Oxnard City Council
February 1, 2022

AGREEMENT FOR PROFESSIONAL SERVICES

THIS
AGREEMENT FOR PROFESSIONAL SERVICES (“Agreement”) is entered into in Ventura C ounty, California, on the date that is written as “(1) Agr eement Start Date” on the Cover Page, which is atta ched hereto and incorporated herein by this reference. This Agreement is entered by and between the City of Oxnard (“C ity”) and the person or entity listed as “(2) Consultant” on the Cover Page, subject to the following terms and cond itions:

1. Scope of Services. Consultant shall provide to City the services listed as “(3) Services” on the Cover Page (the “Services”). Consultant shall provide the Services during the term of this Agreement, as set forth below, according to the schedule written as “(4) Schedule of Services” on the Cover Page, and as further expl ained in the Scope of Services Exhibit, which is attached hereto and incorporated herein by this reference. In the event of any conflict between the terms of this Agreement and an y incorporated document(s), the terms of this Agree ment shall control.

2. Standard of Performance. Consultant shall undertake and complete the Services to conclusion using the standard of care, skill and diligence normally prov ided by a professional person in the performance of similar consulting services.

3. Correction of Errors. Consultant shall correct, at its expense, all errors which may be disclosed duri ng review of the Services. Should Consultant fail to make such correction in a reasonably timely manner, such correction shall be made by City, and the cost thereof shall be paid by Consultant.

4. Term. This Agreement shall begin on the date that is written as “(1) Agreement Start Date” on the Cover Page and shall end on the date that is written as “ (5) Agreement Ending Date” on the Cover Page. Time is of the essence in this Agreement.

5. Compensation. For the Services performed during the term of this Agreement, City shall pay Consultant an amount not to exceed the amount that is listed a s “(6) Total Agreement Amount” on the Cover Page, a t the rates listed in Rates and Costs Exhibit, attached hereto and incorporated herein by this reference. The rat es in Rates and Costs Exhibit shall be in effect through the end of this Agreement. Except as otherwise expressly pro vided in this Agreement, City shall not be responsible for expenses incurred by Consultant in performing the Services.

6. Invoices. Consultant shall submit a payment request to City by the end of each calendar month listing the Services provided, costs of those Services, and total amount due for the month. Each invoice must also list the current balance on the Agreement, including that in voice, as well as the months remaining on the term of the Agreement. Invoices may be emailed to: [email protected].

7. Acceptance of Payment. Consultant’s acceptance of f inal payment made pursuant to this Agreement shall constitute a release of City from all claims and liabilities for compensation to Consultant for anything completed, finished or relating to the Services. City’s paymen t shall not constitute nor be deemed a release of t he responsibility and liability of Consultant for the accuracy and competency of the information provided and/or the Services performed hereunder, nor shall such payment be deemed to be a n assumption of responsibility or liability by City for any defect or error in the Services performed by Consultant an d its employees, agents and subcontractors. Consul tant shall provide City with a completed Request for Taxpayer Identification Number and Certification, as issued by the Internal Revenue Service. If any sales tax is due for the S ervices performed by Consultant or materials or pro ducts provided to City by Consultant, Consultant shall pay the sal es tax. City shall not reimburse Consultant for sa les taxes paid by Consultant.

8. Non-Appropriation of Funds. Payments to be made to Consultant by City for the Services performed within the current fiscal year are within the curre nt fiscal budget and within an available, unexhaust ed and unencumbered appropriation of City. In the event C ity does not appropriate sufficient funds for payme nt of the Services beyond the current fiscal year, this Agreement shall cover payment for the Services only up to the conclusion of the last fiscal year in which City appropriated sufficient funds and shall automatically terminate at that fiscal year’s conclusion.

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9. Coordination of Services. The Services shall be coordinated with the person in the position listed in “(7) City’s Project Manager” on the Cover Page, subject to the direction of the City Manager and Department Director.

Consultant hereby designates the person in the posi tion listed in “(8) Consultant’s Project Manager” o n the Cover Page as the person responsible for the Services who shall coordinate with City’s Project Manager in ma king binding decisions in line with this Agreement on behalf of Consultant.

10. Personnel. Consultant represents that it has, or shall secure at its own expense, all personnel requir ed to perform the Services. Any person who performs engin eering services pursuant to this Agreement shall be licensed as a Civil Engineer by the State of California and in good standing. Consultant shall make reasonable efforts to maintain the continuity of Consultant’s staff who are assigned to perform the Services. Consultant may associate with or employ associates or subcontractors in the performance of the Services, but at all times shall Vendor be resp onsible for its associates and subcontractors’ labor, advice or mat erials provided in furtherance of providing the Ser vices. Should any of Consultant’s employees, assigns or subcontractors not conduct him- or herself appropriately, as determined by the City’s Project Manager, in the process of providing the Services or any portion thereof, the City’s Project Manager may notify the Consultant’s Project Manager, who sh all immediately handle the problem, as determined a ppropriate by him or her, such that the problem does not persist.

11. Additional Work. City may request additional specified work under this Agreement. The City’s Project Manager must authorize all such work in writing bef ore commencement. Consultant shall perform such wo rk, and City shall pay for such additional work, in accorda nce with Rates and Costs Exhibit. Should the work n ot fall under any such listed rate or cost, Consultant shall submit a quote for all additional work, which the City’s Project Manager must approve in writing by before any such work may commence. The City shall compensate Consultant for any work that does not fall under a rate or cost listed in the Rates and Costs Exhibit, and for which Consultant did not obtain the City’s Project Manager’s written approval before wo rk commenced, as determined by the City’s Project M anager in his or her sole discretion.

12. Audit. City shall have the option of inspecting, auditing and/or reproducing all records and other written materials used by Consultant in preparing its billi ngs to City as a condition precedent to any payment to Consultant.

Consultant will promptly furnish all documents requ ested by City. Additionally, if this Agreement is i n excess of $10,000, the State Auditor may examine and audit Co nsultant for a period of 3 years after final paymen t under the Agreement. Regardless of whether a State audit is p ermitted, Consultant shall maintain and preserve al l such records for a period of at least 3 years after final payment under the Agreement. Consultant shall include a copy of this Section 12 in all contracts with its subcontractors, and Consultant shall be responsible for immediately obtaining those records or other written material from its subcontractors upon a request by the State Auditor and/or City.

13. Termination. City may terminate this Agreement at any time, with or without cause and without penalty, upon 15 days prior written notice. Such termination shall be effective on the date specified in the notice, or if no date is specified, then 10 calendar days from the date o f delivery or mailing of such notice. Consultant ma y terminate this Agreement at any time, with or without cause and without penalty, upon 30 days prior written notice. Such termination shall be effective on the date specified in the not ice, or if no date is specified, then 10 calendar d ays from the date of delivery or mailing of such notice and only if all assignments accepted by Consultant have been completed before the date of termination. In the event of termination of this Agreement by either party due to no fault or failure of performance by Consultant, City shall pay Consultan t compensation for all Services satisfactorily comp leted in accordance with all of the terms and provisions of this Agreement, as determined by the City, before the effective date of termination; provided, in no event shall the Con sultant receive an amount exceeding that which woul d have been paid to Consultant for the full performance of the Services.

14. Hold Harmless, Defense and Indemnity.

If Consultant provides any architectural, landscap e architectural, engineering or land surveying (“de sign professional”) services, to the maximum extent perm itted by law, Consultant shall hold harmless, defen d, and indemnify City, its legislative and advisory bodies, and the City’s officials, directors, officers, employees, and agents (collectively, “Indemnitees”) from and against any and all claims, demands, causes of action, damages, injuries, liabilities, losses, penalties, fines, judgments, c osts or expenses, including reimbursement of attorn eys’ fees, court costs and costs of alternative dispute resolution, including but not limited to those relating to deat h or injury to any 375
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person and injury to any property (collectively, “C laims”), to the extent that the Claims arise out of , pertain to, or relate to the negligence, recklessness, or willful misconduct of Consultant or of any of its officers, employees, subcontractors or agents in the performance of the Agreement or in the failure to comply with any of t he obligations contained in this Agreement. Consultant’s obligation to defend is a separate and distinct obligation from Consultant’s duty to indemnify and applies through final judgmen t, including exhaustion of any appeals. Consultant shall be obligated to defend Indemnitees in all legal, equit able, administrative, or special proceedings, with counsel approved by the City Attorney, to the extent required herein immediately upon tender to Consultant of the Claim in any form or at any stage of an action or proceeding. The defense obligation includes the obligation to provide independent defense counsel if Consultant asserts that the liability is caused in whole or in part by the negligence or wi llful misconduct of any of the Indemnitees.

If Consultant provides no design professional services, to the maximum extent permitted by law, Consultant shall hold harmless, defend and indemnify the Indemnitees from and against any and all Claims, which arise out of , pertain to, or relate to the performance of this Agreement, or the failure to comply with any of the obligations c ontained in this Agreement, by Consultant or of any of its officials , directors, officers, employees, subcontractors, o r agents.

Consultant’s obligation to defend is a separate and distinct obligation from Consultant’s duty to indemnify and applies through final judgment, including exhaustion of any appeals. Consultant shall be obligated to defend I ndemnitees in all legal, equitable, administrative, or special pr oceedings, with counsel approved by the City Attorn ey, immediately upon tender to Consultant of the Claim in any form or at any stage of an action or proceeding. The defense obligation includes the obligation to provide independent defe nse counsel if Consultant asserts that the liabilit y is caused in whole or in part by the negligence or willful misconduct of any of the Indemnitees.

a. The review, acceptance or approval of Consultant’s work or work product by any of the Indemnitees shall not affect, relieve or reduce Con sultant’s indemnification or defense obligations. This Section 14 shall survive completion of the Services or termination of this Agreement. The provisions of this Section 14 shall not be restricted by and does not affect the provisions of this Agreement relating to insurance.

15. Insurance. Consultant shall obtain and maintain dur ing the performance of any services under this Agreement the insurance coverages listed within the insurance document stated in “(9) Insurance Covera ge” on the Cover Page and in the Insurance Exhibit, which is a ttached hereto and incorporated herein by this refe rence, unless the City’s Risk Manager waives, in writing, the req uirement that Consultant obtain and maintain such i nsurance coverages. Consultant shall, before performance of any Services, file with the City’s Risk Manager evi dence of insurance coverage as specified in “(9) Insurance C overage” on the Cover Page and in the Insurance Exh ibit.

Maintenance of insurance coverages by Consultant is a material element of this Agreement. Consultant’s failure to maintain or renew insurance coverages or to provide renewal evidence, and any lapse in insurance cover age, may be considered a material breach of this Agreement.

16. Documents and Materials.

a. All final computations, exhibits, files, plans, cor respondence, reports, drawings, designs, data, photographs, specifications, information, images, v ideo files, media, or other deliverables prepared, created, drawn, calculated, photographed or developed by Consultant pursuant to this Agreement (“Documents and Materia ls”) shall be the City’s property without restriction or limitation upon its use, duplication or dissemination. A ll Documents and Materials shall be considered “works made for hire, ” and all Documents and Materials and any and all i ntellectual property rights arising from their creation, includ ing, but not limited to, all copyrights and other p roprietary rights, shall be and remain the property of the City withou t restriction or limitation upon their use, duplica tion or dissemination by the City. Consultant shall not obtain or attempt to obtain copyright protection as to any Documents and Materials. Consultant hereby assigns to the Ci ty all ownership and any and all intellectual prope rty rights to the Documents and Materials that are not otherwise vested in the City pursuant to this Section 16.

b. Consultant shall deliver all Documents and Material s to City’s Project Manager upon completion of the Services or termination of this Agreement without additional cost or expense to the City. Additionally, anytime at City’s request, City shall be entitled to possession of, and Consultant shall furnish to City’s Project Manager within 10 calendar days, any or all of the Documents and M aterials without additional cost or expense to the City. In both situations, if Consultant prepares Documents and Ma terials on a computer, Consultant shall provide Cit y with said 376
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Documents and Materials both in a printed format and in an electronic format that is acceptable to the City. Consultant may retain copies of these Documents and Materials but must request permission from the City before use, duplication or dissemination of these Documents and Materials f or any purpose other than for the Services provided to the City pursuant to this Agreement.

c. Any substantive modification of the Documents and M aterials by City staff or any use of the completed Documents and Materials for other City pr ojects, or any use of incomplete Documents and Mate rials, without the written consent of Consultant, shall be at City’s sole risk and without liability or legal exposure to Consultant.

d. Consultant warrants and represents that it has secured all necessary licenses, consents or approvals to use any instrumentality, thing or component as t o which any intellectual property right exists, inc luding computer software, used in the rendering of the Services and the production of all Documents and Materials, and that the City has full legal title to and the right to use, dupli cate or disseminate the Documents and Materials. Co nsultant shall defend, indemnify and hold Indemnitees harmless fro m any loss, claim or liability in any way related t o a claim that City’s use of any of the Documents and Materials is violating federal, state or local laws, any contra ctual provisions, or any laws relating to trade names, licenses, fran chises, copyrights, patents or other means of prote cting intellectual property rights and/or interests in products or inv entions. Consultant shall bear all costs arising f rom the use of patented, copyrighted, trade secret or trademarked documents, materials, equipment, devices or process es in connection with its provision of the services and D ocuments and Materials. In the event the use of an y of the Documents and Materials by the City is held to constitute an infringement and the use of any of the same is enjoined, Consultant, at its own expense, shall: secure for C ity the right to continue using the Documents and M aterials by suspension of any injunction, or by procuring a lic ense or licenses for City; or modify the Documents and Materials so that they become non-infringing while remaining in compliance with the requirements of this Agreeme nt.

e. This Section 16 shall survive the termination of this Agreement.

