LIVE OAK CITY COUNCIL AGENDA – JANUARY 5, 2022
The Council may take up any agenda item at any time, regardless of the order listed. Action may be taken on any item on this agenda. Materials related to an item on this Agenda submitted to the Council after distribution of the agenda packet are available for public inspection at City Hall, 9955 Live Oak Boulevard, Live Oak, during normal business hours.
Such documents are also available on the City of Live Oak’s website at www.liveoakcity.org, subject to staff’s availability to post the documents before the meeting.
In compliance with the Americans with Disabilities Act, the meeting room is wheelchair accessible and disabled parking is available. If you have a disability and need disability-related modifications or accommodations to participate in this meeting, please contact the City Clerk’s office at (530) 695-2112 x107. Requests must be made at least 24 hours in advance.
Pursuant to Governor Newsom’s Executive Orders N-25-20 and N-29-20, members of the Live Oak City Council or staff may participate in this meeting via a teleconference. In the interest of the maintaining appropriate social distancing, members of the public are encouraged to participate in the meeting in the following ways:
• Remote Viewing:
o Members of the public can view a livestream of the meeting online at https://liveoakca.granicus.com/ViewPublisher.php?view_id=1. o Members of the public can access the Zoom webinar as follows:
▪ Join by Electronic Device:
https://us02web.zoom.us/j/89472471140
▪ Join by Phone:
1-669-900-6833 or 1-833-548-0282 (Toll Free)
Webinar ID: 894 7247 1140
LIVE OAK
CITY COUNCIL
REGULAR MEETING AGENDA
JANUARY 5, 2022
6:00 PM
MEETING LOCATION
LIVE OAK COUNCIL CHAMBERS
9955 LIVE OAK BOULEVARD
LIVE OAK, CALIFORNIA 95953
MEMBERS OF THE COUNCIL
NANCY SANTANA, MAYOR
BOB WOTEN, VICE MAYOR
JERAMY CHAPDELAINE, COUNCILMEMBER
LAKHVIR GHAG, COUNCILMEMBER
J.R. THIARA, COUNCILMEMBER
AARON PALMER,
CITY MANAGER
NICOLE ROSSER,
CITY ATTORNEY
1 LIVE OAK CITY COUNCIL AGENDA – JANUARY 5, 2022
• Public Comment: Members of the public can submit general public comments, as well as comment on specific agenda items in the following ways:
o Public Attendance: Members of the public who attend in person may make comments from the Council Chamber podium.
o Live Remote Public Comment: Members of the public can submit a live remote public comment by:
▪ Joining the virtual Council meeting via the link below. When public comment is opened, raise your virtual hand and be called upon to speak for up to 3 minutes. https://us02web.zoom.us/j/89472471140
▪ Joining the virtual Council meeting by calling the phone number below. When public comment is opened, dial *9 to raise your hand and be called upon to speak for up to 3 minutes. 1-669-900-6833 or 1-833-548-0282 (Toll Free)
Webinar ID: 894 7247 1140
o Email Public Comment: Comments from the public on agenda items will be accepted until 1:00 pm on the date of the meeting, via email to the City Clerk at [email protected], and read into the record during public comment.
o eComment Feature: Public Comment will be accepted online between Friday, December 31st through Wednesday, January 5th at 1:00 pm through the eComment feature at:
https://liveoakca.granicus.com/ViewPublisher.php?view_id=1. 2 LIVE OAK CITY COUNCIL AGENDA – JANUARY 5, 2022
CALL TO ORDER
ROLL CALL
PLEDGE OF ALLEGIANCE AND INVOCATION
CORRECTIONS AND/OR CHANGES TO THE AGENDA BY CITY MANAGER ONLY
PUBLIC COMMENT
Any person wishing to address the City Council on general jurisdictional matters or consent calendar items may do so at this time. If you are commenting on an agenda item, your comments will be heard at the time that item is scheduled for discussion. The City Council adopted a time limit of three minutes per person. The Brown Act does not allow for Council discussion of items not on the agenda.
Councilmembers may only a) refer the matter to staff; b) ask for additional information; c) request a report back; or d) provide a limited factual response for items not listed on the agenda.
CONSENT ITEMS
Consent Calendar is passed by one motion with exceptions and separate votes as noted.
1. City Council Meeting Minutes
Recommendation: Approve the December 1, 2021 City Council Regular Meeting minutes. (Clarissa Menchaca, City Clerk)
2. City Council Meeting Minutes
Recommendation: Approve the December 15, 2021 City Council Regular Meeting minutes. (Clarissa Menchaca, City Clerk)
3. City Council Meeting Minutes
Recommendation: Approve the December 20, 2021 City Council Special Meeting minutes. (Clarissa Menchaca, City Clerk)
4. City Council Meeting Minutes
Recommendation: Approve the December 21, 2021 City Council Special Meeting minutes. (Clarissa Menchaca, City Clerk)
5. California Department of Resources Recycling and Recovery (CalRecycle) a Collaborative Application for the Waste Tire Enforcement Grant, Fiscal Year 2022-23 Yuba County Applicant on Behalf of the City of Live Oak
Recommendation: Adopt resolution authorizing the County of Yuba to submit to CalRecycle a collaborative application for the Waste Tire Enforcement Grant, Fiscal Year 2022-23 on its behalf. (Alison Schmidt, Acting Chief Building Official)
6. Clean California Local Grant Program Notice of Funding Availability and 2022 Grant Application Recommendation: Accept for information.
(Alison Schmidt, Acting Chief Building Official)
7. 2020-2021 HOME Program Notice of Funding Availability and 2022 HOME Program Application Recommendation: Accept for information.
(Alison Schmidt, Acting Chief Building Official)
3 LIVE OAK CITY COUNCIL AGENDA – JANUARY 5, 2022
8. Filing and Acceptance of State Required Annual Report for Fiscal Year 2021-22 for Community Facilities District No. 92-1 of the City of Live Oak
Recommendation: Accept and file.
(James Ramsey, Finance Director)
9. Filing and Acceptance of State Required Annual Report for Fiscal Year 2021-22 for Community Facilities District No. 2004-1 of the City of Live Oak
Recommendation: Accept and file.
(James Ramsey, Finance Director)
BUSINESS ITEMS
10. Adoption of Proposed Amended Regional Waste Management Authority (RWMA) Joint Powers Agreement (JPA) and Amended Regional Agency Formation Agreement Expanding the Powers and Authority of the RWMA; Modifying Provisions for Future Amendments; Modifying Provisions for the Withdrawal of a Member Agency; and, Establishing Provisions for Removal of a Member Agency Recommendation: Adopt resolution approving the proposed RWMA Fourth Amended and Restated JPA and RWMA Amended Regional Agency Formation Agreement. (Aaron Palmer, City Manager)
ITEMS REMOVED FROM THE CONSENT AGENDA FOR COUNCIL CONSIDERATION AND ACTION
UPDATES AND ANNOUNCEMENTS FROM THE CITY ATTORNEY AND CITY MANAGER
COUNCILMEMBER COMMENTS (WRITTEN ONLY)
ADJOURNMENT
4 City of Live Oak
Report to City Council
Meeting Date: January 5, 2022
Title: City Council Meeting Minutes
Contact Information: Clarissa Menchaca, City Clerk
Recommendation: Approve the December 1, 2021 City Council Regular Meeting minutes.
Attachments:
Minutes
5 LIVE OAK CITY COUNCIL MINUTES – DECEMBER 1, 2021
The Live Oak City Council conducted this meeting in accordance with Governor Newsom’s Executive Orders N25-20 and N-29-20.
CALL TO ORDER
Meeting called to order by Vice Mayor Santana at Live Oak City Council Chambers, 9955 Live Oak Boulevard, Live Oak, CA at 6:06 pm.
ROLL CALL
Present: Councilmembers Thiara, Ghag, Woten, and Vice Mayor Santana
PLEDGE OF ALLEGIANCE AND INVOCATION
Councilmember Ghag led the Pledge of Allegiance. Councilmember Woten delivered the invocation.
CORRECTIONS AND/OR CHANGES TO THE AGENDA BY CITY MANAGER ONLY There were no corrections and/or changes to the agenda.
CLOSED SESSION REPORT
There was no reportable action taken.
PUBLIC COMMENT
The following members of the public submitted a public comment: Jaime Gonzalez, and Cruz Mora.
The following member of the public addressed the Council: Laurie Schuster.
LIVE OAK
CITY COUNCIL
MINUTES
DECEMBER 1, 2021
6:00 PM
6 LIVE OAK CITY COUNCIL MINUTES – DECEMBER 1, 2021
CONSENT ITEMS
Consent Calendar is passed by one motion with exceptions and separate votes as noted.
MOTION: APPROVE THE CONSENT AGENDA, WITH THE EXCEPTION OF ITEM 3 WHICH WAS PULLED FOR FURTHER DISCUSSION.
(MOTION: GHAG; SECOND: WOTEN)
VOTE: MOTION PASSED UNANIMOUSLY
1. City Council Meeting Minutes
Clarissa Menchaca, City Clerk
Council action: November 17, 2021 City Council Regular Meeting minutes approved.
2. City Council Meeting Minutes
Clarissa Menchaca, City Clerk
Council action: November 17, 2021 City Council Special Meeting minutes approved.
3. Resolution of the City Council of the City of Live Oak Approving Applications for Per Capita Grant Funds Alison Schmidt, Acting Chief Building Official
This item was removed from the Consent Agenda for further discussion at the request of Councilmember Thiara.
BUSINESS ITEMS
4. Parks and Recreation Annual Report 2020 and 2021
Luis Cibrian, Parks and Recreation Director
Luis Cibrian, Parks and Recreation Director, provided a report for the Council.
Public Comment was opened and closed without any speakers.
Council action: Accepted for information.
7 LIVE OAK CITY COUNCIL MINUTES – DECEMBER 1, 2021
ITEMS REMOVED FROM THE CONSENT AGENDA FOR COUNCIL CONSIDERATION AND ACTION
3. Resolution of the City Council of the City of Live Oak Approving Applications for Per Capita Grant Funds Alison Schmidt, Acting Chief Building Official
Alison Schmidt, Acting Chief Building Official, addressed questions from the Council.
The following members of the public addressed the Council: Jeramy Chapdelaine, and Jimmy Wolfe.
Luis Cibrian, Parks and Recreation Director, addressed the Council.
MOTION: ADOPT RESOLUTION APPROVING APPLICATIONS FOR PER CAPITA GRANT FUNDS FROM THE STATE DEPARTMENT OF PARKS AND RECREATION.
(MOTION: WOTEN; SECOND: SANTANA)
MOTION: AMEND MOTION TO INCLUDE THAT ALL THE INFORMATION BE BROUGHT BACK TO THE COUNCIL, ALL
THE DECISIONS BEFORE THEY ARE MADE SHOULD BE APPROVED BY THE COUNCIL, AND ALL THE FINANCIAL INFORMATION THE COUNCIL SHOULD BE MADE AWARE OF. (MOTION: GHAG)
AMENDMENT ACCEPTED BY COUNCILMEMBER WOTEN AND VICE MAYOR SANTANA.
VOTE: MOTION PASSED UNANIMOUSLY
Reference Resolution No. 17-2021.
UPDATES AND ANNOUNCEMENTS FROM THE CITY ATTORNEY AND CITY MANAGER No updates and announcements from the City Attorney and City Manager.
COUNCILMEMBER COMMENTS (WRITTEN ONLY)
Councilmember Ghag inquired if council members can provide a verbal report regarding their attendance at committee meetings they serve on with a time limit provided.
CLOSED SESSION
5. Conference with Labor Negotiators Pursuant to California Government Code Section 54957.6:
Agency Designated Representatives: Aaron Palmer, City Manager and Don Turko, City Labor Negotiator Employee Organization: Public Employees Union Local #1 (AFSME)
ADJOURNMENT
Adjourned the meeting at 7:01 pm.
Nancy Santana, Vice Mayor
ATTEST:
Clarissa Menchaca, City Clerk
8 City of Live Oak
Report to City Council
Meeting Date: January 5, 2022
Title: City Council Meeting Minutes
Contact Information: Clarissa Menchaca, City Clerk
Recommendation: Approve the December 15, 2021 City Council Regular Meeting minutes.
Attachments:
Minutes
9 LIVE OAK CITY COUNCIL MINUTES – DECEMBER 15, 2021
The Live Oak City Council conducted this meeting in accordance with Governor Newsom’s Executive Orders N25-20 and N-29-20.
CALL TO ORDER
Meeting called to order by Vice Mayor Santana at Live Oak City Council Chambers, 9955 Live Oak Boulevard, Live Oak, CA at 6:02 pm.
ROLL CALL
Present: Councilmembers Thiara, Ghag, Woten, and Vice Mayor Santana
PLEDGE OF ALLEGIANCE AND INVOCATION
Councilmember Ghag led the Pledge of Allegiance. Councilmember Woten delivered the invocation.
CORRECTIONS AND/OR CHANGES TO THE AGENDA BY CITY MANAGER ONLY There were no corrections and/or changes to the agenda.
CLOSED SESSION REPORT
There was no reportable action.
PUBLIC COMMENT
Public Comment was opened and closed without any speakers.
LIVE OAK
CITY COUNCIL
MINUTES
DECEMBER 15, 2021
6:00 PM
10 LIVE OAK CITY COUNCIL MINUTES – DECEMBER 15, 2021
CONSENT ITEMS
Consent Calendar is passed by one motion with exceptions and separate votes as noted.
MOTION: APPROVE THE CONSENT AGENDA, WITH THE EXCEPTION OF ITEM 1 WHICH WAS PULLED FOR FURTHER DISCUSSION.
(MOTION: GHAG; SECOND: WOTEN)
VOTE: MOTION PASSED UNANIMOUSLY
1. City Council Meeting Minutes
Clarissa Menchaca, City Clerk
This item was removed from the Consent Agenda for further discussion at the request of Councilmember Thiara.
2. Memorandum of Understanding (MOU) with Public Employees Union Local #1 Aaron Palmer, City Manager
Council action: MOU with Public Employees Union Local #1 approved.
ITEMS REMOVED FROM THE CONSENT AGENDA FOR COUNCIL CONSIDERATION AND ACTION
1. City Council Meeting Minutes
Clarissa Menchaca, City Clerk
This item will return at a future meeting date.
UPDATES AND ANNOUNCEMENTS FROM THE CITY ATTORNEY AND CITY MANAGER Aaron Palmer, City Manager, highlighted the Christmas Stroll, Santa on a Fire Engine, and the Holiday Lights Decorating Contest.
COUNCILMEMBER COMMENTS (WRITTEN ONLY)
Vice Mayor Santana thanked the City and Parks and Recreation Department for the community Christmas events.
Councilmember Ghag highlighted his attendance at the Christmas Stroll.
Councilmember Woten discussed his attendance at the Christmas Stroll and inquired about getting the word out to the public regarding the Holiday Lights Decorating Contest.
ADJOURNMENT
Adjourned the meeting at 6:13 pm.
Nancy Santana, Vice Mayor
ATTEST:
Clarissa Menchaca, City Clerk
11 City of Live Oak
Report to City Council
Meeting Date: January 5, 2022
Title: City Council Meeting Minutes
Contact Information: Clarissa Menchaca, City Clerk
Recommendation: Approve the December 20, 2021 City Council Special Meeting minutes.
Attachments:
Minutes
12 LIVE OAK CITY COUNCIL MINUTES – DECEMBER 20, 2021
The Live Oak City Council conducted this meeting in accordance with Governor Newsom’s Executive Orders N25-20 and N-29-20.
CALL TO ORDER
Meeting called to order by Vice Mayor Santana at Live Oak City Council Chambers, 9955 Live Oak Boulevard, Live Oak, CA at 3:37pm.
ROLL CALL
Present: Councilmembers Thiara, Ghag, Woten and Vice Mayor Santana
PUBLIC COMMENT
Public Comment was opened and closed without any speakers.
BUSINESS ITEMS
1. Adoption of City Budget for Fiscal Year (FY) 2021-22 James Ramsey, Finance Director
Public Comment was opened and closed without any speakers.
MOTION: ADOPT RESOLUTION ADOPTING THE FY 2021-22 ANNUAL BUDGET. (MOTION: THIARA; SECOND: SANTANA)
VOTE: MOTION PASSED UNANIMOUSLY
Reference Resolution No. 18-2021.
ADJOURNMENT
Adjourned the meeting at 3:40 pm.
Nancy Santana, Vice Mayor
ATTEST:
Clarissa Menchaca, City Clerk
LIVE OAK
CITY COUNCIL
SPECIAL MEETING MINUTES
DECEMBER 20, 2021
3:30 PM
13 City of Live Oak
Report to City Council
Meeting Date: January 5, 2022
Title: City Council Meeting Minutes
Contact Information: Clarissa Menchaca, City Clerk
Recommendation: Approve the December 21, 2021 City Council Special Meeting minutes.
Attachments:
Minutes
14 LIVE OAK CITY COUNCIL MINUTES – DECEMBER 21, 2021
The Live Oak City Council conducted this meeting in accordance with Governor Newsom’s Executive Orders N25-20 and N-29-20.
CALL TO ORDER
Meeting called to order by Vice Mayor Santana at Live Oak City Council Chambers, 9955 Live Oak Boulevard, Live Oak, CA at 6:33 pm.
ROLL CALL
Present: Councilmembers Thiara, Ghag, Woten and Vice Mayor Santana
PLEDGE OF ALLEGIANCE AND INVOCATION
Councilmember Ghag led the Pledge of Allegiance. Councilmember Woten delivered the invocation.
ELECTION RESULTS
1. Resolution Declaring the Results of the December 7, 2021 Vacancy Election Clarissa Menchaca, City Clerk
Clarissa Menchaca, City Clerk, provided a report for the Council.
Public Comment was opened and closed without any speakers.
MOTION: ADOPT RESOLUTION.
(MOTION: THIARA; SECOND: GHAG)
VOTE: MOTION PASSED UNANIMOUSLY
Reference Resolution No. 19-2021.
LIVE OAK
CITY COUNCIL
SPECIAL MEETING MINUTES
DECEMBER 21, 2021
6:30 PM
15 LIVE OAK CITY COUNCIL MINUTES – DECEMBER 21, 2021
2. Swearing-In of Elected Council Member
Clarissa Menchaca, City Clerk
Clarissa Menchaca, City Clerk, provided a report for the Council.
Donna Johnston, Sutter County Clerk-Recorder / Registrar of Voters, conducted the swearing-in of Jeramy Chapdelaine.
CITY COUNCIL ORGANIZATION FOR 2022
3. Election of Council Mayor
MOTION: NOMINATE NANCY SANTANA FOR MAYOR.
(MOTION: THIARA; SECOND: WOTEN)
VOTE: MOTION PASSED UNANIMOUSLY
4. Election of Council Vice Mayor
MOTION: NOMINATE LAKHVIR GHAG FOR VICE MAYOR.
(MOTION: THIARA)
*CLERK’S NOTE: MOTION DIED FOR LACK OF A SECOND.
MOTION: NOMINATE BOB WOTEN FOR VICE MAYOR.
(MOTION: SANTANA; SECOND: WOTEN)
VOTE: MOTION PASSED UNANIMOUSLY
PUBLIC COMMENT
Public Comment was opened and closed without any speakers.
ADJOURNMENT
Adjourned the meeting at 6:42 pm.
Nancy Santana, Mayor
ATTEST:
Clarissa Menchaca, City Clerk
16 City of Live Oak
Report to City Council
Meeting Date: January 5, 2022
Title: California Department of Resources Recycling and Recovery (CalRecycle) a Collaborative Application for the Waste Tire Enforcement Grant, Fiscal Year 2022-23 Yuba County Applicant on Behalf of the City of Live Oak Contact Information: Alison Schmidt, Acting Chief Building Official Location: City Wide
Background: The County of Yuba Environmental Health operates as the Yuba-Sutter LEA (Local Enforcement Agency) to perform waste tire activities on behalf of the City of Live Oak. In order for Yuba County to submit to the California Department of Resources Recycling and Recovery a Collaborative Application for the Waste Tire Enforcement Grant, Fiscal Year 2022-23 on behalf of the City of Live Oak, it is necessary for the Council to adopt a resolution authorizing and empowering the County of Yuba to execute all grant-related documents, including, but not limited to applications, payment requests, agreements, and amendments necessary to secure grant funds and implement and carry out the purposes specified in the grant application, and to further authorize the County of Yuba to conduct waste tire enforcement activities within the jurisdictional boundaries of the City of Live Oak during the term of Fiscal Year 2022-23 Local Government Waste Tire Enforcement Grant.
The City has been partnering annually with Yuba County since 2011 in this program. Information regarding the program can be found on the Yuba County Environmental Health Website at
https://www.yuba.org/departments/community_development/environmental_health/solid_ Fiscal Impacts: None.
Recommendation: Adopt resolution authorizing the County of Yuba to submit to CalRecycle a collaborative application for the Waste Tire Enforcement Grant, Fiscal Year 2022-23 on its behalf.
Attachments:
Resolution
17 Resolution No. XX-2022
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF LIVE OAK AUTHORIZING THE COUNTY OF YUBA TO SUBMIT TO
THE CALIFORNIA DEPARTMENT OF RESOURCES RECYCLING AND RECOVERY, A COLLABORATIVE APPLICATION FOR WASTE TIRE ENFORCEMENT GRANT, FISCAL YEAR 2022/2023 ON ITS BEHALF WHEREAS, Public Resources Code sections 40000 et seq. authorizes the Department of Resources Recycling and Recovery (CalRecycle), to administer various Grant Programs (Grants) in furtherance of the State of California’s (State) efforts to reduce, recycle and reuse solid waste generated in the State, thereby preserving landfill capacity and protecting public health and safety and the environment; and WHEREAS, funds are allocated and available from the CalRecycle for Grants to cities, counties, and cities and counties with regulatory authority within the city and county government to perform enforcement/compliance and surveillance activities of entities and/or individuals involved with the waste tire industry; and WHEREAS, CalRecycle has been delegated the responsibility for the administration of the Program within the State; and
WHEREAS, in furtherance of this authority CalRecycle is required to establish necessary procedures governing the application, awarding and management of the Grants; and WHEREAS, procedures established by the State and CalRecycle require each Applicant’s governing body to certify by resolution its approval of the submittal of a Grant Application to CalRecycle; and WHEREAS, the County of Yuba has agreed to perform waste tire activities on behalf of the City of Live Oak.
NOW THEREFORE, BE IT RESOLVED that the City Council of the City of Live Oak authorizes the County of Yuba to submit to the California Department of Resources Recycling and Recovery a Collaborative Application for the Waste Tire Enforcement Grant, Fiscal Year 2022/2023 on its behalf.
BE IT FURTHER RESOLVED that the County of Yuba is hereby authorized and empowered to execute all Grantrelated documents, including, but not limited to Applications, Payment Requests, Agreements, and Amendments necessary to secure Grant funds and to implement and carry out the purposes specified in the Grant Application, and that the County of Yuba is hereby authorized to conduct waste tire enforcement activities within the jurisdictional boundaries of the City of Live Oak during the term of Fiscal Year 2022/2023 Local Government Waste Tire Enforcement Grant.
THE FOREGOING RESOLUTION of the City Council of the City of Live Oak was duly and regularly introduced, passed and adopted at a regular meeting of the City Council on the 5th day of January, 2022, by the following vote:
AYES:
NOES:
ABSENT:
ABSTAIN:
APPROVED:
_________________
Nancy Santana, Mayor
ATTEST:
___________________________
Clarissa Menchaca, City Clerk
18 City of Live Oak
Report to City Council
Meeting Date: January 5, 2022
Title: Clean California Local Grant Program Notice of Funding Availability and 2022 Grant Application
Contact Information: Alison Schmidt, Acting Chief Building Official Location: City Wide
Background: The Clean California Local Grant Program (CCLGP) is a new opportunity for funding from the State of California. This new program is created to beautify and clean up local streets and roads, tribal lands, parks, pathways, transit center, and other public spaces. The program is funded by $296 million dollars in fiscal year 2021-22 General Fund money from the State. No less than 50% of the CCLGP funds are earmarked for underserved communities.
Staff is currently working on the application, and it looks like the City may qualify as an underserved community. There may be a match requirement, depending on severity of disadvantage of the community surrounding the project.
This is a new program, and staff is currently working with the Parks and Recreation Director to determine priority projects. Staff is currently working on a possible application for building restrooms at the Pennington Ranch Park, and possibly adding trash cans and benches throughout our existing parks and trails depending on application requirements. Applications are competitive and are due February 1, 2022. Maximum grant awards shall not exceed $5,000,000, however we will not be applying for a maximum award at this time. Staff will bring back any required resolution and draft application materials to the January 19, 2022 Council meeting for approval.
Fiscal Impacts: None.
Recommendation: Accept for information.
Attachments:
CC LGP Guidelines
19 Clean California Local Grant Program
Program Guidelines
Contents
Clean California Local Grant Program Overview ..................................................... 3 Background ............................................................................................................... 3 Budget........................................................................................................................ 3 Goals........................................................................................................................... 3 Schedule .................................................................................................................... 4 Eligibility.......................................................................................................................... 4 Eligible Applicants ..................................................................................................... 4 Eligible Project Types................................................................................................. 4 Example Projects.................................................................................................... 5 Eligible Project Area .................................................................................................. 5 Eligible Activities and Expenses................................................................................ 6 Ineligible Activities and Expenses ............................................................................ 7 Selection Criteria........................................................................................................... 7 Underserved Communities....................................................................................... 8 Other Selection Considerations ............................................................................. 10 Local Match Requirement......................................................................................... 10 Calculating SOD of the Community Surrounding the Project and Local Match Requirement ............................................................................................................ 11 Local Match Sources .............................................................................................. 14 Payment Process......................................................................................................... 14 Advance Payment Process.................................................................................... 15 Conditions............................................................................................................. 16 Additional Conditions.......................................................................................... 16 Advance Payment Requests.............................................................................. 18 Project Application Process....................................................................................... 18 Conflict of Interest ................................................................................................... 19 Scoring Criteria ........................................................................................................ 19 1 20
1. Narrative...................................................................................................... 20
2. Project’s Population Benefit (PB) to Overall Community........................ 22
3. Project’s Relative PB to Underserved Communities................................ 23
4. Demonstrated Community Need............................................................. 23
5. Project’s Outcomes Assessment ............................................................... 24
6. Scope, Cost, and Schedule ...................................................................... 24 Appendix A.0. Example Calculations to Determine Required Local Match for a Appendix A.2. Definition of the Project’s Relative Population Benefit (PB) Appendix A.3. Forms for Calculating Population Benefit (PB) (Overall) and Appendix A.4. Example PB (Overall) and Relative PB (Underserved Communities) Other Attachments.............................................................................................. 24 Project Award Process................................................................................................ 24 Grant Agreement Processing .................................................................................... 25 Grant Project Administrative Requirements............................................................. 25 Sub-contracts .......................................................................................................... 25 Financial Requirements .......................................................................................... 25 Accounting Requirements.................................................................................. 25 Audits and Investigations .................................................................................... 26 Reporting.................................................................................................................. 26 Project Photos.......................................................................................................... 26 Project Amendments .............................................................................................. 27 Program Evaluation .................................................................................................... 27 Fictitious Project........................................................................................................... 28 Appendix A.1. Definition of the Project’s Population Benefit (Overall) ................. 32 (Underserved Communities)...................................................................................... 33 Relative PB (Underserved Community) .................................................................... 34 Calculations Performed for a Fictitious Project........................................................ 42 Appendix B1. Demonstrated Community Need Assessment Form ....................... 49 Appendix B2. Project’s Outcomes Assessment Form .............................................. 55 Appendix B3. Example of Forms B1 and B2 Completed for a Fictitious Project ... 61 2 21
Clean California Local Grant Program Overview
Background
The Clean California Local Grant Program (CCLGP) is a competitive statewide program created to beautify and clean up local streets and roads, tribal lands, parks, pathways, transit centers, and other public spaces. Assembly Bill 149 (Sec.16) created the CCLGP of 2021 and was codified under Streets and Highway Code §91.41 et al. The Program is one part of the nearly $1.1 billion Clean California initiative that takes direct aim at the continuous trash generation that has overwhelmed California Department of Transportation (Caltrans) and its partners. Other parts of the Clean California initiative include litter abatement efforts, state beautification and safety projects, and public education campaigns. Significant investments in time and resources are needed to collect, recycle, and dispose of litter and hazardous waste.
These guidelines describe the policies, criteria, and procedures for the development, adoption, and management of the CCLGP. The guidelines were developed in consultation with representatives from Caltrans and through public workshops that included participation from local government agencies, transit agencies, and tribal governments, among other stakeholders.
Budget
The program is funded by $296 million dollars in fiscal year 2021/22 General Fund money. All projects must be completed and all funds must be expended by June 30, 2024.
Each grant award shall not exceed five million dollars ($5,000,000). There is no minimum award.
Goals
Pursuant to statute, the intent of the CCLGP is to achieve the following goals:
(1) Reduce the amount of waste and debris within public rights -of -way, pathways, parks, transit centers, and other public spaces. (2) Enhance, rehabilitate, restore, or install measures to beautify and improve public spaces and mitigate the urban heat island effect. (3) Enhance public health, cultural connections, and community placemaking by improving public spaces for walking and recreation. (4) Advance equity for underserved communities.
3 22
Schedule
The following schedule lists the major milestones for the CCLGP. Visit https://cleancalifornia.dot.ca.gov/local-grants for the most up-to-date information, including the forthcoming final dates for application workshops #4 and #5. Also note that no action is needed from applicants at the Call for Projects Announcement. On this day, final program documents will be released for applicants to view.
Grant Program Timeline
Milestone Date
Public Workshop #1 September 1, 2021
Public Workshop #2 October 7, 2021
Application Workshop #3 November 18, 2021
Call for Projects Announcement December 1, 2021
Application Workshop #4 Mid-December 2021
Application Workshop #5 Mid-January 2022
Project Application Deadline February 1, 2022
Project Award Notification March 1, 2022
Date by when projects must be
completed and all funds expended. If
the project involves infrastructure
components, all components must be
opened to the public and all funds
expended by this date.
June 30, 2024
Date by when final invoicing and
project closeout must be complete. December 31, 2024
Eligibility
Eligible Applicants
The applicant must be a local or regional public agency, transit agency, or federally recognized tribal government. Nonprofit organizations may partner with eligible applicants, as sub-applicants.
Eligible Project Types
Eligible projects meet the goals of the CCLGP and may include, but not be limited to:
• Infrastructure related community litter abatement and beautification projects.
• Non-infrastructure related community litter abatement events and/or educational programs.
4 23
Example Projects
• Beautification and placemaking of existing public spaces, including but not limited to:
o Community park space/public space.
o Transit centers.
o Park-and-ride facilities.
o Viaducts, underpasses, or overpasses.
• Educational campaigns or community events about litter abatement, proper waste disposal or how to get involved with doing sanctioned artwork in a community.
• A combination of project types, including beautification and educational projects.
Eligible Project Area
The location of the projects within the CCLGP are determined by the applicant.
It is recommended that projects are accessible by a multimodal transportation network. Eligible project locations may include projects located on local streets and roads, tribal lands, parks, pathways, transit centers, and other public spaces.
Projects that encroach on Caltrans right-of-way are allowed; however, the applicant must demonstrate that all necessary right-of-way clearances, encroachment permits, and other permits can be obtained, and the project completed, by June 30, 2024. For more information on Caltrans Encroachment Permits, including contact information for local District Encroachment Permit Offices, see https://dot.ca.gov/programs/traffic-operations/ep.
Art projects on Caltrans right-of-way also need to complete and abide by the Caltrans’ Transportation Art Process. This includes:
• Separate approval by the Caltrans Transportation Art program. • Artwork ownership, including copyrights, assigned to Caltrans, with rights licensed back to the artist.
• Waiver of moral rights (California Civil Code § 987). • Adhering to Transportation Art content restrictions.
• Maintenance plan/funding (i.e. graffiti abatement).
See Caltrans’ Transportation Art Guidelines for Local Agencies and the Transportation Art Proposal for details. Gateway Monuments and Community Identification projects on Caltrans right-of-way entail separate processes and requirements.
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Eligible Activities and Expenses
Eligible activities must meet CCLGP goals. Examples of eligible features within the project area include:
• Enhanced paving to address the needs of the space, using permeable pavements where possible.
• Pavement alternatives, such as wood chips.
• Inert material, such as rubberized pavement.
• Shade structures.
• Shade trees or drought-tolerant plantings.
• Irrigation systems.
• Bioretention, swales, and other green street elements. • Architectural fencing.
• Art installations, including community identification or cultural elements.
An art installation should:
o Be appropriate and safe to its proposed setting.
o Be in proper scale with its surroundings.
o Be composed of materials that are durable for the projected lifespan.
o Include graphics or sculptural artwork that express unique attributes of an area’s history, resources, or character.
o Not display symbols or icons, including but not limited to, logos or political and commercial symbols. Sponsor recognition should be unobtrusive, discreet, and not appear to be an integral part of the artwork.
o Not display text.
o Be designed to minimize ongoing maintenance needs.
• Gateway Monuments and Community Identification projects. If these are on Caltrans right-of-way, they have different requirements than art installations.
• Human-scale, energy-conserving lighting.
• Walking and/or biking facilities through the space.
• Wayfinding signage.
• Amenities related to proper waste collection or prevention (e.g., signage, bins, etc.).
6 25
• Seating and play equipment.
• Public bathrooms and water fountains.
• Travel Expenses: Grant recipients may be eligible to claim travel expenses if they have been approved in the scope, cost, and schedule included in the grant agreement. Travel expenses and per diem rates are not to exceed the rate specified by the State of California Department of Personnel Administration for similar employees (i.e. non-represented employees). For more information on eligible travel expenses, visit the Caltrans Travel Guide Website.
Ineligible Activities and Expenses
Some activities or project components are not eligible for reimbursement under this grant program. If an application has any of the following elements and is seeking reimbursement for any of them, it will be disqualified.
Ineligible activities and expenses include:
• Displacing people experiencing homelessness.
• Acquisition of rights-of-way or land.
• Work performed prior to or after the execution of the grant agreement. • Acquisition of vehicles or shuttle programs.
• Other items unrelated to the project or CCLGP goals.
• Maintenance of a project improvement for this grant agreement is not a reimbursable expense (however it can be an in-kind contribution if it occurs prior to June 30, 2024).
• Other activities that extend beyond June 30, 2024.
Selection Criteria
Selection criteria focuses on demonstrated benefits and needs including, but not limited to:
• Demonstrated need of the applicant and ability to achieve the program’s goals.
• Demonstrated enhancement and beautification of a public space(s), including improved access to the space.
• Enhanced greening to provide shade, reduce the urban heat island effect, and use native, drought-tolerant plants.
• Abatement of litter and debris to improve access and use of public space(s).
• Public engagement that reflects community priorities and is consistent with local or regional plans such as General Plans, Improvement Plans, 7 26
bicycle and/or pedestrian plans, and complete street plans. The project should also align with the public outreach that occurred during the preparation of these plans.
• Identification of the population benefit, including to underserved communities. Projects that demonstrate a benefit to an underserved community, either directly or indirectly, will be more competitive. For these projects, applicants must explain which underserved community is benefited, how the project benefits that community, and the percentage of the work and budget that benefits that community.
• Project deliverability, in which projects are open to public and/or all funds are expended by June 30, 2024.
Underserved Communities
No less than 50 percent of the CCLGP funds are to fund projects that benefit underserved communities. An eligible project should clearly demonstrate a benefit to an underserved community or be directly located in an underserved community.
The definition for these communities may include disadvantaged and lowincome communities, as defined in Sections 39711 and 39713 of the California Health and Safety Code, or another metric with verifiable information that identifies underserved communities. To qualify, the community served by the project must meet at least one of the following criteria:
• Option 1. Area Median Income: Is less than 80% of the statewide median based on the most current Census Tract level data from the 2019 American Community Survey 5-Year Estimates (<$60,188). Communities with a population less than 15,000 may use data at the Census Block Group level. Unincorporated communities may use data at the Census Place level. Data is available at the United States Census Bureau Website. • Option 2. CalEnviroScreen: An area identified as among the most disadvantaged 25% in the state according to the CalEPA and based on the California Communities Environmental Health Screening Tool 3.0 (CalEnviroScreen 3.01) scores. Score must be greater than or equal to
39.34. Do not mistake “percentile” for “score”. The mapping tool can be found here and the list can be found under “Background: SB 535 Identification of Disadvantaged Communities (2017).”
1 During the development of these guidelines, the final CalEnviroScreen 4.0 was released. Since the SB 535 List of Disadvantaged Communities based on CalEnviroScreen 4.0 is in draft at time of writing, applicants should use CalEnviroScreen 3.0 rather than 4.0. 8 27
• Option 3. National School Lunch Program: Based on pre-pandemic data2, at least 75% of public-school students in the project area are eligible to receive free or reduced-price meals (FRPM) under the National School Lunch Program. Data is available at the California Department of Education website. Note that if an applicant uses this option, it must be explained in the Project Narrative how students will benefit from the project.
• Option 4. Healthy Places Index: The Healthy Places Index includes a composite score for each census tract in the State. The higher the score, the healthier the community conditions, based on 25 community characteristics. The scores are then converted to a percentile to compare a census tract to other tracts in the State. A census tract must be in the 25th percentile or less to qualify as a disadvantaged community. The live map and direct data can both be found on the California Healthy Places Index website.
