 15
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apply for the next five-year cycle (2024-2028) in 2025. The money must be allocated for eligible housing and homelessness activities.
Staff is recommending the City Council adopt the proposed resolution authorizing projects utilizing PLHA funds to the State Department of Housing and Community Development (“HCD”) for the PLHA program funding (Attachment) and authorize the City Manager to execute the PLHA Program Application, the PLHA Standard Agreement, and any subsequent amendments or modifications related to the Program or the PLHA grant. There is no immediate fiscal impact associated with the recommended actions.
BACKGROUND:
In 2017, the State of California approved SB 2, known as the “Building Homes and Jobs Act.” The purpose of the bill is to establish a permanent source of funding for housing-related issues. The source of funding is secured through a fee that is imposed at the time of recording of every real estate instrument, paper, or notice for each single real estate transaction on a parcel of property.
Sales of single-family homes are exempt from this fee. Revenue for this program will vary from year to year depending on market activity.
The legislation directed HCD to use 70 percent of the revenues collected, beginning calendar year 2019, to provide financial assistance to local governments for eligible housing and homelessness activities. This is a permanent, on-going source of funding, and the 5-year funding cycle will continue after this cycle.
Permanent Local Housing Allocation Program
On February 26, 2020, HCD released a Notice of Funding Availability (“NOFA”) for approximately $195 million in funds earmarked for local government planning grants. PLHA is an ongoing formula grant that provides non-competitive funding to Community Development Block Grant (“CDBG”) entitlement cities, as well as competitive grant funding to non-entitlement cities. Lake Forest’s allocation is based on the federal formula used to allocate CDBG funding.
The PLHA funding must be expended within five years from HCD approval of the allocation and eligible activity. Eligible PLHA activities include, but are not limited to, the following:
•Acquisition, development, rehabilitation, and preservation of multifamily rental housing;
•Acquisition, development, rehabilitation, and preservation of affordable rental and ownership housing, including accessory dwelling units; Item: 15
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•Matching portions of funds placed into Regional Housing Trust Funds; •Assisting persons experiencing or at risk of homelessness, including rapid re-housing, rental assistance, and supportive/case management services; •Efforts to acquire and rehabilitate foreclosed or vacant homes or apartments; and
•Homeownership opportunities including down payment assistance To be eligible, local jurisdictions must have a State-certified and compliant Housing Element and have timely Annual Progress Reports (“APR”) on the Housing Element submitted per State law. The City is in the process of re-writing and re-adopting its Housing Element per direction from HCD. HCD will review the City’s third draft of the Housing Element after the City Council reviews and potentially adopts the new document at its January 3, 2023 City Council meeting.
The program guidelines require that the grant application include an adopted City Council resolution authorizing the request and receipt of grant funds for the Five- Year Plan.
DISCUSSION:
On August 17, 2022, HCD released its 2022 PLHA NOFA. The fund is estimated to provide $1,326,420 to the City over the initial 5-year allocation period (2019- 2023). The City is eligible to apply for $221,070 in 2019 funds, $343,611 in 2020 funds, and $378,133 in 2021 funds. HCD anticipates awardees will be announced in January 2023. The City can carry over unexpended funds into the next program year, but each year’s funding allocation must be spent within five years as detailed in Table 1 below.
Table 1: Expenditure Deadline
Year Allocation Expenditure Deadline
Year 1 (2019) $221,070 April 30, 2024
Year 2 (2020) $343,611 April 30, 2025
Year 3 (2021) $378,133 April 30, 2026
Year 4 (2022) TBD April 30, 2027
Year 5 (2023) TBD April 30, 2028
The City must submit a one-page, streamlined PLHA application in 2023 and 2024 to obtain allocations for 2022 and 2023, respectively.
Five-Year Plan
The PLHA program requires the preparation of a Five-Year Plan outlining the proposed use of funds. The proposed plan, as outlined in Exhibit 1 of the Item: 15
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Attachment, requests the City fund an eligible activity as identified in the NOFA.
The eligible activity is listed below:
•Assisting persons who are experiencing or at risk of homelessness, including, but not limited to, providing rapid rehousing, rental assistance, supportive/case management services that allow people to obtain and retain housing, operating and capital costs for navigation centers and emergency shelters, and the new construction, rehabilitation, and preservation of permanent and transitional housing.