17. Confidentiality of Information.

a. For the purposes of this Agreement, “Confidentia l Information” means all information, in whatever form transmitted, relating to the past, present or future business affairs of the City, including without limitation, (i) technical information, including patent, copyright, trade sec ret, and other proprietary information, techniques, sketches, drawings, models, inventions, processes, apparatus, equipment, algorithms, software programs, software source documents, and formulas; or (ii) non-technical info rmation, including without limitation finances, fin ancial and accounting data and information, suppliers, custome rs, customer lists, purchasing data and any other i nformation belonging to the City or to a third party whose inf ormation is in the City’s possession or control und er obligations of confidentiality, and which is disclosed to Consulta nt or is developed by Consultant in whole or in par t at the City’s expense.

b. All Documents and Materials shall be considered Confidential Information and shall not be reproduced, transmitted, disclosed or used by the Consultant wi thout the written consent of the City, except as ma y be necessary for Consultant to fulfill its obligations to the City.

c. Notwithstanding the above, these limitations sha ll not apply to information that (i) is already kno wn to Consultant at the time of that information’s disclosure or becomes publicly known through no wrongful act or omission of Consultant, (ii) is communicated to a third part y with the express written consent of City and is n ot subject to restrictions on further use or disclosure, (iii) is independently developed by Consultant and has no r elation to this Agreement, or (iv) is required by law, court order, court-issued subpoena or other legal process to be disclosed; provided, however, that before making such disclosure, Consultant shall immediately provide City with written notice and a reasonable opportunity for City to object to the disclosure or to take action to maintain the confidentiality of the information, unless such prior disclosure is legally impermissible.

d. Consultant shall use reasonable care to protect the Confidential Information. In the event of a bre ach or threatened breach of this Agreement, City shall be entitled to obtain an injunction prohibiting any su ch breach, the costs of which shall be paid by Consultant. Any relief granted shall be in addition to and not in lieu of any other legal or equitable relief, including money damages. The parties acknowledge that Confidential Information is valuable and 377
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unique and that disclosure of the Confidential Information in breach of this Agreement may result in irreparable injury to the City.

e. Other than an obligation upon the City to deal i n good faith, the City makes no warranties and shall bear no liability or responsibility for errors or omissi ons in any Confidential Information disclosed under this Agreement or for any business decisions made by Consultant in reliance on any Confidential Information disclosed under this Agreement.

f. This Section 17 shall survive the termination of this Agreement.

18. Independent Contractor. Consultant is and shall at all times remain, as to City, a wholly independent contractor. Neither City nor any of its employees o r agents shall have control over the conduct of Con sultant or any of its employees, except as stated in this Agreemen t. Consultant has and shall retain the right to exe rcise full control over the employment, direction, means of performance, location, compensation and discharge of all persons assisting Consultant, and it is free to dispose of all portio ns of its time which it is not obligated to devote to City in such a manner and to such persons, firms, or corporations as Consultant wishes except as expressly provided i n this Agreement. This Agreement shall not be interpreted to prevent or preclude Consultant from rendering an y services for Consultant’s own account or to any other person or entity as Consultant in its sole discretion sha ll determine; provided, however, that performing such services sh all not materially interfere with the Services Cons ultant shall perform for the City. Except as City’s Project Mana ger specifies in writing, Consultant and its employ ees and agents have no authority, express or implied, to act on behalf of City in any capacity, to incur any debt, obligation or liability on behalf of City, bind City in any manner, or otherwise act on behalf of City as an agent. Consultant and its employees are not employees of City. Consultant and its emplo yees are not entitled to receive from City any of t he benefits or rights afforded employees of City, including but not limited to reserve leave, sick leave, vacation leave, holiday leave, compensatory leave, Public Employees Retirement Sys tem benefits, and health, life, dental, long-term d isability and workers’ compensation insurance benefits. Consultant shall not, at any time or in any manner, represent that it or any of its agents or employees are in any manner agents or employees of City. Consultant agrees to pay all required taxes on amounts paid to Consultant under this Agreement, and to indemnify and hold City harmless from any and all taxes, assessments, penalties, and interest asserted again st City by reason of the independent contractor rel ationship created by this Agreement. Consultant shall be solely respo nsible for, and shall save City harmless from, all matters relating to the payment of Consultant’s subcontractors, mate rial suppliers, directors, officers, employees, age nts and representatives, including compliance with social s ecurity requirements, federal and State income tax withholding, and all other regulations governing employer-employ ee relations, as applicable. City shall have the ri ght to offset against the amount of any compensation due to Consu ltant under this Agreement any amount due to City f rom Consultant as a result of its failure to promptly p ay to City any reimbursement or indemnification ari sing under this Section 18.

19. Nondiscriminatory Employment. Consultant shall not unlawfully discriminate against any individual based on race, color, religion or religious creed, national origin, ancestry, ethnic group identificat ion, primary language, physical disability, mental disability, medical condition, genetic information, marital status, gender, gender identity, gender expression, sex, sexual orientation, age, immigration status, citizenship or military and veteran status.

Consultant understands and agrees that it is bound by and will comply with all legal nondiscrimination mandates. For every subcontractor who will perform Services, Cons ultant shall be responsible for such subcontractor’ s compliance with this Section 19.

20. Consultant’s Representations. Consultant represents , covenants and guarantees that: a) Consultant is licensed, qualified, and capable of furnishing the labor, materials, and expertise necessary to perfor m the Services in accordance with the terms and conditions set forth in this Agreement; b) there are no obligations, com mitments, or impediments of any kind that will limit or prevent Consultant’s full performance under this Agreement; c) to the extent required by the standard of practice, Consultant has investigated and considered the scope of Services performed, has carefully considered how the Services should be performed, and understands the facilities, difficulties and restrictions attending performance of the Services under this Agreement.

21. Compliance with Laws. In performing the Services under this Agreement, Consultant shall comply with all applicable laws, ordinances and regulations. B efore providing any Services under this Agreement, Consultant 378
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shall, at its own expense, obtain and maintain all required certificates, licenses and permits, including a City business tax certificate.

22. Conflict of Interest. If, in performing the Service s set forth in this Agreement, Consultant makes, or participates in, a “governmental decision” as descr ibed in Title 2, Section 18701(a)(2) of the Califor nia Code of Regulations, or performs the same or substantially all the same duties for City that would otherwise b e performed by a City employee holding a position specified in Cit y's conflict of interest code, Consultant shall be subject to City's conflict of interest code, the requirements of which include the filing of one or more statements of economic interests disclosing the relevant financial interests of Consultant's personnel providing the Services set forth in this Agreement.

Furthermore, Consultant shall not to accept any emp loyment or representation during the term of this A greement or within 12 months after completion of the Services which is or may likely make Consultant “financially interested,” as provided in California Government Code Sections 109 0 and 87100, in any decisions made by City on any m atter in connection with which Consultant has been retained pursuant to this Agreement.

23. Fictitious Name. If Consultant has a fictitious nam e, Consultant shall submit to City a new Fictitious Business Name Statement approved by any California county before Consultant’s prior Fictitious Busines s Name Statement expires if such expiration may occur during the term of this Agreement, including any term a mendment.

24. Non-Assignability. This Agreement contemplates personal performance by Consultant and is based upon a determination of Consultant’s personnel’s unique competence, experience and specialized personal kno wledge.

Consultant shall not assign or transfer any interes t in this Agreement or any part thereof, whether by assignment or novation, without City’s prior written consent, whi ch may be withheld for any reason or for no reason at all. Any purported assignment without written consent shall be null, void, and of no effect, and Consultant shall hold harmless, defend and indemnify Indemnitees from and against a ll Claims arising from or relating to any unauthori zed assignment.

25. Successors and Assigns. This Agreement shall be bin ding upon and inure to the benefit of the heirs, executors, administrators, successors and assigns o f Consultant.

26. Applicable Law; Venue. The validity, interpretation , and performance of this Agreement shall be controlled by and construed under the laws of the S tate of California, excluding California’s choice o f law rules.

Venue for any such action relating to the Agreement shall be in the Ventura County Superior Court.

27. Titles. The titles used in this Agreement are for c onvenience only and shall in no way define, limit o r describe the scope or intent of this Agreement or any part of it.

28. Force Majeure. Neither City nor Consultant shall be responsible for delays or failures in performance resulting from acts beyond the control of either pa rty. Such acts shall include but are not be limite d to acts of God, riots, acts of war, epidemics, fire, earthquakes, or other disasters.

29. Authority. Any person executing this Agreement on b ehalf of Consultant warrants and represents that s/he has the authority to execute this Agreement on behalf of Consultant and to bind it to the perform ance of these obligations.

30. Binding Agreement. The parties do not intend this A greement to be binding upon them and shall not be held liable to its terms until it is fully executed by all required signers.

31. Integration; Amendment. This Agreement, including a ny other documents incorporated herein by specific reference, constitutes the entire and integrated agreement of City and Consultant regarding the subject matter described herein. This Agreement supersedes all pri or oral or written communications, negotiations, re presentations, agreements and promises. This Agreement may not be modified or amended, nor any provision or breach wa ived, except in a writing, signed by both parties, that expressly refers to this Agreement.

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32. Construction. In the event of any asserted ambiguit y in or dispute regarding the interpretation of any matter herein, the interpretation of this Agreement shall not be resolved by any rules of construction providing for interpretation against the party who causes the uncertainty to exist or who drafted the Agreement in whole or in part.

33. No Waiver. Waiver by either party of any one or mor e of the conditions of performance under this Agreement shall not be a waiver of any other condit ion of performance under this Agreement. In no even t shall the making by City of any payment to Consultant constitute or be construed as a waiver by City of any breach of covenant, or any default that may then exist on the part of C onsultant, and the making of any such payment by Ci ty shall in no way impair or prejudice any right or remedy available to City with regard to such breach or default.

34. Attorneys’ Fees. The prevailing party shall be enti tled to recover reasonable costs, attorneys’ fees (including the reasonable value of the services ren dered by the City Attorney’s Office) and expenses, including investigation fees and expert witness fees, in addi tion to any other relief to which that party may be entitled, in any legal action or other proceeding, including an acti on for declaratory relief, for the enforcement of t his Agreement or because of an alleged dispute, breach, default or misrepresentation in connection with this Agreement.

35. Notice. Except as otherwise required by law, a noti ce or communication authorized or required by this Agreement shall be in writing and shall be deemed r eceived—on (a) the day of delivery if delivered by hand or overnight courier service during City’s regular bus iness hours or (b) the third business day following deposit in the United States mail, postage prepaid—to the addresse s listed as “(10) Addresses for Notice” on the Cove r Page or at such other address as one party may notify the other in writing.

36. Counterparts. This Agreement may be executed in one or more counterparts, each of which shall be deemed to be an original and all of which, when tak en together, shall be deemed to be one and the same agreement.

A signed copy of this Agreement transmitted by email to Project Managers’ emails listed in “(11) Contact Emails” on the Cover Page or by other means of electronic transmission shall be deemed to have the same legal effect as delivery of an original executed copy of this Agreement for all purposes.

37. Severability. If any term or portion of this Agreem ent is held to be invalid, illegal, or otherwise unenforceable by a court of competent jurisdiction, the remaining provisions of this Agreement shall c ontinue in full force and effect.

[Signatures on next page]

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IN WITNESS WHEREOF, the parties hereto have executed the Agreement on the date that is written as “(1) Agreement Start Date” on the Cover Page.

CITY OF OXNARD M6 CONSULTING INC.