• Option 5. Native American Tribal Lands: The project is located within or partially within:
o Federally Recognized Tribal Lands (typically within the boundaries of a Reservation or Rancheria),
o Lands owned by or held in trust for an Indian tribe,
o Allotted lands, and/or
o Sensitive tribal areas (which might include areas in which a Native American Tribe has a significant interest, such as traditional cultural properties and sacred sites).
• Other: If the project will benefit an underserved community, but the project does not meet any of the criteria above, other means of qualifying may be submitted with the application for consideration as Attachment J in Section 3.1 of the application, “ATTACHMENTS”.
Suggested alternative assessment methods that can be submitted under this category include:
o Census data that represents a small neighborhood or
unincorporated area. Submit a quantitative assessment, such as a survey, to demonstrate that the community’s median household income is at or below 80% of the state median household income. 2 During the development of these guidelines, the National School Lunch Program started offering free lunches to all students. Thus, if an applicant still wants to use this option, it is recommended that pre-pandemic data be used.
9 28
o CalEnviroScreen data that represents a small neighborhood or unincorporated area. Submit an assessment to demonstrate that the community’s CalEnviroScreen score is at or above 39.34. o A regional definition such as “environmental justice communities” or “communities of concern,” which must be stratified based on severity. It must also be based on a robust public outreach process that includes community stakeholder input. A regional definition of underserved communities must be used for the region’s broader planning purposes. It must be adopted as part of a regular 4-year cycle adoption of a Regional Transportation Plan (RTP)/Sustainable Communities Strategy (SCS) by a Metropolitan Planning
Organization (MPO) or Regional Transportation Planning Agency (RTPA), per obligations with Title VI of the Federal Civil Rights Act of 1964.
If you chose to define a community as underserved using a criterion other than one of the 5 options listed above, you must submit your criterion and justification for consideration as Attachment J in the application.
Other Selection Considerations
The State may consider additional factors in its selection decisions. These include, but are not limited to, the geographic distribution of awards, willingness to accept partial funding, and quality of the maintenance plan (which is not required for educational programs). The State may also consider the responsiveness and responsibility of the applicant, based on data such as previous performance on other grant programs.
Local Match Requirement
Required local match is the minimum percentage of the project’s funding the applicant commits to provide as a condition of accepting a program grant.
The required local match will range from 0% (i.e., no local match required) to 50%. The percentage is determined based on the “severity of disadvantage” (SOD) of the community surrounding the project. The community surrounding the project is defined as all census tracts within a ¼ mile radius of the project site (or sites, if there are multiple locations.) The required local match will decrease as the SOD of the surrounding community increases. The SOD of the surrounding community is defined below and the relationship of the SOD to percent required local match can be found in Table 2, Severity of Disadvantage and Corresponding Local Match Requirement. Tribal Communities that qualify per Option 5 on Table 2 require zero local match.
Applicants will be held responsible for any local commitments at or above their minimum local match requirement as part of their grant agreement with Caltrans.
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Calculating SOD of the Community Surrounding the Project and Local Match Requirement
How to calculate the SOD and the local match percentage is described below.
The calculation forms must be submitted with the application as part of Attachment I.
SOD of
surrounding = Weighted average of the SODs of the surrounding census tracts. community
= Sum [(Pop. CT 1 x metric score CT 1) + (Pop. CT 2 x metric score CT 2) + (Pop. CT N x metric score CT N…)] Sum(Pop. CT 1 + Pop. CT 2 + Pop. of CT N…)
Where:
• Pop. CT = Population of a census tract within a ¼ mile radius of the project site or sites. • Metric Score = The underserved community score of a census tract is determined using one of the allowable 5 options listed in Table 2 of the guidelines.
When calculating SOD, the metric score of all census tracts must be determined using the same option. The 5 options are detailed above in the section “Underserved Communities”. If the community surrounding the project is considered underserved using multiple options, choose the option that best supports the community’s status as underserved.
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Table 1. SOD of Community Surrounding the Project Site(s) List the Option Used to Determine SOD:
(For definitions of each of the 5 options, see the
section “Underserved Communities”.)
Location Relative to
Project Site(s)
(1)
Census Tract
Number
(2)
Census Tract
Population
(3)
Metric Score of
Census Tract
using the
chosen option
listed above.
(4)
SOD of
Tract
(3) x (4)
(5)
1 Project Site A
2 Within a ¼
mile radius.
3 Within a ¼
mile radius.
4 Within a ¼
mile radius.
5 Project Site B
6 Within a ¼
mile radius.
7 Within a ¼
mile radius.
8 Within a ¼
mile radius.
TOTALS
SOD of Community Surrounding the Total of Column 5
= = Project Total of Column 3
An example of a completed Table 1 is in Appendix A.0.
Determine Required Local Match
Use the SOD of the community surrounding the project calculated above, and Table 2 below, to determine the required local match for your project. 12 31
Table 2. Severity of Disadvantage and Corresponding Local Match Requirement SOD Criteria Ranges for SOD of Community
Surrounding the Project
Required Local Match
%
Option 1: Area Median Income (AMI) compared to Statewide Median Income (SMI)* Data: Census Tract Level Data from the 2019 American Community Survey 5-year (ACS5) Estimates
If the AMI SOD of the
surrounding
community is…
> $60,188
Then local
match is…
50 $56,426 to $60,188 37.5
$52,665 to $56,425 25
$48,903 to $52,664 12.5
< $48,903 0
Option 2: CalEnviroScreen 3.0 Score (not percentile)
Data: CalEnviroScreen 3.0 Results (June 2018 Update)
If the CalEnviroScreen
3.0 SOD of the
surrounding
community is…
< 39
Then local
match is…
50 39 to 42 37.5
43 to 46 25
47 to 50 12.5
> 50 0
Option 3: Percentage of Students that Receive Free or Reduced Lunches** Data: California Department of Education website
If the Free Lunch SOD
of the surrounding
community is…
< 75
Then local
match is …
50 75 to 79 37.5
80 to 84 25
85 to 90 12.5
> 90 0
Option 4: Healthy Places Index (HPI) Score (use overall HPI score only) Data: California Healthy Places Index website
If the HPI SOD of the
surrounding
community is…
> 25
Then local
match is…
50 21 to 25 37.5
16 to 20 25
10 to 15 12.5
< 10 0
Option 5: Tribal Communities
Data: List of Federally Recognized Tribal Governments in California If the project applicant or sub-applicant is a Federally Recognized Tribal Government or the project area is located within (or partially within) Federally Recognized Tribal Lands (typically within the boundaries of a Reservation or
Rancheria), lands owned by or held in trust for an Indian tribe, allotted lands, and/or sensitive tribal areas (which might include areas in which a Native American Tribe has a
significant interest such as traditional cultural properties and sacred sites).
Then the local
match is…
0 *Communities with a population less than 15,000 may use data at the Census Block Group level. Unincorporated communities may use data at the Census Place level.
**During the development of these guidelines, the National School Lunch Program started offering free lunches to all students. Thus, if an applicant still wants to use this option, it is recommended that pre-pandemic data be used. 13 32
Local Match Sources
The local match can be all cash, all third-party in-kind contributions, or a combination of the two:
• Cash Match
o Revenue sources for local cash match can include local sales tax, special bond measures, private donations, or private foundation contributions, among other sources. If federal funding is a source for local cash match, the entire project must comply with all federal requirements, which may affect the project schedule. Check the federal program guidelines for details.
o Staff time from the primary applicant can be counted as cash match. However, staff time charged to a specific project that has already been funded and/or reimbursed cannot be used to meet the match requirement for a Clean CA project.
• Third-Party In-Kind Match
o Third party in-kind contributions are typically goods and services donated from outside the primary applicant’s agency. Examples include the value of donated:
Plants/trees.
Art resources (e.g., materials, labor, supplies).
Equipment and materials.
Volunteered time from stakeholders.
Other goods and services.
o Maintenance activities related to the project if these occur prior to June 30, 2024.
o If third party in-kind contributions are used to satisfy the local match requirements, all of them must be itemized in the application. If a project is awarded funds, as part of the grant agreement, the grant recipient will be asked to provide letters of commitment from each third-party contributor detailing what services are included with the match and a commitment to reaching the project completion date of June 30, 2024.
Payment Process
For an item to be eligible for payment, the primary use or function of that item must meet the program goals and be consistent with the approved grant scope and budget as well as applicable cost principles. Payments will be made by reimbursement unless advance payment is requested and approved. 14 33
The CCLGP is primarily a reimbursement program for eligible costs incurred. An implementing agency may begin incurring eligible costs upon execution of a grant agreement with Caltrans as well as receipt of notice to proceed from Caltrans.
Applicants may request advance payment. Requests must be included in the project application and include a justification to support the request, as detailed in the Advance Payment Process section.
Caltrans may provide funding directly to federally recognized Tribal governments, but only if a Tribal government is willing to grant a limited waiver of sovereign immunity for the purposes of their CCLGP project and for the duration of the project. As an alternative to waiving sovereign immunity, Tribal governments may consider applying as a sub-applicant through partnership with a public or transit agency.
If requesting reimbursement for indirect costs, grant recipients must have an approved Indirect Cost Allocation Plan/Indirect Cost Rate Proposal (ICAP/ICRP) agreement with Caltrans, or the grant recipient’s cognizant agency, to be reimbursed. A “cognizant” agency is the Federal agency responsible for reviewing, negotiating, and approving cost allocation plans or indirect cost proposals.
An approved indirect cost rate must be included in the grant agreement. If the agency does not have a current ICAP/ICRP with Caltrans or its cognizant agency, it must submit an ICAP/ICRP request in accordance with the options and submission processes found on the following webpage:
https://ig.dot.ca.gov/resources. Agencies can also e-mail ICAP[email protected]. The ICAP/ICRP documentation must be submitted with the work plan if the agency is claiming indirect costs.
For non-infrastructure projects, indirect cost rates are limited to what is approved by Caltrans or the cognizant agency. For infrastructure projects, per the Caltrans Local Assistance Procedures Manual, the total cost for Construction Engineering (CE) should not exceed 15% of the construction costs and all costs over that must be shown in the application as non-participating.
Advance Payment Process
As described in State statute, Caltrans may authorize advance payments necessary for projects funded by the CCLGP. This is consistent with the Legislature’s direction to expeditiously award and disburse grants. Specifically, the Department, in its sole discretion, may provide advance payments of grant awards in a timely manner to support program initiation and implementation, with a focus on mitigating the constraints of modest reserves and potential cash flow problems. In considering whether to apply for an advance payment, the 15 34
applicant acknowledges that the Advance Payment guidelines contained herein are solely for the purposes of the CCLGP.
Conditions
Recognizing that appropriate safeguards are needed to ensure grant moneys are used responsibly, the Legislature has outlined the grant conditions described below to establish control procedures for advance payments. Accordingly, the Department may provide advance payments to grant applicants of the CCLGP only if the Department determines, pursuant to SHC Section 91.41(e), that all the following conditions are met:
a. The grant applicant for an advance payment is a public agency. b. The grant applicant requests an advance payment in its initial grant application.
c. The project or project component for which the advance payment is requested is well defined and can be delivered by an agreed upon date. d. The grant applicant has a record of good financial management and has not been sanctioned by any state or federal agency.
e. Upon request of the department, the grant applicant offers sufficient capital, as determined by the Department, as security for an advance payment.
f. Upon request of the department, the grant applicant provides a finding approved by its governing body that demonstrates a financial need for an advance payment pursuant to the program to deliver the project.
Additional Conditions
In evaluating a grant applicant’s request for advance payment, the Department has established the following additional conditions of award.
Advance Payment Amounts
A grant applicant may request one advance payment equal to the anticipated project cost for the first four months of the project, as described in the project schedule, budget, and spending plan. The advance payment may not exceed 30% of the grant award or $1,000,000, whichever is smaller.
General Conditions
a. The advance payment is necessary immediately to meet the purposes of the grant project.
b. Only one advance payment, at the beginning of the project, will be awarded.
c. The use of the advance funds is adequately regulated by project budgetary controls.
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d. The grant applicant provides a finding approved by its governing body that demonstrates the financial need for an advance payment. e. The grant applicant has no outstanding financial audit findings related to any of the moneys eligible for advance payment and is in good standing with the Franchise Tax Board and Internal Revenue Service. f. The grant applicant agrees to revert all unused moneys to the Department if they are not expended within the timeline specified in the grant agreement.
g. The grant applicant assumes legal and financial risk of the advance payment.
h. In the event of nonperformance by the grant recipient, the Department shall require full recovery of all disbursed moneys. A grant recipient shall provide a money transfer confirmation within 60 days upon the receipt of a notice from the Department.
Fiscal Administration
a. The grant applicant shall indicate its request for advance payment on the initial application. A spending plan shall be submitted with the application.
1. The spending plan shall include project schedules, timelines, milestones, and the grant recipient’s fund balance for all state grant programs applied to the project.
i. The grant recipient will report to the Department any material changes to the spending plan within 30 days of identification of the change.
b. The grant applicant shall submit an updated spending plan along with an Advance Payment Invoice to the Department for review prior to receiving the advance payment.
c. The grant recipient shall submit requests for reimbursement packages monthly3, commencing at the conclusion of the first full calendar month of project implementation. Reimbursement packages shall include supporting documentation for all expenditures including, but not limited to, receipts, invoices, and timesheets.
d. The advance payment will be closed out at the end of the project, with final reimbursement packages satisfying all advance funds. Any funds not accounted for shall be returned to the Department.
e. The grant recipient shall place funds advanced under this section in an interest-bearing account. The grant recipient shall track interest accrued 3Note, projects that do not request Advance Payments may submit invoices no more frequently than monthly and no less frequently than quarterly. See the section Accounting Requirements for details.
17 36
on the advance payment. Interest earned on the advance payment shall be used for eligible grant-related expenses as outlined in Eligible Activities and Expenses, or returned to the Department.
f. The grant recipient shall report to the Department the value of any unused balance of the advance payment and interest earned, and submit quarterly fiscal accounting reports consistent with the provisions in the CCLGP Grant Agreement.
g. The grant recipient shall remit to the Department any unused portion of the advance payment and interest earned at project close-out.
Advance Payment Requests
a. The Department will advance one payment from the total grant award after the grant recipient submits the following to the Department:
i. A fully executed Grant Agreement;
ii. Advance Payment Invoice (to be provided by the
Department); and
iii. Updated Spending Plan that includes project schedules, timelines, milestones, and the grant recipient’s fund balance for all fund sources applied to the project.
b. The grant recipient must email the completed Advance Payment Invoice and Spending Plan to the Department Grant Coordinator. The invoice shall include the secured digital signature of a person legally authorized to sign.
c. Advance grant payments are subject to the Department’s approval of the Advance Payment Invoice and Spending Plan.
d. Quarterly reports must substantiate grant costs incurred as discussed in the Reporting section for which the Advance Payment was utilized.
Project Application Process
1. Applications, including the supporting documentation, are submitted online:
a. Access to the application and other required templates are available on the CCLGP website,
https://cleancalifornia.dot.ca.gov/local-grants.
b. No hardcopy applications will be accepted.
2. Project Proposals are reviewed and evaluated:
a. Caltrans subject matter experts, with district representation, conduct a review of all applications for eligibility, submission of proper documentation, deliverability, and demonstrated benefits that align with the grant program goals. They then score the 18 37
applications using a standardized scoring methodology, which is described in the Scoring Criteria section.
b. Incomplete or ineligible applications may be removed from the competitive process.
c. Caltrans headquarters grant program staff then verifies the scores and provides the award recommendations list, to be approved by the State.
d. Award recommendations are submitted to the Secretary of the California State Transportation Agency for concurrence.
3. Awarded projects are announced.
4. Grant Agreements between the grant recipients and Caltrans are executed.
All information contained in the application and supporting documentation is confidential until grant awards are announced.
The State reserves the right to reject an applicant who is in violation of any law or policy at another public agency. Potential violations include, but are not limited to, being in default of performance requirements for other contracts or grant agreements issued by the State, engaging in or being suspected of criminal conduct that could poorly reflect on or bring discredit to the State, or failing to have all required licenses and permits necessary to carry out the project. The State further reserves the right to reject any applicant who has a history of performance issues with past grants or other past contractual agreements with any public entity.
Conflict of Interest
All applicants and individuals who participate in the review of submitted applications are subject to state and federal conflict of interest laws. Any individual who has participated in planning or setting priorities for a specific solicitation over and above the public comment process, or who will participate in any part of the grant development and negotiation process on behalf of the public, is ineligible to receive funds or personally benefit from funds through that solicitation. Failure to comply with conflict of interest laws, including business and financial disclosure provisions, will result in the application being rejected and any subsequent grant agreement declared void. Other legal actions may also be taken. Applicable statutes include, but are not limited to, California Government Code section 1090 and Public Contract Code sections 10365.5, 10410, and 10411.
Scoring Criteria
Applications will be scored as explained in Table 3 and in the following subsections of this document. The scoring methodology is designed to support 19 38
performance of the grant objectives and encourages context-sensitive proposals. The scoring is designed to prioritize quality of transformation over quantity of space transformed. For communities that may not have a lot of public space, but can still benefit from a transformative project, their application would be competitive under this scoring methodology. Other selection considerations may factor into the final project selection.
Table 3. Scoring Methodology
Component
Number
Scored Component
Possible
Score
(points)
Weight (percent
of overall score)
1 Narrative
(Qualitative)
20 10
2 Project’s Population Benefit
(Quantitative)
20 10
3 Project’s Relative Population
Benefit to Underserved
Communities
(Quantitative)
35 17.5
4 Demonstrated Community Need
(Quantitative)
50 25
5 Project’s Outcomes Assessment
Form
(Quantitative)
40 20
6 Scope, Cost, and Schedule
(Qualitative)
35 17.5
Sum 200 100
1. Narrative
The narrative scoring component will be based on the applicant's description of how well the project meets the program’s statutory goals, requirements, and guidelines. This component is worth up to 20 points and 10 percent of the total application score. The narrative component will be assessed by a committee of subject matter experts using a scoring rubric based on grant criteria.
At a minimum, the narrative shall include a discussion of:
• The project location and any project description details not included in section 1.8 of the main application form. Describe the public space or spaces to be addressed; specifying right-of-way, park, pathway, transit center, tribal land, or other space. Discuss where the space is located, including its visibility and access to the public.
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• The demonstrated community need that addresses the goals of the CCLGP program. Specifically, describe the existing conditions of the project location(s), and how the project meets one or more of the four stated program goals listed below.
1. Reduce the amount of waste and debris within public rights-of-way, pathways, parks, transit centers, and other public spaces.
2. Enhance, rehabilitate, restore, or install measures to beautify and improve public spaces and mitigate the urban heat island effect.
3. Enhance public health, cultural connections, and community placemaking by improving public spaces for walking and
recreation.
4. Advance equity for underserved communities.
Address each goal selected separately in the narrative. For each goal selected, also include the information requested in the respective paragraphs below:
Goal 1. Reduce the Amount of Waste and Debris: Describe types of existing waste and debris, work to be performed to remove it, and by whom.
Goal 2. Beautify and Improve Public Space: Describe the beautification or access improvements to be performed, including enhanced greening measures. Include any enhancements to be made, rehabilitation or restoration to be performed, and new installations placed.
Goal 3. Improving Public Spaces for Walking and Recreation: Describe improvements to be made to the public spaces for walking and recreation, and how these improvements will enhance public health, cultural connection, and/or community placemaking.
Goal 4. Advance Equity for Underserved Communities: Projects that demonstrate a benefit to an underserved community, either directly or indirectly, will be more competitive. For these projects, applicants must explain which underserved community is benefited, how it was identified, and how the project benefits that community. Applicants should also explain the percentage of grant funds that will benefit the community and how these percentages were calculated. Calculations can be based on the project’s relative population benefit to underserved communities or another methodology. If another methodology is used, provide a brief justification for using it.
• The local public engagement process that culminated in the project identification and how the project reflects community priorities.
Specifically, the Narrative should describe the stakeholder/community engagement efforts that went into identifying the proposed elements as a priority for the community. These efforts should include engagement with 21 40
underserved communities and/or any community-based organizations that serve them. The applicant can reference engagement that was sponsored by Caltrans or others. The Narrative should also describe how the project is consistent with or included in existing local or regional plans such as General Plans, Improvement Plans, bicycle and/or pedestrian plans, and complete street plans, that were the products of extensive public outreach. Finally, the Narrative should discuss how exactly the engagement influenced the project proposal.
• Project deliverability, including the applicant’s certainty the project will be completed, opened to public, and all funds expended by June 30, 2024.
Identify all permits required for the project and note all that have not been approved at time of application submittal. For any permit not obtained, explain how its approval will be achieved and the project completed by June 30, 2024. For infrastructure projects, describe all preconstruction work required to deliver this project by its completion date. • If you are requesting advance payment, a justification. • How the applicant is going to market the project, through materials such as press releases, press advisories, letters to the editor, fact sheets, social media posts, website pages, or speeches. Also state whether there will be a ground-breaking or ribbon cutting ceremony for any infrastructure improvements that are part of the project.
• If applicable, how the improvement(s) will be maintained. Identify the lifespan of the improvement(s), how the improvements will be maintained throughout their lifespans, the resources to fund maintenance activities, and the commitment of those resources. This information is required for physical project improvements and litter abatement events (i.e., there needs to be an explanation of the strategy for preventing litter from accumulating again, after the abatement event). This information is also required for any artwork or vegetation that is part of the proposal.
Maintenance information is not required for educational programs.
2. Project’s Population Benefit (PB) to Overall Community For infrastructure projects, the project’s PB to the overall community is the sum of the population of all census tracts within a quarter mile radius of the project added to the average daily ridership of transit routes that have stops within a half mile radius of the project. This sum is then increased by a factor related to the hours the improved site will be open to the public.
For non-infrastructure projects, the PB is the sum of the population benefit of each non-infrastructure activity. The population benefit of each activity is calculated based on the estimated number of unique people who attend an 22 41
activity or will be reached by a campaign, multiplied by the number of activities or campaigns.
Points for this scoring component will be awarded on a curve relative to all applications received. This component is worth a maximum of 20 points and up to 10 percent of the total application score. Details on how to calculate the PB and an example can be found in Appendices A1-A4.
3. Project’s Relative PB to Underserved Communities
A project’s relative population benefit to underserved communities is determined by a ratio of the project’s PB to underserved communities over the project’s PB to the overall community.
For infrastructure projects, the PB to underserved communities is the sum of the population of all underserved census tracts within a quarter mile radius of the project added to the average daily ridership of transit routes that have stops within a ½ mile radius of the project. This sum is then increased by a factor related to the hours the improved site will be open to the public. Note, the transit ridership is the same as it is for calculating the PB for the overall community in scoring component 2 described in the above section.
For non-infrastructure projects, the project’s PB to underserved communities is the same as for the overall community.
Points for this scoring component will be awarded as a percentage based on the ratio of the underserved project benefit to the overall project benefit. This component is worth up to 35 points and 17.5 percent of the total application score. Details on how to calculate the PB to underserved communities can be found in Appendices A1-A4. See the section Underserved Communities in these guidelines for definitions of underserved communities.
4. Demonstrated Community Need
The demonstrated community need scoring component measures the demonstrated need of the applicant or sub-applicant to address the program goals. Needs include those for waste and debris reduction, beautification, enhanced public health, cultural connection, increased equity, or greening. This component is worth up to 50 points and 25 percent of the total application score. The score is based on the applicant’s answers to questions about the existing public space(s) or community conditions. The questions can be found on the “Demonstrated Community Need Assessment Form.” The form has five (5) sections, each relating to a program goal. Within each section, the applicant may choose up to two questions to answer. The form can be viewed in Appendix B1, and an example of a completed form can be viewed in Appendix B3.
23 42
5. Project’s Outcomes Assessment
This scoring component measures the proposal’s potential to accomplish the goals of the program. This component is worth up to 40 points and 20 percent of the total application score. The score is based on the applicant’s answers to questions about anticipated project outcomes. The questions can be found on the “Project’s Outcomes Assessment Form” in Appendix B2. Like the “Demonstrated Community Need Assessment Form”, the form has five (5) sections, each relating to a program goal. Within each section, the applicant may choose up to two questions to answer. A sample completed form based on a fictitious project can be viewed in Appendix B3.
6. Scope, Cost, and Schedule
The scope, cost, and schedule submittals will be reviewed by a committee of subject matter experts who will evaluate how well the documents maximize project benefits versus costs. This component is worth up to 35 points and 17.5 percent of the total application score. A standardized scoring methodology will be used to assess this component.
The scope, cost, and schedule component must include the following, which are in the templates provided:
• The scope must include detailed project plans, and/or an educational programming workplan.
• The application must include a schedule showing planned start and end dates of salient infrastructure work activities and/or non-infrastructure tasks. The schedule must show all activities completed and all funds expended by June 30, 2024. If the project contains infrastructure components, these must also be opened to the public by June 30, 2024. • The application must include a cost breakdown of all project components. Do not provide costs as lump sum expenses.
Other Attachments
Section 3.1 of the application will allow additional documents to be uploaded beyond what is listed above. Details on what these attachments should include are in the Application Instructions provided on the CCLGP website.
Project Award Process
After evaluation is complete and the list of successful applicants is approved by the State, the list of awarded projects will be posted to the Caltrans website.
Successful grant applicants will receive an award letter from Caltrans that outlines important next steps, such as executing the grant agreement, as well as program requirements the grant recipient must adhere to.
The CCLGP is limited to one cycle of funding. As a result, unsuccessful grant applicants will not receive a debrief.
24 43
Grant Agreement Processing
A restricted grant agreement will be utilized for the distribution of funds. The agreement will specify, among other things, the amount of funds granted, local match funds required, timeline for expenditure of funds, delivery schedule, and the approved project scope. Reporting timeframes and other requirements will also be identified in the agreement. A copy of the grant agreement will be made available on the CCLGP website.
Grant Project Administrative Requirements
Sub-contracts
If a grant recipient or a sub-recipient will hire a third-party to perform work during the project, proper procurement procedures must be used. Grant recipients may use their agency’s procurement procedures. They should also comply with all applicable sections of the California Public Contract Code and Government Code, and any other applicable code. In addition, work cannot be subcontracted unless it has been stated in the grant recipient’s scope, cost, and schedule. A grant recipient is fully responsible for all work performed by its subrecipients, consultants, or sub-consultants. Caltrans solely enters contracts directly with grant recipients.
Financial Requirements
Accounting Requirements
Grant recipients and sub-recipients are required to maintain an accounting system that properly records and segregates incurred project costs and matching funds by line item. The accounting system of the grant recipient, including its sub-recipients and sub-contractors, must conform to Generally Accepted Accounting Principles that enable the determination of incurred costs at interim completion points. This accounting system must also provide support for reimbursement payment vouchers or invoices sent to or paid by Caltrans. Allowable project costs must comply with 2 Code of Federal Regulations (CFR), Part 200.
It is the grant recipient’s responsibility to monitor work and expenses to ensure the project is completed according to the contracted Scope, Cost, and Schedule. The grant recipient agrees to revert all unused grant funds to the Department if they are not expended within the timeline specified in the grant agreement. In the event of nonperformance by the grant recipient, or if project outcomes and benefits are not met, the Department shall require full recovery of all disbursed grant funds. A grant recipient shall provide a money transfer confirmation within 60 days upon the receipt of a notice from the Department that grant funds must be reimbursed. If a grant recipient does not expend funds within the timeline specified in the grant agreement or does not perform, this 25 44
could also impact the grant recipient’s competitiveness in any potential future funding cycles of this program.
Grant recipients must submit invoices on a regular and timely basis. This is no more frequently than monthly and no less frequently than quarterly for projects not requesting advance payments. This is monthly for projects requesting advance payments.
Costs incurred prior to or after the end date of an executed agreement are not eligible for reimbursement and will not be counted towards local match requirements. CCLGP funds shall not supplant other committed funds and are not available to fund cost increases. Funds must be expended concurrently and proportionally with the approved local match unless an advance payment request is approved. Cost savings will be shared proportionally between all committed fund sources.
Grant recipients must communicate with the Caltrans project manager to ensure any issues are addressed early during the project period.
Audits and Investigations
Clean California Local Grant Program projects are subject to audit. Therefore, all financial records related to the project must be retrained for a minimum of three years from project closeout.
Reporting
Upon execution of a CCLGP agreement, grant recipients must submit quarterly Project Progress Reports and a Final Delivery Report to Caltrans. The reports will be required to assess whether projects are meeting their scope and are being delivered on time and within budget. They will be submitted electronically and due within 45-days of the end of a quarter.
The State may make periodic visits, including a final inspection, to project sites.
The State will determine if the work is consistent with the approved project scope. Caltrans staff will be responsible for conducting and coordinating site visits with the awarded projects.
The final invoice will be paid upon submission and acceptance of the Final Delivery Report to Caltrans. Complete final delivery reports and invoices must be submitted to Caltrans no later than November 1, 2024.
Project Photos
A before photo will be required with the application and an after photo will be required as part of the closeout reporting process for grant recipients. Caltrans must be granted the right to use photos of the completed project. 26 45
Project Amendments
The CCLGP will not participate in cost increases to the project. Any cost increases must be funded from other fund sources. If there is a change in the project cost, it must be reported through the quarterly project reporting process.
Scope changes will not be considered unless the change is minor, does not reduce project benefits, and does not change the approved project schedule.
Scope changes must be requested in writing to the Caltrans project manager and may require an amendment to the restricted grant agreement.
Projects must be complete with all funds expended by June 30, 2024. If the project involves infrastructure components, these must be opened to the public by June 30, 2024. Amendments for time are not permitted.
Program Evaluation
The CCLGP will be evaluated for its effectiveness in meeting its goals. Grant recipients must collect and submit data to Caltrans as described in the Reporting section.
As part of the fiscal year 2022–23 and 2023–24 California budgets, Caltrans shall report to the Legislature on the CCLGP, including, but not limited to, cubic yards of litter collected, the locations and types of projects, and any other important program outcomes. The report will include a discussion on program effectiveness in terms of planned and achieved outcomes in litter abatement and beautification efforts, as well as timely use of funds. It will also include a summary of its activities relative to program administration, including projects awarded, projects completed to date by project type, projects completed to date by geographic distribution, and projects completed to date by benefit to underserved communities.
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Appendix A.0. Example Calculations to Determine Required Local Match for a Fictitious Project
For demonstration purposes, this appendix performs an example calculation to determine the required local match for a fictitious project. You will first determine the SOD of the surrounding community, and then use that number to determine the corresponding required local match. The required local match will decrease as the SOD of the surrounding community increases.
Fictitious Project Summary:
The sample project proposes improving the parkland at the Greenside Park in the City of Eureka, CA (M St & 12th St, Eureka, CA 95501) with beautification upgrades and litter abatement. In addition to physical improvements, the project proposes to launch a litter abatement campaign on social media that will reach 1,000 people/week for 52 weeks in total, and a ribbon cutting event/litter abatement event with 200 people invited.
Step 1. Choose a definition by which to define the community surrounding the project as underserved. See the section Underserved Communities of these guidelines for more information. If the community surrounding the project is considered underserved based on multiple options, choose the option that best supports the community’s status as underserved. Per Option 5, Tribal Communities require zero local match, and thus none of these calculations.
Step 2. Determine the SOD of the community surrounding the project:
SOD of
surrounding = Weighted average of the SODs of the surrounding census tracts. community
= Sum [(Pop. CT 1 x metric score CT 1) + (Pop. CT 2 x metric score CT 2) + (Pop. CT N x metric score CT N…)] Sum(Pop. CT 1 + Pop. CT 2 + Pop. of CT N…)
Where:
• Pop. CT = Population of a census tract within a ¼ mile radius of the project site or sites. • Metric Score = The underserved community score of a census tract determined using one of the 5 options listed in Table 2 of the guidelines.
Perform this calculation using Table 1, SOD of Community Surrounding the Project Site(s). When calculating SOD, the same definition of underserved community must be used throughout Table 1.
28 47
Table 1. SOD of Community Surrounding the Project Site(s) List the Option Used to Determine SOD:
(For definitions of each of the five options, see the
section “Underserved Communities”.)
AMI
Location Relative to
Project Site(s)
(1)
Census Tract
Number
(2)
Census
Tract
Population
(3)
Metric Score
of Census
Tract
using the
chosen
option listed
above.
(4)
SOD of Tract
(3) x (4)
(5)
1 Project Site A 5 4450 $32,500 $144,625,000
2 Within a ¼
mile radius. 6 4998 $28,700 $143,442,600
3 Within a ¼
mile radius. 1 4242 $51,600 $218,887,200
4 Within a ¼
mile radius.
5 Project Site B
6 Within a ¼
mile radius.
7 Within a ¼
mile radius.
8 Within a ¼
mile radius.
TOTALS 13,690 $506,954,800
SOD of Community Surrounding the Total of Column 5
= Project Total of Column 3 = $37,031
Why we filled in Table 1 as we did:
• We chose option 1, Area Medium Income (AMI), to define an underserved community. Then we looked up the project address in the 2019 American Community Survey 5-yr. Estimates (ACS5) and found it is in census tract 5 with a population of 4,450 people and a median income of $32,500. We logged this information on line 1 accordingly. • We then drew a ¼ mile buffer around the project limits and determined all other census tracts that fell totally or partially within buffer limits. Two tracts met this criterion, census tracts 6 and 1. We completed lines 2 and 3 based on the populations and median incomes of those tracts. 29 48
• The remaining values auto calculated. The tables provided on the CCLPG website in Attachment I are fillable and will calculate for you. (Note, all dollar values and populations shown were made up for demonstration purposes.)
Step 3. Use Table 2 below to determine the Required Local Match based off the SOD of Community Surrounding the Project. For this example, the required local match would be 0% (see highlighted values).
30 49
I I
I I 11
Table 2. Severity of Disadvantage and Corresponding Local Match Requirement SOD Criteria Ranges for SOD of Community
Surrounding the Project
Required Local Match
%
Option 1: Area Median Income (AMI) compared to Statewide Median Income (SMI)* Data: Census Tract Level Data from the 2019 American Community Survey 5-year (ACS5) Estimates
If the AMI SOD of the
surrounding
community is…
> $60,188
Then local
match is…
50 $56,426 to $60,188 37.5
$52,665 to $56,425 25
$48,903 to $52,664 12.5
< $48,903 0
Option 2: CalEnviroScreen 3.0 Percentile Score
Data: SB 535 List of Disadvantaged Communities or SB 535 Disadvantaged Communities Map If the CalEnviroScreen
3.0 SOD of the
surrounding
community is…
< 39
Then local
match is…
50 39 to 42 37.5
43 to 46 25
47 to 50 12.5
> 50 0
Option 3: Percentage of Students that Receive Free or Reduced Lunches** Data: California Department of Education website
If the Free Lunch SOD
of the surrounding
community is…
< 75
Then local
match is …
50 75 to 79 37.5
80 to 84 25
85 to 89 12.5
> 90 0
Option 4: Healthy Places Index (HPI) Score (use overall HPI score only) Data: California Healthy Places Index website
If the HPI SOD of the
surrounding
community is…
> 25
Then local
match is…
50 21 to 25 37.5
16 to 20 25
10 to 15 12.5
< 10 0
Option 5: Tribal Communities
Data: List of Federally Recognized Tribal Governments in California If the project applicant or sub-applicant is a Federally Recognized Tribal Government or the project area is located within (or partially within) Federally Recognized Tribal Lands (typically within the boundaries of a Reservation or
Rancheria), lands owned by or held in trust for an Indian tribe, allotted lands, and/or sensitive tribal areas (which might include areas in which a Native American Tribe has a
significant interest such as traditional cultural properties and sacred sites).
Then the local
match is…
0 *Communities with a population less than 15,000 may use data at the Census Block Group level. Unincorporated communities may use data at the Census Place level.
**During the development of these guidelines, the National School Lunch Program started offering free lunches to all students. Thus, if an applicant still wants to use this option, it is recommended that pre-pandemic data be used. 31 50
Appendix A.1. Definition of the Project’s Population Benefit (Overall) (A) Infrastructure Work PB
(Overall) Project’s Population Benefit (PB)
(Overall) = +
(B) Non-infrastructure Work PB
Where:
A. Infrastructure Work PB = (Direct PB + Indirect PB) x Dose Where:
• Direct PB = Sum of the population of all census tracts within a ¼ mile radius of the project site(s).
• Indirect PB = Sum of the average daily ridership of transit routes that have stops within a ½ mile radius of the project site(s). • Dose = Hours the site will be accessible to the public under the improved conditions. (If the project has multiple sites and hours differ, use the average number of hours.)
B. Non-infrastructure Work PB = Sum of the PB of each non-infrastructure (NI) activity.
Where:
• The PB of NI Activity = Reach x Dose
Where:
• Reach = Number of people reached at least once by an
educational campaign or eligible event.
• Dose = Number of times the campaign will run, or the event will be held.
Copies of the forms to perform the calculations are provided in Appendix A3.
Example calculations based on a fictitious project are provided in Appendix A4.
When submitting the application, complete the form in Attachment I from the CCLGP website and attach it to your application.
32 51
Appendix A.2. Definition of the Project’s Relative Population Benefit (PB) (Underserved Communities)
Project’s Relative PB Projects PB (underserved) x100
= (underserved communities) Projects PB (overall)
Project’s PB Underserved (A) Infrastructure Work PB Underserved = Community +
(B) Non-infrastructure Work PB
Where:
A. Infrastructure Work PB
= (Direct PB Underserved + Indirect PB) x Dose Underserved Where:
• Direct PB Underserved = Sum of the population of all underserved census tracts within a ¼ mile radius of the project site(s). • Indirect PB = same as used in Appendix A.1.
• Dose = same as used in Appendix A.1.