The PLHA grant would fund current homeless street outreach and coordination services through Mercy House and the Orange County Sheriff’s Department (“OCSD”) Homeless Liaison Officer as well as fund a new Homeless Outreach Coordinator position. Together, the City’s outreach efforts would continue to connect homeless individuals with service opportunities, reduce the number of unsheltered individuals living in the community, and conduct outreach and engagement efforts in coordination.
Conclusion
A requirement of submittal is a fully executed resolution authorizing projects utilizing PLHA funds in a form provided by HCD. Should the City be awarded the grant allocations for 2019, 2020, and 2021, the City would need to enter into a Standard Agreement that would set forth conditions for funding and required milestones. Staff would work with the City’s Human Resources consultant to prepare a job specification and salary for the Homeless Outreach Coordinator position for the City Council’s review and approval during the upcoming 2-year budget process.
Staff is recommending the City Council adopt the proposed resolution authorizing projects utilizing PLHA funds to HCD for the PLHA program funding and authorize the City Manager to execute the PLHA Program Application, the PLHA Standard Agreement, and any subsequent amendments or modifications related to the Program or the PLHA grant.
FISCAL IMPACT:
There is no immediate fiscal impact associated with the recommended actions. Should the City be awarded these funds, staff would prepare a budget adjustment during the mid-year budget review.
ATTACHMENTS:
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City Council Resolution Authorizing the Application and Adopting the PLHA Plan and Receipt of Funding
Initiated By: Adrian Grijalva, Senior Management Analyst Submitted By: Keith Neves, Assistant City Manager
Approved By: Debra Rose, City Manager
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ATTACHMENT
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RESOLUTION NO. 2022-0XX
CITY OF LAKE FOREST, CALIFORNIA
AUTHORIZING RESOLUTION OF THE CITY COUNCIL OF THE
CITY OF LAKE FOREST, CALIFORNIA
AUTHORIZING THE APPLICATION AND ADOPTING THE PERMANENT
LOCAL HOUSING ALLOCATION (PLHA) PLAN FOR THE PLHA PROGRAM
WHEREAS, the below-recorded members of the City Council of the City of Lake Forest, California, hereby consents to, adopts, and ratifies the following resolution:
A. WHEREAS, the Department is authorized to provide up to $335 million under the SB 2 Permanent Local Housing Allocation Program (PLHA) Formula Component from the Building Homes and Jobs Trust Fund for assistance to Cities and Counties (as described in Health and Safety Code section 50470, et seq. (Chapter 364, Statutes of 2017 (SB 2)).
B. WHEREAS, the State of California (the “State”), Department of Housing and Community Development (“Department”) issued a Notice of Funding Availability (“NOFA”) dated 8/17/2022 under the PLHA Program.
C. WHEREAS, the City of Lake Forest is an eligible Local government who has applied for program funds to administer one or more eligible activities, or a Local or Regional Housing Trust Fund to whom an eligible Local government delegated its PLHA formula allocation.
D. WHEREAS, the Department may approve funding allocations for PLHA Program, subject to the terms and conditions of the Guidelines, NOFA, Program requirements, the Standard Agreement, and other contracts between the Department and PLHA grant recipients; NOW THEREFORE BE IT RESOLVED THAT:
1. If Applicant receives a grant of PLHA funds from the Department pursuant to the above referenced PLHA NOFA, it represents and certifies that it will use all such funds in a manner consistent and in compliance with all applicable state and federal statutes, rules, regulations, and laws, including without limitation all rules and laws regarding the PLHA Program, as well as any and all contracts Applicant may have with the Department.
2. Applicant is hereby authorized and directed to receive a PLHA grant, in an amount not to exceed the five-year estimate of the PLHA formula allocations, as stated in Appendix C of the current NOFA -$1,326,420 in accordance with all applicable rules and laws.
3. Applicant hereby agrees to use the PLHA funds for eligible activities as approved by the Department and in accordance with all Program requirements, Guidelines, other rules and laws, as well as in a manner consistent and in compliance with the Standard Agreement and other contracts between the Applicant and the Department.
4. Pursuant to Section 302(c)(4) of the Guidelines, Applicant’s PLHA Plan for the 2019- 2023 Allocations is attached to this resolution, and Applicant hereby adopts this PLHA Plan and certifies compliance with all public notice, public comment, and public hearing requirements in accordance with the Guidelines.
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RESOLUTION NO. 2022-0XX