☒ John C. Zaragoza, Mayor 1 Date Robert P. Woodward, CEO 2 Date ☐ Alexander Nguyen, City Manager
☐ Daniel Willhite, Purchasing Manager
☐ , Buyer
Masoud Mahmoud, Secretary Date

ATTEST:

Rose Chaparro, City Date
Clerk (only if Mayor signs)

APPROVED AS TO FORM:

Stephen M. Fischer, City Date
Attorney (always required)
1 The City Council must authorize and the Mayor must sign any agreement over $200,000 annually. The Cit y Manager may authorize and sign any agreement over $ 100,000 but up to $200,000 annually. The Purchasing Manager may authorize and sign any agreement up to $100,000 annually. A Buyer may authorize and sign a ny agreement up to $25,000 annually.

2 The City requires the following for any contract:
● For a corporation, the signatures of the Board Pres ident, CEO or Vice President and of the Board Secre tary, Assistant Secretary, CFO or Assistant Treasurer;
● For an LLC, the signatures of at least two managers of the LLC; or ● For a partnership, the signature of a partner. If the partnership is a limited partnership, the signer must be a general partner.

If the company has a different structure, or if the above-listed persons are not the appropriate signe rs, please submit to the City Attorney legally-binding documentation stating who can sign and bind your company.

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SCOPE OF SERVICES EXHIBIT

SERVICE GROUP CATEGORY 13 – DEVELOPMENT PLAN CHECK
Tasks include but are not limited to the following:

Building plan check tasks include, but not be limited to:
• plan checking to the current Unified Building Code and other applicable state and local codes including the review of building plans,
• structural calculations,
• grading plans,
• site excavations,
• and/or preparations, erosion control plans,
• National Pollution Discharge Elimination System (NPDES) compliance.

Infrastructure improvement plan check tasks include but not limited to:
• plan checking per applicable local, county, state and Federal codes and standards, review of plans for:
o Streets
o Sewers,
o Storm drains
o Water mains,
o Streetlights,
o Landscaping and irrigation
o Traffic control
o Signing and striping
o Traffic signals
o Roundabouts,
o Hydrology studies
o Sewer area studies
o Construction cost estimates

Final map plan check tasks include but not limited to:
• Parcel, tract, and final map checking,
• Easement and right-of-way documents,
• Lot-line adjustments, and certificates of compliance.

Provide detailed daily updates on the status of all plan checks received and processed to date in a format acceptable to the City.

Key representatives from the firm must attend monthly meetings (or as required) with City of Oxnard staff to evaluate performance of their services.

A maximum review time for initial plan checks of 10 working days inclusive of transit time to and from the City of Oxnard Service Center, located at 214 S C St, Oxnard, CA 93030. Second plan checks shall not require more than 10 working days, inclusive of transit time. Each subsequent plan check, if necessary, shall not require more than 5 working days, inclusive of transit time. 382
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The firm shall not provide consulting services to private sector agencies/developers submitting plans or maps to the City of Oxnard nor engage in activities that could be construed as a conflict of interest with this agreement for professional services.

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RATES AND COSTS EXHIBIT

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INSURANCE EXHIBIT INS-A

INSURANCE REQUIREMENTS FOR CONSULTANTS
(WITH ERRORS AND OMISSIONS REQUIREMENT)

1. Consultant shall obtain and maintain during the performance of any services under this Agreement the following insurance against claims for injuries to persons or damages to property which may arise from or in connection with the performance of services hereunder by Consultant, its agents, representatives, employees or subconsultants.

a. Commercial General Liability Insurance, including C ontractual Liability, in an amount not less than $1 ,000,000 combined single limit for bodily injury and property damage for each claimant for general liability with covera ge equivalent to Insurance Services Office Commercial General Liability Coverage (Occur rence Form CG 0001). If a general aggregate limit is used, that limit shall apply separately to the project or shall be twice the occurrence amount;

b. Business automobile liability insurance in an amoun t not less than $1,000,000 combined single limit fo r bodily injury and property damage for each claimant for automobile li ability with coverage equivalent to Insurance Servi ces Office automobile liability coverage (Occurrence Form CA0001) covering Code No. 1, “any auto;”

c. Professional liability/errors and omissions insuran ce appropriate to Consultant’s profession to a mini mum coverage of $1,000,000, with neither Consultant nor listed subc onsultants having less than $500,000 individually. The professional liability/errors and omissions insurance must be project specific with at least a one year extended reporting period, or lo nger upon request.

d. Workers’ compensation insurance in compliance with the laws of the State of California, and employer’s liability insurance in an amount not less than $1,000,000 per claimant. Additionally, the workers’ compensation policy sh all include a waiver of all rights of subrogation which the insurer may have against the City.

2. Consultant shall, prior to performance of any servi ces, file with the Risk Manager certificates of ins urance with original endorsements effecting coverage required by this Ex hibit INS-A. The certificates and endorsements for each insurance policy are to be signed by a person authorized by that insurer to bi nd coverage on its behalf. The certificates and en dorsements are to be on the attached forms or on other forms approved by the Risk Manage r. All certificates and endorsements are to be rec eived and approved by the Risk Manager before commencement of services. City rese rves the right to require complete certified copies of all required insurance policies at any time. The certificates of insurance and end orsements shall be sent via email (or fax if necess ary) to the Risk Manager, addressed as follows (do not send hard copies):

City of Oxnard
Insurance Compliance
Reference No.

P.O. Box 100085 – OX
Duluth, GA 30096
Via Email:
[email protected]
Via Fax: 678-259-1007

3. Consultant agrees that all insurance coverages shal l be provided by a California admitted insurance ca rrier with an A.M. Best rating of A:VII or better and shall be endorsed to state that coverage may not be suspended, voided, c anceled, or reduced in coverage or limits without 30 days’ prior written notice to the Risk Manager. The Risk Manager shall not approve or accept any endorsement if the endorsement contains “best effort” modifiers or if the insurer is relieved from the responsibility to give such notice.

4. Consultant agrees that the commercial general liabi lity and business automobile liability insurance po licies shall be endorsed to name City, its City Council, officers, employees, a gents and volunteers as additional insureds as resp ects: liability arising out of activities performed by or on behalf of Consultant; products a nd completed operations of Consultant; premises own ed, occupied or used by Consultant; or automobiles owned, leased, hired or borrowed by Consultant. The coverage shall contain no special limitations on the scope of protection afforded to City, its City Council, o fficers, employees, agents and volunteers. The General Liability Special Endorsement Form and Automobile Liability Special Endorsement Form attached to this Exhibit INS-A or substitute forms containing the same information and acceptable to the Risk Manager shal l be used to provide the endorsements (ISO form CG 2010 11/85 or if not available, CG 2010 with an edition date prior to 01 /04 and CG 2037).

5. The coverages provided to City shall be primary and not contributing to or in excess of any existing City insurance or self-insurance coverages ( this must be endorsed) . Additionally, the workers’ compensation policy s hall include a waiver of all rights of subrogation which the insurer may have against the City. Any f ailure to comply with reporting provisions of the p olicies shall not affect coverage provided to City, its City Council, officers, emplo yees and volunteers. The insurance shall apply sep arately to each insured against whom claim is made or suit is brought, except with respect to the limits of the insurer's liability.

6. The insurer shall declare any deductibles or self-i nsured retentions to and be approved by the Risk Ma nager. At the option of the Risk Manager, either the insurer shall reduce or el iminate such deductibles or self-insured retention s as respects City, its City Council, officers, employees and volunteers, or the Consultant shall procure a bond guaranteeing payment of losses and related investigations, claim administration and defense expenses.

386
Agreement No. A-8418

7. All insurance standards applicable to Consultant sh all also be applicable to Consultant's subconsultan ts. Consultant agrees to maintain appropriate agreements with subconsultants and to provide proper evidence of coverage upon receipt of a written request from the Risk Manager.

12/21
387
Agreement No. A-8418

INSTRUCTION FOR SUBMITTING INSURANCE CERTIFICATES AND ENDORSEMENT FORMS

Certificates of Insurance

The sample accord form on the following page is provided to facilitate your preparation and submission of certificates of insurance.

You may use this or any industry form that shows coverage as broad as that shown on the attached sample. Please note the certificate holder address must be as shown on the attached sample acco rd form with the contract number and insurance exhibit identification information completed. Improperly addressed certificates may delay the contract start-up date because the City’s practice is to return unidentifiable insurance certificates to the insured for clarification as to the contract number. Cancellation provisions must be endorsed to the policy. Modifying the certificate does not change coverage or obligate the carrier to provide notice of cancellation.

Endorsement Forms

Original endorsements are required for commercial general liability and business automobile liability insurance policies and must be attached to the applicable certificate of insurance. City preference is that the Consultant/insurer use the endorsement forms wh ich are attached. Substitute forms will be accepted, however, as long as they include provisions comparable to the sample accord form.

INS-A.doc

388
Agreement No. A-8418

ACORD CERTIFICATE OF INSURANCE ISSUE DATE (MM/DD/YY)

PRODUCER

THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE HOLDER. THIS CERTIFICATE DOES NOT AMEND, EXTEND OR ALTER THE COVERAGE AFFORDED BY THE POLICIES BELOW. CODE SUB -CODE COMPANIES AFFORDING INSURANCE COVERAGE

INSURED

COMPANY

LETTER A SPECIFY COMPANY NAMES IN THIS SPACE

COMPANY LETTER B

COVERAGES

THIS IS TO CERTIFY THAT THE POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICY

PERIOD INDICATED, NOTWITHSTANDING ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THIS CERTIFICATE MAY BE ISSUED OR MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS, EXCLUSIONS AND CONDITIONS OF SUCH POLICIES. LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS.

CO

LTR TYPE OF INSURANCE
POLICY
NUMBER
POLICY

EFFECTIVE
DATE
(MM/DD/YY)
POLICY

EXPIRATION
DATE
(MM/DD/YY) LIMITS

A

GENERAL LIABILITY
[x] COMMERCIAL GENERAL
LIABILITY [ ] CLAIMS
MADE [x] OCCUR.
[x] OWNER'S &
CONTRACTOR'S PROT.

GENERAL AGGREGATE $1,000,000
PRODUCTS COMP/OP AGG . $1,000,000
PERSONAL & ADV. INJURY $1,000,000
EACH OCCURRENCE $1,000,000
FIRE DAMAGE (Any one fire) $
MED. EXPENSE (Any one person) $

A

AUTOMOBILE LIABILITY
[x] ANY AUTO

ALL OWNED AUTOS

SCHEDULED AUTOS

HIRED AUTOS

NON-OWNED AUTOS

GARAGE LIABILITY

COMBINED SINGLE $1,000,000
LIMIT
BODILY INJURY $
(Per person)
BODILY INJURY $
(Per accident)
PROPERTY DAMAGE $

A

EXCESS LIABILITY

UMBRELLA FORM

OTHER THAN UMBRELLA
FORM

EACH OCCURRENCE $

AGGREGATE $

A

WORKERS'

COMPENSATION
AND

EMPLOYERS' LIABILITY

STATUTORY LIMITS
EACH ACCIDENT $1,000,000
DISEASE-POLICY LIMIT $1,000,000
DISEASE-EACH EMPLOYEE $1,000,000

A
OTHER
Errors and omissions insurance or malpractice insurance available for the insured's profession

Minimum coverage $1,000,000
Each consultant/ $500,000
& listed sub -consultant

DESCRIPTION OF OPERATIONS/LOCATIONS/VEHICLES/RESTRICTIONS/SPECIAL ITEMS

CERTIFICATE HOLDER

CITY OF OXNARD
Attn: Insurance Compliance
Reference No._______
P.O. Box 100085 – OX
Duluth, GA 30096
Via Email:
[email protected]
Via Fax: 678 -259 -1007

CANCELLATION

SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELED BEFORE THE EXPIRATION DATE THEREOF, THE ISSUING COMPANY WILL ENDEAVOR TO MAIL 30

DAYS WRITTEN NOTICE TO THE CERTIFICATE HOLDER NAMED TO THE LEFT, BUT

FAILURE TO MAIL SUCH NOTICE SHALL IMPOSE NO OBLIGATION OR LIABILITY OF ANY KIND UPON THE COMPANY, ITS AGENTS OR REPRESENTATIVES.

AUTHORIZED REPRESENTATIVE

Rev. 12/21 INS-A.doc

389
Agreement No. A-8418

GENERAL LIABILITY SPECIAL ENDORSEMENT
FOR THE CITY OF OXNARD (the “City”)

SUBMIT IN DUPLICATE
ENDORSEMENT NO.