B. Non-infrastructure PB = Same as used in Appendix A.1.
Copies of the forms to perform the calculations are provided in Appendix A3.
Example calculations based on a fictitious project are provided in Appendix A4.
When submitting the application, complete the form in Attachment I from the CCLGP website and attach it to your application.
33 52
Appendix A.3. Forms for Calculating Population Benefit (PB) (Overall) and Relative PB (Underserved Community)
Step 1. If your project has no infrastructure work, skip to Step 3.
Step 2. If your project has infrastructure work, complete Tables 1 through 5 below. Information from tables 1 through 3 will be used to calculate the Infrastructure Work PB for both the overall and underserved community in Tables 4 and 5, respectively.
Table 1. Infrastructure Work – Direct PB (Overall and Underserved Community) • On line 1, list the census tract in which the project is located. • On subsequent lines, list all census tracts within a ¼ mile radius of your project.
If your project is large or long, use a ¼ mile from the outer edges. If your project has multiple locations, list the census tracts for each location. Add more rows on the last page if necessary.
• For each census tract listed, provide the information requested. For columns 4 and 5, consult the CCLGP guidelines on how to define an undeserved community. If you choose “other” as your option, you must submit Attachment J with a justification of your methodology.
• Total column 3 and column 5.
34 53
Table 1. Infrastructure Work- Direct Population Benefit Location Relative to
Project Site(s)
(1)
Census
Tract
Number
(2)
Census
Tract
Population
(Overall)
(3)
If the tract is
underserved
community,
record the option
used to make the
determination.
(ACS5, SB535,
CDEdu, HIP,
Other)
(4)
Census Tract
Population
(Underserved)
If the tract is an
underserved
community, also
record
population in
this column.
(5)
1 Project Site A
2 Within a ¼ mile
radius.
3 Within a ¼ mile
radius.
4 Within a ¼ mile
radius.
5 Project Site B
6 Within a ¼ mile
radius.
7 Within a ¼ mile
radius.
8 Within a ¼ mile
radius.
Population Totals (Overall) = (Underserved) =
Table 2. Infrastructure Work – Indirect PB
• List all transits routes with at least one transit stop within a ½ mile radius of your project. If you project is large or long, use a ½ mile from the outer edges. Add more rows on the last page if necessary.
• Total all ridership numbers.
35 54
Table 2. Infrastructure Work - Indirect Benefit Population Name of Transit Route with at least One Stop within a 1/2 Mile of Project Site(s)
(1)
Average Daily
Ridership of the
Route
(2)
1 2
3 4
5 6
7 Total of the Average Daily Ridership of Qualifying Routes Table 3. Infrastructure Work – Dose
Determine the “dose” factor for the infrastructure work, which are the hours the site will be accessible to the public under the improved conditions. • List all sites and the hours for each site. Add more rows on the last page if necessary.
• Calculate the average number of hours of all sites.
Table 3. Infrastructure Dose
Infrastructure Site
(1)
Hours Improved Site
Accessible to
Public
(2)
1 2
3 4
5 6
7 Average of Hours if Project Contains Multiple Sites
36 55
Table 4. Infrastructure Work PB (Overall)
Use information from Tables 1-3 to complete Table 4.
Table 4. Infrastructure Work PB (Overall)
(Direct PB
(Table 1, Column 3)
(1)
+
Indirect PB)
(Table 2, Column 2)
(2)
×
Dose
(Table 3, Column 2)
(3)
=
Infrastructure Work
PB (Overall)
(4)
+ × =
Table 5. Infrastructure Work PB (Underserved Community) Use information from Tables 1-3 to complete Table 5.
Table 5. Infrastructure Work PB (Underserved Community) (Direct PB
(Table 1, Column 5)
(1)
+
Indirect PB)
(Table 2, Column 2)
(2)
×
Dose
(Table 3, Column 2)
(3)
=
Infrastructure
Work PB
(Underserved
Community)
(4)
+ × =
37 56
Step 3: If your application proposes educational campaigns or events about litter abatement, proper waste disposal, or how to do sanctioned artwork (as opposed to vandalism), use Table 6 to calculate PB of each non-infrastructure activity and total. If your application does not propose these activities, skip to Step 4.
Table 6. Non-Infrastructure Work PB
• Reach = Number of people reached at least once by an educational campaign or eligible event.
• Dose = Number of times the campaign will run, or the event will be held.
Table 6. Non-Infrastructure Work (NI) PB
NI
Activity
Number
NI Activity Name Activity
Reach
(1)
x
Activity
Dose
(2)
=
PB of NI
Activity
(3)
1 x =
2 x =
3 x =
4 x =
Total NI Work PB
Step 4. Calculate the Project’s Population Benefit (Overall). This score will be graded by the Department on a curve relative to all applications submitted. The number of points the applicant will be awarded for Scoring Component 2, Project Population Benefit, will be granted accordingly. The maximum number of points is 20.
Table 7. Project’s PB (Overall)
Table 7. Project's PB (Overall)
Infrastructure Work PB
(Overall)
(From Table 4, Column 4)
(1)
+
Non-Infrastructure Work PB
(From Table 6, Column 3)
(2)
= Project's PB (Overall)
(3)
+ =
38 57
Step 5. Calculate the Project’s Population Benefit (Underserved Community).
Table 8. Project’s PB (Underserved Community)
Table 8. Project's PB (Underserved Community)
Infrastructure Work PB
(Underserved
Community)
(From Table 5, Column 4)
(1)
+
Non-Infrastructure
Work PB
(From Table 6, Column 3)
(2)
=
Project's PB
(Underserved Community)
(3)
+ =
Step 6. Calculate the Project’s Relative Population Benefit to the underserved community.
Table 9. Project's Relative PB to Underserved Communities Project's PB
(Underserved Community)
(From Table 8, column 3)
(1)
÷
Project's PB
(Overall)
(From Table 7, column 3)
(2)
=
Project's Relative PB
(Underserved
Community)
(3)
÷ =
Step 7. Calculate the number of points you, the applicant, will be awarded for Scoring Component 3, Project’s Relative Population Benefit to the Underserved Community. The maximum number of points is 35.
Table 10. Applicant’s Points for Scoring Component 3, Project’s Relative PB (Underserved Community)
Table 10. Scoring Component 3, Project’s Relative PB (Underserved Community) Project's Relative PB (Underserved
Community)
(From Table 9, column 3)
(1)
×
Maximum Possible
Points
(2)
=
Score
(Pts.)
(3)
× 35 =
Examples of completed calculation forms based on a fictitious project can be found in Appendix A.4.
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Additional rows for Tables 1 and 2. (Only use these pages if needed.) Table 1. Infrastructure Work- Direct Population Benefit (CONTINUED) Location Relative to
Project Site(s)
(1)
Census
Tract
Number
(2)
Census
Tract
Population
(Overall)
(3)
If the tract is
underserved
community,
record the option
used to make the
determination.
(ACS5, SB535,
CDEdu, HIP,
Other)
(4)
Census Tract
Population
(Underserved)
If the tract is an
underserved
community, also
record
population in
this column.
(5)
9 Project Site C
10 Within a ¼ mile
radius.
11 Within a ¼ mile
radius.
12 Within a ¼ mile
radius.
13 Project Site D
14 Within a ¼ mile
radius.
15 Within a ¼ mile
radius.
16 Within a ¼ mile
radius.
Table 2. Infrastructure Work - Indirect Benefit Population (CONTINUED) Name of Transit Route with at least One Stop within 1/2 Mile of Project Site(s)
(1)
Average Daily
Ridership of the
Route
(2)
8 9
10 11
12 13
14 15
40 59
Additional rows for Tables 3 and 6. (Only use these pages if needed.) Table 3. Infrastructure Dose (CONTINUED)
Infrastructure Site
(1)
Hours Improved Site
Accessible to Public
(2)
8 9
10 11
12 13
14 15
Table 6. Non-Infrastructure Work (NI) PB (CONTINUED)
NI
Activity
Number
NI Activity Name Activity
Reach
(1)
x
Activity
Dose
(2)
=
PB of NI
Activity
(3)
5 x =
6 x =
7 x =
8 x =
9 x =
10 x =
11 x =
12 x =
13 x =
14 x =
15 x =
16 x =
41 60
Appendix A.4. Example PB (Overall) and Relative PB (Underserved Communities) Calculations Performed for a Fictitious Project For demonstration purposes, this appendix performs sample population benefit calculations based on a fictitious project.
Fictitious Project Summary:
The sample project proposes improving the parkland at the Greenside Park in the City of Eureka, CA (M St & 12th St, Eureka, CA 95501) with beautification upgrades and litter abatement. In addition to physical improvements, the project proposes to launch a litter abatement campaign on social media that will reach 1,000 people/week for 52 weeks in total and will host a ribbon cutting and litter abatement event with 200 people invited. I have filled this form out as the applicant for the purposes of showing how this would be accomplished and the results you might see from this.
Example Population Benefit Calculations:
Step 1. If your project has no infrastructure work, skip to Step 3.
Our project has infrastructure, so we continue to Step 2.
Step 2. If your project has infrastructure work, complete Tables 1 through 5 below. Information from tables 1 through 3 will be used to calculate the Infrastructure Work PB for both the overall and underserved community in Tables 4 and 5, respectively.
Table 1. Infrastructure Work – Direct PB (Overall and Underserved Community) • On line 1, list the census tract in which the project is located. • On subsequent lines, list all census tracts within ¼ mile radius of your project. If your project is large or long, use a ¼ mile from the outer edges. If your project has multiple locations, list the census tracts for each location. Add more rows on the last page if necessary.
• For each census tract listed, provide the information requested. For columns 4 and 5, consult the CCLGP guidelines on how to define an undeserved community. If you choose “other” as your option, you must submit Attachment J with justification of your determination method. • Total column 3 and column 5.
42 61
Table 1. Infrastructure Work- Direct Population Benefit Location Relative to
Project Site(s)
(1)
Census
Tract
Number
(2)
Census Tract
Population
(Overall)
(3)
If the tract is
underserved
community,
record the option
used to make the
determination.
(e.g. ACS5, SB535,
CDEdu, HIP,
Other)
(4)
Census Tract
Population
(Underserved)
If the tract is an
underserved
community, also
record
population in
this column.
(5)
1 Project Site A 5 4,450 ACS5 4,450
2 Within a ¼ mile
radius. 6 4,998 ACS5 4,998
3 Within a ¼ mile
radius. 1 4,242 ACS5 4,242
4 Within a ¼ mile
radius.
5 Project Site B
6 Within a ¼ mile
radius.
7 Within a ¼ mile
radius.
8 Within a ¼ mile
radius.
Population Totals (Overall) = 13,960 (Underserved) = 13,690 Why we filled in Table 1 as we did:
• We chose to use option 1 of the 5 options provided in the guidelines to determine if the community around the project is underserved. We looked up the project address in the 2019 American Community Survey 5- Year Estimates (ACS5) and found it is in census tract 5 with a population of 4,450 people and has a median income less than 80% of the State Median Income. This means the census tract qualifies as an underserved community. We logged this information on line 1 accordingly. • We drew a ¼ mile buffer around the project limits and then determined all other census tracts that fell totally or partially within the project site or buffer limits. Using the ACS5, two tracts met this criteria, census tracts 6 43 62
and 1, and both also qualified as underserved. We completed lines 2 and 3 accordingly.
• Note, you are not limited to one option when making the “underserved” determination. If a tract did not qualify as underserved on the ACS5, we could have also checked another option, such as the Healthy Places Index. If it qualified under one of the options, we could have designated that tract as underserved.
Table 2. Infrastructure Work – Indirect PB
• List all transits routes with at least one transit stop within a ½ mile radius of your project. If you project is large or long, use a ½ mile from the outer edges. Add more rows on the last page if necessary.
• Total all ridership.
Table 2. Infrastructure Work - Indirect Benefit Population Name of Transit Route with at least One Stop within 1/2 Mile of Project Site(s)
(1)
Average Daily
Ridership of the
Route
(2)
1 Redwood Transit System Route 500
2 Southern Humboldt Intercity Route 500
3 4
5 6
7 Total of the Average Daily Ridership of Qualifying Routes 1,000 Why we filled out Table 2 as we did:
We drew a ½ mile buffer around the project limits and determined what transit stops existed within the project limits or the buffer zone. We found two bus routes that stopped within a ½ mile of the project and logged the route information accordingly.
Table 3. Infrastructure Work – Dose
Determine the “dose” factor for the infrastructure work, which is the hours the site will be accessible to the public under the improved conditions. • List all sites and the hours for each site. Add more rows on the last page if necessary.
44 63
• Calculate the average number of hours of all sites.
Table 3. Infrastructure Dose
Infrastructure Site
(1)
Hours Improved Site
Accessible to
Public
(2)
1 Greenside Park 24
2 3
4 5
6 7
Average of Hours if Project Contains Multiple Sites 24
Why we filled in Table 3 as we did:
• The park will be accessible to the public 24 hours per day upon completion of the project. If we had multiple sites with different hours, we would have averaged the hours.
Table 4. Infrastructure Work PB (Overall)
Use information from Tables 1-3 to complete Table 4.
Table 4. Infrastructure Work PB (Overall)
(Direct PB
(Table 1, Column 3)
(1)
+
Indirect PB)
(Table 2, Column 2)
(2)
×
Dose
(Table 3, Column 2)
(3)
=
Infrastructure Work
PB (Overall)
(4)
13,960 + 1,000 × 24 = 359,040
45 64
Table 5. Infrastructure Work PB (Underserved Community) Use information from Tables 1-3 to complete Table 5.
Table 5. Infrastructure Work PB (Underserved Community) (Direct PB
(Table 1, Column 5)
(1)
+
Indirect PB)
(Table 2, Column 2)
(2)
×
Dose
(Table 3, Column 2)
(3)
=
Infrastructure
Work PB
(Underserved
Community)
(4)
13,960 + 1,000 × 24 = 359,040
Note, because all the tracts within a ¼ mile of the project qualified as underserved, the project’s Infrastructure Work PB (Overall) in Table 7 equals the project’s Infrastructure work PB (underserved community) in Table 8.
Step 3: If your application proposes educational campaigns or events about litter abatement, proper waste disposal, or how to do sanctioned artwork (as opposed to vandalism), use Table 6 to calculate PB of each non-infrastructure activity and total. If your application does not propose these activities, skip to Step 4.
Table 6. Non-Infrastructure Work PB
• Reach = Number of people reached at least once by an educational campaign or eligible event.
• Dose = Number of times the campaign will run or the event will be held.
Table 6. Non-Infrastructure Work (NI) PB
NI
Activity
Number
NI Activity Name Activity
Reach
(1)
x
Activity
Dose
(2)
=
PB of NI
Activity
(3)
1 Social Media Litter Abatement
Campaign 1000 x 52 = 52,000
2 Ribbon Cutting and Litter Abatement
Event 200 x 1 = 200
3 x =
4 x =
Total NI Work PB 52,200
46 65
Why we filled in Table 6 as we did:
• The project includes 2 non-infrastructure events, a media campaign that will reach 1,000 social media followers (the Activity 1 reach) once a week for 52 weeks (the Activity 1 dose) and a ribbon cutting and trash disposal education event to which 200 people (the Activity 2 reach) will be invited.
The ribbon cutting event is a one-time affair (the Activity 2 dose.) Step 4. Calculate the Project’s Population Benefit (Overall). This score will be graded by the Department on a curve relative to all applications submitted. The number of points the applicant will be awarded for Scoring Component 2, Project Population Benefit, will be granted accordingly. The maximum number of points is 20.
Table 7. Project’s PB (Overall)
Table 7. Project's PB (Overall)
Infrastructure Work PB
(Overall)
(From Table 4, Column 4)
(1)
+
Non-Infrastructure Work PB
(From Table 6, Column 3)
(2)
= Project's PB (Overall)
(3)
359,040 + 52,200 = 411,240
The number calculated here will be graded on a curve relative to other applications submitted to determine the percentage of the maximum possible 20 points to award.
Step 5. Calculate the Project’s Population Benefit (Underserved Community).
Table 8. Project’s PB (Underserved Community)
Table 8. Project's PB (Underserved Community)
Infrastructure Work PB
(Underserved
Community)
(From Table 5, Column 4)
(1)
+
Non-Infrastructure
Work PB
(From Table 6, Column 3)
(2)
=
Project's PB
(Underserved Community)
(3)
359,040 + 52,200 = 411,240
47 66
Step 6. Calculate the Project’s Relative Population Benefit to the underserved community.
Table 9. Project's Relative PB to Underserved Communities Project's PB
(Underserved Community)
(From Table 8, column 3)
(1)
÷
Project's PB
(Overall)
(From Table 7, column 3)
(2)
=
Project's Relative PB
(Underserved
Community)
(3)
411,240 ÷ 411,240 = 100%
Step 7. Calculate the number of points you, the applicant, will be awarded for Scoring Component 3, Project’s Relative Population Benefit to the Underserved Community. The maximum number of points is 35.
Table 10. Applicant’s Points for Scoring Component 3. Project’s Relative PB (Underserved Community)
Table 10. Scoring Component 3 Project’s Relative PB (Underserved Community) Project's Relative PB
(Underserved Community)
(From Table 9, column 3)
(1)
×
Maximum Possible
Points
(2)
=
Score
(Points)
(3)
100% × 35 = 35
48 67
Appendix B1. Demonstrated Community Need Assessment Form This table measures the demonstrated need of the community to execute the goals of the program. Needs can be the community’s need for waste and debris reduction, beautification, enhanced public health, cultural connection, or another need. This component is worth a maximum of 50 points and up to 25 percent of the total application score. The score is based on the applicant’s answers to questions about the existing site or community conditions. The form has five (5) sections, each relating to a program goal or objective. Within each section, choose a maximum of two (2) questions to answer, for a total of 10 questions. All applicants much answer question 1-1, as one of their two questions in Section 1. 49 68
Table 1: Demonstrated Community Need Assessment Form
Section 1: Answer question 1-1, and one other question of your choice.
Program Goal or Objective ID #
Max.
Poss.
Pts.
Community Need Assessment
Question Points Guidance Applicant Response Applicant's Self Score
To reduce the amount of
waste and debris within
public rights-of-way,
pathways, parks, transit
centers, and other public
spaces.
1 -1 5
Describe the evidence there is a
recurring litter or land misuse in the
project area under existing
conditions. Summarize trash
collection data or other empirical
data.
(Range 0-5pts.,
No evidence=
0pts.)
Use box below
1-2 5
Under existing conditions, does the No = 5 pts.,
Somewhat = 3pts.,
Yes = 0 pts.
project site have adequate signage
and amenities for proper waste
disposal or prevention?
1-3 5
Under existing conditions, does the
site have physical features to
discourage inappropriate waste
disposal or dumping?
No = 5 pts.,
Somewhat = 3pts.,
Yes = 0 pts.
1-4 3
Under existing conditions, does the
Yes = 3pts.,
Somewhat=2pts.,
No or NA = 0pts.
proposed community or project
site lack educational programs or
events about litter abatement or
proper waste disposal?
50 69
Section 2: Answer 2 questions below.
Program Goal or Objective ID #
Max.
Poss.
Pts.
Community Need Assessment
Question Point Guidance Applicant Response Applicant's
Self Score
To enhance, rehabilitate,
restore, or install
measures to beautify and
improve public spaces.
2-1 5
Under existing conditions
what percentage of the
project site needs
beautification?
0-20%= 1 pt.,
21-40%= 2 pts.,
41-60%= 3 pts.,
61-80%= 4 pts.,
>80%= 5 pts.,
2-2 5
Under existing conditions,
what percentage of the
project site is not functional
and/or accessible for
community use?
0-20%= 1 pt.,
21-40%= 2 pts.,
41-60%= 3 pts.,
61-80%= 4 pts.,
>80%= 5 pts.,
2-3 5
Based on the hours the
project site is open,
approximately what
percentage of time is it
significantly underutilized?
0-20%= 1 pt.,
21-40%= 2 pts.,
41-60%= 3 pts.,
61-80%= 4 pts.,
>80%= 5 pts.,
2-4 5
What percentage of the
project site is negatively
affected by graffiti or other
vandalism?
0-20%= 1 pt.,
21-40%= 2 pts.,
41-60%= 3 pts.,
61-80%= 4 pts.,
>80%= 5 pts.,
51 70
Section 3: Answer 2 questions below.
Program Goal or Objective ID #
Max.
Poss.
Pts.
Community Need Assessment
Question Point Guidance Applicant Response Applicant's
Self Score
To enhance public health,
cultural connection, and
community placemaking
by improving public
spaces for walking and
recreation.
3-1 5
Does the project area
Yes = 5 pts.,
Somewhat= 3pts.,
No = 0 pts..
currently prevent a critical
connection to daily life
destinations such as school,
medical care, jobs, or
groceries via
walking, biking, or transit?
3-2 5
Is the public space a barrier or
hazard on a walking or biking
route?
Yes = 5 pts.,
Somewhat= 3pts.,
No = 0 pts..
3-3 5
Is the existing public
recreation space unusable for
its intended purposes?
Yes = 5 pts.,
Somewhat= 3pts.,
No = 0 pts..
3-4 5
Under existing conditions, are
there adequate/sufficient
recreation places in the
community?
No= 5 pts.,
Somewhat=3pts.,
Yes = 0 pts.
3-5 3
Under existing conditions, are
there enough places to sit at
the project site?
No= 3 pts.,
Somewhat=2pts.,
Yes = 0 pts.
3-6 5
Does the existing project site
lack features or elements that
connect it to the culture or
history of the surrounding
community?
Yes= 5 pts.,
Somewhat=3pts.,
No = 0 pts.
52 71
Section 4: Answer 2 questions below.
Program Goal or Objective ID #
Max.
Poss.
Pts.
Community Need Assessment
Question Point Guidance Applicant
Response
Applicant's
Self Score
To advance equity for
underserved
communities.
4-1 5
How does the percentage of
usable public space in the
underserved community
compare to the region's
average?
Below Average =
5pts.,
Average =3pts.,
Above Average =
0pts.
4-2 5
Is the project area an
underutilized connection in an
underserved community?
Yes = 5pts.,
Somewhat=3pts.,
No or NA = 0pts.
4-3 5
Is the project site an
underutilized public space in
an underserved community?
Yes = 5pts.,
Somewhat=3pts.,
No or NA = 0pts.
4-4 5
Does the space function for
people with disabilities or
special needs?
No = 5pts.,
Somewhat=3pts.,
Yes or NA = 0pts.
53 72
Section 5: Answer 2 questions below.
Program Goal or Objective ID #
Max.
Poss.
Pts.
Community Need Assessment
Question Point Guidance Applicant Response Applicant's
Self Score
Greening to provide
shade, reduce urban
island effect, and use
native, low-water plants.
5-1 5
Under existing conditions
what percentage of the space
is landscaped and/or softscaped?
0-20%=5pts.,
21-40=4pts.,
41-60=3pts.,
61-80=2pts.,
81-100=1pts.
5-2 5
Under existing conditions,
what percentage of landscape
lacks native or low-water
plants?
0-20%= 5pts.,
21-40=4pts.,
41-60=3pts.,
61-80=2pts.,
81-100=1pts.
5-3 5
What percentage of the space
is unusable due to lack of
shade at midday?
0-20%=1pts.,
21-40=2pts.,
41-60=3pts.,
61-80=4pts.,
81-100=5pts.
5-4 5
What percentage of the
project site is unusable due to
excessive heat at midday?
0-20%=1pts.,
21-40=2pts.,
41-60=3pts.,
61-80=4pts.,
81-100=5pts.
Total Score from Sections 1 to 5:
Community Need Assessment
(Max Possible Points is 50)
0 54
73 Appendix B2. Project’s Outcomes Assessment Form
This form measures the proposal’s potential to accomplish the goals of the program. This component is worth a maximum of 40 points and up to 20 percent of the total application score. The score is based on the applicant’s answers to questions about anticipated project results. The form has five (5) sections, each relating to a program goal or objective. Within each section, choose a maximum of two questions to answer, for a total of 10 questions.
55 74
Table 2: Project’s Outcomes Assessment Form
Section 1: Answer 2 questions below.
Program Goal or Objective ID #
Max.
Poss.
Pts.
Project’s Outcomes Questions Point Guidance Applicant
Response
Applicant's
Self Score
To reduce the amount of
waste and debris within
public rights-of-way,
pathways, parks, transit
centers, and other public
spaces.
1-1 4
By what percentage will the
waste and debris within the
project site be reduced?
0-25% =1 pt.,
26-50%= 2pts.,
51-75%= 3pts.,
76-100%= 4pts.
1-2 3
By what percentage will the
signage and amenities for
proper waste disposal or
prevention increase at the
project site?
0-33% = 1 pt.,
34-66% = 2pts.,
67-100% = 3pts.
1-3 4
What is the estimated
reduction of waste or debris at
the project site because of new
physical features to discourage
inappropriate waste disposal or
dumping?
0-25% =1 pt.,
26-50%= 2pts.,
51-75%= 3pts.,
76-100%= 4pts.
1-4 3
What is the percent increase in
the number of educational
programs or events about litter
abatement and proper waste
disposal?
0-33% = 1 pt.,
34-66% = 2pts.,
67-100% = 3pts.
1-5 3
What is the percent increase in
the number of litter pickup and
waste disposal events?
0-33% = 1 pt.,
34-66% = 2pts.,
67-100% = 3pts.
56 75
Section 2: Answer 2 questions below.
Program Goal or Objective ID #
Max.
Poss.
Pts.
Project’s Outcomes Questions Point Guidance Applicant Response Applicant's Self Score
To enhance, rehabilitate,
restore, or install
measures to beautify and
improve public spaces.
2-1 4 By what percentage will the project
site be beautified or improved?
0-25% = 1 pt.,
26-50% = 2pts.,
51-75% = 3pts.,
76-100% = 4pts.
2-2 4
By what percentage do the
improvements increase the number
and/or diversity of viable uses in the
project site?
0-25% = 1 pt.,
26-50% = 2pts.,
51-75% = 3pts.,
76-100% = 4pts.
2-3 5
By what percentage do the
improvements increase access to
the project site?
0-20% = 1 pt.,
21-40% = 2 pts.,
41-60% = 3 pts.,
61-80% = 4 pts.,
81-100% = 5pts.
2-4 4
By what percentage will the quantity
of human scale, energy conserving
lighting be increased?
0-25% = 1 pt.,
26-50% = 2pts.,
51-75% = 3pts.,
76-100% = 4pts.
2-5 4
What percentage of project site will
be improved with anti-graffiti/antivandalism solutions? 0-25% = 1 pt.,
26-50% = 2pts.,
51-75% = 3pts.,
76-100% = 4pts.
2-6 4 Will visual art pieces be added to the
project site?
2 or more = 4pts.,
1 = 3 pts.
2-7 4
What is the percentage increase in
educational programs informing the
community how to do sanctioned
public artwork (as opposed to
vandalism/graffiti)?
0-25% = 1 pt.,
26-50% = 2pts.,
51-75% = 3pts.,
76-100% = 4pts.
57 76
Section 3: Answer 2 questions below.
Program Goal or Objective ID #
Max.
Poss.
Pts.
Project’s Outcomes Questions Point Guidance Applicant
Response
Applicant's
Self Score
To enhance public health,
cultural connection, and
community placemaking
by improving public
spaces for walking and
recreation.
3-1 4
Will the project create or
enable a critical connection to
daily life destinations such as
school, medical care, jobs, or
groceries via walking, biking, or
transit?
Yes = 4pts.,
Somewhat = 2pts.,
No or NA = 0pts.
3-2 4 Will the project improve a
walking or biking route?
Yes = 4pts.,
Somewhat = 2pts.,
No or NA = 0pts.
3-3 4
Will the project improve or
rehabilitate an existing public
recreation space?
Yes = 4pts.,
Somewhat = 2pts.,
No or NA = 0pts.
3-4 4
Will the project add new
recreation space to the
community?
Yes = 4pts.,
Somewhat = 2pts.,
No or NA = 0pts.
3-5 4
By what percentage will the
project site(s) be improved for
walking or recreation?
0-25% = 1 pt.,
26-50% = 2pts.,
51-75% = 3pts.,
76-100% = 4pts.
3-6 4
Will the improved project site
incorporate features or
elements that connect it to the
culture or history of the
surrounding community?
Definitely = 4 pts.,
Sufficiently = 3 pts.,
Somewhat = 2 pts.,
A little = 1 pt.
Not at all = 0 pts.
58 77
Section 4: Answer 2 questions below.
Program Goal or Objective ID #
Max.
Poss.
Pts.
Project’s Outcomes Questions Point Guidance Applicant
Response
Applicant's
Self Score
Advance equity for
underserved
communities.
4-1 4
What percentage of census
tracts within a 1/4 mile of the
project site qualify as
underserved?
> 51%=4pts,
40-50%=3pts,
20-39%=2pts
< 20% = 1pts
4-2 4
What percentage of transit
routes within a 1/2 mile of the
project site reach an
underserved community?
> 51%=4pts,
40-50%=3pts,
20-39%=2pts
< 20% = 1pts
4-3 4
Will the project create or
improve access to a key
connection across a major
physical barrier in an
underserved community?
Yes = 4pts.,
Somewhat = 2pts.,
No or NA = 0pts.
Will the improved project site Yes = 4pts.,
4-4 4 function for people with Somewhat = pts.,
disabilities or special needs? No or NA = 0pts.
59 78
Section 5: Answer 2 questions below.
Program Goal or Objective ID #
Max.
Poss.
Pts.
Project’s Outcomes Question Point Guidance Applicant
Response
Applicant's
Self Score
Greening to provide
shade, reduce urban
island effect, and use
native, low-water plants.
5-1 4
What is the anticipated
decrease in impervious surfaces
at the project site?
0-25% = 1 pt.,
26-50% = 2pts.,
51-75% = 3pts.,
76-100% = 4pts.
5-2 4
What will be the percent
increase in native, drought
tolerant plantings?
0-25% = 1 pt.,
26-50% = 2pts.,
51-75% = 3pts.,
76-100% = 4pts.
5-3 4
What is the anticipated percent
increase of shade measured at
the noon hour?
0-25% = 1 pt.,
26-50% = 2pts.,
51-75% = 3pts.,
76-100% = 4pts.
5-4 4 What is the anticipated increase
of greening or tree canopy?
0-25% = 1 pt.,
26-50% = 2pts.,
51-75% = 3pts.,
76-100% = 4pts.
Total of Scores from Sections 1 to 5:
0 Project Outcomes
(Max Possible is 40)
60 79
Appendix B3. Example of Forms in Appendix B1 and Appendix B2 Completed for a Fictitious Project For demonstration purposes, this appendix contains completed Demonstrated Community Need Assessment and Project’s Outcomes Assessment forms based on a fictitious project.
Fictitious Project Summary:
One-acre public space that will include landscaping, shade trees, improved street furniture, new bins for proper waste disposal, enhanced lighting, a mural by a local artist, and upgrades to the bus stop shelter at the site. Youth volunteers will be recruited to help clean the space before improvements are made, and they will learn about litter abatement and the free dump days in the community. 61 80
Table 1: Completed Demonstrated Community Need Assessment Form Section 1: Answer question 1-1, and one of your choice.
Program Goal or
Objective ID #
Max.
Poss.
Pts.
Community Need Assessment
Question Points Guidance Applicant
Response
Applicant's
Self Score
To reduce the amount
of waste and debris
within public rights-ofway, pathways, parks,
transit centers, and
other public spaces.
1 -1 5
Describe the evidence there is a
(Range 0-5pts., No
evidence= 0pts.) Use box below
recurring issue of trash production or
land misuse in the project area under
existing conditions. Summarize trash
collection data or other empirical
data.
Trash bins are always overflowing. The amount of trash has increased by approximately 300% 5 according to the maintenance department. Many people dump their garbage around the park.
Park walls have re-occurring graffiti. There have been citizen complaints and about garbage and broken benches. The park has seen reduced usage over the years due to safety concerns and poor lighting. Reservations for youth sports at the facility and picnic areas have reduced by 25%. 1-2 5
Under existing conditions, does the No = 5 pts.,
Somewhat = 3pts.,
Yes = 0 pts.
project site have adequate signage
and amenities for proper waste
disposal or prevention?
1-3 5
Under existing conditions, does the
site have physical features to
discourage inappropriate waste
disposal or dumping?
No = 5 pts.,
Somewhat = 3pts.,
Yes = 0 pts.
No 5
1-4 3
Under existing conditions, does the
Yes = 3pts.,
Somewhat=2pts.,
No or NA = 0pts.
proposed community or project site
lack educational programs or events
about litter abatement or proper
waste disposal?
62 81
Section 2: Answer 2 questions below.
Program Goal or Objective ID #
Max.
Poss.
Pts.
Community Need Assessment
Question Point Guidance Applicant Response Applicant's
Self Score
To enhance, rehabilitate,
restore, or install
measures to beautify and
improve public spaces.
2-1 5
Under existing conditions
what percentage of the
project site needs
beautification?
0-20%= 1 pt.,
21-40%= 2 pts.,
41-60%= 3 pts.,
61-80%= 4 pts.,
>80%= 5 pts.,
81 5
2-2 5
Under existing conditions,
what percentage of the
project site is not functional
and/or accessible for
community use?
0-20%= 1 pt.,
21-40%= 2 pts.,
41-60%= 3 pts.,
61-80%= 4 pts.,
>80%= 5 pts.,
2-3 5
Based on the hours the
project site is open,
approximately what
percentage of time is it
significantly underutilized?
0-20%= 1 pt.,
21-40%= 2 pts.,
41-60%= 3 pts.,
61-80%= 4 pts.,
>80%= 5 pts.,
61 4
2-4 5
What percentage of the
project site is negatively
affected by graffiti or other
vandalism?
0-20%= 1 pt.,
21-40%= 2 pts.,
41-60%= 3 pts.,
61-80%= 4 pts.,
>80%= 5 pts.,
63 82
Section 3: Answer 2 questions below.
Program Goal or Objective ID #
Max.
Poss.
Pts.
Community Need
Assessment Question Point Guidance Applicant Response Applicant's Self Score
To enhance public health,
cultural connection, and
community placemaking
by improving public
spaces for walking and
recreation.
3-1 5
Does the project area
Yes = 5 pts.,
Somewhat= 3pts.,
No = 0 pts..
currently prevent a critical
connection to daily life
destinations such as school,
medical care, jobs, or
groceries via
walking, biking, or transit?
3-2 5
Is the public space a barrier or
hazard on a walking or biking
route?
Yes = 5 pts.,
Somewhat= 3pts.,
No = 0 pts..
3-3 5
Is the existing public
recreation space unusable for
its intended purposes?
Yes = 5 pts.,
Somewhat= 3pts.,
No = 0 pts..
3-4 5
Under existing conditions, are
there adequate/sufficient
recreation places in the
community?
No= 5 pts.,
Somewhat=3pts.,
Yes = 0 pts.
Somewhat 3
3-5 3
Under existing conditions, are
there enough places to sit at
the project site?
No= 3 pts.,
Somewhat=2pts.,
Yes = 0 pts.
3-6 5
Does the existing project site
lack features or elements that
connect it to the culture or
history of the surrounding
community?
Yes= 5 pts.,
Somewhat=3pts.,
No = 0 pts.
Yes 5
64 83
Section 4: Answer 2 questions below.
Program Goal or Objective ID #
Max.
Poss.
Pts.
Community Need
Assessment Question Point Guidance Applicant Response Applicant's Self Score
To advance equity for
underserved
communities.
4-1 5
How does the percentage of
usable public space in the
underserved community
compare to the region's
average?
Below Average =
5pts.,
Average =3pts.,
Above Average =
0pts.
Below Average 5
4-2 5
Is the project area an
underutilized connection in an
underserved community?
Yes = 5pts.,
Somewhat=3pts.,
No or NA = 0pts.
4-3 5
Is the project site an
underutilized public space in
an underserved community?
Yes = 5pts.,
Somewhat=3pts.,
No or NA = 0pts.
Yes 5
4-4 5
Does the space function for
people with disabilities or
special needs?
No = 5pts.,
Somewhat=3pts.,
Yes or NA = 0pts.
65 84
Section 5: Answer 2 questions below.
Program Goal or Objective ID #
Max.
Poss.
Pts.
Community Need Assessment
Question Point Guidance Applicant Response Applicant's
Self Score
Greening to provide
shade, reduce urban
island effect, and use
native, low-water plants.
5-1 5
Under existing conditions
what percentage of the space
is landscaped and/or softscaped?
0-20%=5pts.,
21-40=4pts.,
41-60=3pts.,
61-80=2pts.,
81-100=1pts.
5-2 5
Under existing conditions,
what percentage of landscape
lacks native or low-water
plants?
0-20%= 5pts.,
21-40=4pts.,
41-60=3pts.,
61-80=2pts.,
81-100=1pts.
35 4
5-3 5
What percentage of the space
is unusable due to lack of
shade at midday?
0-20%=1pts.,
21-40=2pts.,
41-60=3pts.,
61-80=4pts.,
81-100=5pts.
75% 4
5-4 5
What percentage of the
project site is unusable due to
excessive heat at midday?
0-20%=1pts.,
21-40=2pts.,
41-60=3pts.,
61-80=4pts.,
81-100=5pts.
Total Score from Sections 1 to 5:
Community Need Assessment
(Max Possible Points is 50)
45 66
85 Table 2: Completed Project’s Outcomes Assessment Form Section 1: Answer 2 questions below.
Program Goal or Objective ID #
Max.
Poss.
Pts.