ISSUE DATE (MM/DD/YY)
PRODUCER POLICY INFORMATION:

Insurance Company:

Policy No.:

Policy Period: (from) (to)
LOSS ADJUSTMENT EXPENSE  Included in Limits
 In Addition to Limits
Telephone:  Deductible  Self-Insured Retention (check which) of $ with an Aggregate of $ applies to
coverage.  Per Occurrence  Per Claim (which) NAMED INSURED

APPLICABILITY. This insurance pertains to the oper ations, products and/or tenancy of the named insured under all written agreements and permits in force with the City unless checked here  in which case only the following specific agreements and per mits with the City are covered

CITY AGREEMENTS/PERMITS

TYPE OF INSURANCE

GENERAL LIABILITY
 COMMERCIAL GENERAL LIABILITY
 COMPREHENSIVE GENERAL LIABILITY
 OWNERS & CONTRACTORS PROTECTIVE

 Claims Made
Retroactive Date
 Occurrence

OTHER PROVISIONS

COVERAGES
LIABILITY LIMITS IN THOUSANDS $

EACH OCCURRENCE AGGREGATE
 GENERAL
 PRODUCTS/COMPLETED OPERATIONS
 PERSONAL & ADVERTISING INJURY
 FIRE DAMAGE


CLAIMS: Underwriter’s representative for claims pursuant to this insurance.

Name:

Address:

Telephone: ( )
In consideration of the premium charged and notwithstanding any inconsistent statement in the policy to which this endorsement is attached or any endorsement now or hereafter attached thereto, insurance company agrees as follows:

1. INSURED. The City, its officers, agents, employees and vol unteers are included as insureds with regard to lia bility and defense of suits ar ising from the operations, products and
activities performed by or on behalf of the named i nsured.

2. CONTRIBUTION NOT REQUIRED. As respects: (a) work performed by the named insu red for or on behalf of the City; or (b) products s old by the named insured to t he City; or (c) premises leased by the named insured from the City, the insurance afforded by this policy shall be primary insurance as respe cts the City, its officers, agents, employees or volunteers; or stand in an unbroken chain of coverage excess of th e named insured’s scheduled underlying primary cove rage. In either event, any other insurance maintai ned by the City, its of ficers, agents, employees or volunteers shall be in excess of this insurance and shall not contribute with it.

3. SEVERABILITY OF INTEREST. This insurance applies separately to each insured against whom claim is made or suit is brought exce pt with respect to the co mpany’s limits of liability. The inclusion of any person or organiza tion as an insured shall not affect any right which such person or organization would have as a claima nt if not so included.

4. CANCELLATION NOTICE. With respect to the interests of the City, this i nsurance shall not be canceled, or materially reduc ed in coverage or limits except after thirty (30) days prior written notice by receipted delivery has been given to the City.

5. PROVISIONS REGARDING THE INSURED’S DUTIES. Any failure to comply with reporting provisions of the policy or breaches or violations of warranties shall not affect covera ge provided to the City, its officers, agents, employe es or volunteers.

6. SCOPE OF COVERAGE. This policy, if primary, affords coverage at leas t as broad as:
a. Insurance Services Office Commercial General Lia bility Coverage, “occurrence” form CG0001; or b. If excess, affords coverage which is at least as broad as the primary insurance form CG0001.

Except as stated above nothing herein shall be held to waive, alter or extend any of the limits, condi tions, agreements or exclusions of the policy to wh ich this endorsement is attached.

ENDORSEMENT HOLDER

CITY OF OXNARD
Attn: Insurance Compliance
Reference No._______
P.O. Box 100085 – OX
Duluth, GA 30096
Via Email:
[email protected]
Via Fax: 678-259-1007

AUTHORIZED REPRESENTATIVE
 Broker/Agent  Underwriter 

I
(print/type name), warrant that I have authority to bind the above-mentioned insurance company and by my signature her eon do so bind this company to this endorsement.

Signature
(original signature required)
Telephone: ( ) Date Signed:

Rev. 12/21 INS-A.doc
390
Agreement No. A-8418

AUTOMOBILE LIABILITY SPECIAL ENDORSEMENT
FOR THE CITY OF OXNARD (the “City”)

SUBMIT IN DUPLICATE
ENDORSEMENT NO.

ISSUE DATE (MM/DD/YY)
PRODUCER POLICY INFORMATION:

Insurance Company:

Policy No.:

Policy Period: (from) (to)
LOSS ADJUSTMENT EXPENSE  Included in Limits
 In Addition to Limits
Telephone:  Deductible  Self-Insured Retention (check which) of $ with an Aggregate of $ applies to
coverage.  Per Occurrence  Per Claim (which) NAMED INSURED APPLICABILITY . This insurance pertains to the operations, produ cts and/or tenancy of the named insured under all written agreements and perm its in force with the City unless checked here  in which case only the following specific agreemen ts and permits with the City are covered:

CITY AGREEMENTS/PERMITS

TYPE OF INSURANCE OTHER PROVISIONS
 COMMERCIAL AUTO POLICY
 BUSINESS AUTO POLICY
 OTHER

LIMIT OF LIABILITY
CLAIMS: Underwriter’s representative for claims pursuant to this insurance.

Name:

Address:

Telephone: ( )

$ per accident, for bodily injury and propert y damage.

In consideration of the premium charged and notwith standing any inconsistent statement in the policy t o which this endorsement is attached or any endorsement now or hereafter
attached thereto, insurance company agrees as follo ws:

1. INSURED. The City, its officers, agents, volunteers and employees are included as insureds with regard to liability and defense of suits arising from t he operations, products and
activities performed by or on behalf of the named i nsured.

2. CONTRIBUTION NOT REQUIRED. As respects: (a) work performed by the named insu red for or on behalf of the City; or (b) products s old by the named insured to the City; or (c) premises leased by the named insured from the C ity, the insurance afforded by this policy shall be primary insurance as r espects the City, its officers, agents, employees o r volunteers; or stand in an unbroken chain of covera ge excess of the named insu red’s scheduled underlying primary coverage. In ei ther event, any other insurance maintained by the City, its officers, agents, employees or volunteers shall be in excess of this insurance and shall not contribute with it.

3. SEVERABILITY OF INTEREST. This insurance applies separately to each insured against whom claim is made or suit is brought exce pt with respect to the company ’s limits of liability. The inclusion of any person or organiza tion as an insured shall not affect any right which such person or organization would have as a claima nt if not so included.

4. CANCELLATION NOTICE. With respect to the interests of the City, this i nsurance shall not be canceled, or materially reduc ed in coverage or limits except after thirty (30) days prior written notice by receipted delivery has been given to the City.

5. PROVISIONS REGARDING THE INSURED’S DUTIES. Any failure to comply with reporting provisions of the policy or breaches or violations of warranties shall not affect coverage provided to the City, its officers, agents , employees or volunteers.

6. SCOPE OF COVERAGE. This policy, if primary, affords coverage at leas t as broad as:
a. Insurance Services Office Automobile Liability C overage, “occurrence” form CA0001, code ("any auto" ); or b. If excess, affords coverage which is at least as broad as the primary insurance form referenced in the preceding section (1).

Except as stated above nothing herein shall be held to waive, alter or extend any of the limits, conditions, agreements or exclusions of the policy to which this endorsement is attached.

ENDORSEMENT HOLDER

CITY OF OXNARD
Attn: Insurance Compliance
Reference No._______
P.O. Box 100085 – OX
Duluth, GA 30096
Via Email:
[email protected]
Via Fax: 678-259-1007

AUTHORIZED REPRESENTATIVE
 Broker/Agent  Underwriter 

I
(print/type name), warrant that I have authority to bind the above-mentioned insurance company and by my signature her eon do so bind this company to this endorsement.

Signature
(original signature required)
Telephone: ( ) Date Signed
Rev. 12/21 INS-A.doc

391

CITY COUNCIL AGENDA REPORT

INFORMATION/CONSENT AGENDA
AGENDA ITEM NO. I.7

DATE: February 1, 2022

TO: City Council

FROM: Michael Wolfe, Public Works Director, (805) 385-8055, [email protected]

SUBJECT: First Amendment with Various Consultants for Wastewater and Recycled Water Treatment Process Support.

RECOMMENDATION

That the City Council approve and authorize the Mayor to execute a First Amendment to the following wastewater and recycled water treatment process support consultant services:

1. Agreement A-8283 with Dudek in the amount of $300,000 for a new not to exceed amount of $400,000;

2. Agreement A-8285 with GHD, Inc., in the amount of $300,000 for a new not to exceed amount of $400,000;

3. Agreement A-8287 with Kennedy/Jenks Consultants, Inc., in the amount of $300,000 for a new not to exceed amount of $475,000; and

4. Agreement A-8289 with Carollo Engineers, Inc., in the amount of $300,000 for a new not to exceed amount of $475,000.
(Public Works and Transportation Committee approved 3-0)

BACKGROUND

The City of Oxnard Wastewater Treatment Plant (OWTP) is a secondary treatment plant located at 6001 Perkins Road that has a designed capacity of 31.7 million gallons per day. The treatment process consists of preliminary screening, primary treatment, secondary treatment, chlorination, dechlorination, and ocean discharge.

The Advanced Water Purification Facility (AWPF) located at 5700 Perkins Road treats OWTP secondary effluent to produce up to 6.25 million gallons per day of highly purified recycled water. The AWPF utilizes microfiltration, reverse osmosis, and advanced oxidation treatment to produce a recycled water product.

The OWTP and AWPF require regulatory and technical expertise related to permit compliance and operational issues.

Regulatory and operational issues are often time sensitive and require quick responses to ensure overall permit compliance and effective operations. Having on-call agreements has created a mechanism to respond quickly and efficiently to these issues as they arise.

DISCUSSION

On February 16, 2021 and March 16, 2021, City Council approved the following four (4) agreements for on-call wastewater and recycled water process support through February 17, 2024.

Agreement Consultant Current Not To Exceed Amount Amendment Amount A-8283 Dudek $100,000 $300,000
392
A-8285 GHD, Inc. $100,000 $300,000
A-8287 Kennedy/Jenks Consultants, Inc. $175,000 $300,000 A-8589 Carollo Engineers, Inc. $175,000 $300,000
The Wastewater Division has since issued several task orders related to process support and regulatory compliance which include:

1. Wastewater Treatment Plant Flow Meter Evaluation

2. Structural Evaluation of Thickener

3. Spill Prevention Control and Countermeasure Plan Update

4. Backup Generator Transfer Switch

5. Chemically Enhanced Primary Treatment (CEPT) Optimization

6. Utility Mapping Services

7. Maintenance Building Planning Study

8. Development of Site Specific Limits for Industrial Users Staff recommends approving amendments to these existing agreements because results of the task orders have been instrumental in the optimization, reliability, and regulatory compliance of the treatment plant. An increase in the agreement amounts would allow for additional studies, evaluations, and technical guidance. The previously agreed upon rates provide the best overall value to the City and will remain constant through this amendment.

STRATEGIC PRIORITIES

This agenda item supports the Infrastructure and Natural Resources strategy. The purpose of the Infrastructure and Natural Resources strategy is to preserve and improve our roads, utilities, parks, trees, water supply and natural resources through effective planning, prioritization, and an equitable and efficient use of available funding.

FINANCIAL IMPACT

The total amount of each agreement shall not exceed the amounts noted above through the term of February 17, 2024.

Funding will be charged to a given project or funding source dependent upon the services performed by task orders. The respective Department/Project Manager will ensure sufficient funding is available in the approved operating budget for related tasks prior to initiating task order or services performed. Task orders will continue to be funded with available appropriations from Wastewater Funds 611 and 621 and Water Operating Fund 601 (Recycled Water).

COMMITTEE OUTCOME

The Public Works and Transportation Committee approved 3-0 on January 11, 2022 to approve the staff recommendation and to forward the item for Council approval.

Prepared by: Jan Hauser, Wastewater Division Manager

ATTACHMENTS

1. A1 Carollo A-8289

2. A1 KJ A-8287

3. A1 GHD - A-8285

4. A1 Dudek A-8283

5. Original Agmt A-8289 Carollo Engineers

6. Original Agmt A-8287 KJ

7. Original Agmt A-8285 GHD Inc

8. Original Agmt A-8283 Dudek
393

FIRST AMENDMENT TO PROFESSIONAL SERVICES AGREEMENT (V-01-17-19) Agreement No. A-8289

FIRST AMENDMENT TO PROFESSIONAL SERVICES AGREEMENT

This First Amendment (“First Amendment”) to the Professional Services Agreement (“Agreement”) is made and entered into in the County of Ventura, State of California, this ______ day of __________, 20___, by and between the City of Oxnard, a municipal corporation (“City”), and Carollo Engineers, Inc. (“Consultant”). This First Amendment amends the Agreement entered into on March 16, 2021, by City and Consultant.

City and Consultant agree as follows:

1. In Section 6 of the Cover Page of the Agreement, the selected answer is hereby amended to state: “Total Agreement Amount: $475,000.”

2. As so amended, the Agreement remains in full force and effect.

[Signatures on next page]

394
Agreement No. A-8289

FIRST AMENDMENT TO PROFESSIONAL SERVICES AGREEMENT (V-01-17-19)

IN WITNESS WHEREOF, the parties hereto have executed the Amendment on the date first written above.

CITY OF OXNARD CAROLLO ENGINEERS, INC.

John C. Zaragoza, Mayor1 Date Lydia Holmes, Vice President2 Date Alexander Nguyen, City Manager
Daniel Willhite, Purchasing Manager
___________, Buyer
Eric M. Mills, Sr. Vice President Date
ATTEST:

Rose Chaparro, City Clerk Date
(only if Mayor signs)

APPROVED AS TO FORM:

Stephen M. Fischer, City Date
Attorney (always required)

1 The City Council must authorize and the Mayor must sign the amendment if the original contract and all amendments collectively total over $200,000 annually. The City Manager may authorize and sign the amendment if the original contract and all amendments collectively total over $100,000 but up to $200 ,000 annually. The Purchasing Manager may authorize and sign the amendment if the original contract and all amendments collectively total up to $100,000 annually. A Buyer may authorize and sign the amendment if the original contract and all amendments collectively total up to $25,000 annually.

2 The City requires the following for any contract:
• For a corporation, the signatures of the Board President, CEO or Vice President and of the Board Secretary, Assistant Secretary, CFO or Assistant Treasurer;
• For an LLC, the signatures of at least two managers of the LLC (company directors, not lower-level managers); or • For a partnership, the signature of a partner. If the partnership is a limited partnership, the signer must be a general partner.

If the company has a different structure, or if the above-listed persons are not the appropriate signers, please submit to the City Attorney legally-binding documentation stating who can sign and bind your company.

December 21, 2021
395
396
397
FIRS
T AMENDMENT TO PROFESSIONAL SERVICES AGREEMENT (V-01-17-19) Agreement No. A-8285
FI

RST AMENDMENT TO PROFESSIONAL SERVICES AGREEMENT
This
First Amendment (“First Amendment”) to the Professional Services Agreement (“Agreement”) is made and entered into in the County of Ventura, State of California, this ______ day of __________, 20___, by and between the City of Oxnard, a municipal corporation (“City”), and GHD Inc. (“Consultant”). This First Amendment amends the Agreement entered into on February 16, 2021, by City and Consultant.

Cit
y and Consultant agree as follows:

1. In Sec
tion 6 of the Cover Page of the Agreement, the selected answer is hereby amended to state: “Total Agreement Amount: $400,000.”

2. As s
o amended, the Agreement remains in full force and effect. [Si
gnatures on next page]
398
Agreement No. A-8285
FIRST AMENDMENT TO PROFESSIONAL SERVICES AGREEMENT (V-01-17-19)

IN WITNE
SS WHEREOF, the parties hereto have executed the Amendment on the date first written above.

CITY OF
OXNARD GHD INC.

John C. Zaragoza, Mayor1 Date Mark Donovan, Vice President2 Date Alexander Nguyen, City Manager
Daniel Willhite, Purchasing Manager
___________, Buyer
Mike Moran, Treasurer Date
ATTEST:

Rose Chaparro, City Clerk Date
(only if Mayor signs)

APPROVE
D AS TO FORM:

Stephen M. Fischer, City Date
Attorney (always required)
1 The City Council must authorize and the Mayor must sign the amendment if the ori ginal contract and all amendments collectively total over $200,000 annually. The City Manager may authorize and sign the amendment if the original contract and all amendments collectively total over $100,000 but up to $200 ,000 annually. The Purchasing Manager may authorize and sign the amendment if the original contract and all amendments collectively total up to $100,000 annually. A Buyer may authorize and sign the amendment if the original contract and all amendments collectively total up to $25,000 annually.

2 The City requires the following for any contract:
• For a corporation, the signatures of the Board President, CEO or Vice President and of the Board Secretary, Assistant Secretary, CFO or Assistant Treasurer;
• For an LLC, the signatures of at least two managers of the LLC (company directors, not lower-level managers); or • For a partnership, the signature of a partner. If the partnership is a limited partnership, the signer must be a general partner.

If the company has a different structure, or if the above-listed persons are not the appropriate signers, please submit to the City Attorney legally-binding documentation stating who can sign and bind your company. 12/16/2021
20 December 2021
399

FIRST AMENDMENT TO PROFESSIONAL SERVICES AGREEMENT (V-01-17-19) Agreement No. A-8283

FIRST AMENDMENT TO PROFESSIONAL SERVICES AGREEMENT

This First Amendment (“First Amendment”) to the Professional Services Agreement (“Agreement”) is made and entered into in the County of Ventura, State of California, this ______ day of __________, 20___, by and between the City of Oxnard, a municipal corporation (“City”), and Dudek (“Consultant”). This First Amendment amends the Agreement entered into on March 16, 2021, by City and Consultant.

City and Consultant agree as follows:

1. In Section 6 of the Cover Page of the Agreement, the selected answer is hereby amended to state: “Total Agreement Amount: $400,000.”

2. As so amended, the Agreement remains in full force and effect.

[Signatures on next page]

DocuSign Envelope ID: 834075DC-E765-4DB2-9B9E-792D4D02F29C 400
Agreement No. A-8283

FIRST AMENDMENT TO PROFESSIONAL SERVICES AGREEMENT (V-01-17-19)

IN WITNESS WHEREOF, the parties hereto have executed the Amendment on the date first written above.

CITY OF OXNARD DUDEK

John C. Zaragoza, Mayor1 Date Joe Monaco, President and CEO2 Date Alexander Nguyen, City Manager
Daniel Willhite, Purchasing Manager
___________, Buyer
Bob Ohlund, Vice President Date
ATTEST:

Rose Chaparro, City Clerk Date
(only if Mayor signs)

APPROVED AS TO FORM:

Stephen M. Fischer, City Date
Attorney (always required)

1 The City Council must authorize and the Mayor must sign the amendment if the ori ginal contract and all amendments collectively total over $200,000 annually. The City Manager may authorize and sign the amendment if the original contract and all amendments collectively total over $100,000 but up to $200 ,000 annually. The Purchasing Manager may authorize and sign the amendment if the original contract and all amendments collectively total up to $100,000 annually. A Buyer may authorize and sign the amendment if the original contract and all amendments collectively total up to $25,000 annually.

2 The City requires the following for any contract:
• For a corporation, the signatures of the Board President, CEO or Vice President and of the Board Secretary, Assistant Secretary, CFO or Assistant Treasurer;
• For an LLC, the signatures of at least two managers of the LLC (company directors, not lower-level managers); or • For a partnership, the signature of a partner. If the partnership is a limited partnership, the signer must be a general partner.

If the company has a different structure, or if the above-listed persons are not the appropriate signers, please submit to the City Attorney legally-binding documentation stating who can sign and bind your company.

DocuSign Envelope ID: 834075DC-E765-4DB2-9B9E-792D4D02F29C 12/16/2021 | 8:14:44 AM PST
12/16/2021 | 5:27:48 PM PST
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CITY COUNCIL AGENDA REPORT

PUBLIC HEARINGS
AGENDA ITEM NO. J.1

DATE: February 1, 2022

TO: City Council

FROM: Stephen Fischer, City Attorney, (805) 385-7483, [email protected]

SUBJECT: Public Hearing Regarding Redistricting of City Council Districts (15/30/30)

RECOMMENDATION

That the City Council conduct a public hearing regarding the redistricting process for City Council districts and receive a presentation from the City’s redistricting consultant regarding the maps that have been submitted. (This item did not originate in Committee.)
Because the presentation will be made by a consultant, the presentation was not prerecorded pursuant to Measure M.

BACKGROUND

Every ten years, cities with by-district elections are required to use new census data to review and redraw district lines to reflect population changes. This process, called redistricting, ensures that all districts within a city have nearly an equal number of people residing within each district.

Although the City recently went through the districting process in 2018, the Council districts that were created reflected the population totals from the 2010 census. Under state law, public entities with elections in November 2022 have until April 17, 2022 in which to adopt district maps that reflect the changes in population indicated in the 2020 census (as modified by the State of California to reflect the original residency of persons incarcerated in California’s prisons).

The City’s redistricting process is a standalone process that is not connected to the redistricting that occurred at a state level (including for the Congressional, Assembly, and state Senate districts) or at the County level (for the Supervisorial districts). The City’s process only addresses any necessary rebalancing of the Council district boundaries that will now occur once a decade after the U.S. Census is released.

Under recently adopted state laws (AB 849 and AB 1276), when the City Council goes through the redistricting process, the Council is required to draw and adopt boundaries using the following criteria in the listed order of priority:

1. Substantially equal in population for each of the districts.

2. Complies with the U.S. Constitution, the California Constitution and the federal Voting Rights Act.

3. Geographically contiguous.

4. Minimize the division of local neighborhoods and local communities of interest. (The law defines a “community of interest” as a population that shares common social or economic interests.)

5. Create district boundaries that residents can easily identify and understand. (These would include natural or 473
artificial barriers, streets or the boundaries of the city.)

6. Districts that are compact in size.

7. District boundaries that are not adopted to favor or discriminate against a political party. (Elections Code Section 21601.)

Once the prioritized criteria are met, other traditional districting principles can be considered, such as:

1. Minimize the number of voters delayed from voting from 2022 to 2024;

2. Respect voters’ choices/continuity in office; and

3. Future population growth.

As part of the redistricting process, the City is required to hold at least four public hearings or workshops, with at least one of these public hearings or workshops held before any of the new district maps are drawn. At least one hearing must occur on a Saturday, Sunday, or after 6 p.m. on a weekday. If a redistricting hearing is held as part of a regular City Council meeting, the redistricting hearing portion must begin at a designated time. In addition, local public redistricting hearings are required to be made accessible to people with disabilities.

The City Council previously held public hearings on redistricting on July 29, 2021, September 30, 2021, December 6, 2021, January 6, 2022 and January 22, 2022. After tonight’s public hearing, one additional redistricting public hearing has been scheduled. The date of the final public hearings is as follows:

Public Hearing #7: Wednesday, February 16, 2022.

The City has publicized the redistricting process and public hearings in a variety of ways, including ongoing social media outreach starting July 20, 2021 that continues to date; placing online ads that have directly connected with nearly 20,000 Oxnard residents; broadcasting mapping information on local public access channels; publishing upcoming public hearings in local publications; and continuing advertising and outreach for upcoming public hearings.

ANALYSIS

Tonight’s public hearing will address the City’s redistricting process and will include a presentation from the City’s redistricting consultant regarding the maps that have been submitted to the City.

As of the date that this agenda report was prepared (January 17, 2022), a total of four maps have been submitted to the City by members of the public. These maps are included as attachments at the end of this agenda report. In addition, you may review these maps at the following online links:

Public Map 1 -- https://www.oxnard.org/wp-content/uploads/2021/07/Map-1-Daniel-Chavez.pdf and https://davesredistricting.org/maps#viewmap::842ad238-1be2-4586-b400-9ca2f70bf2c8.

Public Map 2 -- https://www.oxnard.org/wp-content/uploads/2021/12/Map-2-Ronald-Arruejo-Map-and-Statistics.pdf and https://davesredistricting.org/maps#viewmap::de8027b2-377c-4f6a-804c-d7fa4deeac78.

Public Map 3 -- https://www.oxnard.org/wp-content/uploads/2021/12/Teran-map.pdf and https://davesredistricting.org/maps#viewmap::0bf6023a-c828-4bfb-9788-ec756a2c3b3c.

Public Map 4 -- https://www.oxnard.org/wp-content/uploads/2022/01/PUBLIC-MAP-4_-submitted-by-Daniel- Chavez-Jr_-Jan-6.pdf and https://davesredistricting.org/maps#viewmap::795d2a72-d20d-420d-8ba8-594d68513953.

The City’s demographer also prepared three maps for the City Council’s consideration. These maps are also included as attachments at the end of this agenda report. You can review these maps at the following online links:

NDC 201 -- https://www.oxnard.org/wp-content/uploads/2022/01/NDC-201.pdf.

474
NDC 202 -- https://www.oxnard.org/wp-content/uploads/2022/01/NDC-202.pdf.

NDC 203 -- https://www.oxnard.org/wp-content/uploads/2022/01/NDC-203.pdf.

If additional maps are submitted prior to the February 1, 2022 public hearing, then these maps will be uploaded to the City’s website at: https://www.oxnard.org/maps-submitted/. If adequate time is available for the redistricting consultant to review the additional maps, the consultant will also provide an analysis of these maps at the February 1, 2022 public hearing.

The deadline for the public to submit maps is Monday, February 7, 2022 at 5 p.m.