Project’s Outcomes Questions Point Guidance Applicant
Response
Applicant's
Self Score
To reduce the amount of
waste and debris within
public rights-of-way,
pathways, parks, transit
centers, and other public
spaces.
1-1 4
By what percentage will the
waste and debris within the
project site be reduced.
0-25% =1 pt.,
26-50%= 2pts.,
51-75%= 3pts.,
76-100%= 4pts.
100 4
1-2 3
By what percentage will the
signage and amenities for
proper waste disposal or
prevention increase at the
project site?
0-33% = 1 pt.,
34-66% = 2pts.,
67-100% = 3pts.
1-3 4
What is the estimated
reduction of waste or debris at
the project site because of new
physical features to discourage
inappropriate waste disposal or
dumping?
0-25% =1 pt.,
26-50%= 2pts.,
51-75%= 3pts.,
76-100%= 4pts.
80 4
1-4 3
What is the percent increase in
the number of educational
programs or events about litter
abatement and proper waste
disposal?
0-33% = 1 pt.,
34-66% = 2pts.,
67-100% = 3pts.
1-5 3
What is the percent increase in
the number of litter pickup and
waste disposal events?
0-33% = 1 pt.,
34-66% = 2pts.,
67-100% = 3pts.
67 86
Section 2: Answer 2 questions below.
Program Goal or Objective ID #
Max.
Poss.
Pts.
Project’s Outcomes Questions Point Guidance Applicant
Response
Applicant's
Self Score
To enhance, rehabilitate,
restore, or install
measures to beautify and
improve public spaces.
2-1 4 By what percentage will the project
site be beautified or improved?
0-25% = 1 pt.,
26-50% = 2pts.,
51-75% = 3pts.,
76-100% = 4pts.
80 4
2-2 4
By what percentage do the
improvements increase the number
and/or diversity of viable uses within
the project site?
0-25% = 1 pt.,
26-50% = 2pts.,
51-75% = 3pts.,
76-100% = 4pts.
2-3 5
By what percentage do the
improvements increase access to the
project site?
0-20% = 1 pt.,
21-40% = 2 pts.,
41-60% = 3 pts.,
61-80% = 4 pts.,
81-100% = 5pts.
2-4 4
By what percentage will the quantity
of human scale, energy conserving
lighting will be increased?
0-25% = 1 pt.,
26-50% = 2pts.,
51-75% = 3pts.,
76-100% = 4pts.
60 4
2-5 4
What percentage of project site will
be improved with anti-graffiti/anti
vandalism solutions?
0-25% = 1 pt.,
26-50% = 2pts.,
51-75% = 3pts.,
76-100% = 4pts.
2-6 4 Will visual art pieces be added to the
project site?
2 or more = 4pts.,
1 = 3 pts.
2-7 4
What is the percentage increase in
educational programs informing the
community how to do sanctioned
public artwork (as opposed to
vandalism/graffiti)?
0-25% = 1 pt.,
26-50% = 2pts.,
51-75% = 3pts.,
76-100% = 4pts.
68 87
Section 3: Answer 2 questions below.
Program Goal or Objective ID #
Max.
Poss.
Pts.
Project’s Outcomes Questions Point Guidance Applicant
Response
Applicant's
Self Score
To enhance public health,
cultural connection, and
community placemaking
by improving public
spaces for walking and
recreation.
3-1 4
Will the project create or
enable a critical connection to
daily life destinations such as
school, medical care, jobs, or
groceries via walking, biking, or
transit?
Yes = 4pts.,
Somewhat = 2pts.,
No or NA = 0pts.
3-2 4 Will the project improve a
walking or biking route?
Yes = 4pts.,
Somewhat = 2pts.,
No or NA = 0pts.
3-3 4
Will the project improve or
rehabilitate an existing public
recreation space?
Yes = 4pts.,
Somewhat = 2pts.,
No or NA = 0pts.
Yes 4
3-4 4
Will the project add new
recreation space to the
community?
Yes = 4pts.,
Somewhat = 2pts.,
No or NA = 0pts.
3-5 4
By what percentage will the
project site(s) be improved for
walking or recreation?
0-25% = 1 pt.,
26-50% = 2pts.,
51-75% = 3pts.,
76-100% = 4pts.
3-6 4
Will the improved project site
incorporate features or
elements that connect it to the
culture or history of the
surrounding community?
Definitely = 4 pts.,
Sufficiently = 3 pts.,
Somewhat = 2 pts.,
A little = 1 pt.
Not at all = 0 pts.
Definitely 4
69 88
Section 4: Answer 2 questions below.
Program Goal or Objective ID #
Max.
Poss.
Pts.
Project’s Outcomes Questions Point Guidance Applicant
Response
Applicant's
Self Score
Advance equity for
underserved
communities.
4-1 4
What percentage of census
tracts within a 1/4 mile of the
project site qualify as
underserved?
> 51%=4pts,
40-50%=3pts,
20-39%=2pts
< 20% = 1pts
100% 4
4-2 4
What percentage of transit
routes within a 1/2 mile of the
project site reach an
underserved community?
> 51%=4pts,
40-50%=3pts,
20-39%=2pts
< 20% = 1pts
50 3
4-3 4
Will the project create or
improve access to a key
connection across a major
physical barrier in an
underserved community?
Yes = 4pts.,
Somewhat = 2pts.,
No or NA = 0pts.
Will the improved project site Yes = 4pts.,
4-4 4 function for people with Somewhat = pts.,
disabilities or special needs? No or NA = 0pts.
70 89
Section 5: Answer 2 questions below.
Program Goal or Objective ID #
Max.
Poss.
Pts.
Project’s Outcomes Question Point Guidance Applicant
Response
Applicant's
Self Score
Greening to provide
shade, reduce urban
island effect, and use
native, low-water plants.
5-1 4
What is the anticipated
decrease in impervious surfaces
at the project site?
0-25% = 1 pt.,
26-50% = 2pts.,
51-75% = 3pts.,
76-100% = 4pts.
5-2 4
What will be the percent
increase in native, drought
tolerant plantings?
0-25% = 1 pt.,
26-50% = 2pts.,
51-75% = 3pts.,
76-100% = 4pts.
65 3
5-3 4
What is the anticipated percent
increase of shade measured at
the noon hour?
0-25% = 1 pt.,
26-50% = 2pts.,
51-75% = 3pts.,
76-100% = 4pts.
5-4 4 What is the anticipated increase
of greening or tree canopy?
0-25% = 1 pt.,
26-50% = 2pts.,
51-75% = 3pts.,
76-100% = 4pts.
60 3
Total of Scores from Sections 1 to 5:
Project Outcomes
(Max Possible is 40)
37 71
90 City of Live Oak
Report to City Council
Meeting Date: January 5, 2022
Title: 2020-2021 HOME Program Notice of Funding Availability (NOFA) and 2022 HOME Program Application
Contact Information: Alison Schmidt, Acting Chief Building Official Location: City Wide
Background: Periodically the State of California Department of Housing and Community Development (HCD) publishes NOFA's alerting agencies that they have funds available for certain programs and projects. In early December, staff was notified that the HOME program NOFA was released and there is approximately $72 million in funds available.
The HOME program generally offers funding for multi-family housing projects, subdivision development projects, and program activities such as first time homebuyer gap assistance (FTHB), owner occupied rehabilitation (OOR), and tenant based rental assistance.
The City of Live Oak has historically operated an owner occupied rehabilitation program and a first time homebuyer program. Over the past decade, housing purchase prices have increased to a level excluding nearly all eligible housing stock from the program, therefore we have been unable to continue offering the FTHB program.
Staff is currently working on an application for the OOR program.
Applications are competitive, and are due March 10, 2022. Staff may apply for a maximum amount of $700,000 but staff plans on applying for less at this time. Staff will return to Council with a grant resolution and draft application materials in February.
Fiscal Impacts: None.
Recommendation: Accept for information.
Attachments:
2020-2021 HOME NOFA Final
91 STATE OF CALIFORNIA - BUSINESS, CONSUMER SERVICES AND HOUSING AGENCY Gavin Newson, Governor
DEPARTMENT OF HOUSING AND COMMUNITY DEVELOPMENT
DIVISION OF FEDERAL FINANCIAL ASSISTANCE
FEDERAL COMMUNITY DEVELOPMENT BRANCH
2020 W. El Camino Avenue, Suite 200
Sacramento, CA. 95833
P. O. Box 952054
Sacramento, CA 94252-2054
(916) 263-2771
www.hcd.ca.gov
December 1, 2021
MEMORANDUM FOR: ALL POTENTIAL APPLICANTS
FROM: Geoffrey M. Ross, Deputy Director
Division of Federal Financial Assistance
SUBJECT: HOME Investment Partnerships Program
Notice of Funding Availability
The California Department of Housing and Community Development (Department) is pleased to announce the release of this Notice of Funding Availability (NOFA) for approximately $72 million in 2020/2021 federal funds for the HOME Investment Partnerships Program (HOME). The funding level may change due to the factors listed in the NOFA Overview paragraph A. This funding provides loans or grants to eligible HOME Applicants serving low-income (at or below 80 percent of Area Median Income (AMI)) and very low-income (at or below 50 percent of AMI) households. This NOFA is subject to state and federal HOME regulations.
State Recipients, as defined by state HOME regulations section 8201(ii), and nonprofit Community Housing Development Organizations (CHDOs) are eligible to apply for HOME funding for rental projects, First-Time Homebuyer (FTHB) projects, and Program Activities. Developers can apply directly for HOME funding for rental projects.
In addition, the Department intends to utilize the authority of AB 1010 (Chapter 660, Statutes of 2019) waivers to include in the definition of eligible Applicants any duly constituted governing board of an Indian Reservation, rancheria or Tribally Designated Housing Entity (TDHE). This waiver will provide to those entities the ability to apply for funds to operate a First-Time Homebuyer (FTHB) Program, Owner-Occupied Rehabilitation (OOR) Program, and/or a Tenant-Based Rental Assistance (TBRA) Program, in addition to currently-eligible rental project activities.
Eligible activities are separated into Project Activities and Program Activities. Project activities include multifamily rental projects to fund the acquisition with new construction or rehabilitation of multifamily properties and FTHB subdivision development projects. Program Activities include programs to fund individual FTHB gap assistance, including infill new construction or rehabilitation; OOR; and TBRA.
Funding under this NOFA will be awarded on a competitive basis. To be considered, the Applicant must submit a complete application with required documentation via the eCivis Grant Management System Portal. The completed application package must be submitted no later than 5:00 pm Pacific Standard Time (PST) on March 10, 2022. 92 HOME Investment Partnerships Program Notice of Funding Availability December 1, 2021
The Department will begin accepting applications received through the eCivis Grants Management System portal beginning December 16, 2021. The application submission period is intentionally longer than 60 days to allow applicants extra time if needed to address unanticipated submission issues utilizing the new Grants Management System.
NOFA Deadlines
NOFA Release November 29, 2021
Application submittal period From December 16, 2021, 8:00 a.m. PST through March 10, 2022, 5:00 p.m. PST
Applicants are encouraged to set-up their profiles in the eCivis portal located at https://portal.ecivis.com/#/login as early as possible. Profile set-up instructions can be found on the HOME webpage at https://www.hcd.ca.gov/grants-funding/activefunding/home.shtml#funding. Applicants are encouraged to begin the application process early to ensure successful submission before application deadlines. If you have any trouble logging into the portal or have questions on how to complete the online application, please contact the Department at [email protected].
The Department will hold a series of webinars in December 2021 to review the NOFA and application process. A link to the eCivis portal, along with a list of webinar dates, times and how to register, is available on the Department’s HOME webpage at https://www.hcd.ca.gov/grants-funding/active-funding/home.shtml. Assistance setting up a profile, submitting an application, and managing awards through the eCivis portal is available under the Training and Technical Assistance tab on the Department’s website at https://www.hcd.ca.gov/grants-funding/active-funding/home.shtml.
Additionally, a series of office hours will be offered during the application period to assist Applicants with questions regarding the application and application process.
Paper applications will not be accepted.
Links to the eCivis portal, supplemental application forms, regulations, and program information are available at the Department HOME webpage. To receive HOME NOFA FAQs and other program information and updates, please be sure you are subscribed to the federal programs email list at https://www.hcd.ca.gov/i-am/sub_email.shtml If you have any questions regarding the NOFA, please direct them to the HOME program at: [email protected].
Attachment
93 HOME INVESTMENT PARTNERSHIPS PROGRAM
Notice of Funding Availability
Gavin Newson, Governor
State of California
Lourdes M. Castro Ramírez, Secretary
Business, Consumer Services and Housing Agency
Gustavo Velasquez, Director
California Department of Housing and Community Development 2020 W. El Camino Avenue, Suite 500, Sacramento, CA 95833 Phone: (916) 263-2771
Website: http://www.hcd.ca.gov/grants-funding/active-funding/home.shtml Email address: [email protected]
December 1, 2021
94 Table of Contents
I. Overview.................................................................................................................................1 A. Notice of Funding Availability..............................................................................................1 B. Timeline..............................................................................................................................1 C. Authorizing legislation and regulation authority ..................................................................2 D. Definitions...........................................................................................................................3 II. Program requirements ..........................................................................................................3 A. Eligible Applicants ..............................................................................................................3 B. Additional HOME eligibility criteria……………………………………………………………….6 C. Eligible activities .................................................................................................................7 D. Ineligible use of funds……………………………………………………………………………..9 E. Activity combinations and limits ........................................................................................10 F. Allocation of funding .........................................................................................................10 G. Activity funding amounts and limits...................................................................................11 H. Program Income and recaptured funds ............................................................................14 I. Deep affordability targeting ..............................................................................................14 J. Forms of assistance .........................................................................................................16 K. Administrative and CHDO operation funds.......................................................................17 L. Activity delivery funds .......................................................................................................18 III. State and federal requirements ..........................................................................................18 A. Physical needs assessment..............................................................................................19 B. Timeframes for use of funds .............................................................................................19 C. Match requirements ..........................................................................................................20 D. Annual monitoring fees for multifamily projects.................................................................20 IV. Application review ...............................................................................................................21 A. Minimum application requirements ...................................................................................21 B. Rating and ranking ...........................................................................................................22 C. Projects Application scoring factors and evaluation..........................................................24 D. Credits and additional point deduction rules.....................................................................28 E. Rental project scoring and notification..............................................................................29 F. Appeals.............................................................................................................................29 G. Program Activities Application scoring factors and evaluation ............................................31 H. Disclosure of application ………………………………………………………………….…….33 V. Award Announcements and Contracts..............................................................................33 A. Award announcements.....................................................................................................33 B. Contracts ..........................................................................................................................34 VI. Recent state overlays ..........................................................................................................34 A. Pet friendly housing act of 2017 .......................................................................................34 B. Climate Adaptation ...........................................................................................................35 VII. Other Terms and Conditions ...........................................................................................35 A. Right to modify or suspend...............................................................................................35 B. Conflicts............................................................................................................................35 95 California Department of Housing and Community Development 1 2020-2021 HOME NOFA
HOME INVESTMENT PARTNERSHIPS PROGRAM
NOTICE OF FUNDING AVAILABILITY
I. Overview
A. Notice of Funding Availability
The California Department of Housing and Community Development (Department) is pleased to announce the release of this Notice of Funding Availability (NOFA) for approximately $72 million in 2020/2021 federal funds for the HOME Investment Partnerships Program (HOME).
The amount of funding available could be increased, or even greatly exceed the announced amount in this NOFA, depending on several factors. These factors may include, but are not limited to, the Department’s administrative determination of need, changes in legislation directing the Department to make additional funds available, new emergency allocations of funding, or newly available funding from the disencumbrance of previous awards. If additional funding becomes available, the Department will continue evaluating the list of eligible Applicants and make awards up to the additional funding amount available.
These funds may be used in conjunction with other state rental housing programs to assist the same units in the development, not to exceed the per unit subsidy limit for each funding source.
These funds will be used to meet the following statewide goals in accordance with the Department’s 2020-25 Consolidated Plan for low-income households earning at or below 80 percent of Area Median Income (AMI) and very low-income households earning at or below 50 percent of AMI:
• Increase the supply of affordable rental housing
• Expand homeownership opportunities and improve existing housing • Provide homeless assistance and prevention services
B. Timeline
Table 1 –Timeline
NOFA release December 1, 2021
Application due date March 10, 2022, by 5:00 p.m.
Pacific Standard Time (PST)
Award announcements August 2022
96 California Department of Housing and Community Development 2 2020-2021 HOME NOFA
The application submission period is intentionally longer than 60 days to allow applicants extra time if needed to address unanticipated submission issues utilizing the new Grants Management System.
C. Authorizing legislation and regulation authority
This NOFA should be read in conjunction with the following regulations, which establish state and federal HOME requirements:
• State HOME regulations
http://www.hcd.ca.gov/grants-funding/active-funding/home.shtml • State Uniform Multifamily Regulations (UMR) (November 2017 version) http://www.hcd.ca.gov/grants-funding/already-have-funding/uniform-multifamilyregulations.shtml • Federal HOME regulations
https://www.hudexchange.info/programs/home/home-laws-and-regulations/ All regulatory references are to the state and federal HOME regulations unless otherwise noted.
Note: Any inconsistencies between this NOFA and state or federal HOME regulations will be resolved in favor of the applicable regulations unless a waiver was approved by the Director that complies with the requirements of AB 1010 (Chapter 660, Statutes of 2019); in those instances, the waiver will prevail when not in conflict with the federal HOME regulations.
This NOFA does not include the text of all regulations that may be applicable and/or important to individual projects. For proper completion of the application, potential Applicants should consult the regulations linked above and other cross-referenced regulations such as, but not limited to, the Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards at https://www.ecfr.gov/cgi-bin/textidx?SID=0056f7931324bccf7c04c08d3453ed57&mc=true&node=pt2.1.200&rgn=div5.
Multifamily rental project Applicants should also consult the state Uniform Multifamily Regulations (“UMR” or “UMRs”), which apply to all HOME-funded multifamily rental projects. All UMR references herein shall mean the November 2017 UMRs.
Several of the terms used in HOME have specific meanings defined by state and/or federal HOME regulations. When reviewing this NOFA and the application forms, carefully review the regulations for definitions and terms. State HOME definitions are found in Sections 8201 and 8217 of the state HOME regulations.
If state or federal statutes or regulations, or other laws, policies, or procedures, governing HOME or its funding, are modified by Congress, the U.S. Department of Housing and Urban Development (HUD), the State Legislature, or the Department prior to completion of work to be done pursuant to awards made in connection with this NOFA, the changes may become effective immediately and apply to funded activities.
The Department reserves the right, at its sole discretion, to suspend, amend, and/or 97 California Department of Housing and Community Development 3 2020-2021 HOME NOFA
supplement the provisions of this NOFA from time to time. If such action occurs, the Department will notify interested parties through the Department’s HOME Listserv.
D. Definitions
“Special Needs Populations” means the same as defined under Section 7301 of the Multifamily Housing Program guidelines: agricultural workers, individuals living with physical or sensory disabilities and transitioning from hospitals, nursing homes, development centers, or other care facilities; individuals living with developmental disabilities, serious mental illness or substance abuse disorders; individuals who are survivors of domestic violence, sexual assault, and human trafficking; individuals who are experiencing homelessness; individuals with HIV; homeless youth as defined in Government Code (GC) §12957(e)(2); families in the child welfare system for whom the absence of housing is a barrier to family reunification, as certified by a county; frequent users of public health or mental health services, as identified by a public health or mental health agency; frail elderly persons; or other specific groups with unique housing needs as determined by the Department. “Special Needs Populations” do not include seniors unless they otherwise qualify as a Special Needs Population. “Homeless” means the same as defined under the federal Continuum of Care Program, Code of Federal Regulations (CFR), Title 24 CFR § 578.3, as may be amended and renumbered from time to time. “Homeless” includes “chronically homeless” and “homeless with a disability.”
“Local agency” means a city, county, city and county, or duly constituted governing body of an Indian Reservation or rancheria and includes any governmental agency or local public entity.
“Local public entity” means any county, city, city and county, the duly constituted governing body of an Indian Reservation or rancheria, Tribally Designated Housing Entity as defined in Section 4103 of Title 25 of the United States Code and Section 50104.6.5, redevelopment agency organized pursuant to Part 1 (commencing with Section 33000) of Division 24, or housing authority organized pursuant to Part 2 (commencing with Section 34200) of Division 24.
II. Program Requirements
The following is provided as only a summary and is not to be considered a complete representation of the entirety of the eligibility, threshold, or other requirements or terms and conditions of the HOME program.
A. Eligible Applicants
Eligible HOME Applicants include State Recipients, otherwise known as a local agency or local public entity defined above, Developers, and Community Housing Development Organizations (CHDOs), consistent with applicable state and federal requirements. 98 California Department of Housing and Community Development 4 2020-2021 HOME NOFA
1. Eligible jurisdictions
To meet the definition of an eligible jurisdiction, Applicants must meet the following criteria:
• Have not been designated as “participating jurisdictions” by HUD; • Are not participants in an urban county agreement with a county that is designated as a HUD entitlement jurisdiction;
• Are not participants in a HOME consortium; and
• Are proposing projects or programs that will be located or carried out in the Applicant’s defined service area. Generally, this will be within the Applicant’s city limits, a county’s unincorporated area, or an Indian Reservation, rancheria or service area of a Tribally Designated Housing Entity.
Eligible city and county jurisdictions for 2020/2021 federal HOME funds are listed in Appendix A. If a city or county is not listed in Appendix A, but believe they are eligible to apply to the Department for HOME funds, the jurisdiction must submit a copy of the consortium or urban county agreement indicating that the jurisdiction is not a participant of a FY 2020-21 or FY 2021-22 consortium or urban county funding. The copy must be submitted no later than March 10, 2022, to the Department’s HOME NOFA email: [email protected].
2. CHDOs
a) Certification
CHDOs proposing to complete a project funded with the CHDO set-aside under this HOME NOFA utilizing a 2020 or 2021 federal allocation must submit a complete CHDO Certification application with all exhibits and attachments by the NOFA application due date of March 10, 2022, and must have received CHDO Certification approval prior to the award of the HOME funding. CHDO Certification will be for projects and/or Program Activities awarded as a result of this NOFA solicitation only.
The CHDO Certification application is available at https://www.hcd.ca.gov/grantsfunding/active-funding/home.shtml#certification. For assistance with the CHDO Certification process, contact [email protected].
b) Site Control
Projects being funded through this NOFA with the CHDO set-aside are required to be “owned, developed, or sponsored” by an eligible state certified CHDO:
“Owned, developed, and sponsored” are defined at 24 CFR § 92.300 of the HOME Final Rule as:
• Owner: The CHDO is required to own (in fee simple absolute or long-term ground lease meeting the requirements of UMR Section 8316) the HOME 99 California Department of Housing and Community Development 5 2020-2021 HOME NOFA
project during development and throughout the period of affordability. As owner, the CHDO is required to oversee all aspects of the development process. In instances where the CHDO lacks Developer capacity, the CHDO may own the project and hire a qualified project manager or contract with a development contractor to oversee all aspects of development. This option is available to CHDOs having experience and capacity to own and operate affordable rental housing but lack the experience or capacity to develop the project. This option is not available if the project is owned by a limited partnership entity (see Sponsor paragraph below).
• Developer: The CHDO may act as Developer if the CHDO owns the HOME project (in fee simple absolute or long-term ground lease meeting the requirements of UMR Section 8316). As Developer, the CHDO must be in sole charge of all aspects of the development process, including obtaining zoning and other approvals, securing financing, selecting contractors, overseeing work progress, and determining reasonableness of costs. The CHDO must own the project during development and for multifamily rental projects throughout the period of affordability. This option is not available if the project is owned by a limited partnership entity (see Sponsor paragraph below).
• CHDOs are not allowed to act as Developer in projects where the CHDO does not have a long-term ownership interest and contractual relationship with the project owner (i.e., a Development Services Agreement) to develop the project. • Sponsor: The HOME Final Rule provides two definitions of “sponsor” of HOMEassisted rental housing:
a. A CHDO “sponsors” a project when the property is “owned” or “developed” by:
• An affiliated subsidiary of the CHDO, which is wholly owned by the CHDO;
• A limited partnership in which the CHDO or its wholly owned affiliated subsidiary is the sole general partner; or
• A limited liability company in which the CHDO or its wholly owned affiliated subsidiary is the sole managing member.
b. A CHDO may “sponsor” a project in situations where the CHDO owns the property (in fee simple absolute), develops the housing, and agrees to convey the housing to a different private nonprofit organization at a predetermined point in time after completion of the development. The nonprofit to which the project will be conveyed does not need to be a CHDO but must be identified and approved by the Department prior to commitment of HOME funds. Additionally, this nonprofit cannot be created by a governmental entity. If for any reason the project is not transferred to this nonprofit, the CHDO remains liable for the HOME funds and project for the term of the affordability period.
c. If awarded, CHDOs must obtain all necessary permanent project financing, including the permanent financing for the required period of 100
California Department of Housing and Community Development 6 2020-2021 HOME NOFA
affordability, and execute a Standard Agreement with the Department pursuant to Section 8217(b)(1) of the state HOME regulations.
B. Additional HOME eligibility criteria
1. Minimum expenditure requirement for Program Activities (50 Percent Rule):
Pursuant to state HOME regulations section 8204(b), Applicants with current HOME Program Activities contracts, or with Program Activities awards from the last HOME Program NOFA, are eligible to apply for HOME Program Activities funds only if they have expended, by the application due date of March 10, 2022, at least 50 percent of the aggregate total of funds originally awarded. Potential Applicants with no open HOME Program Activities contracts are not affected by this rule. A current HOME contract is a contract or award with an expenditure deadline that has not yet occurred by March 10, 2022.
Note: The Rule also applies to contracts for which the contract period was extended and has not yet reached its extended expenditure deadline. "Expended" funds are the total of all valid Administrative and Project Drawdown Requests (PDR) or, for Tenant-Based Rental Assistance (TBRA), future commitments on Project Setup Reports received by the Department by the NOFA application deadline. Additionally, for FTHB and Owner-Occupied Rehabilitation (OOR), a valid PDR is limited to the amount needed for reimbursement of actual expenses for work that has been completed (Work Completed). Work Completed varies by activity as follows:
a) FTHB activity: escrow has closed, as evidenced by a final HUD Settlement Statement;
b) OOR activity: construction completed and inspected;
c) TBRA activity: rental payment assistance amount multiplied by the number of months in the individual tenants’ TBRA agreements, to the extent those funds are available in existing TBRA grants.
2. As applicable, Applicants, excluding CHDOs and Developers, must be in compliance with 2 CFR §200.512 Single Audit Report submission requirements on the application due date.
To be eligible for funding, the Applicant must comply with the submission requirements of the 2 CFR §200.512 Single Audit Report. Single Audit reporting packages are due to the California State Controller’s Office (SCO) nine months after the entity’s fiscal year ends pursuant to 2 CFR § 200.512. For most California entities, the reporting package is due March 31 of each year. Entities with approved extensions on file must submit their reporting package by the due date indicated in their approved extension letter. Applicants are responsible for making the determination as to the applicable due date for the Single Audit reporting packages. 101
California Department of Housing and Community Development 7 2020-2021 HOME NOFA
The Department will determine the status of 2 CFR § 200.512 Single Audit reporting compliance as of the application due date, March 10, 2022, by consultation with SCO. Jurisdictions that are exempt from filing a 2 CFR §200.512 Single Audit report, because their federal funding falls below the federal threshold, are required to submit a copy of the letter notifying SCO of the exemption status. The letter must be included in their HOME application.
Applicants must be in good standing with the State of California and all agencies and departments thereof. By way of example and not limitation, if an Applicant is a business entity, such entity must be qualified to do business in California and currently in good standing with the California Secretary of State and the California Franchise Tax Board.
C. Eligible activities
The state HOME program will fund only the following types of Projects and Programs.
Rental and homebuyer projects with multiple sites must have common ownership and financing.
1. Rental projects
• Rental new construction project – Funds provided to develop a specific multifamily project on a specific site by a specific Developer. Rental new construction projects may be with or without acquisition; or • Rental rehabilitation project – Funds provided to rehabilitate a specific rental project with or without property acquisition.
Per Section 92.205(a) of the federal HOME regulations, “acquisition” is considered a transfer of real property between unaffiliated third parties. Therefore, a “rehabilitation with acquisition project” is eligible only if there will be an acquisition of real property.
A title or vesting change of current ownership is not acquisition of property, whether or not monies were exchanged.
Applicants requesting project funding for a rental project consisting of multiple sites must be in compliance with UMR Section 8303(b).
Note: Projects for acquisition only are not eligible for funding.
2. FTHB projects
a. Construction financing must include the following:
• New construction or acquisition/rehabilitation/ conversion to develop homes on specific site(s).
• 100 percent of the HOME investment rolls over to permanent financing to provide mortgage assistance to eligible first-time homebuyers when the units are sold to eligible homebuyers.
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b. Homebuyer mortgage assistance only (no HOME construction financing) in a project that is being constructed or acquired and rehabilitated with other funds to then be sold to eligible first-time homebuyers.
3. Program Activities
Eligible HOME Program Activities are as follows:
a) First-Time Homebuyer (FTHB) program
• Acquisition-only down payment assistance - Funds awarded to a HOMEeligible Applicant to provide loans to homebuyers for acquisition of a modest dwelling that the homebuyer selects from the open market. CHDOs are ineligible for this activity.
• Acquisition with rehabilitation - Funds provided to a HOME-eligible Applicant, or CHDO, to perform acquisition with rehabilitation activities. To be considered a CHDO-eligible activity, the CHDO must assume the role of Developer and own the property, completing the rehabilitation of the unit prior to selling the home to an eligible homebuyer. • Infill new construction - Funds provided to an eligible Applicant, or CHDO, to provide assistance for the new construction of dwellings on scattered sites, with no more than four dwellings per vacant site. Pursuant to federal National Environmental Policy Act (NEPA) requirements, an environmental assessment (EA) will be required if more than four units, regardless of the funding source, are developed within 2,000 feet of one another. To be considered a CHDO-eligible activity, the CHDO must assume the role of Developer, own the property during construction, and sell the home to an eligible homebuyer within nine months of completion. All dwellings must be situated on land held in fee simple, leasehold, or another manner approved in writing by the Department, and be affixed to a permanent foundation.
Pursuant to state HOME regulations, Section 8207, the FTHB primary mortgage loan must be fully amortized and have a fixed interest rate that does not exceed the current market rate, as recognized by the 90-day “posted yield” for 30-year fixed rate loans, established by Fannie Mae. Rates are available at https://singlefamily.fanniemae.com/pricing-execution/historical-daily-required-netyields.
For projects with costs that exceed 100 percent of the appraised value, this activity is eligible only if the application clearly documents the availability of grant funds or building sites currently owned by the Applicant or Developer. For example, if the project includes a development grant as a funding source, then the Applicant shall provide a commitment letter from the funding source in form and content acceptable to the Department in its sole discretion. 103
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b) Owner-Occupied Rehabilitation (OOR) program
Funds to a HOME-eligible Applicant to assist owners whose primary residence is in need of repairs, improvements, or reconstruction necessary to meet federal, state, or local building codes, and for correction of any health and safety deficiencies.
“Reconstruction” means the rebuilding, on the same residential lot. This includes homes destroyed by natural causes. HOME funds must be committed within 12 months of the date of destruction.
c) Tenant-Based Rental Assistance (TBRA) program
For funds provided to a HOME Applicant to administer a program to provide rent subsidies and/or security deposits to eligible households, the minimum term of rental assistance to an eligible household is six months; however, the tenant must be initially offered a one-year lease. TBRA funds may be used to assist tenants to reside in any HOME-eligible jurisdiction within the county where the TBRA funds were awarded.
For example, TBRA funds awarded to the City of Winters can also be used for units located in Woodland, West Sacramento, or the unincorporated areas of Yolo County, since all of these jurisdictions are state HOME eligible within Yolo County, but may not be used in Davis, which is not state HOME eligible.
Additionally, all program participants will be required to coordinate with their local Continuum of Care to ensure that TBRA funds are used only after all other emergency rental assistance funds currently available have been provided to potential TBRA beneficiaries and the Department has approved the assistance to the beneficiary. Documentation in the beneficiaries’ files must be maintained to demonstrate that this action has taken place.
D. Ineligible use of funds includes, but is not limited to, the following:
At HUD’s discretion, funds used to refinance mortgage loans are not allowed and are considered ineligible use of HOME funds, in accordance with the HOME Final Rule, Section 92.206(b).
Pursuant to federal HOME regulations section 92.206(a)(4), HOME funds cannot pay for the costs associated to construct or rehabilitate laundry and/or other community facilities located in separate buildings containing no residential units, unless the facilities exclusively serve the residents and their guests. In other words, the space cannot be available for use by the general public.
Pursuant to federal HOME regulations section 92.214, HOME funds cannot be used for the initial deposits to the operating and replacement reserve required by state UMR sections 8308 and 8309. Therefore, in a project where HOME is the only source of financing, or if other lenders/equity partners will not pay for these costs, the Developer must pay them.
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Additionally, HOME funds cannot provide a duplication of benefit or supplant any other federal, state or local funds previously committed to the project.
Only eligible activities will be scored and ranked. If an application contains two activities, one of which is an ineligible activity, then the eligible activity will be scored.
For further ineligible uses of HOME funds, refer to the HOME Final Rule.
E. Activity combinations and limits
Eligible Applicants (excluding Developers and CHDOs) may apply for two activities as follows:
1. One rental project and one FTHB project, or
2. One rental project, and any combination of eligible Program Activities, or
3. One FTHB project and any combination of eligible Program Activities, except for a FTHB program.
A separate application must be submitted for each project and for Program Activities.
Projects and Program Activities are rated and ranked separately.
CHDOs may apply for two activities as follows:
1. One rental project and one FTHB project, or
2. One rental project or FTHB project and FTHB Program Activity of infill new construction or Acquisition with Rehabilitation.
Developers applying with an eligible Applicant as defined above may submit only one independent application pursuant to this NOFA. An application may consist of one activity as follows:
1. One Rental rehabilitation with or without an acquisition project
2. One Rental new construction project
F. Allocation of funding
Funding made available by this NOFA will be allocated in accordance with the state HOME regulations cited below. The utilization of COVID-19 waivers will reduce the CHDO set-aside and increase the amount the state will utilize for administrative costs:
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Allocation of Funding
Section 8212.1(a)
* 40 percent for Program Activities
* 55 percent for rental projects (includes CHDO set-aside) * 5 percent for FTHB projects
Sections 8212.1 and 8213
• The top-ranked project and Program Activity application, respectively, submitted by an Indian Reservation, Rancheria, or Tribally Designated Housing Entity that passes threshold and meets the HOME program requirements will be awarded HOME funds.
• A minimum of 50 percent will be reserved for Rural areas as defined in Section 50199.21 of the California Health & Safety Code (HSC).
State HOME regulations, section 8213(d) specifies that, in the event there are insufficient monies to fund an Applicant's entire program, the Applicant may be offered a lower amount of funding. The lower amount of funding may be offered only if the funding is sufficient to complete a portion of the application activities, which, if evaluated separately, would have been awarded. If the amount of funding available is insufficient, the available funds may be allocated to feasible applications in other allocations.
Over-the-Counter (OTC) HOME funding is available only if the amount requested by all Applicants competitively is lower than demand. The Department will notify all parties through a “HCD Listserv” announcement if there will be an additional OTC HOME NOFA funding opportunity.
G. Activity funding amounts and limits
The loan limits stated below do not include funds for administration or CHDO operations. Limits apply to the combined amount of funds requested through this NOFA and HOME program income and recaptured funds.
For example, an eligible Applicant (excluding Developers) may request up to $7 million for a project (i.e., a $7 million loan and grant for administration expenses or CHDO Operating Funds limited to the maximum in the NOFA Section II, K). Developers are not eligible for reimbursement of administration costs.
Projects may propose to utilize either four percent (4%) or nine percent (9%) tax credits to fund their project and may exercise flexibility post award to determine the type of tax credits they will use. The HOME award amount must remain the same for either type of tax credits proposed. Tax credits cannot be used to replace awarded HOME funds.
For administration/CHDO operation funds and activity delivery amounts, see NOFA Sections II.K. and II.L
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Prior to the issuance of the Award letter, the Department will evaluate the financial feasibility of each project and may, as necessary for project feasibility, or to prevent over subsidizing a project per the UMRs, decrease the HOME loan amount. This also applies to Rental rehabilitation with or without acquisition projects.
Homebuyer project loan limits
1. Down payment assistance cannot exceed 50 percent of the proposed unit sales price plus closing costs. Applicants will need to consider their pool of potential Applicants’ income levels to determine the amount of HOME funds needed to complete the project and ensure each beneficiary is provided HOME down payment assistance based on need and remain within the HOME Program per-unit subsidy limits.
2. The federal per-unit subsidy and HOME Value Limits still apply. All loan amounts will be verified by a subsidy layering analysis, and loan amounts will be reduced if the amount requested exceeds what is needed.
Note: Using HOME homebuyer project funds, HOME homebuyer program funds, and/or any HOME program income (“PI”) and recaptured funds (“RF”) in the same homebuyer project, is not permitted except in limited circumstances and at the sole discretion of the Department.
Projects funding maximums
Rental New Construction or Rehabilitation
with or without acquisition
$7 million
First-Time Homebuyer Project $7 million
CHDO Operating funds grant* $200,000
Administrative funds grant* $150,000
*See NOFA Section II K and L for guidance.
Minimum and maximum amount of funds per project
1. The minimum amount of HOME funds that must be invested in a rental or homeownership housing project is $1,000 for each HOME-assisted unit in the project. This requirement does not apply to TBRA funding.
For example, a project with 30 units, of which 15 units are HOME-assisted, requires a minimum HOME investment of $15,000.
2. The maximum amount of HOME funds invested in a project, including activity delivery costs, shall not exceed the lower of:
a) Per-unit subsidy limits, established by HUD (updated annually), under 24 CFR §92.250; or
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b) The development cost of HOME-assisted units compared to all units in the project and the size of the HOME units compared to all other units in the project, pursuant to 24 CFR §92.205(d)(1); and
3. The maximum amount of HOME funds invested in a project (when combined with other financing and assistance), must accomplish the following:
a) Enable the project as proposed to be developed and to operate in compliance with all HOME requirements, including the subsidy-layering requirement at 24 CFR §92.250. For more information, see HUD’s CPD Notice 98-01. b) For rental projects of five or more units, achieve a debt-service coverage ratio in accordance with UMR section 8310.
The current income and rent limits must be used in these calculations. They are located on the Department’s website at: http://www.hcd.ca.gov/grantsfunding/income-limits/state-and-federal-income-limits.shtml.
The current HUD per-unit subsidy limits are located on the Department website at:
http://www.hcd.ca.gov/grants-funding/income-limits/state-and-federal-income- limits.shtml.
FTHB and OOR activities are subject to the HOME Value Limits. The current limits can be found at http://www.hcd.ca.gov/grants-funding/income-limits/state-and-federal-incomelimits.shtml.
Pursuant to federal regulations, a project may receive only one HOME fund award. This prohibits the combination of awards from a State Recipient, and a Developer, or CHDO on the same project, and also prevents the combination of awards from more than one HOME NOFA on the same project.
Pursuant to 24 CFR §92.250, before committing funds to a project, the Department must evaluate the project in accordance with the UMRs and will not invest any HOME funds, in combination with other governmental assistance, than is necessary to provide affordable housing. HOME projects may not receive more subsidy than what is required to make them financially feasible.
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Program Activities funding limits
Maximum: $2 million (including administration and activity delivery costs). Minimum:
$300,000. Applies to HOME-eligible Applicants for all Program Activities, subject to the following chart:
* See “Expended Funds” definition in state HOME regulations § 8204(b). ** Applicants that do not have open HOME Program Activities contracts past the expenditure deadline as of the NOFA application due date may apply for up to $700,000.
Successful Applicants (awardees) will be evaluated periodically to determine if their rate of expenditure is reasonable. The Department may disencumber all or a portion of the grant if there is an unreasonably low rate of expenditure, as determined by the Department in its sole discretion.
H. Program Income and Recaptured Funds
Federal HOME regulations require that all program income (“PI”) and recaptured funds (“RF”) on hand must be maintained in an interest-bearing account. Interest earned on those funds is considered PI. To avoid de-committing appropriated grant funds from a specific project, HOME PI and RF may be accumulated throughout the current reporting period (fiscal year) and committed to a project in the next fiscal year.
The PI and RF received during the current reporting period, as well as any anticipated to be received in the next program year, must be reported to the Department to comply with HUD reporting requirements. Additionally, the Applicants must identify how the funds will be used (name the activity and project or Program Activity, and the intended beneficiary type) to ensure timely use of program income funds. All PI and RF must be reported in the Annual Performance Report to the Department.
I. Deep affordability targeting
A total of approximately $5 million in HOME funds are available as part of the rental project allocation to assist rental new construction projects to reduce or eliminate permanent conventional debt with mandatory debt service for the purpose of lowering rents on some or all of the project’s units. Eligible Applicants may apply for up to an additional $1 million in HOME funds for this purpose.
Eligible projects are rental new construction projects that do not utilize nine percent (9%) tax credits and set a portion of the units’ rents below 50 percent of AMI for the HOME Expenditure Rate* Achieved
Maximum Application
Amount
Expenditure Rate for Applicant’s 15-HOME,
16-HOME, and 18-HOME Program
Activities Contracts
$2,000,000 60 percent or more
$1,500,000 55 – 59.99 percent
$ 700,000 0 – 54.99 percent
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entire regulatory term. Be aware the new flexibility to change tax credits after award will not be applicable for deep affordability projects. Projects also must meet the periods of affordability specified in the following table.
Period of Affordability
Number of Years Applicant Type
55 years Developments on fee land
50 years Developments on Native American
Lands (both fee simple and leasehold)
Applicants for deep affordability targeting funds must submit two sets of application documents as set forth in the Deep Affordability Targeting Documentation Checklist of the HOME Supplement to the Universal Application. This additional documentation must illustrate any differences in proposed project rent levels, financing commitments, and other financials when funded at the deep affordability targeting funding level versus the regular maximum HOME funding level. The additional documentation must also include another “Financial Feasibility Self Evaluation” form. The Department expects to see a reduction in rents, debt service, operating reserve, and permanent conventional financing commitments because of the higher HOME loan amount. However, there must be no difference in total development cost under the regular HOME funding scenario versus the deep affordability targeting funding scenario. The total operating expenses may change based on the population served; however, the amount budgeted for Supportive Services Costs must be consistent with the UMR Section 8314(e). Any differences in total operating expenses and required replacement reserve deposits between the two scenarios must be explained in the application.
Although the project rent schedule may change with deep affordability targeting funds, the total number of units and the size of units in the project may not change. In putting together the unit mix under both scenarios, among the HOME-assisted units, no more than four different rent AMI levels shall be used for each bedroom size.
Deep affordability targeting rating factors
The available funds will be allocated to projects that rank high enough to be funded through the normal rating and ranking process and based on the following deep affordability targeting rating factors:
1. The higher the percentage of HOME units restricted below 50 percent AMI, the deeper affordability targeting points that will be awarded; and
2. The lower the average rent of HOME units expressed as a percentage of AMI, the deeper affordability targeting points that will be awarded.
Fifty percent (50%) of deep affordability targeting HOME funds will be made available to projects in counties in which the HOME 50 percent AMI limit for a household of four is below $39,200 based on the 2021 HUD HOME 50 percent median income limits. Fifty percent of the funds will be made available to projects in counties whose 110
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HOME 50 percent AMI limit for a household of four is $39,200 or more. Unused funds in one group will be made available for the other group.
If a project does not score high enough on the deep affordability targeting factors to receive deep affordability targeting funds, it will be evaluated for overall HOME rating purposes using the rents that are proposed at the regular maximum HOME funding level.
For assistance on deep affordability targeting applications, submit questions to [email protected].
J. Forms of assistance
1. HOME loans
HOME assistance shall be in the form of deferred payment loans to be repaid to local HOME accounts controlled by eligible Applicants or the state’s local HOME account, except for the uses of funds specifically defined under HOME grants below.
Loans provided to homebuyers must meet the requirements set forth in State HOME Regulations § 8205(c)(C)(i and ii)
2. HOME grants
HOME assistance must be provided in the form of a grant for relocation payments, lead-based paint hazard evaluation and reduction activities, and TBRA. HOME assistance may be provided in the form of a grant for rehabilitation activities performed under an OOR program if necessary, to complete the project when the total of all project indebtedness equals or exceeds the projected after rehabilitation appraised value. The grant amount for OOR activities is limited to 25 percent of the applicable HUD per-unit subsidy limit for the project. This amount is in addition to any grant funds currently permitted for relocation, lead-based paint remediation, and activity delivery costs for the project.
HOME assistance may be used for activity delivery cost grants for eligible Applicants. Activity delivery costs are further defined by the term “related soft costs” in the HOME Final Rule at 24 CFR § 92.206(d), except that customary closing costs for home acquisition activities may be charged as either a loan or part of the grant funding for activity delivery costs.
IMPORTANT: All project-related soft costs associated with an OOR project must be included in the 24 percent funding maximum available for activity delivery costs.
HOME funds for activity delivery costs cannot be drawn down before HOME funds for activity costs are drawn down. If the activity is not completed, and a Project Completion Report for the full amount drawn down is not filed, all HOME funds for that project, including activity delivery costs, must be repaid to the Department.
Project related expenses for NEPA environmental review, and architectural and engineering and other professional services incurred within the 24 months prior to the commitment of funds, may be reimbursed at the sole discretion of the Department 111
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after execution of the state’s Standard Agreement. On a case-by-case basis, the Department may, in writing and in its sole discretion, permit reimbursement for other expenses incurred after the date of the Award letter, and prior to the effective date of the Standard Agreement, upon the written request of the Applicant.
K. Administrative and CHDO operation funds
The following limits apply to the amount of administrative and CHDO operations funding that Applicants may receive. Developers of a project shall not act as an Administrative subcontractor for the same HOME funded project activity and are not eligible for project administrative costs.
Projects
Applicants eligible to receive administrative funds applying for $5 million or more in project development costs may request up to $100,000 for administrative costs. If requesting less than $5 million in project development costs, Applicants may request up to $75,000 for administrative costs.
CHDOs applying for $5 million or more in project development costs may request up to $200,000 in CHDO operations funds. If requesting less than $5 million in project development costs, Applicants may request up to $150,000 in CHDO operation funds.
This includes FTHB projects.
Developers are not eligible to apply for administrative funds.
All administrative costs must be reasonable, and Applicant must have detailed records to demonstrate costs are eligible for reimbursement.
Program Activities
All Program Activities Applicants may request up to 2.5 percent of the amount requested in administrative funds. CHDOs undertaking a FTHB program activity will receive CHDO operation funds in lieu of administrative funds at the same 2.5 percent rate.
All administrative costs must be reasonable, and Applicant must have detailed records to demonstrate costs are eligible for reimbursement.
TBRA Applicants may request up to an additional 9.5 percent of the total TBRA application amount for TBRA general administration, for a total of 12 percent of gross TBRA funds for TBRA general administration. Due to state budget constraints, the total amount of administration for this purpose is $200,000. If there is more demand for TBRA administration funds than available, only the highest-rated TBRA Applicants will receive administration funds in addition to the regular 2.5 percent allocation. All TBRA Applicants will receive at least the basic 2.5 percent amount for Administration.
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L. Activity delivery funds
Projects
Eligible Applicants of rental and homebuyer projects may receive up to $50,000 of the contract amount (loan and grant funds) for activity delivery costs (activity delivery funds). Activity delivery funds are grants and not part of the project loan amount. Activity delivery funds may be used at the Applicant’s discretion to fund the activity, activity delivery costs, or any combination of the two.
For a description of the types of expenses, which may be charged to activity delivery, see 24 CFR §92.206(d)(6) and 92.206(f)(2). Activity delivery, administration, and CHDO operations funds should not be included in the development budget since the development budget must reflect HOME loan amounts only, not HOME grant funds.
Developers shall not act as an administrative subcontractor for the same HOME funded project activity and are not eligible for project activity delivery costs.
Programs
Except for TBRA activities, Standard Agreements (contracts) will automatically allow the use of up to the maximum amount of activity delivery funds for each specific activity. At the time of set-up (i.e., when the HOME recipient is ready to begin drawing activity funds) an activity delivery funds request may be made for actual expenses:
1. Up to 24 percent of the HOME loan/grant amount for OOR and for the rehabilitation component of acquisition with rehabilitation. Activity delivery costs for rehabilitation projects may exceed the 24 percent limit if documentation of actual eligible costs is provided to the Department with the project set-up. Documentation must be of actual eligible costs; consultant billings, without documentation of underlying actual costs, are not adequate.
2. Up to 6.5 percent of the total acquisition cost for FTHB activities involving acquisition with rehabilitation.
3. Up to 5 percent of the HOME TBRA payment for unit inspection and income determination activities.
4. Up to 6.5 percent of the HOME amount for all other activities.
III. State and federal requirements
Applicants are required to ensure programs and projects development are in compliance with all the state and federal regulations governing this funding. Those to be considered in completing your application are highlighted below.
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A. Physical needs assessment
Pursuant to 24 CFR §92.251, housing that is constructed or rehabilitated with HOME funds must meet all applicable local codes and rehabilitation standards at the time of project completion. Projects involving rehabilitation must do sufficient rehabilitation to ensure the long-term viability of these projects. Pursuant to state UMR Section 8309(b)(2), the Department requires rental rehabilitation project Applicants to submit a third-party physical needs assessment.
B. Timeframes for use of funds
Recipients of HOME funds are subject to progress deadlines and expenditure deadlines that are defined in the state and federal regulations and specified in the Standard Agreement. Failure to meet applicable deadlines may potentially result in the assessment of penalties, potential recapture of HOME funds (spent and/or unspent), and point deductions from future NOFA applications:
HOME Deadlines
Deadline
Construction loan closing 20 months from award
Expenditure (Program Activities) 48 months from award
Expenditure (project) 40 months from award
Projects
For projects, if a grantee fails to meet one or more of the deadlines outlined in the paragraph above, a performance penalty will be imposed on the next project application submitted by the Applicant, as well as the project’s Developer, owner, and managing general partner.
If a grantee gives back their award in lieu of another funding source or tax credits, the Applicant will be held out of the next HOME funding round.
Program Activities
All Program Activities funds must be expended by the end of the 48th month following the award date. Grantees must ensure that work is completed well in advance of the expenditure deadline to ensure funds are fully expended prior to the expenditure deadline.
Exceptions will be considered, at the sole discretion of the Department, only if the Applicant shows there was clear and indisputable evidence that delays were beyond the reasonable control of the borrower and/or the Applicant, or the Department was responsible for the delay, and the Department has the flexibility to do so within federal regulations.
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C. Match requirements
HOME match requirements are waived for applications pursuant to this NOFA.
However, match must be reported to the Department in each Project Completion Report. The Department continues to track all match funds in projects.
D. Annual monitoring fees for multifamily projects
Pursuant to 24 CFR §92.214(b)(1)(i), participating jurisdictions, such as the state HOME Program, will charge fees to cover the cost of ongoing monitoring and physical inspection of HOME projects during the state period of affordability. The state HOME program will charge these fees as described in this NOFA.
For Developer and CHDO projects
The Department charges an annual monitoring fee as follows:
Table 8 – Monitoring Fees
Number of Units 2021
12 or fewer $5,900
13 to 24 $9,600
25 to 36 $11,700
37-48 $12,000
49-60 $14,350
61 or more $16,800
To adjust for inflation, this fee shall increase by three percent per year unless the Department determines that the monitoring costs are increasing at a lower rate. To determine the beginning monitoring fee, the applicant will estimate the placed in service year and adjust the fee upward from 2021. Financial assumptions in the HOME application shall be based on the rate that will be effective at the time of initial occupancy.
Annual monitoring fees are mandatory payments. The first payment shall be prorated based upon the total number of days after completion within the first fiscal year.
Lump sum payment made from development funds is not allowed for HOME projects.
Payments made must be pursuant to the regulatory agreement.
For Eligible Applicants’ projects
Applicants may charge their borrower annual monitoring fees to cover the ongoing cost to monitor and conduct physical inspections provided:
1. The monitoring fee charged may be less than, but not exceed, the amount charged for state CHDO and Developer projects;
2. The monitoring fee shall be specifically stated in the Applicant’s loan documents with 115
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the borrower; and
3. An amount equal to 10 percent of the monitoring fee which is charged to the project will be paid by the Applicant to the Department to cover the Department’s costs of monitoring the Applicant’s rental project compliance activities.
IV. Application review
A. Minimum application requirements
Applications for the HOME program will not be considered for funding unless the application demonstrates that the following minimum requirements have been met pursuant to Section 8212 of the state HOME regulations:
1. The application was received by the Department by the deadline specified in this NOFA.
2. The Applicant is eligible pursuant to state HOME regulations sections 8204, 8204.1(c), and Appendix A of the NOFA or by way of the Department’s use of the AB 1010 waiver.
3. The Applicant proposes at least one eligible activity pursuant to state HOME regulations section 8205 (other than administration).
4. The use of funds is eligible per state HOME regulations sections 8205 and 8210(c).
5. The application is complete pursuant to state HOME regulations section 8211(b).
6. The Applicant has no unresolved audit findings pursuant to state HOME regulations sections 8204(a)(1)(D) (ii) and (2)(C)(i).
7. The Applicant has provided documentation satisfactory to the Department that it complies with the submittal requirements of 2 CFR §200.512 Single Audit reporting requirements.
8. The Applicant and any member of its program or project team is not on the list of debarred contractors at https://www.sam.gov/SAM/ pursuant to state HOME regulations Sections 8204(a)(1)(D)(iii) and (2)(C)(ii).
9. The total amount of funds requested for both administration activity-specific costs and activity delivery costs does not exceed the limits identified in the NOFA.
10. The application form provided by the Department has not been altered or modified and is complete in all respects.
11. CHDO applications must contain procedures for ensuring effective project control pursuant to 24 CFR §92.300(a)(1) and state HOME regulations Section 8204(a)(2)(D).
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B. Rating and ranking
The Department will rate, rank and fund applications based on review of eligible activities for which funds are requested. The application must be submitted using Department forms, and contain all information required pursuant to state HOME regulations Sections 8211(c), (d), and (e). Scoring for projects is subject to the appeal process described in NOFA Section IV.F. Each project or combination of Program Activities will be evaluated and ranked separately.
The Department requires full disclosure in each application of all pending and proposed applications for other Department applications for the same project, regardless of who is applying for funding (e.g., city, county, Developer, sponsor, etc.).
Pursuant to Section 8212(d)(5) of the state HOME regulations, HOME project applications must receive a minimum score of 930 points to be funded based on the following categories:
• Housing Element (50 points)
• Formula Reallocation (50 points)
• Rural Area (50 points)
• State Objectives (200 points)
• Capacity (up to 450 points)
• Community Need (up to 250 points)
• Project Feasibility (up to 200 points)
• Project Readiness (300)
In the case of a tie score, the application demonstrating the highest jurisdictional poverty level will be funded first. If CHDOs and/or Developers are applying from the same jurisdictional area, the lower of the average rent expressed as a percentage of area median income will be funded first. The Department Director will make final funding decisions in his or her sole discretion.
Applications will be funded in descending order based on points earned. Applications that qualify for CHDO, FTHB project, tribal and rural set-asides will be funded first, based on their scores as necessary to meet the minimum set-asides.
Once the set-asides have been achieved and the top-ranked project and top-ranked Program Activity on Native American Lands as defined in Section 8201(x or by an eligible Native American Entity has been selected, all remaining applications will be funded within their respective allocations pursuant to state HOME regulations Section 8212.1, based on their scores relative to all other applications with the highestscoring application funded first.
Project application review and analysis
1. In accordance with Section 8212(a)(6) of the state HOME regulations, Section 8310 of the state UMR, and the 2013 HOME Final Rule, Section 92.250 (b), the Department will perform underwriting analysis to substantiate the project is financially feasible for at least 20 years, as well as a subsidy layering analysis to determine the amount of the HOME loan.
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To determine the project’s feasibility and sustainability, the Department will review the project Sources and Uses Form. When completing the form, Applicants should be sure to include all known and potential project costs, such as those caused by the following:
• Site development issues
• Local government approvals
• Project market
• Prevailing wages
• Elevation above a flood plain
• Relocation
• Environmental remediation
• Mitigation of environmental conditions
and hazards
• Any other factors that may impact the
project costs and/or schedule
If an Applicant proposes to develop site(s) formerly used for agricultural, industrial, manufacturing, or commercial purposes, or the site is situated adjacent to, or in close proximity to, rail yards, airports, dumpsites, or other potentially contaminated properties, whether abandoned or operating, the Department may require Phase II environmental site assessment, or other soil assessment or testing, and a Floodplain Analysis. If not submitted with the application, these reports will be required after award as part of the NEPA process.
If the Applicant has any indication that these conditions may exist, the Department highly recommends that Applicants complete an assessment, soil sampling, or other appropriate testing methodology, prior to submitting the application. The results should be submitted as part of the application documentation, and any additional costs the project may incur must be included in the project budget and Sources and Uses Form.
Failure to include these items can increase the project costs such that the project is unfeasible, resulting in being noncompetitive for an award. For this reason, it is incumbent upon the Applicant to present verifiable and documented information in the application to prevent any unknown or uncertain project costs.
2. The project has site control pursuant to state UMR section 8303 and must meet HUD requirements regarding acceptable forms of site control.
3. There is no pending or threatened litigation that could affect implementation of the proposed project.
a) Rental projects must demonstrate compliance with, or be exempt from, the requirements of Article XXXIV of the California Constitution pursuant to state HOME regulations section 8212(a)(7).
b) Relocation certification is required for all projects including vacant site(s).
Applicants that assert their project does not require relocation must submita detailed explanation, including supporting documentation, as to why relocation (of tenants, farms, businesses, etc.) is not required. The Department will review the documentation and make a determination as to whether a relocation plan is necessary. Relocation considerations include the following:
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California Department of Housing and Community Development 23 2020-2021 HOME NOFA
• Vacant land, which is land that is not developed or being used for agricultural purposes;
• Property vacated for the project, then relocation applies; and • Tenant is someone who is living or storing their belongings on the property with the owner’s consent, whether or not the “tenant” pays rent. Squatters are not tenants.
If relocation is not required, the Department will issue a Certification Regarding Nonapplication of Relocation Benefits and Indemnification Agreement (“Non-Relocation Certification”). This Non-Relocation Certification must be executed by the Applicant/borrower/sponsor prior to the Department executing the Standard Agreement, and as a condition thereof. The Non-Relocation Certification substantiates and certifies that there is no displacement including, but not limited to, the displacement of tenants, businesses, and farms; therefore, no relocation is required. Submission of thorough and clear supporting information will lead to a more efficient review and decision.
The following are examples of supporting documentation for the Non-Relocation Certification:
• Background information
• Project information
• Reports from professionals, such as appraisal or soils report • Purchase information
• Mini relocation plan with pictures of the vacant land • Summary relocation report
• Scope of Work from the general contractor
• Letter from the project engineer stating the Scope ofWork • Sales contract evidencing the purchase of vacant land • ALTA survey of (purchased) vacant land
• Property tax assessment for vacant land
• Photographic evidence of vacant land
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California Department of Housing and Community Development 24 2020-2021 HOME NOFA
C. Projects application scoring factors and evaluation
HOME Projects
Rental New Construction
Rental Rehabilitation
First-Time Homebuyer
Scoring Factors Points
Factor: Housing Element
Applicants that meet the definition of a local public entity (cities and counties) are required to be in substantive compliance with state Housing Element Law, as defined in state HOME regulations Section 8201(t), as of the NOFA application due date. The Current Housing Element Status Report is available at https://www.hcd.ca.gov/community-development/housingelement/index.shtml#status Newly incorporated cities are exempt from this factor, until which time the city is required to submit the housing element to the Department for approval. It is the responsibility of the city to know their reporting requirements. If unsure, please send an email inquiry to the HOME NOFA Unit, [email protected].
CHDOs, Developers, and projects to be developed on Native American Lands, as defined in state HOME regulations Section 8201(y)(1), are exempt from this requirement. These entities shall receive full points for this scoring factor.
50 Factor: HUD direct HOME allocation (declined)
A jurisdiction that proposes activities that are eligible to receive HUD direct HOME allocation funds and declines the funding for the purpose to preserve their state HOME eligibility, shall receive full points for this scoring factor. 50 Factor: Rural communities
Activities proposed in a rural community shall receive full points for this scoring factor.
50 Factor: Capacity – Prior Applicant Experience
Applicants that demonstrate experience implementing local, state or federal affordable housing and/or community development projects, during the last seven calendar years (1/1/2015 – 12/31/2021), shall receive points for this scoring factor.
10 points for each project completed creating 2 or more units of affordable housing. List a total of 5 projects in the last 7 calendar years. 50 Factor: Capacity - Prior Developer Team Experience
Developers that show the project team has experience developing the same type of subsidized project as proposed in the application, during the last five calendar years (1/1/2017 – 12/31/2021), shall receive points for this scoring factor.
1 project completed 100 points
2 projects completed 150 points
3 projects completed 200 points
200
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California Department of Housing and Community Development 25 2020-2021 HOME NOFA
Factor: Capacity - Prior Performance
For prior performance scoring, all applications receive the maximum 200 points for the factor. As applications are reviewed and rated, points will be deducted for each of the following sub-factor deficiencies up to a maximum 200-point deduction.
Sub-factor #1: Project Deadlines
If, by the NOFA application due date, an Applicant, Developer, owner, and/or managing general partner of any HOME project contract (rental and FTHB) awarded between 1/1/2016 – 12/31/2020, failed to meet the project deadlines as outlined in their Standard Agreement, unless extended in writing by the Department, points shall be deducted for this scoring subfactor as follows:
Permanent financing deadline (5 points)
Project set-up deadline (10 points)
Construction loan-closing deadline (10 points)
Completion deadline (80 points)
Expenditure deadline (20 points)
Maximum
200 point
deduction
Sub-factor #2: Applicant Reporting
Reporting is an essential condition and a responsibility of accepting HOME grant funds. Because of this, Applicants that were required to submit reports and failed to comply are subject to a reduction of points, up to a deduction of 50 points.
This applies to any HOME project monthly, quarterly PI reports, annual reports, and project completion reports, due between 1/1/2017 – 12/31/2021. • Late or missing monthly reports, deduct 5 points for each report • Late or missing quarterly Program Income Reports, if applicable, deduct 5 points
• Late or missing annual reports, deduct 25 points
• Late or missing project completion reports, deduct 20 points Maximum
50 point
deduction
Sub-factor #3: Material Misrepresentation
If between 1/1/2016 – 12/31/2020, an Applicant, Developer, owner, and/or managing general partner made any material misrepresentation or omission in the HOME application, application documentation, project reports and/or any other document, significant in nature, that could jeopardize the Department HOME investment funding in a project or place the Department at risk of a HUD monitoring finding, up to 200 points shall deducted for this scoring subfactor. This is evidenced by receipt of a letter from the Department outlining the infraction and the points deduction levied by the Department.
Maximum
200 point
deduction
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California Department of Housing and Community Development 26 2020-2021 HOME NOFA
Sub-factor #4: Monitoring Noncompliance (1/1/2017 – 12/31/2021) There are two noncompliance categories for which up to 100 points may be deducted.
1. Monitoring. Points will be deducted in this category for any application that the Applicant, owner, and managing general partner have failed to remedy any HOME monitoring findings and concerns, identified by the Department.
2. Late reports. Points will be deducted in this category for any 2020-2021 NOFA project applications that the Applicant, owner, and managing general partner failed to timely submit reports for occupied HOME rental projects. Point deductions shall be as follows:
a. Local public entity
• Annual monitoring report (10 points each)
• Annual report (10 points each)
• (including financial audit. Schedule of rental income, and annual affirmative marketing analysis)
b. CHDOs/Developers
• Annual operating budget (10 points each)
• Annual report (10 points each)
(including financial audit. Schedule of rental income, and annual affirmative marketing analysis)
Maximum
100 point
deduction
Factor: Community Need
The community need point scoring by activity type is based on the data available in Appendix C at the HOME NOFA webpage.
Up to
250
Factor: Project Feasibility
1. State and federal requirements (including UMRs for rental projects) (195)
2. Highest percentage of HOME-assisted units (5)
200
Factor: Project Readiness
1. Rental Projects. Project readiness factors are available in the HOME Supplemental Application, found at the Department HOME webpage.
2. Homebuyer Projects. Project readiness factors are available in the Homebuyer Project Application (Part B), available on the Department HOME webpage.
3. Project Development Plan (PDP). Rating points will be awarded if the required* item was prepared and submitted within the applicable timeframes, and meets the minimum requirements specified in the HOME Supplement.
The PDP will be reviewed on applications scored high enough for funding. * The Geotechnical report is not required as part of the application and will not be considered for scoring purposes.
300
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California Department of Housing and Community Development 27 2020-2021 HOME NOFA
Factor: State Objectives
For the state objective scoring, there are three sub-factors for which Applicants can receive points, up to 200 points maximum. As applications are reviewed and rated, points will be awarded for the following objectives:
1. Committed financing
2. Overcoming impediments to fair housing
3. Policy objectives
− Special Needs populations
− Homelessness
− Access to opportunity
Sub- factor #1: Committed Financing
Points will be awarded for projects that have 100 percent of the non-state permanent financing committed by the application due date. Projects anticipating applying for any type of tax credits will not be considered as having their financing committed and are thus not eligible for these points. 85 Sub-factor #2: Overcoming Impediments to Fair Housing Points shall be awarded for projects located in high- and highest- areas of opportunity within the TCAC Opportunity Map,
http://www.treasurer.ca.gov/ctcac/opportunity.asp
35 Sub-factor #3: Policy Objectives. Special Needs Populations, or Homelessness.
Special Needs populations (up to 80 points). See chart below.
Points shall be awarded to applications that propose rental projects with funding commitments to target Special Needs populations, using any of the following funding:
• HUD 811
• HUD Supportive Housing Program
• State Mental Health Services Act (MHSA)
• No Place Like Home Program
• Veterans Housing and Homelessness Program
• Housing for a Healthy California Program
• Multifamily Housing Program
Points may also be awarded to projects that provide project-based rental assistance, under the terms of an MHSA or Veterans Affairs Supportive Housing Voucher (HUD-VASH).
-- or --
Homelessness (up to 80 points).
Points shall be awarded to applications that propose projects serving people experiencing homelessness.
If serving Special Needs or Homeless populations, the projects must include supportive services pursuant to Housing First requirements. 80 TOTAL AVAILABLE POINTS FOR PROJECTS 1550
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California Department of Housing and Community Development 28 2020-2021 HOME NOFA
Percentage of units assisting Special Needs or Homeless Populations or VASH units
Percent of Units Designated by all
Funding Sources as Special Needs Units Points
51% or more 80
41-50% 70
31-40% 60
26-30% 50
21-25% 35
16-20% 22
10-15% 9
6-10% 5
1-5 % 3
D. Credits and additional point-deduction rules
1. Credit for good performance on the same project with missed deadlines The deducted points for each specific project shall be restored if all of the following events occur prior to the application due date for the same project:
a) Project completion. The Department receives the final Certificate of Occupancy and the Notice of Completion is filed at the County Recorder’s Office. b) The Project Completion Report. The Department receives the Project Completion Report showing all HOME units are occupied.
c) All HOME funds are expended by the original expenditure deadline as stated in the Standard Agreement.
2. Credit for other completed HOME projects
Points will be partially restored to the extent the Applicant, Developer, owner, or managing general partner completed other HOME projects. Five points will be restored for each completed HOME project awarded HOME funds between June 1, 2017 and December 31, 2021.
For example, one of a Developer’s three HOME projects awarded in this timeframe missed the completion deadline, resulting in an 80-point deduction. Two projects awarded HOME funds between June 1, 2017 and December 31, 2021 have been completed. 10 points (two projects X five points) will help to offset the 80-point deduction.
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California Department of Housing and Community Development 29 2020-2021 HOME NOFA
3. Additional point deduction rules
a) Pursuant to state HOME regulations section 8217, Applicants who disencumbered a project contract between June 1, 2017 and December 31, 2021 and their Developers, owners, and managing general partners, if any, for these projects shall receive point deductions according to the above schedule for the deadlines the project did not meet before the contract was disencumbered. b) Point deductions for projects subject to the holdout penalty (see state HOME regulations section 8217(b)(3)). Applicants that have not received a waiver of the holdout penalty, pursuant to state HOME regulations section 8217(c), may be eligible to apply because the project in question meets a specific performance standard identified in the state HOME regulations section 8217(b)(3)(A), which states the project has been completed, occupied, all funds have been expended, and all HOME funds have been drawn. These Applicants are still subject to a performance penalty of up to 50 points on the next HOME application following the holdout penalty, along with the project’s Developer, owner, and managing general partner pursuant to state HOME regulations 8217(b)(3)(B).
E. Rental project scoring and notification
Once rental project application scoring is complete, emails will be sent to the authorized representative and contact person listed in the application describing the scores and facts upon which those scores were determined.
F. Appeals
1. Basis of appeals
a) Upon receipt of the Department’s notice that an application has been determined to be incomplete, fail the threshold, or have a reduction to the preliminary point score, Applicants under this NOFA may appeal such decision(s) to the Department pursuant to this section.
b) No Applicant shall have the right to appeal a decision of the Department relating to another Applicant’s eligibility, point score, award, denial of award, or any other matter related thereto.
c) The appeal process provided herein applies solely to decisions the Department made in this program NOFA and does not apply to any decisions made with respect to any previously issued NOFAs or decisions to be made pursuant to future program NOFAs.
2. Appeal process and deadlines
a) Process: To lodge an appeal, Applicants must submit to the Department, by the deadline set forth in subsection (b) below, a written appeal which states all relevant facts, arguments, and evidence upon which the appeal is based. 125
California Department of Housing and Community Development 30 2020-2021 HOME NOFA
Furthermore, the Applicant must provide a detailed reference to the area(s) of the application that provide clarification and substantiation for the basis of the appeal. No new or additional information will be accepted if this information would result in a competitive advantage to an Applicant.
Once the written appeal is submitted to the Department, no further information or materials will be accepted or considered thereafter. Appeals are to be submitted to the Department either via email at [email protected] or at the following address:
California Department of Housing and Community Development Division of Federal Financial Assistance
HOME Projects Manager
2020 W. El Camino Avenue, Suite 200
Sacramento, CA 95833
The Department will accept appeals through a carrier service that provides date stamp verification of delivery such as the U.S. Postal Service, UPS, or FedEx. Deliveries must be received during Department weekday (non-state holiday) business hours of 9:00 a.m. to 5:00 p.m. PST. Emails to the email address listed above will be accepted if the email time stamp is prior to the appeal deadline.
b) Filing deadline: Appeals must be received by the Department no later than five (5) business days from the date of the Department’s eligibility, threshold review, or preliminary point score determination letters representing the Department’s decision made in response to the application.
3. Decision
Any request to amend the Department’s decision shall be reviewed for compliance with the state and federal HOME regulations and UMRs (if applicable), the 2020- 2021 HOME NOFA and “application for funding”, and any subsequent clarifying documents, such as the HOME program’s responses to “Frequently Asked Questions.”
It is the Department’s intent to render its decision in writing within fifteen (15) business days of receipt of the Applicant’s written appeal. All decisions rendered shall be final, binding, and conclusive, and shall constitute the final action of the Department with respect to the appeal.
4. Effectiveness
If the statute, regulations, and/or guidelines governing this program contain an existing process for appealing decisions of the Department with respect to NOFA awards made under such programs, then this section shall be inapplicable and such existing authority shall govern all appeals.
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California Department of Housing and Community Development 31 2020-2021 HOME NOFA
G. Program Activities application scoring factors and evaluation HOME Program Activities Rating Factors
Scoring Factors Points
Factor: Housing Element
Cities and counties are required to be in substantive compliance with state Housing Element Law, as defined in state HOME regulations section 8201(t), as of the NOFA application due date. Housing Element Annual Progress Reports are available at
https://www.hcd.ca.gov/community-development/housingelement/index.shtml#status. Newly-incorporated cities are exempt from this factor, until which time the city is required to submit the housing element to the Department for approval. It is the responsibility of the city to know their reporting requirements. If unsure, please send an email inquiry to the HOME NOFA Unit, [email protected].
CHDOs are exempt from this requirement and shall receive full points for this scoring factor.
50 Factor: HUD direct HOME allocation (declined)
A jurisdiction that proposes activities that is eligible to receive HUD direct HOME allocation funds and declines the funding for the purpose to preserve their state HOME eligibility shall receive full points for this scoring factor. 50 Factor: Rural communities
Activities proposed in a rural community shall receive full points for this scoring factor.
50 Factor: Capacity - Applicant Experience
Applicants that demonstrate experience administering HOME and/or other local, state, or federal affordable housing and/or community development projects, during the last seven calendar years (1/1/2015 – 12/31/2021), plus 2022 year-to-date, shall receive full points for this scoring factor. 100
Factor: Capacity - Prior Performance
For prior performance scoring, all applications receive 150 points. As applications are reviewed and rated, points will be deducted for each of the following sub-factor deficiencies, up to a maximum 150-point deduction.
• Reporting noncompliance
• Monitoring noncompliance
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California Department of Housing and Community Development 32 2020-2021 HOME NOFA
Sub-factor #1: Reporting
Reporting is an essential condition and responsibility of accepting HOME grant funds. Because of this, Applicants required to submit reports and who failed to comply are subject to a reduction of up to 50 points.
In assigning these points, the Department will review the Applicant’s history of submitting quarterly reports and quarterly PI reports (for both Program Activities and Projects contracts numbered 15-HOME through 18-HOME), and Annual Performance Reports for FY 18-19, 19-20, and 20-21. The Department reserves the right to deduct points even if the Annual Report is on time but prepared inaccurately.
Maximum
50-point
deduction
Sub-factor #2: Monitoring Noncompliance (1/1/2016 – 12/31/2020) Points will be deducted for noncompliance with monitoring or contract requirements identified in the last five calendar years.
Maximum
100-point
deduction
Factor: Community Need
The community need point scoring by activity type is based on data available in Appendix C, available on the Department HOME webpage. 250 Factor: Project Feasibility
Project feasibility scoring has two scoring categories: activity type and program guidelines, described as follows:
1. Activity type scoring criteria (up to 75 points):
a. FTHB program scoring is determined by the number of units sold in the city or county in the last 12-month period that are affordable to lowerincome families. b. OOR program scoring is determined by the number of overcrowded households by tenure, and the age of the housing stock by tenure, in the city or county as reflected in U.S. Census data.
c. TBRA program scoring is determined by the number of overpayments by renter households as reflected in U.S. Census data.