STRATEGIC PRIORITIES

This agenda item does not relate to the five strategic priorities adopted by City Council on March 16, 2021.

FINANCIAL IMPACT

There is no financial impact.

COMMITTEE OUTCOME

This item did not originate in Committee.

Prepared by: Kenneth Rozell, Chief Assistant City Attorney, Jason Zaragoza, Deputy City Attorney

ATTACHMENTS

1. Public Map 1

2. Public Map 2

3. Public Map 3

4. Public Map 4

5. NDC Map 201

6. NDC Map 202

7. NDC Map 203

8. Memo to City Council re Redistricting Feb 1 Council Meeting 475
34 101
1 1
232
N Oxnard Blvd
6 4
2 5
3 1
�2021 CALIPER
476
Public 1
District 1
Total Pop 34,116
Deviation from ideal 347
% Deviation 1.03%
% Hisp 57.9%
% NH White 29%
% NH Black 3%
% Asian-American 7%
Total 24,075
% Hisp 44%
% NH White 42%
% NH Black 4%
% Asian/Pac.Isl. 8%
Total 20,408
% Latino est. 47%
% Spanish-Surnamed 43%
% Asian-Surnamed 2%
% Filipino-Surnamed 2%
% NH White est. 48%
% NH Black 4%
Total 16,495
% Latino est. 44%
% Spanish-Surnamed 40%
% Asian-Surnamed 2%
% Filipino-Surnamed 2%
% NH White est. 51%
% NH Black 3%
Total 11,335
% Latino est. 38%
% Spanish-Surnamed 35%
% Asian-Surnamed 2%
% Filipino-Surnamed 2%
% NH White est. 56%
% NH Black est. 4%
ACS Pop. Est. Total 35,448
age0-19 24%
age20-60 54%
age60plus 22%
immigrants 25%
naturalized 55%
english 51%
spanish 42%
asian-lang 5%
other lang 1%
Language Fluency Speaks Eng. "Less than Very Well" 19%
hs-grad 47%
bachelor 18%
graduatedegree 10%
Child in Household child-under18 34%
Pct of Pop. Age 16+ employed 67%
income 0-25k 8%
income 25-50k 16%
income 50-75k 20%
income 75-200k 47%
income 200k-plus 9%
single family 78%
multi-family 22%
rented 40%
owned 60%
Total population data from the 2020 Decennial Census.

Surname-based Voter Registration and Turnout data from the California Statewide Database.

Latino voter registration and turnout data are Spanish-surname counts adjusted using Census Population Department undercount estimates. NH White and NH Black registration and turnout counts estimated by NDC. Citizen Voting Age Pop., Age, Immigration, and other demographics from the 2015-2019 American Community Survey and Special Tabulation 5-year data. 2 34,235
466

1.38%
64%
21%
4%
10%
21,688
54%
28%
5%
11%
17,744
54%
49%
3%
3%
38%
6%
14,246
51%
47%
3%
3%
40%
6%
9,147
45%
42%
3%
2%
45%
7%
34,552
28%
58%
15%
25%
54%
49%
43%
5%
2%
20%
46%
19%
8%
43%
71%
11%
17%
16%
46%
9%
62%
38%
48%
52%
3 33,775
6 0.02%
76%
8%
2%
12%
18,107
68%
14%
3%
14%
15,813
74%
69%
3%
5%
18%
3%
11,726
73%
67%
3%
5%
19%
4%
7,375
72%
67%
2%
4%
20%
3%
34,567
31%
57%
11%
33%
44%
31%
59%
6%
4%
30%
44%
14%
4%
54%
70%
11%
17%
13%
51%
8%
78%
22%
42%
58%
4 33,410
-359
-1.06%
84%
9%
2%
3%
15,967
73%
18%
3%
4%
13,255
75%
70%
1%
2%
20%
4%
9,565
73%
68%
1%
2%
22%
4%
6,058
68%
64%
1%
1%
24%
5%
32,733
32%
54%
14%
39%
35%
28%
69%
3%
1%
35%
48%
9%
3%
45%
66%
18%
27%
20%
33%
2%
62%
38%
63%
37%
5 33,240
-529
-1.57%
77%
6%
2%
13%
17,706
63%
13%
5%
19%
14,088
74%
68%
2%
6%
18%
5%
10,176
72%
66%
2%
7%
19%
5%
6,326
68%
63%
2%
7%
22%
5%
36,272
32%
55%
14%
42%
42%
22%
65%
10%
3%
37%
44%
10%
2%
52%
67%
12%
23%
22%
40%
3%
78%
22%
41%
59%
6 33,838
69 0.20%
89%
5%
1%
4%
13,998
77%
12%
4%
6%
12,131
84%
77%
1%
2%
14%
2%
8,344
82%
76%
1%
2%
15%
2%
5,165
78%
73%
1%
2%
18%
2%
34,187
34%
54%
12%
43%
31%
22%
72%
2%
4%
40%
40%
8%
2%
57%
67%
17%
27%
19%
34%
3%
73%
27%
47%
53%
Total
202,614
995

2.95%
75%
13%
2%
8%
111,541
61%
23%
4%
11%
93,439
66%
61%
2%
3%
28%
4%
70,552
63%
58%
2%
3%
30%
4%
45,406
58%
54%
2%
3%
34%
4%
207,758
30%
55%
15%
34%
42%
34%
58%
5%
3%
30%
45%
13%
5%
46%
68%
12%
21%
18%
42%
6%
72%
28%
47%
53%
01/03/2022 1:14 Page 1 of 1
Total Pop
Citizen Voting Age Pop
Voter Registration
(Nov 2020)
Voter Turnout
(Nov 2020)
Voter Turnout
(Nov 2018)
Age
Immigration
Language spoken at home
Education
(among those age 25+)
Household Income
Housing Stats
477
34 101
1 1
232
N Oxnard Blvd
6 4
5 1
3 2
�2021 CALIPER
478
Public 2
District 1
Total Pop 32,254
Deviation from ideal -1,515
% Deviation -4.49%
% Hisp 64.1%
% NH White 20%
% NH Black 4%
% Asian-American 9%
Total 20,106
% Hisp 54%
% NH White 28%
% NH Black 5%
% Asian/Pac.Isl. 11%
Total 16,255
% Latino est. 54%
% Spanish-Surnamed 49%
% Asian-Surnamed 3%
% Filipino-Surnamed 3%
% NH White est. 38%
% NH Black 5%
Total 12,972
% Latino est. 52%
% Spanish-Surnamed 47%
% Asian-Surnamed 3%
% Filipino-Surnamed 3%
% NH White est. 40%
% NH Black 6%
Total 8,253
% Latino est. 46%
% Spanish-Surnamed 42%
% Asian-Surnamed 3%
% Filipino-Surnamed 2%
% NH White est. 45%
% NH Black est. 6%
ACS Pop. Est. Total 32,323
age0-19 28%
age20-60 58%
age60plus 14%
immigrants 25%
naturalized 53%
english 48%
spanish 44%
asian-lang 6%
other lang 2%
Language Fluency Speaks Eng. "Less than Very Well" 20%
hs-grad 46%
bachelor 19%
graduatedegree 8%
Child in Household child-under18 43%
Pct of Pop. Age 16+ employed 71%
income 0-25k 12%
income 25-50k 17%
income 50-75k 17%
income 75-200k 45%
income 200k-plus 9%
single family 60%
multi-family 40%
rented 49%
owned 51%
Total population data from the 2020 Decennial Census.

Surname-based Voter Registration and Turnout data from the California Statewide Database.

Latino voter registration and turnout data are Spanish-surname counts adjusted using Census Population Department undercount estimates. NH White and NH Black registration and turnout counts estimated by NDC. Citizen Voting Age Pop., Age, Immigration, and other demographics from the 2015-2019 American Community Survey and Special Tabulation 5-year data. 2 35,331
1,562

4.63%
60%
28%
3%
7%
23,929
45%
44%
3%
7%
20,344
47%
44%
2%
2%
48%
3%
16,503
44%
40%
2%
2%
51%
3%
11,305
38%
35%
2%
2%
56%
3%
36,518
25%
54%
20%
24%
50%
52%
42%
4%
1%
19%
46%
19%
10%
34%
66%
11%
18%
19%
43%
9%
73%
27%
47%
53%
3 33,175
-594
-1.76%
77%
8%
2%
11%
17,955
68%
14%
3%
14%
15,619
74%
69%
3%
5%
18%
3%
11,585
72%
67%
3%
5%
19%
4%
7,297
72%
67%
2%
4%
20%
4%
34,134
31%
57%
11%
33%
44%
31%
59%
6%
4%
30%
44%
14%
4%
54%
70%
11%
17%
13%
51%
8%
78%
22%
42%
58%
4 34,356
587

1.74%
87%
5%
2%
4%
14,650
78%
8%
5%
9%
12,553
83%
77%
1%
3%
11%
4%
8,766
82%
76%
1%
3%
12%
5%
5,451
78%
74%
1%
3%
13%
5%
32,617
33%
54%
13%
45%
37%
20%
73%
5%
3%
40%
48%
6%
2%
52%
65%
17%
25%
21%
34%
3%
70%
30%
51%
49%
5 34,254
485

1.44%
79%
6%
2%
12%
17,902
65%
13%
4%
17%
14,407
76%
69%
1%
6%
18%
4%
10,322
73%
67%
2%
6%
20%
4%
6,488
69%
64%
2%
6%
23%
4%
37,291
31%
54%
14%
42%
40%
22%
67%
9%
2%
38%
42%
10%
2%
51%
67%
13%
25%
22%
38%
3%
80%
20%
41%
59%
6 33,244
-525
-1.55%
81%
10%
2%
5%
17,000
66%
21%
5%
6%
14,261
72%
66%
1%
2%
24%
4%
10,404
69%
63%
1%
2%
26%
4%
6,612
63%
59%
1%
2%
30%
5%
34,876
31%
54%
15%
37%
34%
29%
66%
3%
2%
35%
45%
9%
3%
51%
69%
12%
23%
19%
42%
4%
72%
28%
50%
50%
Total
202,614
3,077

9.11%
75%
13%
2%
8%
111,541
61%
23%
4%
11%
93,439
66%
61%
2%
3%
28%
4%
70,552
63%
58%
2%
3%
30%
4%
45,406
58%
54%
2%
3%
34%
4%
207,758
30%
55%
15%
34%
42%
34%
58%
5%
3%
30%
45%
13%
5%
46%
68%
12%
21%
18%
42%
6%
72%
28%
47%
53%
01/03/2022 1:05 Page 1 of 1
Total Pop
Citizen Voting Age Pop
Voter Registration
(Nov 2020)
Voter Turnout
(Nov 2020)
Voter Turnout
(Nov 2018)
Age
Immigration
Language spoken at home
Education
(among those age 25+)
Household Income
Housing Stats
479
34 101
1 1
232
N Oxnard Blvd
5 2
4 6
3 1
�2021 CALIPER
480
Public 3
District 1
Total Pop 33,143
Deviation from ideal -626
% Deviation -1.85%
% Hisp 48.6%
% NH White 35%
% NH Black 3%
% Asian-American 10%
Total 25,549
% Hisp 39%
% NH White 44%
% NH Black 5%
% Asian/Pac.Isl. 10%
Total 21,707
% Latino est. 40%
% Spanish-Surnamed 37%
% Asian-Surnamed 3%
% Filipino-Surnamed 3%
% NH White est. 52%
% NH Black 5%
Total 18,226
% Latino est. 38%
% Spanish-Surnamed 35%
% Asian-Surnamed 3%
% Filipino-Surnamed 2%
% NH White est. 54%
% NH Black 5%
Total 12,848
% Latino est. 33%
% Spanish-Surnamed 30%
% Asian-Surnamed 2%
% Filipino-Surnamed 2%
% NH White est. 59%
% NH Black est. 5%
ACS Pop. Est. Total 34,362
age0-19 22%
age20-60 53%
age60plus 25%
immigrants 21%
naturalized 66%
english 61%
spanish 31%
asian-lang 6%
other lang 2%
Language Fluency Speaks Eng. "Less than Very Well" 13%
hs-grad 45%
bachelor 21%
graduatedegree 13%
Child in Household child-under18 30%
Pct of Pop. Age 16+ employed 65%
income 0-25k 9%
income 25-50k 14%
income 50-75k 18%
income 75-200k 47%
income 200k-plus 12%
single family 78%
multi-family 22%
rented 37%
owned 63%
Total population data from the 2020 Decennial Census.

Surname-based Voter Registration and Turnout data from the California Statewide Database.