2. Program guidelines will be evaluated by the extent they reflect state and federal requirements (up to 25 points).
100
Factor: State Objectives
For state objective scoring, Applicants can receive up to 200 points maximum. As applications are reviewed and rated, points will be awarded for the following objectives:
1. Expenditure rates
2. Access to opportunity and homelessness
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California Department of Housing and Community Development 33 2020-2021 HOME NOFA
Sub-factor #1: Expenditure Rates
Applicants that have higher expenditure rates (i.e., expenditure rates of 55 percent and above) for all 2015-2018 HOME Program Activities contracts shall receive state objectives points as follows:
• Expenditure rate at or above 60 percent. (90 points)
• Expenditure rate between 55 percent to 59.99 percent. (60 points) Expenditure rates will be calculated in accordance with the “Expended Funds” definition in Section II.A of this NOFA.
90 Sub-factor #2: Access to Opportunity and Homelessness Points shall be awarded for access to opportunity and homelessness actions.
These points will be awarded to Applicants with local governments that:
1. Identified at least one activity in each of the three access to opportunity categories:
a. Outreach and engagement
b. Prioritize and diversify investment
c. Encourage housing choices in higher opportunity neighborhoods
2. Either applied for TBRA, or has identified in homelessness strategies at least one action in each of the following three categories:
a. zoning and land use
b. funding
c. data outreach and coordination
To receive these points, Applicants must complete and submit the HOME State Objective Worksheets with their application.
110
TOTAL POINTS FOR PROGRAMS 950
H. Disclosure of application
Information provided in the application will become a public record available for review by the public pursuant to the California Public Records Act (Chapter 1473, Statutes of 1968). As such, any materials provided will be disclosed to any person making a request under the California Public Records Act. The Department cautions Applicants to use discretion in providing information not specifically requested, including but not limited to, bank account numbers, social security or taxpayer identification numbers, and personal phone numbers and home addresses. By providing this information to the Department, the Applicant is waiving any claim of confidentiality and consents to the disclosure of submitted material upon request.
V. Award Announcements and Contracts
A. Award announcements
Subject to the availability of funds, the Department intends to send Award letters in August of 2022 for all successful Applicants. If a Standard Agreement is not ready for a construction loan closing, then the borrower and other construction lenders, or any other party associated with the project, must rely on the issuance of an estoppel letter that will be issued (if requested) by the Department at the construction loan closing stage. 129
California Department of Housing and Community Development 34 2020-2021 HOME NOFA
Updates on planned awards and contract status will be provided through the Department Listserv system. To be added to this list, go to https://www.hcd.ca.gov/iam/sub_email.shtml, scroll down to the HOME program and select the email alert lists you wish to receive.
B. Contracts
Awardee(s) must enter into a Standard Agreement with the Department. The Standard Agreement contains all the relevant state and federal requirements, as well as specific information about the award and the work to be performed. The Standard Agreement will contain deadlines that are consistent with state and federal HOME regulations.
Failure to meet these deadlines will be considered a material breach of the Standard Agreement.
Note: The Standard Agreement will be delayed if awardee does not timely provide the Department with all required entity resolutions and other entity documentation (e.g., bylaws, articles of incorporation, 501(c)(3) certification, certificate of good standing), in form and content acceptable to the Department in its sole discretion, which evidences that awardee has the legal authority to contract with the Department.
A condition of award will be that a Standard Agreement is executed by the awardee(s) within 90 days (contracting period) of the awardees’ receipt of the Standard Agreement.
Failure to execute and return the Standard Agreement(s) to the Department within the contracting period may result in award cancellation. The awardee(s) shall remain a party to the Standard Agreement for the full term of the Standard Agreement; removal of the awardee(s) shall be prohibited.
VI. Recent State Overlays
In addition to existing regulations, both state and federal, the following state regulations have recently been adopted as applicable to the HOME program.
A. Pet-Friendly Housing Act of 2017
This funding is subject to the Pet-Friendly Housing Act of 2017 (HSC, § 50466).
Each Applicant for a rental project is required to submit a signed and dated certification that residents of the housing development will be authorized to own or otherwise maintain one or more common household pets. Pursuant to this statute, “common household pet” means a domesticated animal, such as a dog or cat that is commonly kept in the home for pleasure rather than for commercial purposes. The certification must be included with the application. Submission of the certification is a prerequisite to the granting of an award under this NOFA.
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California Department of Housing and Community Development 35 2020-2021 HOME NOFA
B. Climate adaptation
California Executive Order B-30-15 addressed the need for climate adaptation and ordered that:
1. All state agencies with jurisdiction over sources of greenhouse gas emissions shall implement measures, pursuant to statutory authority, to achieve reductions of greenhouse gas emissions to meet the 2030 and 2050 greenhouse gas emissions reductions targets.
2. State agencies shall consider climate change in their planning and investment decisions and employ full life-cycle cost accounting to evaluate and compare infrastructure investments and alternatives.
In response to the Governor’s Executive Order, the Department strongly encourages HOME recipients to implement projects and Program Activities in a manner that reduces greenhouse gas emissions and adapts to climate change.
VII. Other terms and conditions
A. Right to modify or suspend
The Department reserves the right, at is sole discretion, to suspend, rescind, amend, modify, or supplement the provisions of this NOFA at any time, including without limitation, the amount of funds available hereunder. If such an action occurs, the Department will notify all interested parties via Listserv and will post the revisions to the Department website. Be sure to https://www.hcd.ca.gov/i-am/sub_email.shtml.
B. Conflicts
In the event of any conflict between the terms of this NOFA and either applicable state or federal law or regulation, the terms of the applicable state or federal law or regulation shall control. Applicants are deemed to have fully read and understand all applicable state and federal laws, regulations, and guidelines pertaining to the HOME Program, and understand and agree that the Department shall not be responsible for any errors or omissions in the preparation of this NOFA.
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City of Live Oak
Report to City Council
Meeting Date: January 5, 2022
Title: Filing and Acceptance of State Required Annual Report for Fiscal Year 2021-22 for Community Facilities District No. 92-1 of the City of Live Oak Contact Information: James Ramsey, Finance Director
Background: In 1992, the City Council approved the establishment of Community Facilities District No. 92-1 (District) for the purpose of financing expenses incurred by the City for municipal services (ie. fire, law enforcement, recreation sites and structures, etc.) and the costs associated with purchasing and constructing school sites for Live Oak Unified School District. There were no special taxes levied during the current year for the District. The funding arrangement provides for the School District to receive 66.7% of the available funds and the balance of 33.3% going to the City.
Attached is the informational report that meets the statutory requirements (Government Code Section 50075.3 and 53411). The annual reports are prepared by NBC (an engineering and consulting firm) who also prepares the annual tax levy roll for the District. This report is only an informational report and does not affect the levying of taxes or the administration of the District.
Fiscal Impacts: None.
Recommendation: Accept and file.
Attachments:
FY 21-22 CFD 92-1 Annual Report
132
nbsgov.com
Prepared by:
Corporate Headquarters
32605 Temecula Parkway, Suite 100
Temecula, CA 92592
Toll free: 800.676.7516
Fiscal Year 2021/22 Annual Report For:
Community Facilities District No. 92-1
December 2021
133
TABLE OF CONTENTS
1. District Analysis..............................................................................................................1
1.1 Community Facilities District No 92-1.......................................................................1
1.2 Levy............................................................................................................................1
1.3 Delinquencies............................................................................................................1
2. Levy Analysis..................................................................................................................2
2.1 Special Tax Levy.........................................................................................................2
2.2 Special Tax Spread.....................................................................................................2
2.3 Maximum Tax............................................................................................................2
3. Financial Status ..............................................................................................................3
3.1 District Funds.............................................................................................................3
3.2 Delinquency Status and Foreclosure Covenant ........................................................3 Appendix A: Rate And Method Of Apportionment .................................................................4 Appendix B: Delinquency Summary .......................................................................................5 Appendix C: Final Budget for Fiscal Year 2021/22 ...................................................................6 Appendix D: Fiscal Year 2021/2022 Final Billing Detail............................................................7 134
City of Live Oak
Fiscal Year 2021/22 Annual Report - Community Facilities District No. 92-1 1
1. DISTRICT ANALYSIS
1.1 Community Facilities District No 92-1
Community Facilities District No. 92-1 (the “District”) was formed on March 13, 1992 to finance the costs and expenses of providing municipal services for the City of Live Oak (the “City”). The services that are provided include: fire, law enforcement, recreation sites and structures, streets, and other governmental facilities. In addition to the services listed above, the District was also formed to finance the costs of purchasing and constructing elementary and secondary school sites and structures. Bonds have been authorized to be issued for the District, but the City has not issued any to date.
1.2 Levy
As of the date of this report, the Fiscal Year 2021/22 special tax for the District has not been levied. This is due to the requisite Resolution authorizing the special tax not being approved by the City’s Council in time for submission of the special tax to the Fiscal Year 2021/22 tax roll. NBS will continue to work with the City to explore options to collect the District Fiscal Year 2021/22 special tax at a later date.
1.3 Delinquencies
As of December 1, 2021, the Fiscal Year 2020/21 delinquency rate for the District was 1.29%. NBS sent reminder and demand letters to property owners delinquent in their payment of the Fiscal Year 2020/21 special tax on behalf of the City. NBS will continue to monitor delinquencies and recommend the appropriate delinquency management actions to the City as needed.
NBS
Zaire Marin, Administrator
Adina McCargo, Project Manager
Stephanie Parson, Client Services Director
135
City of Live Oak
Fiscal Year 2021/22 Annual Report - Community Facilities District No. 92-1 2
2. LEVY ANALYSIS
2.1 Special Tax Levy
A summary of the total levy and breakdown of the levy components for Fiscal Year 2021/22 are shown in the table and chart below.
Parcel
Count (1)
Levy
Amount (1)
N/A N/A
(1) District not levied in Fiscal Year 2021/22, as described in Section 1.2.
2.2 Special Tax Spread
The total levy and applied rates for Fiscal Year 2021/22 are not detailed in this section due to the District not having been levied in Fiscal Year 2021/22.
2.3 Maximum Tax
The Fiscal Year 2021/22 maximum special tax compared to the prior year is shown in the table below. (1) Parcel count reflects Fiscal Year 2020/21 levy only. (2) Maximum Special Tax for parcels with building permits issued after June 1996 increase by $4 annually per payment schedule provided by City. District not levied in Fiscal Year 2021/22. (3) In Fiscal Year 2020/21 the District was levied at 100% of the Maximum Special Tax.
Property Classification
Parcel
Count (1)
FY 2021/22
Maximum Special
Tax (2)
FY 2020/21
Maximum Special
Tax (3)
Percent
Change (2)
Developed with Building Permits
issued through June 1996
84 $27,493.78 $27,493.78 0.00%
Developed with Building Permits
issued after June 1996
142 102,813.10 102,245.10 0.56%
Totals: 226 $130,306.88 $129,738.88 0.44%
136
City of Live Oak
Fiscal Year 2021/22 Annual Report - Community Facilities District No. 92-1 3
3. FINANCIAL STATUS
3.1 District Funds
District
6/30/2021
Balance
CFD 92-1 $104,120.00
3.2 Delinquency Status and Foreclosure Covenant
Foreclosure
Attorney
Foreclosure
Recap
Delinquency Management
Steps Taken
None None Reminder and Demand Letters Sent
There is no established foreclosure covenant for the District. 137
City of Live Oak
Fiscal Year 2021/22 Annual Report - Community Facilities District No. 92-1 4 APPENDIX A: RATE AND METHOD OF APPORTIONMENT
The following pages show the Rate and Method of Apportionment of the Special Tax. 138
CITY OII LI\4' OAI(
CON,IMUNI'IY FA.CILITIES DISTRICT NO. 92-1
R¿.T'B ,A.ND NÍETI.IOD OF APPORTIONMENT O}.- SPEC]IÄL'I'A,Y CATIIGORY II -- SIlllCL/\L TAX FOR CITY OF LIVE OAI( F¡\CIIJTIES A Special Tax, cleterminecl as clescribed below, shall be leviecì each Fiscal Year by the City of L,ive Oak (the "Cityr') within the boundnries c¡f Comrnr.urity llacilities Distrìct No, 92-1 ("CFD No. 92-1") to ¡ray the Authorized C<¡sts of the CFD No. 92-I,itt accordance n'itlt the terms and conclitions set forth hcrcin,
1, Definitions. 'fhe fclllou'ing clefinitions shall apply:
z\. rrAssessor's Parcel" ('rParcelrr) rnea.ns a parcel of lancl designated on a tllap of the Sutte¡ County Assessor ancl assigned a cliscrete iclentifuing number. 13, rrAutìrorizecl Costsrr rne¿urs all authorized costs ancl expense.s of tlte CIID set forth by Izrrv, zrnc[ all cots necessarJ to collect ancl adntinister the special tzLres, administer the CFD, and aclmjnister boncls, inclucling but not limited to luiicls to pay, cuuent clebt setvjce, on boncls, to accumlllate filnds for future debt service, to pay amounts delinqr"rent on bonds (or tcl become clelinquent basecì r-rpon past special tax delinqr-rencies), to replenish the reserve fund to its proper level (or to reimburse pÍì),ment to be nrade lion-r the reserve funcl based upon past special tax delincluencies), to pay clirectly for any authorized facilities or to accltnulate fiurds for that purpose.
C. 'rlJoarclrr uLeiìns the City Council acting as the CFD's Govertdng Boarcì.
D, rrcity" means the City of Live Oak.
E. ,,CFD,, nleans the Commr.rnity tracilities District No, 92-L of. the Ciry of Live Oak.
F-. trDer¡elolmrentAgreetlentAmortntrr ilteans:
i. For those Parcels meeting the time schedule set forth in the Development hgreement, $1,000 per resiclential ut-tit inct'easing annnally (without compounding) at 4.'/5o/o per )tear) from January 1, t992;
ii, Iìol those Parceìs not inclucìecl in the prececling paragraph "ì", $2,000 per singìe-farnily re siclential unit inclea.sing annually (ivithotrt conpouncling) at ¿L75(/o per year, frorn July 1,1992, anci $2,090 per multiple family le siclential unit increasing itnnually (without cotuporurcling) at 4.15% per \/ezlt') fro¡l JtllY 1,"1.992. 139
Lr.
FI
',Fisc¿rl Yearl means the period starting on July l ancì enclilig oli tlte following June 30, except that the first Fiscal Year. sirall coltlnÌer'ìce on thù clate thc lloarcl adopts the Resolution of Lltention to form CIìD No. 9?-1 aucl sl-raìl cncl on the next succeecling June 30.
" Iì.esiclentìal Property'r ('r Propertyrr) means ',ill Asscs-sor' ' s Pzircel rvrthin CFD No, 92-l that is zoned for lesideritial use.
,,Special'l'¿uirr ne¿ìns the special tiui or special taxes ¿uttltorizecl to be Ìevied ivithin CllD No. 92-1,
J. r,'fax Ciollection Schecluleil nte¿ìrls docnment to be 1tt'epared annually by tlte Cit¡, ¡ol use by the Stitter County Aucljtor-Controller aticl 'lreasurer-Ta-r Collector in coìlecting the annual installments of. the Special Ta-r each Fiscal Year,
K. ,''f'a-r-llxempt Propertyrrrneâns ally property tvìtirin CFD No.92-1 that in accorclance with Section 2 irereoil will not be t¿rxed, L. rr I-erritory to be
but nclt incluclecl
Tax Exernnt Prooertv:
Governnental properly
be ta-xecl except:
Alnexeclrr means any territory that is within City boundaries within the bounclaries of CFD No. 92-1 upon fornation.
2 not
ownecl by the state, federaì or other local governments rvill A, I[ a pr"rblic ûgency orvning propert],, including property helci in a trust for any beneficiary, that is exempt froln a special tax pursuant to Government Code Section 53340 grants a leasehold interest after January 1, 1988, or other possessory interest in the proPerty of a nonexempt person or entitl', the Special'Iâx shall, nohvithstancling Gclverrunent Code Section 53340, be levied on the leasehold or possessory interest and shall be payable by the owner of the leaseholcl or possessory interest.
13, If property not otherrvise exempt from a special taur js acquirecì by a public eniity-other than the City through a negotiatecl transactiou, or by gitt or cleviie, the Special T¿ur shall, notwithstanding Governrnent Code Section 53340, contiñue to be levied on the property acquirecl artd shall be enibrceable against the public entity that accprirecl the property. 140
J.
,1
.
Cl. If property subject to a special tax is acquirecl by a pulllic eirtity through eniineiit clomaiu proccedings, the obligation tcl ¡ra1, tlie Spccial T¿x shall be fre¿rtecl pursu:int to Section 1265.25 of the Code of Civil Prclcedttre as il it were a sfecial amual âssessment. For this purpo,se, the present value of the clbligation to pay the Spccial 'f¿r-r to l)ay the principal ancl iuterest oil atlY inclebtedness incurrecl b1' the CFD prior to the clate of zrpportiontnent cletelrnìnecl pulsuant to Section 5082 of tlie lìevenlte ancl 'I'¡rx¿itlotr C-loclc shail be treatecl tìre same as a lixecl lien special asscssureut.
D. Parcels that are not Ilesiclcntial 'PI'opcl'ty shall llot be taxecl. ol-t'ax RaLcs ¡urcl l--el'}ltllSlleci Tu.
¿\. r\t the beginnilig of each Fjscal Year, the City shall classity cach Assessot 's Parcel in CIID No, 92-1 as l-¿ux-Llxer-nPt Prope.rty or Resiclential Propelt-y. lJ. At the tintc ta-re.s ale ìcviccl eacir Iìiscitl \lear, the City shell cleterttlitte the Developnrent Agleenrent Amounl" applicable fclr such lìiscal Year. 'l'he Cìty rurâ1,, ir-L its complete discretion, Lecluce the Dcveloptnent ,Agleenetlt Allount otherrvise altplicable in ¿ìn,\, lìiscal Year if other sources of rcvemtes becolrte available to pa1, tlie Authorized Costs, if the ärnount ol Atlthorized Costs rec¡:ireci to ltc funded clcclines, ol for any other re¿tso11, Any sr"rch reduclirltt ir-r any FìscaÌ Year shall not affect the ma-rimtun Developtlent Agreement Amount rvhich may be calcuiated in any future ),ear such that sirnple and cornpouncling calculations, respectively, shaìl apply to all intervening Fiscal Years from the first Fiscal Year.
C. At the begiruring of each fjiscal Year, ttre Boarcl shall levy tlie Specia[ 'l'¿r-r ¿rs
follorvs:
1l
For T¿ur-Exempt Property, no tax shall be levied.
For each parcel for lvhich a buildíng permit issues dr-rring srich Fiscal Year (and fo¡ wìlich tìrere is no altern¿rte clevelopnÌent agreement superseding the clcvelopnrent agreemerrt regarding lvf ello-Roos futtding exãcLrteclbãflvee¡ November 15, 1991 atld Januari' t5, 1992), the Board shall lcvy the Speciirl Tax in au amouut eclual to the I)evelopmetrt Agreenrent Anount, as cleterlllirted by ttrc City,
Pavnrcnt of' the Suecial 'f¿x.
,,\. T'hc,specizrl'I¿rx is ciuc prior to lhe issuance of a buìlcìing perttiit, or silllilar aLlthcliization fol mobìlellolncs, for any Resiclential Property. l'ztyment sllall tre tn¿rcle to the City by c¿rshier 's check or certifiecl cìte ck plyable to the CIìD, alrcl the City shall issue a receipt for paynient slrorvìng tlte clate ancl ¿tnrount.
11. the Special 'f¿rx is ncit pnicl in full, or ii'the o\vncr e,lects (irt ltccordärlcc-. with the reqirirenrents of sLrltscction Ìl ìtelou,) to pziy a portion ctl the Special 'l'ax l0
141
B
in a6ual installments, the amount of the Special Tax that remains r-rnpaicl (the ,'Canyover Amountr') shall be payable ii equal annual installments þvith interest) oue,r o thirty-year periocl beginring in the Fiscal Year foìlorving tlre triscal Year in which the buildirig perrnit rvas issued, equal to the procluct of the Canyover Amount arid 0.10.
A Parcel owner may elect to pay a portion of the Special Ta-x up to an amount equal to tfie Development Agreemeirt Arnount in eqr"ral annual installmenfs. Such election shall be made at the time a br-rilcling penrrit or sirnilar authorization for the Parcel is issueil, shall be in wliting on a forn-t provicled by the City, ancl shall be accompanied by payment of any other þortion of the Special Ta-x that such orvner elects to Pay imrnecliatell'.
At the beginning of each lri,scal Year, begìruring in 1992-93, the Cit¡' shall prepare a T¿r Collection Schedule that includes the amount of annttal installments of specizrl T¿xes to be collectecl in such Fiscal Year in accordance rvith the t¿ui fo¡mula as illustratecl ill Section 4.D, bereof. The City shall cleiivel the Ta-r Collection Schedule to the Sutter Countl'Auclitor-Controlle¡ ancl Treasnler-Ta-x CoLlector ancl request that tlie annual installments be placecl on the securecl property tax rolls for the current Fiscai Year, Tlie City ihatl ct"liver the Tar-Cotlection Schedule to the Sutter County AuditorCo¡troller ancl Tleasurer-Ta-x Collectol' not later than tlie date required by the Sntter County Arrclitor-Controller and 'freasurer-Ta-r Collector for sucli inclusion.
Examoles of Ma.ximum Tax.
Developrnent Agreement Amount is set at the ma.rimum allowable level, the would be as clescribed in the examples listed below.
i. For a resiclential unit for which a building permit is issued in Fiscal Year 199l-- 92 that meets the conditions set forth under paragraph 1..F,i., the rna.ximum tax rvould be $1,000 payable at the tirne of issuance of a builcling permit, rvith an option to pay the $1,000 in attnual installments-of $100 per year for thirty ye¿ìrs ($1,000 x 0'10)' ii, For a resiclential unit for ri4rich a building permit is issued in Fiscal Year t992-93 after January '1,7993, that meets the condìtions set forth uncler paragraph 'l.F'.i., the nr¿ximutn tax rvould be $1,047.50 ($1,000 x t.O+75) pãyable ar the time of issuance of a building p,errniq_rvith an option to pay the $1,047.50 in annual installments of $104.75 per year for tbirty years ($1047.50 x 0.10)'
C.
D.
lf the
TAXCS
11 142
iii, For a singìe-f amily resiclential unit lor which a building permit is issued in Fiscal Year 1995-96 that nÌeets the conclitions set forth uncler paragraph 1.I".ii., the nra-xinun ta-x woulcl be lì2,285.00 ($2190 + $95) þayaúle-at the time of issuauce of a building pernit, rvith arl option to þay the 52,285 in annnal installments of $228,50 per year for thirty yeaÌs ($'2,285 x 0.10).
5. CoJlection of Installments of the SPecial Tax,
Installments of the Special T¿rx that are to be collecled annually shall be collected anirualll, shall be collected r:pon the applicable Assessor's Parcels in the CFD in the same tnan.nel: as orclinary acl valoiem property t¿rxes are collectecl and ìn accordance herervith; proviclecl, hor.vever, tÌlat the CFD may collect installments of Special Taxes at a different iirne or in a clifferent m,anner if necessary to meet its financial obligations. All annual installments of Special T¿res shall be subject to tlle sflrne penalties and lien priorities in the case of delinqueircy as is provìclecl for acl valorem t¿xes. 'fhe Board shall c¿ruse the actions lec¡rirecl above to be cloie for each Fiscal year in a timely nanller to assrìre that the Tax Coilection Scheclule is receìvecì by the Sutter County Auclitor-Controller and TreasurelTa-r Collector for inclnsion with billings for ¿rcl valolem ta.xes for the applicable Fiscal Year'
6. Ternrinafion of the ,Sr-recial Tax.
'I.he orvner of a parcel for rvhich the Special Tax was not paid itr full when due may, each lvlay 15 through Tune L5, thereafter, pay and permanently satisfy the Special Tax Ieviecl against such parcel b1, paying to the City by cashier's check or certified check payable to the CFD, an amount equal to the unamortized balance of the Carryover' i\rnount, together with any interest tlien due and/ol owing, and unpaid;.provided, that in tlie event bónds have been issuecì ancl are securecl by the Special Tax (set forth herein) leviecl against the sultject parcel, the owrer shall also pay an amount equal to five percent (5%) of the unamortized balance of the Calryover A¡lount' In the event the Special Tax has been paid and permanently satisfiecl with respect to a Parcel, the Boarcl shâtt recorcì a Notice of Cancellation of Special Tax Lien as to that Parcel pursuant to Section 53344 of the Government Code, The Notice of Cancellation of Speciai Ta;r Lien shall iclentifu rvith particularity the Special Tax that has been paid and pèrmanently satisfieci, shalÌ contain thc book and page number in the recorcls of the Count¡' -Recorcler ,r,here the Notice of S¡,,ecial Tax ,ien being canceled is recorded, shall contaiu the legal clescription ancl assessoi's palcel numbet of the particular Parcel of land subject to the-lien, oncl shall contain the name of the ownel' of record of the Parcel' The Board rnay specify a charge payable by the ownel'of record for the preparation ¿rn11 recordatiotl of this notice.
7. Appeals ancl Interpretatíon Procecltlre.
.Ary tzrxpayer srrbject to the Spccial -fax cl¿riming that the amortttt ot appiication-.of the Speciãl 'f¿u or an alinual iustallment tireleclf has noL been ¡rropcrly conrputed may file u noii." with the City appealing the levy or collection of the Special Ta-x or antlual 12 143
i¡stallrtrent, -fhe City lvill promptly revierv thc appeal ancl. iI necess¿tt'y, nìiret rvith thc appìicant ancl clecicle-the appeal, If the finclings of the City verity that^lhe t¿u< shoulcl be r,,i,i¿in.¿ or changecl, thc Í'¿i-x Collection Scheclrrle shall be colrectccl if liecessary and, if a¡rplicablc, a reluñcl shall be grantecì in accordartce rvitlt the Sectiott 8 ilcreol'. The cìecision oi 'ttr. Citi,rvith re.spect to the Speciaì T¿ut or annual installmerlt shall be final.
Interpretation mny be macìe by resolution of the Boarcl for purpose.s of clarifying any v¿r.glrcness or l-tncertainty as it relates to the application of the Specìal 'læl rate, tlie calculation of the ¡,,no,,ni clf arry amual jnstallureut or prepilynlent ¿ìlìlottnt, the applicaticln ol thc merhocl of apportionment, the classiiication of Parcels, or any clefinition applicable to the CÌrD.
8, Clainr lìor Ref'.urcl.
All clainrs for refLtncl ol Specilrì 'l'ax (or arunlal installnient theleof) colìectecl ott behalf of tìle CIìD sìtall be filed ivitli the City not later than one yertr after the cìate the SpeciaÌ 'fa-r (ol annLr¿rl installment) has becn paid to the Cit¡' on behalf of the CF-D or to tììc Count¡,, iespectively. 'fhe claimant shall file the claim rvithjn this time periocl,_ancl the claim shaìi be fìnally aðt"cl upon b1, 11r. Bctarcl as a preret[risite to the claìmant's bringing suit tllereo¡, Pursliant to Gòvernment Cocle Section 935(b), the claiur shall be subject to the provisions of Got,enunenl Cocle sections 945,6 and 946.
The Boarcl acting on its orvn behalf ancl on beiralf of the CFD shall respond to a tirlcll, claim rvithin the time period required and in the manner specifiecl by Government Coclo Sections 912.4 and 912-.6. Shoulcì saicl sections be amencìecl or repealed, the¡' shall apply ziccording to the terms in effect on JLlly 1, 1991. l[-he procec]ure clescribed hereiu shall be the exclusive p_rocedure for ciainlants seeking a réfuncl of Special Tzu (or amu¡rl installments thereof). The clecision of the Boarcl in response to any claim for refund shall be final.
9. Annexation of 'ferritory.
An¡,te¡ritory to l¡e apexecl to the CIID shall, in aclclitiotl to pztytlent of Special 'l'iues at tite latcs út fortìi above , be sribject to payment of an)/ costs inculrecl by the CFD ancl City in concluctilg the ame.ration ptoce.ss ¿tncl snch acjcìitional tax rvithin the territoU to be annexecl as r¡n¡,"¡" tlecessary to compensate for the irtterest ancl Jlrilrcipal previously paicl by tite existir,g curn,.,runity'facilities clistrict; provided that in no event shall thc iclclitional ta-x authorizecl hereii be allowerl to exceèd the Specittl 'f¿rx applicable to the P¿trcels being amrexecl,
13 144
City of Live Oak
Fiscal Year 2021/22 Annual Report - Community Facilities District No. 92-1 5 APPENDIX B: DELINQUENCY SUMMARY
The following pages show the Current Delinquency Summary. 145
CFD 92-1 - Community Facilities District 92-1
08/01/2011 Billing:
12/10/2011 $62,313.44 $62,313.44 $0.00 0.00% 226 226 0 0.00% 04/10/2012 $62,313.44 $62,313.44 $0.00 0.00% 226 226 0 0.00% Subtotal: $124,626.88 $124,626.88 $0.00 0.00% 452 452 0 0.00% 08/01/2012 Billing:
12/10/2012 $62,597.44 $62,597.44 $0.00 0.00% 226 226 0 0.00% 04/10/2013 $62,597.44 $62,597.44 $0.00 0.00% 226 226 0 0.00% Subtotal: $125,194.88 $125,194.88 $0.00 0.00% 452 452 0 0.00% 08/01/2013 Billing:
12/10/2013 $62,881.44 $62,881.44 $0.00 0.00% 226 226 0 0.00% 04/10/2014 $62,881.44 $62,881.44 $0.00 0.00% 226 226 0 0.00% Subtotal: $125,762.88 $125,762.88 $0.00 0.00% 452 452 0 0.00% 08/01/2014 Billing:
12/10/2014 $63,165.44 $63,165.44 $0.00 0.00% 226 226 0 0.00% 04/10/2015 $63,165.44 $63,165.44 $0.00 0.00% 226 226 0 0.00% Subtotal: $126,330.88 $126,330.88 $0.00 0.00% 452 452 0 0.00% 08/01/2015 Billing:
12/10/2015 $63,449.44 $63,449.44 $0.00 0.00% 226 226 0 0.00% 04/10/2016 $63,449.44 $63,449.44 $0.00 0.00% 226 226 0 0.00% Subtotal: $126,898.88 $126,898.88 $0.00 0.00% 452 452 0 0.00% 08/01/2016 Billing:
12/10/2016 $63,733.44 $63,733.44 $0.00 0.00% 226 226 0 0.00% 04/10/2017 $63,733.44 $63,733.44 $0.00 0.00% 226 226 0 0.00% Subtotal: $127,466.88 $127,466.88 $0.00 0.00% 452 452 0 0.00% 08/01/2017 Billing:
12/10/2017 $64,017.44 $63,846.07 $171.37 0.27% 226 225 1 0.44% 04/10/2018 $64,017.44 $63,846.07 $171.37 0.27% 226 225 1 0.44% Subtotal: $128,034.88 $127,692.14 $342.74 0.27% 452 450 2 0.44% Copyright © 2012 by NBS Page 1 of 2 12/01/2021 05:58:19PM Due Date
Delinquency Summary Report
City of Live Oak
As of: 12/01/2021
District
Delinquent
Installments
Paid
Installments
Billed
Installments
Delinquent
Amount %
Delinquent
Amount
Paid
Amount
Billed
Amount
Delinquent
Installments %
146
CFD 92-1 - Community Facilities District 92-1
08/01/2018 Billing:
12/10/2018 $64,301.44 $64,130.07 $171.37 0.27% 226 225 1 0.44% 04/10/2019 $64,301.44 $64,130.07 $171.37 0.27% 226 225 1 0.44% Subtotal: $128,602.88 $128,260.14 $342.74 0.27% 452 450 2 0.44% 08/01/2019 Billing:
12/10/2019 $64,585.44 $64,084.74 $500.70 0.78% 226 224 2 0.88% 04/10/2020 $64,585.44 $64,084.74 $500.70 0.78% 226 224 2 0.88% Subtotal: $129,170.88 $128,169.48 $1,001.40 0.78% 452 448 4 0.88% 08/01/2020 Billing:
12/10/2020 $64,869.44 $64,366.74 $502.70 0.77% 226 224 2 0.88% 04/10/2021 $64,869.44 $63,696.57 $1,172.87 1.81% 226 222 4 1.77% Subtotal: $129,738.88 $128,063.31 $1,675.57 1.29% 452 446 6 1.33% CFD 92-1 Total: $1,271,828.80 $1,268,466.35 $3,362.45 0.26% 4,520 4,506 14 0.31% Agency Grand Total: $1,271,828.80 $1,268,466.35 $3,362.45 0.26% 4,520 4,506 14 0.31% Copyright © 2012 by NBS Page 2 of 2 12/01/2021 05:58:19PM Due Date
Delinquency Summary Report
City of Live Oak
As of: 12/01/2021
District
Delinquent
Installments
Paid
Installments
Billed
Installments
Delinquent
Amount %
Delinquent
Amount
Paid
Amount
Billed
Amount
Delinquent
Installments %
147
City of Live Oak
Fiscal Year 2021/22 Annual Report - Community Facilities District No. 92-1 6 APPENDIX C: FINAL BUDGET FOR FISCAL YEAR 2021/22
Due to the District not having been levied, there is no Final Budget for Fiscal Year 2021/22 to report. 148
City of Live Oak
Fiscal Year 2021/22 Annual Report - Community Facilities District No. 92-1 7 APPENDIX D: FISCAL YEAR 2021/2022 FINAL BILLING
DETAIL
Due to the District not having been levied, there is no Final Billing Detail Report for Fiscal Year 2021/22 to report.
149
City of Live Oak
Report to City Council
Meeting Date: January 5, 2022
Title: Filing and Acceptance of State Required Annual Report for Fiscal Year 2021-22 for Community Facilities District No. 2004-1 of the City of Live Oak
Contact Information: James Ramsey, Finance Director
Background: In February 2004, the City Council approved the establishment of Community Facilities District No. 2004-1 (District) for the purpose of financing the costs and expenses of providing municipal services (ie. fire, law enforcement, recreation sites and structures, etc.) to the then developed parcels within the District. There were no special taxes levied during the current year for the District.
Attached is the informational report that meets the statutory requirements (Government Code Section 5075.3 and 53411). The annual reports are prepared by NBS (an engineering and consulting form) who also prepares the annual tax levy roll for the District. This report is only an informational report and does not affect the levying of taxes or the administration of the District.
Fiscal Impacts: None.
Recommendation: Accept and file.
Attachments:
FY 21-22_CFD 2004-1 Annual Report
CFD 2004-1 SB 165
150
nbsgov.com
Prepared by:
Corporate Headquarters
32605 Temecula Parkway, Suite 100
Temecula, CA 92592
Toll free: 800.676.7516
Fiscal Year 2021/22 Annual Report For:
Community Facilities District No. 2004-1
December 2021
151
TABLE OF CONTENTS
1. District Analysis..............................................................................................................1
1.1 District .......................................................................................................................1
1.2 Levy............................................................................................................................1
1.3 Delinquency Management........................................................................................1
2. Local Agency Special Tax and Bond Accountability Act ....................................................2
2.1 Purpose of Special Tax...............................................................................................2
2.2 Collections & Expenditures .......................................................................................2
3. Levy Analysis..................................................................................................................3
3.1 Levy Summary ...........................................................................................................3
3.2 Special Tax Spread.....................................................................................................3
3.3 Maximum and Applied Rates....................................................................................3
3.4 Applied Tax Rates......................................................................................................3
3.5 Maximum Tax Rates..................................................................................................4
4. Financial Status ..............................................................................................................5
4.1 District Funds.............................................................................................................5
4.2 Delinquency Status and Foreclosure Covenant ........................................................5 Appendix A: Rate And Method Of Apportionment .................................................................6 Appendix B: Delinquency Summary .......................................................................................7 Appendix C: Final Budget for Fiscal Year 2021/22 ...................................................................8 Appendix D: Fiscal Year 2021/2022 Final Billing Detail............................................................9 152
City of Live Oak
Fiscal Year 2021/22 Annual Report - Community Facilities District No. 2004-1 1
1. DISTRICT ANALYSIS
1.1 District
The City of Live Oak (the “City”) formed the Community Facilities District No. 2004-1 (Live Oak Municipal Services Project) (the “District”) on February 18, 2004, to fund the costs and expenses of providing municipal services within the boundaries of the District. The services provided include: fire, law enforcement, animal control, parks and recreation/pool, storm drainage facilities as well as street light maintenance, installation, repair, removal and replacement, and electrical energy and services related thereto.
1.2 Levy
As of the date of this report, the Fiscal Year 2021/22 special tax for the District has not been levied. This is due to the requisite Resolution authorizing the special tax not being approved by the City’s Council in time for submission of the special tax to the Fiscal Year 2021/22 tax roll. NBS will continue to work with the City to explore options to collect the District Fiscal Year 2021/22 special tax at a later date.
1.3 Delinquency Management
As of December 1, 2021, the District delinquency rate for the 2020/21 Fiscal Year was 0.36%. NBS sent reminder and demand letters to property owners delinquent in their payment of the Fiscal Year 2020/21 special tax on behalf of the City. NBS will continue to monitor delinquencies and recommend the appropriate delinquency management actions to the City as needed.
NBS
Zaire Marin, Administrator
Adina McCargo, Project Manager
Stephanie Parson, Client Services Director
153
City of Live Oak
Fiscal Year 2021/22 Annual Report - Community Facilities District No. 2004-1 2
2. LOCAL AGENCY SPECIAL TAX AND BOND
ACCOUNTABILITY ACT
Senate Bill 165, filed with the Secretary of State on September 19, 2000, enacted the Local Agency Special Tax and Bond Accountability Act (the “Act”). This Act requires that any local special tax or local bond measure subject to voter approval contain a statement indicating the specific purposes of the special tax, require that the proceeds of the special tax be applied to those purposes, require the creation of an account into which the proceeds shall be deposited, and require an annual report containing specified information concerning the use of the proceeds. The Act only applies to any local special tax measure or local bond measure adopted on or after January 1, 2001 in accordance with Section 50075.1 or Section 53410 of the California Government Code.
Some of the requirements of the Act are handled at the formation of the Special Tax District and others are handled through annual reports. This Section of this report intends to comply with Sections 50075.3 of the California Government Code that states:
“The chief fiscal officer of the issuing local agency shall file a report with its governing body no later than January 1, 2002, and at least once a year thereafter. The annual report shall contain all of the following:
1. The amount of funds collected and expended.
2. The status of any project required or authorized to be funded as identified in subdivision (a) of Sections 50075.1.”
The requirements of the Act apply to the Funds for the following:
City of Live Oak
Community Facilities District No. 2004-1
2.1 Purpose of Special Tax
Community Facilities District No. 2004-1 (Live Oak Municipal Services Project) was formed to fund the costs and expenses of providing municipal services within the boundaries of the District. The services provided include fire, law enforcement, animal control, parks and recreation/pool, storm drainage facilities as well as streetlight maintenance, installation, repair, removal and replacement, and electrical energy and services related thereto.
The services financed by the special tax are ongoing.
2.2 Collections & Expenditures
District
6/30/2020
Balance
Amount
Collected (1)
6/30/2021
Balance
Amount
Expended (2)
Service Status
CFD 2004-1 $178,122.00 $624,812.52 $239,898.00 $563,036.52 Ongoing (1) Amount levied in Fiscal Year 2020/21.
(2) Equal to (6/30/2020 Balance) + (Amount Collected) - (6/30/2021 Balance). 154
City of Live Oak
Fiscal Year 2021/22 Annual Report - Community Facilities District No. 2004-1 3
3. LEVY ANALYSIS
3.1 Levy Summary
A summary of the total levy and breakdown of the levy components for Fiscal Year 2021/22 are shown in the table and chart below.
Parcel
Count (1)
Levy
Amount (1)
N/A N/A
(1) District not levied in Fiscal Year 2021/22, as described in Section 1.2.
3.2 Special Tax Spread
The total levy and applied rates for Fiscal Year 2021/22 are not detailed in this section due to the District not having been levied in Fiscal Year 2021/22.
3.3 Maximum and Applied Rates
The Fiscal Year 2020/21 applied tax rates compared to the maximum tax rates are not detailed in this section due to the District not having been levied in Fiscal Year 2021/22.
3.4 Applied Tax Rates
The Fiscal Year 2021/22 applied tax rates compared to the prior year are shown in the table below. (1) Only Property Classifications of parcels levied in Fiscal Year 2020/21 are included in the table. (2) District not levied in Fiscal Year 2021/22.
Property Classification (1)
Fiscal Year 2021/22
Applied Tax Rate (2)
Fiscal Year 2020/21
Applied Tax Rate
Percent
Change (2)
Single Family Detached N/A $909.56 N/A
Multi-Family Property (Apartments) N/A 27.56 N/A
155
City of Live Oak
Fiscal Year 2021/22 Annual Report - Community Facilities District No. 2004-1 4
3.5 Maximum Tax Rates
The Fiscal Year 2021/22 maximum tax rates compared to the prior year are shown in the table below. (1) Per the District’s Rate and Method of Apportionment, the maximum tax rate escalates by 5.00% annually.
Property Classification
Fiscal Year 2021/22
Maximum Tax Rate
Fiscal Year 2020/21
Maximum Tax Rate
Percent
Change (1)
Single Family Detached $1,890.91 $1,800.87 5.00%
Single Family Attached - Duplex 756.36 720.34 5.00%
Single Family Attached - Triplex 573.00 545.71 5.00%
Single Family Attached - Fourplex 378.18 360.17 5.00%
Single Family Attached
(Five or more units)
229.20 218.28 5.00%
Multi-Family Property (Apartments) 57.30 54.57 5.00%
Commercial Property 412.56 392.91 5.00%
156
City of Live Oak
Fiscal Year 2021/22 Annual Report - Community Facilities District No. 2004-1 5
4. FINANCIAL STATUS
4.1 District Funds
District
6/30/2021
Balance
CFD 2004-1 $239,898.00
4.2 Delinquency Status and Foreclosure Covenant
Foreclosure
Attorney
Foreclosure
Recap
Delinquency Management
Steps Taken
None None Reminder and Demand Letters Sent
There is no established foreclosure covenant for the District. 157
City of Live Oak
Fiscal Year 2021/22 Annual Report - Community Facilities District No. 2004-1 6 APPENDIX A: RATE AND METHOD OF APPORTIONMENT
The following pages show the Rate and Method of Apportionment of the Special Tax. 158
159
160
161
162
163
164
165
166
167
City of Live Oak
Fiscal Year 2021/22 Annual Report - Community Facilities District No. 2004-1 7 APPENDIX B: DELINQUENCY SUMMARY
The following pages show the Current Delinquency Summary. 168
CFD 2004-1 - CFD 2004-1 (Live Oak Municipal Services Project) 08/01/2005 Billing:
12/10/2005 $88,275.00 $88,275.00 $0.00 0.00% 174 174 0 0.00% 04/10/2006 $88,275.00 $88,275.00 $0.00 0.00% 174 174 0 0.00% Subtotal: $176,550.00 $176,550.00 $0.00 0.00% 348 348 0 0.00% 08/01/2006 Billing:
12/10/2006 $183,642.88 $183,642.88 $0.00 0.00% 497 424 0 0.00% 04/10/2007 $183,642.88 $183,642.88 $0.00 0.00% 497 424 0 0.00% Subtotal: $367,285.76 $367,285.76 $0.00 0.00% 994 848 0 0.00% 08/01/2007 Billing:
12/10/2007 $219,203.96 $219,203.96 $0.00 0.00% 634 482 0 0.00% 04/10/2008 $219,203.96 $219,203.96 $0.00 0.00% 634 482 0 0.00% Subtotal: $438,407.92 $438,407.92 $0.00 0.00% 1,268 964 0 0.00% 08/01/2008 Billing:
12/10/2008 $234,211.70 $234,211.70 $0.00 0.00% 960 515 0 0.00% 04/10/2009 $234,211.70 $234,211.70 $0.00 0.00% 960 515 0 0.00% Subtotal: $468,423.40 $468,423.40 $0.00 0.00% 1,920 1,030 0 0.00% 08/01/2009 Billing:
12/10/2009 $237,395.16 $237,395.16 $0.00 0.00% 960 522 0 0.00% 04/10/2010 $237,395.16 $237,395.16 $0.00 0.00% 960 522 0 0.00% Subtotal: $474,790.32 $474,790.32 $0.00 0.00% 1,920 1,044 0 0.00% 08/01/2010 Billing:
12/10/2010 $238,759.50 $238,759.50 $0.00 0.00% 960 525 0 0.00% 04/10/2011 $238,759.50 $238,759.50 $0.00 0.00% 960 525 0 0.00% Subtotal: $477,519.00 $477,519.00 $0.00 0.00% 1,920 1,050 0 0.00% 08/01/2011 Billing:
12/10/2011 $263,317.62 $263,317.62 $0.00 0.00% 962 579 0 0.00% 04/10/2012 $263,317.62 $263,317.62 $0.00 0.00% 962 579 0 0.00% Subtotal: $526,635.24 $526,635.24 $0.00 0.00% 1,924 1,158 0 0.00% Copyright © 2012 by NBS Page 1 of 3 12/01/2021 05:23:27PM Due Date
Delinquency Summary Report
City of Live Oak
As of: 12/01/2021
District
Delinquent
Installments
Paid
Installments
Billed
Installments
Delinquent
Amount %
Delinquent
Amount
Paid
Amount
Billed
Amount
Delinquent
Installments %
169
CFD 2004-1 - CFD 2004-1 (Live Oak Municipal Services Project) 08/01/2012 Billing:
12/10/2012 $263,317.62 $263,317.62 $0.00 0.00% 825 579 0 0.00% 04/10/2013 $263,317.62 $263,317.62 $0.00 0.00% 825 579 0 0.00% Subtotal: $526,635.24 $526,635.24 $0.00 0.00% 1,650 1,158 0 0.00% 08/01/2013 Billing:
12/10/2013 $263,317.62 $263,317.62 $0.00 0.00% 900 579 0 0.00% 04/10/2014 $263,317.62 $263,317.62 $0.00 0.00% 900 579 0 0.00% Subtotal: $526,635.24 $526,635.24 $0.00 0.00% 1,800 1,158 0 0.00% 08/01/2014 Billing:
12/10/2014 $263,317.62 $263,317.62 $0.00 0.00% 900 579 0 0.00% 04/10/2015 $263,317.62 $263,317.62 $0.00 0.00% 900 579 0 0.00% Subtotal: $526,635.24 $526,635.24 $0.00 0.00% 1,800 1,158 0 0.00% 08/01/2015 Billing:
12/10/2015 $263,317.62 $263,317.62 $0.00 0.00% 898 579 0 0.00% 04/10/2016 $263,317.62 $263,317.62 $0.00 0.00% 898 579 0 0.00% Subtotal: $526,635.24 $526,635.24 $0.00 0.00% 1,796 1,158 0 0.00% 08/01/2016 Billing:
12/10/2016 $264,089.30 $264,089.30 $0.00 0.00% 898 580 0 0.00% 04/10/2017 $264,089.30 $264,089.30 $0.00 0.00% 898 580 0 0.00% Subtotal: $528,178.60 $528,178.60 $0.00 0.00% 1,796 1,160 0 0.00% 08/01/2017 Billing:
12/10/2017 $263,179.80 $263,179.80 $0.00 0.00% 898 578 0 0.00% 04/10/2018 $263,179.80 $263,179.80 $0.00 0.00% 898 578 0 0.00% Subtotal: $526,359.60 $526,359.60 $0.00 0.00% 1,796 1,156 0 0.00% 08/01/2018 Billing:
12/10/2018 $263,179.80 $263,179.80 $0.00 0.00% 898 578 0 0.00% 04/10/2019 $263,179.80 $262,725.02 $454.78 0.17% 898 577 1 0.11% Subtotal: $526,359.60 $525,904.82 $454.78 0.09% 1,796 1,155 1 0.06% Copyright © 2012 by NBS Page 2 of 3 12/01/2021 05:23:27PM Due Date
Delinquency Summary Report
City of Live Oak
As of: 12/01/2021
District
Delinquent
Installments
Paid
Installments
Billed
Installments
Delinquent
Amount %
Delinquent
Amount
Paid
Amount
Billed
Amount
Delinquent
Installments %
170
CFD 2004-1 - CFD 2004-1 (Live Oak Municipal Services Project) 08/01/2019 Billing:
12/10/2019 $291,830.90 $291,376.12 $454.78 0.16% 899 640 1 0.11% 04/10/2020 $291,830.90 $290,921.34 $909.56 0.31% 899 639 2 0.22% Subtotal: $583,661.80 $582,297.46 $1,364.34 0.23% 1,798 1,279 3 0.17% 08/01/2020 Billing:
12/10/2020 $312,406.26 $311,496.70 $909.56 0.29% 899 685 2 0.22% 04/10/2021 $312,406.26 $311,041.92 $1,364.34 0.44% 899 684 3 0.33% Subtotal: $624,812.52 $622,538.62 $2,273.90 0.36% 1,798 1,369 5 0.28% CFD 2004-1 Total: $7,825,524.72 $7,821,431.70 $4,093.02 0.05% 26,324 17,193 9 0.03% Agency Grand Total: $7,825,524.72 $7,821,431.70 $4,093.02 0.05% 26,324 17,193 9 0.03% Copyright © 2012 by NBS Page 3 of 3 12/01/2021 05:23:27PM Due Date
Delinquency Summary Report
City of Live Oak
As of: 12/01/2021
District
Delinquent
Installments
Paid
Installments
Billed
Installments
Delinquent
Amount %
Delinquent
Amount
Paid
Amount
Billed
Amount
Delinquent
Installments %
171
City of Live Oak
Fiscal Year 2021/22 Annual Report - Community Facilities District No. 2004-1 8 APPENDIX C: FINAL BUDGET FOR FISCAL YEAR 2021/22
Due to the District not having been levied, there is no Final Budget for Fiscal Year 2021/22 to report. 172
City of Live Oak
Fiscal Year 2021/22 Annual Report - Community Facilities District No. 2004-1 9 APPENDIX D: FISCAL YEAR 2021/2022 FINAL BILLING
DETAIL
Due to the District not having been levied, there is no Final Billing Detail Report for Fiscal Year 2021/22 to report.
173
Senate Bill 165, filed with the Secretary of State on September 19, 2000, enacted the Local Agency Special Tax and Bond Accountability Act (the “Act”). This Act requires that any local special tax or local bond measure subject to voter approval contain a statement indicating the specific purposes of the special tax, require that the proceeds of the special tax be applied to those purposes, require the creation of an account into which the proceeds shall be deposited, and require an annual report containing specified information concerning the use of the proceeds. The Act only applies to any local special tax measure or local bond measure adopted on or after January 1, 2001 in accordance with Section 50075.1 or Section 53410 of the California Government Code.
Some of the requirements of the Act are handled at the formation of the Special Tax District and others are handled through annual reports. This Section of this report intends to comply with Sections 50075.3 of the California Government Code that states:
“The chief fiscal officer of the issuing local agency shall file a report with its governing body no later than January 1, 2002, and at least once a year thereafter. The annual report shall contain all of the following:
1. The amount of funds collected and expended.
2. The status of any project required or authorized to be funded as identified in subdivision (a) of Sections 50075.1.”
The requirements of the Act apply to the Funds for the following:
City of Live Oak
Community Facilities District No. 2004-1
Community Facilities District No. 2004-1 (Live Oak Municipal Services Project) was formed to fund the costs and expenses of providing municipal services within the boundaries of the District. The services provided include fire, law enforcement, animal control, parks and recreation/pool, storm drainage facilities as well as streetlight maintenance, installation, repair, removal and replacement, and electrical energy and services related thereto.
The services financed by the special tax are ongoing.
District
6/30/2020
Balance
Amount
Collected (1)
6/30/2021
Balance
Amount
Expended (2)
Service Status
CFD 2004-1 $178,122.00 $624,812.52 $239,898.00 $563,036.52 Ongoing (1) Amount levied in Fiscal Year 2020/21.
(2) Equal to (6/30/2020 Balance) + (Amount Collected) - (6/30/2021 Balance).
LOCAL AGENCY SPECIAL TAX AND BOND
ACCOUNTABILITY ACT
Purpose of Special Tax
Collections & Expenditures
City of Live Oak
Community Facilities District No. 2004-1
174
City of Live Oak
Report to City Council
Meeting Date: January 5, 2022
Title: Adoption of Proposed Amended Regional Waste Management Authority (RWMA) Joint Powers Agreement (JPA) and Amended Regional Agency Formation Agreement Expanding the Powers and Authority of the RWMA; Modifying Provisions for Future Amendments; Modifying Provisions for the Withdrawal of a Member Agency; and, Establishing Provisions for Removal of a Member Agency
Contact Information: Aaron Palmer, City Manager
Location: City wide
175
Background: At the October 15, 2020 meeting of the RWMA Board of Directors, the recommendations of the RWMA Organizational Study that was prepared and presented by HF&H Consultants were conceptually approved as proposed and RWMA staff was directed to initiate the implementation process. For reference, the RWMA Organizational Study was initiated in response to the development of state regulations regarding Short-lived Climate Pollutants:
Organic Waste Reductions [Senate Bill 1383 (Lara, Chapter 395, Statutes of 2016)] and anticipated RWMA organizational staffing challenges. The RWMA Organizational Study noted that SB 1383 programs will be more successful if generators have a clear understanding and belief in the consistent region-wide application of ordinances; programs and services; generator requirements; inspections; waivers; and, levying of fines.
The next step in the implementation process was to begin drafting the amended RWMA JPA and the Regional Agency Formation Agreement for review and consideration first by the member jurisdiction administrators; second by the RWMA Board of Directors; and then finally by each of the policy bodies of the member jurisdictions after the SB 1383 regulatory process was concluded. The SB 1383 regulations were finalized in late 2020.
Based on the final SB 1383 regulatory package, it was understood that a JPA agency would be able to accept regional responsibility to CalRecycle and liability for any state fines for regional programs resulting in the reduction of the total amount of such liability. However, new guidance subsequently issued by CalRecycle prohibits a jurisdiction from delegating full responsibility for regulatory compliance with SB 1383 to a JPA, leaving formation of a special legislative district as the only option for protecting the member jurisdictions from much of any future regulatory compliance enforcement action by the state.
After discussing the pros and cons of a special district, the RWMA administrators directed RWMA staff to modify the draft amended JPA Agreement to reflect the new guidance, meaning that individual member jurisdictions will remain accountable for more provisions of the Senate Bill 1383 regulatory requirements than was originally conceptualized. Revised draft amended JPA and Regional Agency Formation Agreements were provided to the RWMA administrators for review prior to submittal to the Board and no comments were received. At their July 15th meeting, the RWMA Board of Directors directed RWMA staff to forward the proposed amended RWMA JPA and Proposed Amended RWMA Regional Agency Formation Agreement to the member jurisdictions for adoption consideration.
It should be noted that while amendments to the existing JPA and Regional Agency Formation Agreements require approval only by each county and the city in each county which contains the majority of the population of the incorporated area of each county, one of the modifications in the proposed amended agreements is that future amendments will require the approval of all member jurisdictions.
Analysis: Attached as a separate document is the proposed amended RWMA JPA with the proposed amended text shown as tracked changes. The proposed amended 176
JPA is intended to serve as the framework for continued cooperation and sharing of resources by the six member jurisdictions while providing the necessary powers and authorities to the RWMA to comply with expanding state requirements and the associated complexity of municipal waste management services on behalf of the member jurisdictions. This amended JPA draws on guidance provided by CalRecycle and example language gleaned from other solid waste management joint powers agreements. It has also been reviewed for legal sufficiency by the RWMA's legal counsel Brant Bordsen.
In addition to a variety of minor editing and legal clean-up language changes, the proposed amended JPA addresses the following new and/or modified responsibilities and authorities that would be assigned to the RWMA as stated in the following sections:
Section 3.G. TECHNICAL ADVISORY COMMITTEE. This section was added to reflect the desire of the RWMA member jurisdiction administrators to have a specified role in RWMA projects.
Section 4. FUNDING. The proposed revisions would allow the RWMA Board to establish the surcharge value that the member jurisdictions would then be required to incorporate into their local rate structure. Should the RWMA become the contracting authority for the provision of solid waste collection, processing and disposal services, the RWMA Board will have the authority to directly adjust the rates to include the surcharge value. The proposed amendment also expands and clearly defines the list of possible RWMA funding sources. The existing JPA provides for some restrictions on funding sources which would be modified by the proposed amended JPA.
Section 5. POWERS OF THE AUTHORITY. The proposed revisions to this section represent a significant expansion of the powers and authority of the RWMA as deemed necessary for compliance with expanding state requirements and the associated increased complexity of the management of solid waste services.
Section 5.A. Adoption and amendment of some or all ordinances governing compliance with the Senate Bill 1383 regulatory compliance requirements by organic waste generators, haulers, commercial edible food generators and other subject entities and to provide model ordinances governing the collection of solid wastes for adoption consideration by each of the member jurisdictions. Examples of ordinances that could be adopted by the RWMA include, but are not limited to:
i. An enforceable ordinance requiring organic waste generators, haulers and other entities subject to Senate Bill 1383 to participate in organic waste separation and diversion programs.
ii. An enforceable ordinance requiring commercial edible food waste generators, haulers and other entities subject to Senate Bill 1383 to participate in commercial edible food waste recovery activities. 177
Examples of model ordinances that could be drafted by the RWMA for adoption consideration by each of the member jurisdictions include, but are not limited to:
iii. General ordinances governing the collection of solid waste. iv. Extension of the Program Areas in the unincorporated areas of Yuba and Sutter Counties, as necessary, and likely up to the boundaries of the low population Census Tracts that are eligible for waivers. v. Establish and/or extend enforceable mandatory refuse collection areas, as necessary.
vi. Ordinances and/or policies related to the procurement of recovered organic waste products and recycled content paper procurement requirements of Senate Bill 1383.
vii. Enforceable ordinances relative to the construction and demolition debris diversion requirements and provision of readily accessible areas that serve multi-family and non-residential developments as specified by CALGreen which is part of the State Building Code and already adopted by each of the member jurisdictions.
viii. Enforceable ordinances relative to the California Model Water Efficient Landscape Ordinance requirements of Senate Bill 1383.
Section 5.B. This section was added to provide for the development of a master franchise agreement for solid waste services rather than six individual franchise agreements if all of the member jurisdictions are in agreement. If the RWMA becomes the contracting entity for the member jurisdictions this would require the City of Marysville, the County of Yuba and Yuba City to establish separate agreements for provision of street sweeping services in Marysville, for the Ponderosa Landfill Closure and Transfer Station Services and Ponderosa Transfer Station User Fees in Yuba County and for sludge disposal from Yuba City. The same would apply for any other jurisdiction specific programs. This section of the amended JPA also provides for compliance monitoring for selected provisions of the member jurisdictions' collection services agreements, if so delegated to the RWMA. It should be noted that the RWMA has since 2019 been delegated compliance monitoring authority by each of the member jurisdictions for some selected provisions of the member jurisdictions' collection services agreements.
Sections 5.C. - I. These sections provide the RWMA the funding and other powers and authorities necessary to further the purposes of the agreement including to purchase and develop real and personal property for the provision of solid waste services. This would include the associated issuance of bonds, incurring debt, etc. should the acquisition or construction of any solid waste facilities ever be considered necessary for the provision of solid waste management services.
Section 5.J. This section of the amended JPA specifically provides the power and authority to apply for and execute appropriate grants or contracts of financial assistance from local, state and federal agencies. While the RWMA has been engaged in this activity for some time, this section specifically provides that authority to make the application process more efficient by 178
decreasing the number of letters of authorization that the RWMA has to seek from member jurisdictions for each application. Due to state laws, the CalRecycle Beverage Container Recycling City/County Payment Program will still require one of the member jurisdictions (e.g., Yuba County) to continue to serve as the Lead Agency for each regional funding request.
Sections 5.K.- L. These sections include no substantive modifications.
Section 5.M. This section delegates the RWMA to act on behalf of each of the member jurisdictions for compliance with specific provisions of Senate Bill 1383. These include coordinating, administering and/or implementing certain organic waste collection and diversion programs and the edible food recovery program, including the associated education and outreach, monitoring, record keeping and reporting and enforcement programs.
Responsibility for some provisions will remain with the individual member jurisdictions with the RWMA providing support and reporting services. The provisions that will remain the primary responsibility of individual jurisdictions include:
i. Monitoring and enforcement of the construction and demolition debris diversion requirements and provision of readily accessible areas that serve multi-family and non-residential developments as specified by CALGreen which is part of the State Building Code and already adopted by each of the member jurisdictions.
ii. Monitoring and enforcement of the California Model Water Efficient Landscape Ordinance requirements of Senate Bill 1383.
iii. Procurement of recovered organic waste products and recycled content paper as required by Senate Bill 1383.
Section 5.N. This section formally allows the RWMA to coordinate and/or implement on behalf of each of the member jurisdictions compliance activities relative to Assembly Bill 341 and Assembly Bill 1826 even though the RWMA has effectively been serving in this capacity. Each of the member jurisdictions also previously designated the RWMA in late 2019 to work on their behalf to review compliance with certain provisions of their respective Collection Service Agreements with Recology Yuba-Sutter, including public education and information activities and compliance with Assembly Bill 341 and Assembly Bill 1826 requirements. It is important to note that this delegation is to the extent allowed by law and that the individual member jurisdictions will still be subject to state enforcement.
Section 5.O. This section includes no modifications.
Section 5.P. This section was modified to eliminate the prohibition on the RWMA to enter into contracts or agreements and incur financial obligations that would be binding on any of the member jurisdictions should any jurisdiction withdraw from the RWMA or the RWMA JPA be terminated.
Elimination of this prohibition is necessary to prevent conflict with other provisions of the amended JPA Agreement under which contracts and agreements for significant programs and facilities might now be undertaken. 179
Section 5.Q. This section was modified to include the power and authority to purchase, lease or rent real property in addition to the previously listed capital equipment and facilities necessary to provide the services furnished by the RWMA. "Real property" was added to this list to cover any potential future action to acquire or develop solid waste facilities.
Section 5.S. This section was previously Section 13 in the current JPA Agreement.
Section 5.T. This section includes no modifications.
Section 6. TREASURER AND AUDITOR. This section includes additional language regarding accountability for all funds, receipts and disbursements per Section 6505 of the Government Code.
Section 9. DUTIES AND RESPONSIBILITIES OF MEMBER
JURISDICTIONS. This is a new proposed section that outlines the duties and responsibilities of the member jurisdictions to support the programs and activities of the RWMA including issuing and adopting letters and resolutions of support for regional grant and payment program applications and adoption consideration of ordinances or contract provisions necessary to further the purposes of the JPA Agreement and to comply with state law.
Other provisions of the proposed amended JPA Agreement that gives the RWMA responsibility for solid waste management will serve to reduce the number of letters of authorization needed from member jurisdictions for grant and city/county payment program applications. Going forward, the Beverage Container Recycling City/County Payment Program will likely be the only funding program for which letters of authorization will still be needed from individual member jurisdictions as state law prohibits a regional agency from directly applying for these funds.
Examples of ordinances and/or contract provisions that member jurisdictions will be responsible for adoption consideration include, but are not limited to:
i. Mandatory solid waste collection.
ii. Expansion of the Program Areas in the unincorporated areas of Yuba and Sutter Counties.
iii. Mandatory recycling and organic materials collection programs. iv. Monitoring and enforcement of the construction and demolition debris diversion requirements and provision of readily accessible areas that serve multi-family and non-residential developments as specified by CALGreen which is part of the State Building Code and already adopted by each of the member jurisdictions.
v. Monitoring and enforcement of the California Model Water Efficient Landscape Ordinance requirements of Senate Bill 1383.
vi. Procurement of recovered organic waste products and recycled content paper products as required by Senate Bill 1383.
Section 11. AMENDMENT. Following discussion and concurrence by the 180
RWMA administrators, this section was modified to require future amendments and modifications to the JPA Agreement to be approved by each of the member jurisdictions instead of only by each of the counties and the city with the largest population in each of the counties. This modification was recommended to fully support the provisions of this JPA Agreement by requiring all parties to approve future amendments and modifications.
Section 12. WITHDRAWAL OF MEMBER AND AGREEMENT
TERMINATION. This section was modified to change the withdrawal and termination notification provisions from 180 days in advance of the requested withdrawal and termination notification date to two years prior to the termination date of the then current solid waste service agreement. The reason for this change is to allow for certainty in planning, implementing and funding programs and to provide sufficient time to put adjustments in place if one or more of the member jurisdictions desires to withdraw from the JPA.
Provisions were also added to this modified section stipulating that any debts, liabilities and obligations remain the responsibility of the withdrawing member jurisdictions. Specific provisions were also added stating that withdrawal or termination may result in the loss of use or special charges for continued use of the Yuba-Sutter Household Hazardous Waste Facility, any other regional facilities or programs that may be developed in the future, and yet to be established requirements for continued funding of the Local Enforcement Agency.
Section 13. REMOVAL OF A MEMBER. This section was added to provide for removal of a member agency from the RWMA for material breaches of the JPA Agreement that remain uncured after six (6) months' notice.
Section 14. CONTINGENCY PLAN FOR MEMBER JURISDICTIONS.
This section was added to outline contingency plans for member jurisdictions in the event of withdrawal from or termination of the JPA, including program funding and/or implementation and required state planning documents and reporting.
Section 16. LIMITATION OF POWERS. This section was added to establish the statutory limitations on the exercise of powers based on statutory limitations applicable to the County of Yuba, and if the County of Yuba ceases to be a member jurisdiction, on the statutory limitations applicable to the County of Sutter.
Proposed Regional Waste Management Authority Amended Region Agency Formation Agreement
Also attached as a separate document is the proposed RWMA Amended Regional Agency Formation Agreement showing the amended text as tracked changes. The Regional Agency Formation Agreement is an overlay agreement that follows the JPA and was established for the purposes of combining disposal and diversion quantities for determining compliance with the California Integrated Waste Management Act of 1989; to assign responsibility for any civil penalties incurred pursuant to the California 181
Integrated Waste Management Act of 1989 to the RWMA; to allow for the efficient operation of diversion programs on a region-wide basis; to allow the RWMA to prepare disposal reports to CalRecycle; and, to allow for the preparation, adoption and submittal of the Regional Integrated Waste Management Plan including the Source Reduction and Recycling, Household Hazardous Waste, Nondisposal Facility and Regional Siting Elements and any additional elements or plans, amendment or revisions thereto. Relative to any civil penalties incurred for non-compliance with the California Integrated Waste Management Act of 1989, the Regional Agency Formation Agreement authorizes the RWMA to allocate the responsibility to the member jurisdictions based on relative population of each jurisdiction for the year in which the civil penalties are incurred. Regional Agency formation agreements are subject to approval by CalRecycle.
The proposed amended Regional Agency Formation Agreement addresses the following modifications:
1. To reflect the amended provisions of California Public Resources Code Section 41821.5 that resulted in the elimination of the requirement for counties to serve as the agency responsible for compiling the disposal information from haulers and facility operators for determination of compliance with PRC Section 41780 (i.e., achievement of the 50 percent diversion goal per AB 939) which had previously been assigned to the RWMA. California Public Resources Code Section 41821.5 now requires that haulers and facility operators report diversion and disposal information directly to CalRecycle.
2. To reflect that the JPA is simultaneously being amended and may be amended from time to time.
3. To reflect the potential activation of amended provisions of the RWMA JPA to grant the RWMA the power and authority to contract for solid waste services in Section 7. Duties and Responsibilities of Member Jurisdictions of the JPA.
4. To establish as part of the contingency plan that member jurisdictions are responsible for program funding and/or implementation for programs that were established based on the powers and authorities provided to the JPA should the JPA be terminated, modified or implemented in such a way as to affect the RWMA's power to require funding and/or implementation of programs in Section 8. Contingency Plan for Member Jurisdictions of the JPA.
5. To reflect the proposed amended provisions of the RWMA JPA regarding the timing of notifications for withdrawal and termination of the agreement relative to the termination date of the then current solid waste service agreement and also to establish provisions regarding the continuation of any debts, liabilities and obligations related to civil penalties in Section 12. Withdrawal and Termination of the JPA. 182
6. To reflect in Section 12. Amendment that future amendments will require the approval of all member jurisdictions consistent with the proposed amended JPA Agreement.
Fiscal Impacts: Adoption of the proposed amended agreements will provide for development and implementation of programs on a regional basis which is assumed to be more cost effective than if done by each jurisdiction individually. The RWMA is primarily funded by surcharges on residential, commercial and debris box refuse collection services.
Recommendation: Adopt resolution approving the proposed RWMA Fourth Amended and Restated JPA and RWMA Amended Regional Agency Formation Agreement.
Attachments:
Joint Powers Agreement
Regional Agency Agreement
Resolution
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1 REGIONAL WASTE MANAGEMENT AUTHORITY
FOURTH AMENDED AND RESTATED JOINT POWERS AGREEMENT
THIS AMENDED AND RESTATED JOINT POWERS AGREEMENT (“Agreement”) of the REGIONAL WASTE MANAGEMENT AUTHORITY is made and entered into with an effective date of November 1, 2021 by and between the COUNTY OF SUTTER and the COUNTY OF YUBA, political subdivisions of the State of California, and the CITY OF LIVE OAK, the CITY OF MARYSVILLE, the CITY OF WHEATLAND, and the CITY OF YUBA CITY, municipal corporations, referred to hereinafter as “Sutter County”, “Yuba County”, “Live Oak”, “Marysville”, “Wheatland”, and “Yuba City”, and which agencies are generally referred to herein as “Party(ies)” or “Member Agency(ies)”.
RECITALS
WHEREAS, the foregoing Parties to this Agreement have the common power to provide waste management services including the storage, collection, recycling and disposal of solid wastes within their respective jurisdictions; and,
WHEREAS, the Parties to this Agreement desire to jointly address the provision of waste management services including the planning for the future provision of said services on a regional basis rather than individually; and,
WHEREAS, on July 1, 1990, a Joint Powers Agreement was entered into by the Parties to this Agreement whereby the Bi-County Integrated Waste Management Authority was established as a separate legal entity to provide solid waste services to the Parties; and, WHEREAS, on July 1, 1994, said agreement was amended in whole to add the City of Gridley as a party to the agreement; make other minor related and unrelated changes to the 184
2 agreement; and, change the name of the agency created by this Agreement to the Regional Waste Management Authority; and,
WHEREAS, on July 1, 2001, said agreement was again amended in whole to delete the City of Gridley as a party to the agreement; to make other related and unrelated amendments to the original agreement to further refine both the terms of the original agreement and the specific powers of the Regional Waste Management Authority created by said agreement to reflect the change in membership; and, to allow for future changes in municipal solid waste planning requirements; and,
WHEREAS, the Regional Waste Management Authority has been the responsible agency for the preparation and submission of regional planning documents and annual reports and coordination of waste diversion programs pursuant to Assembly Bill 939 (Sher, 1989) (California Integrated Waste Management Act of 1989) and the corresponding regulations in Title 14 of the California Code of Regulations, Division 7, Chapter 9; and, WHEREAS, the Regional Waste Management Authority is the owner and operator of the Yuba-Sutter Household Hazardous Waste Facility which is located on property leased from the City of Yuba City and operated by a contract operator; and, WHEREAS, the Regional Waste Management Authority by prior agreement reimburses the Yuba County Environmental Health Department on a quarterly basis for the cost (net of grant and fee revenues) for provision of the Local Enforcement Agency; and, WHEREAS, Senate Bill 1383 (Lara, 2016) and the corresponding regulations developed by the California Department of Resources Recycling and Recovery (CalRecycle) in Title 14, Division 7, Chapter 12 of the California Code of Regulations (Senate Bill 1383 Regulations) to implement the goals in Senate Bill 1383 to reduce statewide landfill disposal of organic waste from the 2014 level by 50 percent by 2020 and by 75 percent by 2025 and includes requirements 185
3 intended to meet the statewide goal that not less than 20 percent of edible food that is currently disposed of is recovered for human consumption by 2025; and, WHEREAS, the Senate Bill 1383 Regulations require jurisdictions to implement an organic waste diversion program that requires the adoption of enforceable ordinances or similar enforceable mechanisms consistent with the requirements of the Senate Bill 1383 Regulations; provision of organic waste collection services to businesses and residences; provision of an edible food recovery program; education and outreach; monitoring, recordkeeping and reporting; related enforcement activities; and procurement of recovered organic waste products and recycled content paper; and,
WHEREAS, the Senate Bill 1383 Regulations require counties, in coordination with jurisdictions located with the county, to conduct infrastructure capacity planning specific to organic waste recycling capacity and edible food recovery capacity; and, WHEREAS, Assembly Bill 1826 (Chesbro, 2014) (Recycling of Commercial Organic Waste (MORe)) was signed into law and established the requirement for jurisdictions to implement an organic waste recycling program to divert organic waste generated by multi-family housing, businesses and organizations, as specified; and, WHEREAS, Assembly Bill 341 (Chesbro, 2011) (Recycling of Commercial Solid Waste (MCR)) was signed into law and established requirements for jurisdictions to implement a commercial solid waste recycling program designed to divert commercial solid waste from landfilling; and,
WHEREAS, CalRecycle developed regulations in Title 14, Division 7, Chapter 9.1 of the California Code of Regulations to implement the goals of the MCR law; and, WHEREAS, the Parties expressly designate the Regional Waste Management Authority as the responsible authority to coordinate, administer and/or implement compliance with and 186
4 enforcement of Senate Bill 1383, as specified herein, on behalf of each Party hereto, with the exception of 1) implementation and enforcement requirements related to the CALGreen Code; 2) implementation and enforcement requirements related to the Model Water Efficient Landscape Ordinance provisions; 3) implementation of the Recycled Content Paper Procurement provisions; and, 4) implementation of the Procurement of Recovered Organic Waste Products requirements as specified herein; and,
WHEREAS, the Parties also expressly designate and desire for the Regional Waste Management Authority to coordinate, administer, and/or implement compliance with Assembly Bill 1826 and Assembly Bill 341 on behalf of each Party hereto; and, WHEREAS, the Parties hereto would prefer to delegate more responsibility to the Regional Waste Management Authority through this Joint Powers Authority (JPA) Agreement to ensure compliance with Senate Bill 1383 pursuant to the statement in the Specific Purpose and Necessity of the Regulations for Senate Bill 1383 regarding Section 18981.2. Implementation Requirements of Jurisdictions, subsection (c) clarifying that “nothing in this section is intended to override the provisions of the Joint Exercise of Powers Act (Gov. Code Sections 6500 et seq.), state law governing districts (Gov. Code Sections 58000 et seq.) or be construed in any way that would alter the legal relationship (statutory, contractual or otherwise) between a city, county, or city and county and a JPA or special district. It is intended that the obligations in this chapter undertaken by a special district or a JPA will be the responsibility of the special district or JPA and those entities would be subject to any enforcement action.” Subsequent CalRecycle staff guidance asserts that, “any prior guidance notwithstanding, CalRecycle is clarifying that, in the event of non-compliance issues, any enforcement action would be against individual jurisdictions rather than the JPA.