Latino voter registration and turnout data are Spanish-surname counts adjusted using Census Population Department undercount estimates. NH White and NH Black registration and turnout counts estimated by NDC. Citizen Voting Age Pop., Age, Immigration, and other demographics from the 2015-2019 American Community Survey and Special Tabulation 5-year data. 2 33,594
-175
-0.52%
70%
17%
4%
7%
19,728
60%
27%
4%
8%
15,804
61%
56%
2%
2%
34%
4%
12,175
58%
53%
2%
2%
36%
4%
7,482
52%
49%
2%
2%
41%
4%
33,591
30%
58%
11%
27%
47%
45%
50%
4%
1%
22%
49%
18%
6%
46%
72%
11%
20%
18%
45%
5%
56%
44%
57%
43%
3 34,267
498

1.47%
78%
8%
2%
11%
18,386
68%
14%
3%
14%
15,881
74%
69%
3%
5%
18%
3%
11,757
72%
67%
3%
5%
19%
4%
7,387
72%
67%
2%
4%
20%
4%
35,148
31%
57%
12%
33%
44%
32%
58%
6%
4%
30%
44%
14%
4%
54%
70%
11%
18%
13%
50%
7%
78%
22%
43%
57%
4 33,765
-4
-0.01%
87%
7%
2%
3%
14,088
78%
12%
4%
6%
12,138
81%
75%
1%
2%
14%
4%
8,466
79%
73%
1%
2%
15%
4%
5,185
75%
71%
1%
2%
17%
5%
32,029
34%
53%
13%
43%
35%
22%
72%
4%
2%
40%
45%
6%
2%
48%
65%
22%
28%
20%
29%
2%
64%
36%
60%
40%
5 33,891
122

0.36%
80%
6%
1%
11%
18,096
66%
12%
4%
17%
14,385
76%
70%
1%
6%
18%
4%
10,387
74%
67%
1%
6%
20%
4%
6,568
70%
64%
1%
6%
23%
4%
36,847
31%
55%
14%
43%
42%
22%
67%
8%
3%
38%
43%
10%
2%
50%
67%
11%
23%
23%
40%
3%
80%
20%
39%
61%
6 33,954
185

0.55%
85%
6%
2%
5%
15,694
70%
16%
6%
7%
13,524
79%
73%
1%
3%
16%
4%
9,541
77%
71%
1%
3%
18%
4%
5,936
73%
68%
1%
3%
21%
4%
35,781
33%
54%
13%
40%
31%
23%
71%
4%
2%
38%
43%
8%
2%
58%
69%
13%
24%
18%
41%
4%
75%
25%
47%
53%
Total
202,614
1,124

3.33%
75%
13%
2%
8%
111,541
61%
23%
4%
11%
93,439
66%
61%
2%
3%
28%
4%
70,552
63%
58%
2%
3%
30%
4%
45,406
58%
54%
2%
3%
34%
4%
207,758
30%
55%
15%
34%
42%
34%
58%
5%
3%
30%
45%
13%
5%
46%
68%
12%
21%
18%
42%
6%
72%
28%
47%
53%
01/03/2022 1:19 Page 1 of 1
Total Pop
Citizen Voting Age Pop
Voter Registration
(Nov 2020)
Voter Turnout
(Nov 2020)
Voter Turnout
(Nov 2018)
Age
Immigration
Language spoken at home
Education
(among those age 25+)
Household Income
Housing Stats
481
482
34 101
1 1
232
N Oxnard Blvd
4 2
5 6
3 1
�2021 CALIPER
483
NDC 201
District 1
Total Pop 34,313
Deviation from ideal 544
% Deviation 1.61%
% Hisp 49.4%
% NH White 35%
% NH Black 4%
% Asian-American 10%
Total 26,120
% Hisp 39%
% NH White 44%
% NH Black 5%
% Asian/Pac.Isl. 10%
Total 22,118
% Latino est. 40%
% Spanish-Surnamed 37%
% Asian-Surnamed 3%
% Filipino-Surnamed 3%
% NH White est. 52%
% NH Black 5%
Total 18,542
% Latino est. 38%
% Spanish-Surnamed 35%
% Asian-Surnamed 3%
% Filipino-Surnamed 2%
% NH White est. 54%
% NH Black 5%
Total 12,886
% Latino est. 33%
% Spanish-Surnamed 31%
% Asian-Surnamed 2%
% Filipino-Surnamed 2%
% NH White est. 58%
% NH Black est. 5%
ACS Pop. Est. Total 35,490
age0-19 22%
age20-60 53%
age60plus 24%
immigrants 21%
naturalized 66%
english 60%
spanish 32%
asian-lang 6%
other lang 2%
Language Fluency Speaks Eng. "Less than Very Well" 13%
hs-grad 46%
bachelor 21%
graduatedegree 13%
Child in Household child-under18 31%
Pct of Pop. Age 16+ employed 65%
income 0-25k 9%
income 25-50k 14%
income 50-75k 18%
income 75-200k 47%
income 200k-plus 12%
single family 78%
multi-family 22%
rented 37%
owned 63%
Total population data from the 2020 Decennial Census.

Surname-based Voter Registration and Turnout data from the California Statewide Database.

Latino voter registration and turnout data are Spanish-surname counts adjusted using Census Population Department undercount estimates. NH White and NH Black registration and turnout counts estimated by NDC. Citizen Voting Age Pop., Age, Immigration, and other demographics from the 2015-2019 American Community Survey and Special Tabulation 5-year data. 2 32,396
-1,373
-4.07%
70%
17%
4%
7%
19,143
60%
27%
4%
8%
15,393
61%
56%
2%
2%
34%
4%
11,859
58%
53%
2%
2%
36%
4%
7,444
52%
49%
2%
2%
41%
4%
32,429
30%
58%
11%
27%
46%
45%
50%
4%
1%
22%
49%
18%
6%
45%
72%
11%
20%
18%
45%
5%
55%
45%
58%
42%
3 34,840
1,071

3.17%
78%
8%
2%
11%
18,527
68%
14%
3%
13%
16,041
74%
69%
3%
5%
18%
3%
11,868
73%
67%
3%
5%
19%
4%
7,458
72%
67%
2%
4%
20%
4%
35,610
31%
57%
11%
33%
44%
31%
59%
6%
4%
30%
44%
14%
4%
54%
70%
11%
18%
13%
50%
7%
78%
22%
43%
57%
4 35,120
1,351

4.00%
86%
7%
2%
2%
16,008
74%
15%
5%
5%
13,831
78%
72%
1%
2%
17%
4%
9,850
76%
70%
1%
2%
18%
5%
6,114
71%
67%
1%
2%
21%
5%
33,758
31%
54%
15%
42%
35%
23%
73%
4%
1%
39%
48%
7%
2%
48%
67%
17%
25%
21%
34%
2%
68%
32%
57%
43%
5 33,552
-217
-0.64%
77%
7%
2%
14%
17,707
63%
13%
5%
19%
14,189
75%
68%
2%
6%
18%
5%
10,245
72%
66%
2%
7%
19%
5%
6,356
68%
63%
2%
6%
22%
5%
36,259
31%
55%
14%
42%
41%
22%
65%
10%
3%
37%
44%
10%
2%
52%
67%
12%
23%
21%
40%
3%
79%
21%
40%
60%
6 32,393
-1,376
-4.07%
89%
5%
1%
4%
14,036
77%
12%
4%
6%
11,867
84%
77%
1%
3%
14%
2%
8,188
82%
76%
1%
3%
16%
2%
5,148
78%
73%
1%
2%
18%
2%
34,212
34%
54%
12%
42%
31%
22%
72%
3%
4%
41%
40%
8%
2%
57%
67%
17%
27%
19%
34%
3%
72%
28%
48%
52%
Total
202,614
2,727

8.08%
75%
13%
2%
8%
111,541
61%
23%
4%
11%
93,439
66%
61%
2%
3%
28%
4%
70,552
63%
58%
2%
3%
30%
4%
45,406
58%
54%
2%
3%
34%
4%
207,758
30%
55%
15%
34%
42%
34%
58%
5%
3%
30%
45%
13%
5%
46%
68%
12%
21%
18%
42%
6%
72%
28%
47%
53%
01/03/2022 1:38 Page 1 of 1
Total Pop
Citizen Voting Age Pop
Voter Registration
(Nov 2020)
Voter Turnout
(Nov 2020)
Voter Turnout
(Nov 2018)
Age
Immigration
Language spoken at home
Education
(among those age 25+)
Household Income
Housing Stats
484
5 4
2 6
3 1
34 101
1 1
232
N Oxnard Blvd
�2021 CALIPER
485
NDC 202
District 1
Total Pop 34,532
Deviation from ideal 763
% Deviation 2.26%
% Hisp 47.1%
% NH White 36%
% NH Black 4%
% Asian-American 11%
Total 25,616
% Hisp 37%
% NH White 46%
% NH Black 4%
% Asian/Pac.Isl. 11%
Total 21,568
% Latino est. 38%
% Spanish-Surnamed 35%
% Asian-Surnamed 3%
% Filipino-Surnamed 3%
% NH White est. 54%
% NH Black 5%
Total 18,167
% Latino est. 36%
% Spanish-Surnamed 33%
% Asian-Surnamed 3%
% Filipino-Surnamed 3%
% NH White est. 56%
% NH Black 5%
Total 12,458
% Latino est. 30%
% Spanish-Surnamed 28%
% Asian-Surnamed 3%
% Filipino-Surnamed 2%
% NH White est. 61%
% NH Black est. 5%
ACS Pop. Est. Total 35,699
age0-19 23%
age20-60 56%
age60plus 21%
immigrants 20%
naturalized 65%
english 61%
spanish 31%
asian-lang 6%
other lang 2%
Language Fluency Speaks Eng. "Less than Very Well" 14%
hs-grad 45%
bachelor 22%
graduatedegree 13%
Child in Household child-under18 33%
Pct of Pop. Age 16+ employed 68%
income 0-25k 9%
income 25-50k 14%
income 50-75k 17%
income 75-200k 47%
income 200k-plus 13%
single family 71%
multi-family 29%
rented 41%
owned 59%
Total population data from the 2020 Decennial Census.

Surname-based Voter Registration and Turnout data from the California Statewide Database.

Latino voter registration and turnout data are Spanish-surname counts adjusted using Census Population Department undercount estimates. NH White and NH Black registration and turnout counts estimated by NDC. Citizen Voting Age Pop., Age, Immigration, and other demographics from the 2015-2019 American Community Survey and Special Tabulation 5-year data. 2 35,182
1,413

4.18%
76%
12%
3%
7%
20,976
67%
20%
3%
10%
16,930
69%
63%
2%
3%
27%
3%
12,851
67%
61%
2%
3%
29%
4%
8,172
62%
57%
2%
2%
33%
4%
36,369
32%
57%
12%
29%
46%
41%
53%
5%
1%
24%
51%
15%
6%
48%
70%
11%
20%
18%
45%
5%
65%
35%
52%
48%
3 34,016
247

0.73%
78%
7%
2%
11%
15,934
66%
15%
4%
14%
14,326
75%
69%
3%
5%
16%
4%
10,451
73%
68%
3%
5%
17%
4%
6,390
72%
68%
2%
4%
18%
4%
32,406
31%
58%
12%
37%
39%
28%
61%
6%
5%
33%
42%
13%
3%
53%
70%
12%
20%
14%
48%
6%
76%
24%
45%
55%
4 34,303
534

1.58%
81%
11%
3%
3%
17,885
69%
19%
6%
4%
15,159
72%
66%
1%
2%
22%
5%
11,109
69%
64%
1%
2%
24%
5%
7,124
65%
61%
1%
2%
27%
6%
34,054
29%
53%
18%
38%
39%
28%
68%
3%
1%
34%
48%
8%
3%
43%
66%
16%
25%
20%
37%
3%
71%
29%
55%
45%
5 32,188
-1,581
-4.68%
78%
6%
2%
13%
17,094
64%
13%
4%
18%
13,589
75%
68%
2%
6%
18%
4%
9,786
72%
66%
2%
7%
19%
4%
6,114
69%
63%
2%
6%
22%
5%
35,019
31%
55%
14%
42%
42%
22%
65%
10%
3%
37%
44%
10%
2%
51%
67%
12%
23%
22%
40%
3%
79%
21%
40%
60%
6 32,393
-1,376
-4.07%
89%
5%
1%
4%
14,036
77%
12%
4%
6%
11,867
84%
77%
1%
3%
14%
2%
8,188
82%
76%
1%
3%
16%
2%
5,148
78%
73%
1%
2%
18%
2%
34,212
34%
54%
12%
42%
31%
22%
72%
3%
4%
41%
40%
8%
2%
57%
67%
17%
27%
19%
34%
3%
72%
28%
48%
52%
Total
202,614
2,994