Enforcement may include the imposition of penalties for non-compliance.” Additionally, state law 187
5 contains no provisions for cities and counties to delegate full responsibility to a JPA for compliance with Assembly Bill 1826 and Assembly Bill 341.
WHEREAS, the Parties to the original Joint Powers Agreement now wish to also amend said agreement to grant the Regional Waste Management Authority the power and authority to 1) adopt and amend some or all ordinances regarding the Senate Bill 1383 regulatory compliance requirements by organic waste generators, haulers, commercial edible food generators and other subject entities; 2) provide model ordinances governing the collection of solid wastes for adoption consideration by each of the Member Agencies; 3) provide specific contract, rate structures and franchise agreement provisions and/or amendments for adoption consideration by each of the Member Agencies; 4) serve as Contract Administrator if so delegated pursuant to section 5.B.i. of this Agreement; 5) if all Parties hereto agree pursuant to sections 5.B.iii or 5.B.iv, adopt and amend all contracts, rate structures and franchise agreements for solid waste services to the extent allowed by law and as specified by this Agreement; 6) acquire, convey, construct, finance, refinance, regulate, manage, maintain and operate buildings, works and improvements for the provision of solid waste services; 7) acquire, hold, improve and convey real and personal property for the provision of solid waste services; 8) incur and discharge debts, liabilities and obligations; 9) issue securities, bonds, notes, warrants, other evidences of indebtedness and certificates of participation in Regional Waste Management Authority leases or contracts to finance costs and expenses incidental to the projects of the Regional Waste Management Authority; 10) issue revenue bonds, subject to the provisions and limitations of the laws of the State of California; 11) loan proceeds from the issuance of bonds or securities; 12) levy, fix, set and/or impose fees, assessments and charges to further the purposes of this Agreement to the extent permitted by law and by this Agreement; and, 13) apply for and execute appropriate grants or contracts of financial assistance from local, state and federal agencies. 188
6 WHEREAS, pursuant to the terms of the Regional Waste Management Authority Joint Powers Agreement, the Parties hereto wish to amend and restate the agreement dated July 1, 2001 in whole for the provision of the above waste management services.
NOW, THEREFORE, in consideration of the mutual promises and agreements herein contained, the Parties hereto agree as follows:
1. PURPOSES OF AGREEMENT. This Agreement is made and entered into for the purposes of providing reliable, economical, integrated and environmentally sound waste management services to all of the residents, businesses and organizations of the region including the unincorporated areas of Sutter and Yuba Counties and the areas embraced within the corporate limits of Live Oak, Marysville, Wheatland and Yuba City. Such services to be provided by the REGIONAL WASTE MANAGEMENT AUTHORITY, herein after referred to as the “Authority.” This amended and restated Joint Powers Agreement supersedes that certain amended Joint Powers Agreement made and entered into effective July 1, 2001. The Authority which was created by the July 1, 1990 Joint Powers Agreement shall be construed as having been in continual existence since its creation and no action previously exercised by said Authority shall be deemed to be modified, amended or otherwise affected by this Agreement except as expressly provided herein.
2. MUTUAL BENEFIT. The Parties hereby agree that this Agreement is made and entered into for the mutual benefit of all member entities and as such each Party agrees to grant to all other Parties to this Agreement, and the residents, businesses and organizations thereof, reasonable access to any existing or future waste facilities located within the collective boundaries of the Member Agencies. No Party to this Agreement may exact any tax, fee, surcharge or other payment from any one or more Parties, or the residents, businesses and 189
7 organizations thereof, to this Agreement that is not required of all Parties or the residents, businesses and organizations thereof.
3. AGENCY CREATED TO ADMINISTER AGREEMENT. The Authority has previously been designated, created, and established as the agency to administer and execute this Agreement, the composition and constitution of which shall be as follows:
A. Board of Directors. The Authority shall be governed by a six (6) member Board of Directors consisting of the following regular voting membership: One Sutter County Supervisor; one Yuba County Supervisor; one Live Oak City Council person; one Marysville City Council person; one Wheatland City Council person; and, one Yuba City City Council person with each to be appointed by their respective boards and councils. Each of the Parties to this Agreement shall designate an alternate member who shall serve in the absence of the regular member.
B. Terms of Appointment. All members of the Authority Board shall serve at the pleasure of their respective appointing bodies and vacancies will be filled by their respective member entities for which a vacancy occurs.
C. Officers. The Authority Board of Directors shall at their first meeting and annually thereafter during the first regular meeting of each calendar year select from its members a Chairperson and Vice-Chairperson. The Chairperson shall act as moderator for all Authority meetings, have no exclusive powers or authority other than the calling of special meetings, and may make and recognize motions and seconds. The Vice-Chairperson shall assume the duties of the Chairperson in the absence of the Chairperson.
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8 D. Quorum. Attendance of the regular or alternate representative from four of the Member Agencies shall constitute a quorum for the purpose of voting on any matters which come before the Authority for action.
E. Voting. All formal acts of the Authority shall be made by motion of one of the members, duly seconded, and subject to a vote of the members in attendance at a duly called meeting of the Board. Except as otherwise provided by law or this Agreement, four affirmative votes are required for adoption or passage of any proper motion.
F. By-Laws. The Board shall cause to be prepared and shall subsequently adopt rules or by-laws to govern its activities. Said rules or by-laws shall provide for budget adoption procedures, contracting guidelines, the manner in which meetings may be called, the notice to be given therefore and such other matters as may be deemed appropriate by the Board.
G. Technical Advisory Committee. A Technical Advisory Committee comprised of the City Manager or County Executive Officer of each of the Member Agencies shall serve on the Technical Advisory Committee to advise the Authority staff and Board.
4. FUNDING. The Board of Directors is hereby authorized to fund, through whatever means and to the extent allowed by law and this Agreement, the necessary programs and activities to support the purposes of this Agreement with the restriction that no contribution shall be exacted directly from any Party to this Agreement without that Party’s consent except as allowed by this Agreement. The primary funding source for the Authority shall be a surcharge duly assessed on all franchised residential, commercial and drop box solid waste collection accounts.
The surcharge value shall be set by the Authority Board of Directors and shall be implemented by the Member Agencies, as necessary. Other funding sources may include revenues from fees and charges for the use of facilities owned or operated by the Authority; revenues from the sale 191
9 of recyclable materials, land, leases, and other similar sources; grant and payment program funds received from local, state or federal agencies; and, funds from the sale of securities, bonds or certificates of participation issued by the Authority to the extent allowed by law and this Agreement.
5. POWERS OF THE AUTHORITY. The Authority shall be vested with the power and authority to:
A. Exercise the common powers and obligations of the Parties hereto to adopt and amend some or all ordinances governing compliance with the Senate Bill 1383 regulatory compliance requirements by organic waste generators, haulers, commercial edible food generators and other subject entities and to provide model ordinances governing the collection of solid wastes for adoption consideration by each of the Member Agencies.
B. Exercise the common powers and obligations of the Parties hereto to provide solid waste management services including the adoption of all contracts, rate structures, and franchise agreements for solid waste services, including:
i. Accepting the delegation of Contract Administrator by written notice from the current Contract Administrator of each Member Agencies’ collection service agreement to the contractor; and,
ii. Provision of specific contract, rate structures and franchise agreement provisions and/or amendments for adoption consideration by each of the Member Agencies; and,
iii. If agreed to by the Member Agencies’ solid waste collection service contractor, accepting the assignment of the current collection service agreements to the Authority by resolution of each of the member jurisdictions; and, 192
10 iv. Upon expiration of the existing solid waste collection service agreements for each Member Agency or replacement thereof, to procure and/or negotiate a master collection service agreement for services in all of the Member Agencies if all Parties hereto agree by resolution of each of the Member Agencies’ governing bodies.
C. Levy, fix, set and/or impose fees, assessments and charges to further the purposes of this Agreement to the extent permitted by law and this Agreement.
D. Acquire, convey, construct, finance, refinance, regulate, manage, maintain and operate buildings, works and improvements for the provision of solid waste services.
E. Acquire, hold, improve and convey real and personal property for the provision of solid waste services.
F. To incur and discharge debts, liabilities or obligations.
G. To issue securities, bonds, notes, warrants, other evidences of indebtedness and certificates of participation in Authority leases or contracts to finance costs and expenses incidental to the projects of the Authority.
H. Issue revenue bonds, subject to the provisions and limitations of the laws of the State of California.
I. Loan proceeds from the issuance of bonds or securities.
J. Apply for and execute appropriate grants or contracts of financial assistance from local, state and federal agencies either directly or on behalf of the Member Agencies.
K. Prepare, adopt and submit on behalf of the Parties hereto the Regional Integrated Waste Management Plan including the Source Reduction and Recycling, NonDisposal Facility, Household Hazardous Waste and the Regional Siting Elements 193
11 thereto and any additional elements or plans that may be required including any amendments or revisions thereto.
L. Prepare, adopt and submit the necessary review and status reports for the Regional Plan and the elements thereto as required by the Department of Resources Recycling and Recovery of the State of California or any successor or other State or Federal agency with jurisdiction.
M. Act as the delegate on behalf of each Party to this Agreement for compliance with certain provisions of Senate Bill 1383 (Public Resources Code sections 42652 - 42654) and the corresponding regulations in Title 14 of the California Code of Regulations, Division 7, Chapter 12 to the extent allowed by law. These delegated responsibilities, include, but are not limited to:
i. Coordinating, administering and/or implementing certain state mandated Senate Bill 1383 programs, including, but not limited to organic waste diversion and the related requirements for education and outreach, monitoring, record keeping and reporting, and related enforcement. Such compliance shall also include conducting organic waste capacity planning, as required by law. ii. Coordinating with and assisting the Member Agencies with compliance with the CALGreen Code, Model Water Efficient Landscape Ordinance, recovered organic waste product procurement and recycled content paper procurement requirements of Senate Bill 1383 and compilation of associated jurisdiction reports and provision of those reports to the California Department of Resources Recycling and Recovery, as required by law. Coordination and assistance will include provision of summaries / descriptions of the regulatory requirements; model ordinances; model reporting tools; technical support; and, coordination 194
12 amongst the Member Agencies and with service providers, as necessary, relative to these provisions of Senate Bill 1383.
iii. Coordinating, administering, and/or implementing the edible food recovery requirements of Senate Bill 1383 regulations. Such duties shall include, but are not limited to: assessment of existing capacity for edible food recovery, establishing a food recovery program, inspection of commercial edible food generators for compliance, and education and outreach to all commercial edible food generators subject to Senate Bill 1383 and any other entities or Parties required by law.
iv. Enforcing the provisions of the ordinance(s) required by Senate Bill 1383 as adopted and/or amended by the Authority by performing compliance monitoring through route reviews, inspections, determining the applicability of waivers, determining whether violations have occurred, and issuing Notices of Violations.
These delegated responsibilities specifically do not include compliance with the CALGreen Code, Model Water Efficient Landscape Ordinance and recovered organic waste product procurement and recycled content paper procurement requirements of Senate Bill 1383 all of which remain the responsibility of each Member Agency.
N. To coordinate and/or implement on behalf of each Party to this Agreement compliance activities pursuant to Assembly Bill 341 (Public Resources Code sections 42649 - 42649.7) and the corresponding regulations in Title 14 of the California Code of Regulations, Division 7, Chapter 9.1 and with Assembly Bill 1826 (Public Resources Code sections 42649.8 - 42649.87). Such activities shall be on behalf of each Party to this Agreement to the extent allowed by law and shall include, but is not limited to: i) coordinating with solid waste service providers to identify and monitor 195
13 multi-family housing, businesses and organizations subject to these laws, provide education and outreach, notify non-compliant entities; and, ii) reporting the progress achieved in implementing the programs in the Annual Report required by Public Resources Code Section 41821, et seq.
O. Contract with one or more of the Parties to this Agreement for services as it deems necessary to effectuate the purposes of this Agreement. The Authority shall determine the schedule of charges to be made against the Authority for the services rendered by any Party providing such services under this Agreement. The charges so determined shall be a proper charge against the Authority.
P. Solicit proposals, bids, or contractual quotes from any source capable of providing services to the areas served by the Authority and to enter into contracts for such services as the Authority deems necessary to effectuate the purposes of this Agreement.
Q. Purchase, lease or rent, as appropriate, the necessary capital equipment, real property and facilities to provide the services furnished by the Authority.
R. Select and remove all officers, agents and employees of the Authority, prescribe such powers and duties for them as may not be inconsistent with law or with this Agreement, require from them security for faithful service, to fix the compensation for services rendered, and to adopt personnel rules and procedures.
S. COMPREHENSIVE LIABILITY INSURANCE. The Authority, being a separate public entity, may take out and maintain in full force and effect during the term of this Agreement, comprehensive liability insurance for the Authority against any and all liability in connection with the execution or administration of this Agreement. The Authority shall not be required to maintain separate policies which 196
14 are found to be unnecessary because of limited exposure, or are found to duplicate coverage already in full force and effect. The cost of said insurance shall be a proper charge against any funds administered by the Authority pursuant to this Agreement.
T. The Authority shall have those additional powers as set forth in Section 6508 of the Government Code.
6. TREASURER AND AUDITOR. The Authority shall select a Finance Director to act as Treasurer for the Authority and be the depository and have custody of the money of the Authority from whatever source. Said Finance Director shall provide for the strict accountability of all funds and report of all receipts and disbursements of the Authority per Section 6505 of the Government Code and have all of the duties, powers and authority set forth in Section 6505.5 of the Government Code. Said Finance Director shall have authority to draw warrants to pay demands against the Authority upon approval by said Authority. The reasonable charges for the services of the Finance Director shall be a proper charge against the Authority.
7. OBLIGATIONS OF AGENCY. Other than obligations that were considered and committed as specified in Section 4 above, the debts, liabilities and obligations of the Regional Waste Management Authority shall not be the debts, liabilities and obligations of the Parties to this Agreement, but instead shall be the sole responsibility of said Authority.
8. NOTICE OF CREATION OF SEPARATE AGENCY. As provided for in Section 6503.5 of the Government Code, the agency created by this Agreement shall, within thirty (30) days after the effective date thereof, or any amendment thereto, cause a notice of said agreement, or amendment thereto, to be prepared and filed with the Office of the Secretary of State of the State of California in full conformity with the provisions of law.
9. DUTIES AND RESPONSIBILITIES OF MEMBER AGENCIES. Member Agencies will be responsible for the issuance and/or adoption consideration of letters and 197
15 resolutions of support for regional grant and payment program applications as may be requested by the Authority in support of the programs recommended for implementation in the adopted Source Reduction and Recycling Element and for continued support of the Household Hazardous Waste and associated programs as adopted in the Household Hazardous Waste Element.
Member Agencies will also be responsible for adoption consideration of any ordinances or contract provisions necessary to further the purposes of this Agreement and to comply with state law. Such items may include, but are not limited to:
i. Enforceable mandatory solid waste collection.
ii. Expansion of the Program Areas in the unincorporated areas of Yuba and Sutter Counties. iii. Mandatory recycling and organic materials collection programs. iv. Monitoring and enforcement of the construction and demolition debris diversion requirements and provision of readily accessible areas that serve multi-family and nonresidential developments as specified in the CALGreen Code which is part of the State Building Code (California Code of Regulations, Title 24, Part 11, as may be amended) and already adopted by each of the Member Agencies.
v. Monitoring and enforcement of the California Model Water Efficient Landscape Ordinance requirements of Senate Bill 1383.
vi. Procurement of recovered organic waste products and recycled content paper products as required by Senate Bill 1383.
10. EFFECTIVE DATE OF AGREEMENT. The effective date of this amended Joint Powers Agreement shall commence on November 1, 2021, and shall continue until amended or terminated pursuant to the terms contained herein.
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16 11. AMENDMENT. This Agreement may be amended or modified at any time, in a manner consistent with and in furtherance of the purposes of this Agreement, with the written consent of each of the Member Agencies.
12. WITHDRAWAL OF MEMBER AND AGREEMENT TERMINATION. Any Party may withdraw from the Authority effective on the termination date of any solid waste service agreement by filing with the Authority a written notice to withdraw no less than two years prior to the termination date of the withdrawing Party’s then current solid waste service agreement; provided, however, that there shall be no withdrawal from or termination of the agreement if a) same would conflict with or violate the terms or conditions of any securities or revenue bonds issued by the Authority, and any related documentation; b) same would have any consequences relative to any processing and/or disposal capacity agreements entered into by the Authority; and, c) in any event until any and all revenue bond debt incurred by the Authority for the construction or acquisition of real and personal property has been fully amortized or such debt is refinanced by the Authority or other successor entity. Such withdrawal shall become effective on the termination date of the then solid waste service agreement. If two or more of the withdrawing Parties include either Sutter County, Yuba County, Marysville or Yuba City and the effective date of the withdrawals are within one year and one day of each other, this Agreement will be considered to be terminated on the effective date of such withdrawal. If less than two of the Parties named in the proceeding sentence are among the withdrawing Parties, then this Agreement will continue in full force and effect. With the written concurrence of no less than four Parties, this Agreement may be terminated on the termination date of any solid waste service agreement provided that written notice is provided no less than two years prior to the termination date of the withdrawing Parties’ then current solid waste service agreements. Following termination or withdrawal, withdrawing Parties shall remain responsible for their share of any 199
17 debts, liabilities and obligations entered into by the Authority pursuant to this Agreement, including but not limited to, processing and/or disposal capacity agreements, acquired real and personal property, and operation of facilities.
The Yuba-Sutter Household Hazardous Waste Facility is owned and operated by the Authority; is located on property leased from the City of Yuba City; and, is subject to an operating agreement with a contract operator. Withdrawal from or termination of this Agreement may result in the loss of use of that facility or special charges for continued use of that facility by residents, businesses and organizations of the withdrawing Parties or all Parties in the case of termination of this Agreement.
The Authority reimburses the Yuba County Environmental Health Department for the cost (net of any grant and fee revenues) for the provision of the Local Enforcement Agency.
Withdrawal from or termination of this Joint Powers Agreement will result in yet to be established requirements for the Parties hereto to continue funding their portion of these costs.
Similarly, withdrawal from or termination of this Joint Powers Agreement may result in the loss of use or special charges for continued use of any regional facility or program that may be developed in the future.
13. REMOVAL OF A MEMBER. The Board of Directors may, by four fifths (4/5) vote of the Board members present, terminate a Member Agency’s membership in the Authority for a material breach of this Agreement after six (6) months’ notice to such Member Agency. A Member Agency so removed shall be responsible for capital expenditures and non-capital obligations of the Authority as set forth in Section 12 above.
14. CONTINGENCY PLAN FOR MEMBER AGENCIES. In the event that this Agreement is terminated or modified in such a way as to withdraw the Authority’s power to fund 200
18 and/or implement programs for one or more Member Agencies, the responsibility for program funding and/or implementation will revert to the affected Member Agencies.
At the time of the first five-year revision required under the Integrated Waste Management Act of 1989 for the Regional Integrated Waste Management Plan including the Source Reduction and Recycling, Non-Disposal Facility, Household Hazardous Waste and the Regional Siting Elements thereto and any additional elements or plans that may be required including any amendments or revisions thereto following termination of this Agreement, these planning documents would be converted from regional planning documents to individual jurisdiction or joint planning documents in which individual data and programs would have to be identified for each participating jurisdiction.
15. DIVISION OF ASSETS UPON WITHDRAWAL OR TERMINATION. Upon the withdrawal of any Party from the Authority pursuant to the provisions of Section 12 of this Agreement and such withdrawal does not result in the termination of this Agreement, such Party shall be relieved of any further debts, liabilities and obligations of the Authority except as herein specifically provided and such Party shall have no further right, title or interest in or to any asset of the Authority. All of the right, title and interest which such withdrawing Party previously had to the assets of the Authority shall remain the property of the Authority and shall increase proportionally the interest of each of the remaining Parties. Upon termination of this Agreement pursuant to Section 12, all assets remaining after the payment of all debts, obligations and liabilities of the Authority shall be returned to the Parties in proportion to the contributions made by the Parties; provided, however, that if the Parties have not made any contribution to the Authority, such remaining assets shall be distributed proportionately to the Parties on the basis hereinafter set forth. Said proportionate shares shall be based on the ratio that the incorporated population of each city and the unincorporated population of each county bears to the total 201
19 combined population of all of the member entities. The population for each entity, as described above, and the combined population of all member entities, shall be determined by the most recent and available projections prepared by the Population Research Unit of the State Department of Finance.
16. LIMITATION OF POWERS. The manner in which the Authority may exercise its powers shall be subject to any statutory limitations applicable to the County of Yuba; provided that, if the County of Yuba shall cease to be a Member, then the Authority shall be restricted in the exercise of its power in the same manner as the County of Sutter.
17. SAVINGS. If any provision of this Agreement is unenforceable, no other provisions shall be affected thereby and all other provisions shall be enforceable to the fullest extent permitted by law.
IN WITNESS WHEREOF, the Parties have hereunto set their hands on the dates hereinafter indicated.
Attest: County of Sutter
_____________________________ _____________________________ Clerk of the Board of Supervisors County Administrator
_____________________________ _____________________________ Date Date
Attest: County of Yuba
_____________________________ _____________________________ Clerk of the Board of Supervisors County Administrator
_____________________________ _____________________________ Date Date
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20 Attest: City of Live Oak
_____________________________ _____________________________ City Clerk City Manager
_____________________________ _____________________________ Date Date
Attest: City of Marysville
_____________________________ _____________________________ City Clerk City Manager
_____________________________ _____________________________ Date Date
Attest: City of Wheatland
_____________________________ ______________________________ City Clerk City Manager
_____________________________ ______________________________ Date Date
Attest: City of Yuba City
_____________________________ ______________________________ City Clerk City Manager
_____________________________ ______________________________ Date Date
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1 REGIONAL WASTE MANAGEMENT AUTHORITY
2 AMENDED REGIONAL AGENCY FORMATION AGREEMENT
3 4 THIS AMENDED REGIONAL AGENCY FORMATION AGREEMENT
5 (“Agreement”) is made and entered into with an effective date of November 1, 2021, by 6 and between the COUNTY OF SUTTER and the COUNTY OF YUBA, political 7 subdivisions of the State of California, and the CITY OF LIVE OAK, the CITY OF 8 MARYSVILLE, the CITY OF WHEATLAND, and the CITY OF YUBA CITY, municipal 9 corporations, referred to hereinafter as "Sutter County", "Yuba County", "Live Oak", 10 "Marysville", "Wheatland", and "Yuba City", and which agencies are generally referred to 11 herein as “Party(ies)” or “Member Agency(ies)”.
12 13 RECITALS
14 WHEREAS, the foregoing Parties to this Agreement have the common power to 15 provide waste management services including the storage, collection, recycling and 16 disposal of solid wastes within their respective jurisdictions; and, 17 WHEREAS, the term “Authority” as used herein shall mean and refer to the 18 Regional Waste Management Authority established and created as a separate legal entity 19 by the Parties to this Agreement to provide solid waste services to said Parties pursuant to 20 the terms of that Joint Powers Agreement dated July 1, 1990, as amended July 1, 1994, 21 July 1, 2001 and November 1, 2021; and,
22 WHEREAS, California Public Resources Code (PRC) Section 40970 et seq. allows 23 cities and counties to form REGIONAL AGENCIES to implement PRC Division 30, Part 24 2. Integrated Waste Management Plans, in order to reduce the cost of reporting and tracking 25 of disposal and diversion programs by individual cities and counties and to increase the 26 diversion of solid waste from disposal facilities; and, 204
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1 WHEREAS, the Parties hereto entered into an agreement on May 1, 1995 as 2 amended July 1, 2001 specifically to form a Regional Agency for purposes of combining 3 disposal and diversion quantities for determining compliance with the California Integrated 4 Waste Management Act of 1989; to allow for the efficient operation of diversion programs 5 on a region-wide basis; to develop the Regional Integrated Waste Management Plan 6 including the Source Reduction and Recycling, Household Hazardous Waste, Nondisposal 7 Facility, and Regional Siting Elements and any additional elements or plans that may be 8 required; and, for the Authority, and not Sutter and Yuba Counties to serve as the agency 9 responsible for compiling the disposal information from haulers and facility operators for 10 compliance with PRC Sections 41780 and 41821.5; and, 11 WHEREAS, California Assembly Bill 901 (Gordon, Chapter 746, Statutes of 2015) 12 amended PRC Section 41821.5 modifying the reporting requirements and eliminating the 13 requirement for counties to serve as the agency responsible for compiling the disposal 14 information from haulers and facility operators for determination of compliance with PRC 15 Section 41780; and,
16 WHEREAS, the Parties hereto wish to assign responsibility for any civil penalties 17 incurred pursuant to the California Integrated Waste Management Act of 1989 to the 18 Authority, serving as the Regional Agency; and,
19 WHEREAS, this Regional Agency Formation Agreement being separate from the 20 existing Joint Powers Agreement that established the Regional Waste Management 21 Authority does not supersede or otherwise effect the existing Joint Powers Agreement as 22 it may be amended from time to time that established the Regional Waste Management 23 Authority.
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1 NOW, THEREFORE, in consideration of the mutual promises and agreements 2 herein contained, the Parties hereto agree as follows:
3 1. PURPOSE OF AGREEMENT. This Agreement is made and entered into for 4 the purpose of forming a Regional Agency pursuant to California Public Resources Code 5 Section 40970 et seq., including the unincorporated areas of Sutter and Yuba Counties and 6 the areas embraced within the corporate limits of Live Oak, Marysville, Wheatland and 7 Yuba City. The Regional Agency being established for purposes of combining disposal 8 and diversion quantities for determining compliance with the California Integrated Waste 9 Management Act of 1989; to allow for the efficient operation of diversion programs on a 10 region-wide basis; to prepare, adopt and submit on behalf of the Parties hereto the Regional 11 Integrated Waste Management Plan including the Source Reduction and Recycling, 12 Household Hazardous Waste, Nondisposal Facility, and Regional Siting Elements and any 13 additional elements or plans that may be required including any amendments or revisions 14 thereto; and, to assign responsibility for any civil penalties incurred pursuant to the 15 California Integrated Waste Management Act of 1989 to the Authority, serving as the 16 Regional Agency.
17 2. MUTUAL BENEFIT. The Parties hereby agree that this Agreement is made 18 and entered into for the mutual benefit of all Member Agencies and as such each Party 19 agrees to grant to all other Parties to this Agreement, and the residents and businesses 20 thereof, reasonable access to any existing or future waste facilities located within the 21 collective boundaries of the Member Agencies. No Party to this Agreement may exact any 22 tax, fee, surcharge or other payment from any one or more Parties, or the residents and 23 businesses thereof, to this Agreement that is not required of all Parties or the residents and 24 businesses thereof.
25 3. RELATIONSHIP TO THE REGIONAL WASTE MANAGEMENT
26 AUTHORITY. The existing Regional Waste Management Authority shall also serve as 206
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1 the Regional Agency pursuant to this Agreement. The agency previously established as 2 the Authority including provisions for the Board of Directors, terms of appointment, 3 officers, quorums, voting, and by-laws shall also govern the Regional Agency. The 4 administrative offices for the Authority are currently located at 2100 B Street, Marysville, 5 California, 95901.
6 4. RELATIONSHIP TO THE EXISTING JOINT POWERS AGREEMENT 7 THAT ESTABLISHED THE REGIONAL WASTE MANAGEMENT AUTHORITY. 8 This Agreement is separate from the existing Joint Powers Agreement that established the 9 Regional Waste Management Authority and does not supersede or otherwise affect the 10 existing Joint Powers Agreement that established the Regional Waste Management 11 Authority. Provisions of the existing Joint Powers Agreement that established the Regional 12 Waste Management Authority may support the development and management of programs 13 implemented pursuant to this Agreement.
14 5. PAYMENT OF CIVIL PENALTIES IMPOSED BY THE CALIFORNIA 15 DEPARTMENT OF RESOURCES RECYCLING AND RECOVERY. The Parties hereby 16 agree that the responsibility for any civil penalties incurred pursuant to the California 17 Integrated Waste Management Act of 1989 shall be assigned to the Authority, serving as 18 the Regional Agency. The Parties hereby authorize the Authority to allocate responsibility 19 to the Member Agencies based on relative population of each jurisdiction for the year in 20 which the civil penalties are incurred and based on the Official State Population Estimates 21 for California Cities and Counties published annually by the California Department of 22 Finance, Demographic Research Unit. Each Member Agency shall pay its proportionate 23 share within thirty (30) days of receipt of an invoice from the Authority. 24 6. DUTIES AND RESPONSIBILITIES OF THE AUTHORITY. The Authority 25 will be responsible for preparation, adoption and submittal of the Regional Integrated 26 Waste Management Plan including the Source Reduction and Recycling, Household 207
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1 Hazardous Waste, Nondisposal Facility, and Regional Siting Elements and any additional 2 elements or plans that may be required including any amendments or revisions thereto. 3 7. DUTIES AND RESPONSIBILITIES OF MEMBER AGENCIES. Unless the 4 Member Agencies activate the provisions of the Regional Waste Management Authority 5 Joint Powers Agreement to grant the Regional Waste Management Authority the power 6 and authority to contract for solid waste services, the Member Agencies will be responsible 7 for funding and/or implementing programs recommended for implementation in their 8 jurisdiction as adopted in the Source Reduction and Recycling Element as it may be 9 modified or revised from time to time and for continued support of the Yuba-Sutter 10 Household Hazardous Waste Facility and associated programs as adopted in the Household 11 Hazardous Waste Element.
12 8. CONTINGENCY PLAN FOR MEMBER AGENCIES. In the event that this 13 Regional Agency Formation Agreement is terminated, the individual Member Agencies 14 will assume responsibility for any civil penalties incurred by their jurisdiction. In the event 15 that the Regional Waste Management Authority Joint Powers Agreement is terminated, 16 modified or implemented in such a way as to affect the Authority’s power to require the 17 funding and/or implementation of programs for one or more Member Agencies, the 18 responsibility for program funding and/or implementation will revert to the affected 19 Member Agencies.
20 If this Agreement is terminated, the Member Agencies would continue to cooperate 21 regarding solid waste programs under the existing Joint Powers Agreement that established 22 the Regional Waste Management Authority unless it is also withdrawn. The existing Joint 23 Powers Agreement that established the Regional Waste Management Authority would 24 allow the participating jurisdictions to prepare joint Countywide Integration Waste 25 Management Plans including the Source Reduction and Recycling, Household Hazardous 26 Waste, Nondisposal Facility, and Regional Siting Elements and any additional elements or 27 plans that may be required. At the time of the first five-year revision required for these 208
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1 planning documents following termination of this Agreement, these planning documents 2 would be converted from regional planning documents to joint planning documents in 3 which individual data and programs would have to be identified for each participating 4 jurisdiction.
5 9. DESCRIPTION OF THE SOURCE REDUCTION, RECYCLING AND 6 COMPOSTING PROGRAMS TO BE IMPLEMENTED BY THE REGIONAL 7 AGENCY. The Regional Agency will be responsible for the local adoption process for 8 the Source Reduction and Recycling Element and any other planning elements. The 9 Member Agencies comprising the Regional Agency also have the primary responsibility 10 for funding and/or implementation of the source reduction, recycling and composting 11 programs identified in the Source Reduction and Recycling Element for the Bi-County 12 Region (YUBA and SUTTER COUNTIES and the CITIES of LIVE OAK, MARYSVILLE, 13 WHEATLAND and YUBA CITY), Final Draft, as prepared and submitted June 1992, as it 14 may be modified or revised from time to time. If the Member Agencies activate the 15 provisions of the Regional Waste Management Authority Joint Powers Agreement to grant 16 the Regional Waste Management Authority the power and authority to contract for solid 17 waste services, then the Regional Waste Management Authority will have the primary 18 responsibility for funding and/or implementation of the source reduction, recycling and 19 composting programs.
20 10. APPROVAL OF AGREEMENT BY THE CALIFORNIA DEPARTMENT OF 21 RESOURCES RECYCLING AND RECOVERY. Pursuant to California Public Resources 22 Code Section 40975, any agreement forming a regional agency for purposes of complying 23 with the waste diversion requirements of the California Integrated Waste Management Act 24 of 1989 (commencing with CA PRC Section 41780), is required to be submitted to the 25 California Department of Resources Recycling and Recovery for review and approval. 26 11. EFFECTIVE DATE OF AGREEMENT. The effective date of this amended 209
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1 Agreement shall commence on November 1, 2021, and shall continue until amended or 2 terminated pursuant to the terms contained herein.
3 12. AMENDMENT. This Agreement may be amended or modified at any time, 4 in a manner consistent with and in furtherance of the purposes of this Agreement with the 5 written consent of each of the Member Agencies.
6 13. WITHDRAWAL AND TERMINATION. Any Party may withdraw from this 7 Agreement effective on the termination date of any solid waste service agreement by filing 8 with the Authority a written notice to withdraw no less than two years prior to the 9 termination date of the withdrawing Party’s then current solid waste service agreement. If 10 two or more of the withdrawing Parties include either Sutter County, Yuba County, 11 Marysville or Yuba City, and the effective dates of the withdrawals are within one year 12 and one day of each other, this Agreement will be considered to be terminated on the 13 effective date of such withdrawal. If less than two of the above name Parties to this 14 Agreement are among the withdrawing Parties, then this Agreement will continue in full 15 force and effect. With the written concurrence of no less than four Parties, this Agreement 16 may be terminated on the termination date of any solid waste service agreement provided 17 that written notice is provided no less than two years prior to the termination date of the 18 withdrawing Parties’ then current solid waste service agreements. 19 Following termination or withdrawal from this Agreement, withdrawing Parties 20 shall remain responsible for any debts, liabilities and obligations related to civil penalties 21 imposed by the California Department of Resources Recycling and Recovery and allocated 22 pursuant to this Agreement for the time period that the withdrawing Parties were a Party to 23 this Agreement. Withdrawal from this Agreement does not cause withdrawal from the 24 existing Joint Powers Agreement that established the Regional Waste Management 25 Authority.
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IN WITNESS WHEREOF, the Parties have hereunto set their hands on the dates hereinafter indicated.
Attest: County of Sutter
County Clerk County Administrator
Date Date
Attest: County of Yuba
Clerk of the Board of Supervisors County Administrator
Date Date
Attest: City of Live Oak
City Clerk City Manager
Date Date
Attest: City of Marysville
City Clerk City Manager
Date Date
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Attest: City of Wheatland
City Clerk City Manager
Date Date
Attest: City of Yuba City
City Clerk City Manager
Date Date
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1 Resolution No.
RESOLUTION OF THE CITY COUNCIL OF THE CITY OF LIVE OAK ADOPTING THE PROPOSED FOURTH AMENDED AND
RESTATED REGIONAL WASTE MANAGEMENT AUTHORITY JOINT POWERS AGREEMENT AND AMENDED REGIONAL
AGENCY FORMATION AGREEMENT AND AUTHORIZING THE CITY MANAGER TO EXECUTE THE PROPOSED AMENDED
AGREEMENTS
WHEREAS, the County of Sutter, County of Yuba, City of Live Oak, City of Marysville, City of Wheatland and City of Yuba City entered into a Joint Powers Agreement on July 1, 1990, establishing the Bi-County Integrated Waste Management Authority to jointly address the provision of waste management services including the planning for future provision of said services on a regional basis rather than individually; and, WHEREAS, the Joint Powers Agreement was amended July 1, 1994 to add the City of Gridley and to change the name of the agency to the Regional Waste Management Authority and the Joint Powers Agreement was amended again on July 1, 2001 to delete the City of Gridley as a party to the agreement; and, WHEREAS, the County of Sutter, County of Yuba, City of Live Oak, City of Marysville, City of Wheatland and City of Yuba City also entered into a Regional Agency Formation Agreement on May 1, 1995, as amended July 1, 2001, specifically to form a Regional Agency for purposes of combining disposal and diversion quantities for determining compliance with the California Integrated Waste Management Act of 1989; to allow for the efficient operation of diversion programs on a region-wide basis; to develop regional planning documents; and, to assign responsibility for any civil penalties incurred pursuant to the California Integrated Waste Management Act of 1989 to the Regional Waste Management Authority; and, WHEREAS, Senate Bill 1383 (Lara, 2016), Assembly Bill 1826 (Chesbro, 2014); and Assembly Bill 341 (Chesbro 2011) and the corresponding regulations developed by the California Department of Resources Recycling and Recovery (CalRecycle) established increased requirements for jurisdictions to implement extensive new waste management programs which would be more effectively coordinated, administered and/or implemented as regional programs rather than by individual jurisdictions; and,
WHEREAS, modifications to the Regional Waste Management Authority Joint Powers Agreement and corresponding modifications to the Regional Waste Management Authority Regional Agency Formation Agreement are necessary to provide for said more effective coordinated, administered and/or implemented regional programs.
NOW, THEREFORE, BE IT RESOLVED that the City Manager is authorized to execute the proposed FOURTH
AMENDED AND RESTATED REGIONAL WASTE MANAGEMENT AUTHORITY JOINT POWERS AGREEMENT AND AMENDED REGIONAL AGENCY FORMATION AGREEMENT.
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PASSED AND ADOPTED by the City Council of the City of Live Oak this 5th day of January, 2022, by the following vote:
AYES:
NOES:
ABSENT:
NOT VOTING:
APPROVED:
Nancy Santana, Mayor
ATTEST:
Clarissa Menchaca, City Clerk
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