8.87%
75%
13%
2%
8%
111,541
61%
23%
4%
11%
93,439
66%
61%
2%
3%
28%
4%
70,552
63%
58%
2%
3%
30%
4%
45,406
58%
54%
2%
3%
34%
4%
207,758
30%
55%
15%
34%
42%
34%
58%
5%
3%
30%
45%
13%
5%
46%
68%
12%
21%
18%
42%
6%
72%
28%
47%
53%
01/03/2022 2:06 Page 1 of 1
Total Pop
Citizen Voting Age Pop
Voter Registration
(Nov 2020)
Voter Turnout
(Nov 2020)
Voter Turnout
(Nov 2018)
Age
Immigration
Language spoken at home
Education
(among those age 25+)
Household Income
Housing Stats
486
34 101
1 1
232
N Oxnard Blvd
6 2
4 5
3 1
�2021 CALIPER
487
NDC 203
District 1
Total Pop 34,313
Deviation from ideal 544
% Deviation 1.61%
% Hisp 49.4%
% NH White 35%
% NH Black 4%
% Asian-American 10%
Total 26,120
% Hisp 39%
% NH White 44%
% NH Black 5%
% Asian/Pac.Isl. 10%
Total 22,118
% Latino est. 40%
% Spanish-Surnamed 37%
% Asian-Surnamed 3%
% Filipino-Surnamed 3%
% NH White est. 52%
% NH Black 5%
Total 18,542
% Latino est. 38%
% Spanish-Surnamed 35%
% Asian-Surnamed 3%
% Filipino-Surnamed 2%
% NH White est. 54%
% NH Black 5%
Total 12,886
% Latino est. 33%
% Spanish-Surnamed 31%
% Asian-Surnamed 2%
% Filipino-Surnamed 2%
% NH White est. 58%
% NH Black est. 5%
ACS Pop. Est. Total 35,490
age0-19 22%
age20-60 53%
age60plus 24%
immigrants 21%
naturalized 66%
english 60%
spanish 32%
asian-lang 6%
other lang 2%
Language Fluency Speaks Eng. "Less than Very Well" 13%
hs-grad 46%
bachelor 21%
graduatedegree 13%
Child in Household child-under18 31%
Pct of Pop. Age 16+ employed 65%
income 0-25k 9%
income 25-50k 14%
income 50-75k 18%
income 75-200k 47%
income 200k-plus 12%
single family 78%
multi-family 22%
rented 37%
owned 63%
Total population data from the 2020 Decennial Census.

Surname-based Voter Registration and Turnout data from the California Statewide Database.

Latino voter registration and turnout data are Spanish-surname counts adjusted using Census Population Department undercount estimates. NH White and NH Black registration and turnout counts estimated by NDC. Citizen Voting Age Pop., Age, Immigration, and other demographics from the 2015-2019 American Community Survey and Special Tabulation 5-year data. 2 34,463
694

2.06%
70%
17%
3%
7%
20,264
60%
27%
3%
7%
16,371
61%
56%
2%
2%
34%
4%
12,603
58%
54%
2%
2%
36%
4%
7,980
53%
49%
2%
2%
41%
4%
34,572
30%
58%
12%
27%
45%
44%
51%
4%
1%
23%
48%
17%
6%
44%
72%
13%
21%
18%
43%
5%
55%
45%
59%
41%
3 34,840
1,071

3.17%
78%
8%
2%
11%
18,527
68%
14%
3%
13%
16,041
74%
69%
3%
5%
18%
3%
11,868
73%
67%
3%
5%
19%
4%
7,458
72%
67%
2%
4%
20%
4%
35,610
31%
57%
11%
33%
44%
31%
59%
6%
4%
30%
44%
14%
4%
54%
70%
11%
18%
13%
50%
7%
78%
22%
43%
57%
4 33,759
-10
-0.03%
86%
7%
2%
3%
15,063
75%
13%
5%
6%
13,088
79%
73%
1%
2%
15%
5%
9,276
77%
72%
1%
2%
17%
5%
5,665
73%
68%
1%
2%
19%
5%
32,105
31%
54%
14%
42%
35%
22%
73%
4%
1%
39%
48%
7%
2%
49%
67%
16%
25%
21%
36%
2%
69%
31%
55%
45%
5 32,846
-923
-2.73%
77%
6%
2%
13%
17,531
63%
13%
5%
19%
13,955
75%
68%
2%
6%
18%
5%
10,076
72%
66%
2%
7%
19%
5%
6,269
68%
63%
2%
7%
22%
5%
35,768
32%
55%
14%
42%
42%
22%
65%
10%
3%
37%
44%
10%
2%
52%
67%
12%
23%
21%
40%
3%
79%
21%
40%
60%
6 32,393
-1,376
-4.07%
89%
5%
1%
4%
14,036
77%
12%
4%
6%
11,866
84%
77%
1%
3%
14%
2%
8,187
82%
76%
1%
3%
16%
2%
5,148
78%
73%
1%
2%
18%
2%
34,212
34%
54%
12%
42%
31%
22%
72%
3%
4%
41%
40%
8%
2%
57%
67%
17%
27%
19%
34%
3%
72%
28%
48%
52%
Total
202,614
2,447

7.25%
75%
13%
2%
8%
111,541
61%
23%
4%
11%
93,439
66%
61%
2%
3%
28%
4%
70,552
63%
58%
2%
3%
30%
4%
45,406
58%
54%
2%
3%
34%
4%
207,758
30%
55%
15%
34%
42%
34%
58%
5%
3%
30%
45%
13%
5%
46%
68%
12%
21%
18%
42%
6%
72%
28%
47%
53%
01/03/2022 2:04 Page 1 of 1
Total Pop
Citizen Voting Age Pop
Voter Registration
(Nov 2020)
Voter Turnout
(Nov 2020)
Voter Turnout
(Nov 2018)
Age
Immigration
Language spoken at home
Education
(among those age 25+)
Household Income
Housing Stats
488

MEMO

January 26, 2022

TO: Honorable Mayor and Members of the City Council

FROM: Kenneth Rozell, Chief Assistant City Attorney
Jason Zaragoza, Deputy City Attorney II

SUBJECT: Redistricting Update

In consultation with City’s demographer, City staff is providing this update to the redistricting staff report of February 1, 2022.1 At this time, there are 11 maps for the City Council to consider. To help with the upcoming redistricting discussion, we are providing the following information on each map.

1. All of the submitted maps meet the deviation requirements of 10 percent or less.  Public Map 1
 Public Map 2
 Public Map 3
 Public Map 4
 Public Map 5
 Public Map 6
 Public Map 7
 Public Map 82
 NDC Map 201
 NDC Map 202
 NDC Map 203

2. The following maps make the least amount of changes to the existing district boundaries while still readjusting the districts to ensure a deviation between districts of less than 10 percent.
 NDC Map 201
 NDC Map 203

1 The February 1, 2022 City Council agenda was posted on January 20, 2022. 2 Public Map 8 was originally submitted on January 23, 2022. It was revised on January 24, 2022. Once the City’s demographer analyzes the map, the PDF will be updated to include the neighborhood map overlay.

KR
JZ
489
Honorable Mayor and Members of the City Council
January 26, 2022

3. The following maps would unite each of the inhabited neighborhoods within the City within a single District.
 Public Map 43
 Public Map 6
 Public Map 7

4. This list provides the number of inhabited neighborhoods (if any) that would be divided by each of the proposed maps [i.e., analyzing each map for the number of neighborhoods divided].
 Public Map 1 [Divides 4 neighborhoods: Cabrillo, Five Points Northeast, Pacific Avenue, Bartollo Square North, plus a minor division of Blackstock South]  Public Map 2 [Divides 1 neighborhood: Lemonwood]
 Public Map 3 [Divides 6 neighborhoods: Cypress, Blackstock North, Bryce Canyon North, Southbank, La Colonia, Lemonwood]
 Public Map 4 [Divides 0 neighborhoods]4
 Public Map 5 [Divides 5 neighborhoods: Southwinds, Marina West, Hobson Park East, Kamala, Oxnard Dunes]
 Public Map 6 [Divides 0 neighborhoods]
 Public Map 7 [Divides 0 neighborhoods]
 Public Map 85
 NDC Map 201 [Divides 1 neighborhood: South Bank]6
 NDC Map 202 [Divides 1 neighborhood: River Park]
 NDC Map 203 [Divides 3 neighborhoods: South Bank, Fremont South and Wilson]

All of these maps can be accessed at https://www.oxnard.org/maps-submitted/.

For ease of reference, we have attached a slide from previous redistricting presentations describing the legal criteria for redistricting.7 In addition, you can access the existing City Council Districts map with the neighborhood overlay here.8 The demographer and City staff will be available to answer questions at the February 1, 2022 City Council meeting.

3 Although this map divides the Pacific Avenue neighborhood, the part of the neighborhood that is divided in the North is uninhabited.
4 Although this map divides the Pacific Avenue neighborhood, the part of the neighborhood that is divided in the North is uninhabited.
5 Public Map 8 was originally submitted on January 23, 2022. It was revised on January 24, 2022. Once the City’s demographer analyzes the map, the PDF will be updated to include the neighborhood map overlay. 6 Although this map also divides the Five Points Northeast neighborhood, the part of the neighborhood that is divided in the North is uninhabited.
7 Exhibit A: Legal Criteria for Redistricting.
8 Accessible at https://www.oxnard.org/wp-content/uploads/2018/07/FINAL-MAP-FROM-GIS- CouncilDistricts38x50_NeighborhoodAnno.pdf
490
Legal Criteria for Redistricting

1. Ensure geographic
contiguity

2. Minimize division
of neighborhoods
& “communities
of interest”

3. Create easily
identifiable
boundaries

4. Maintain
compactness
 Do not “favor or
discriminate against
a political party”

 Ensure equal
population*
 Comply with
federal Voting
Rights Act
 Avoid racial
gerrymandering
Traditional Criteria California Law
May include:

• Minimize changes
to election cycles
• Respect voters’
choices
• Preserve core of
existing districts

Federal Law
Do not bypass a
nearby population
to take in a more
distant population
* Total population
deviation < 10%
491

CITY COUNCIL AGENDA REPORT

REPORTS
AGENDA ITEM NO. K.1

DATE: February 1, 2022

TO: City Council

FROM: Phillip Molina, City Treasurer, (805) 385-7808, [email protected]

SUBJECT: City Treasurer's Quarterly Investment Report for the Period Ending December 31, 2021. (0/10/10)

RECOMMENDATION

That the City Council receive and file the Quarterly Investment Report for the period ending December 31, 2021. (This item did not originate in Committee.)
Please click the following link to view the required Measure M pre-recorded presentation video: https://youtu.be/8GkkAOKmnG0

BACKGROUND

The City of Oxnard’s December 2021 investment report will be brief this reporting period. This report is submitted to the City Council pursuant to California Government Code section 53646 and the Investment Policy adopted by the City Council.

But first, I wish to give a special thanks to the City staff without whose assistance this report could not be generated. This report does reflect the monthly investment information in the similar format that has been presented in previous months along with the amounts in the Bank statements as of December 31, 2021. The following data is included in this report.

Not in this sequence, it is our intention to show the public, the Mayor, and City Council the amounts in each city bank account so that you can see the percentage of available cash to the amount actually invested. You will notice the large buildup of cash in the bank account for the city’s general business. This is the result of the anticipated rate changes, but it is the intent of the Treasurer to greatly increase the amount of cash invested so that once again it approaches 90% by year end.

Next, we will show you in a bar chart the amounts invested separated by their maturity date or year. This will allow you to see the ladder or spread of the investments in order to generate a higher return. Third, we explain that the cash flows over the last 15 months so you can judge the management of the cash and determine whether there are periods during the year when more money is available for a short period, overnight investments versus 2-, 3-, 4-, or 5-year maturities.

Fourth, we will show you the daily cash position for December 31, 2021 so that you can see how the Treasurer’s department reviews our cash balances every day to assure that the city has enough liquidity to cover its obligations.

And next, we attached the detailed list of every investment that the city currently holds as of the last day of December 31, 2021.

This information is being provided to you using both charts and graphs. The charts are presented so that the Mayor, Council and the public can begin to see the actual amounts in the city’s bank accounts at Bank of America. The graphs 492
are created in order to show trends, and relationships that are best understood in that method of presentation. So, while this report is brief in the number of pages, we hope to respond to any question you may have.

STRATEGIC PRIORITIES

This agenda item is a routine operational item or does not relate to the five strategic priorities adopted by City Council on March 16, 2021.

FINANCIAL IMPACT

The City’s total amount invested as of December 31, 2021 at estimated market value was $308,360,454 purchased at a cost of $311,683,682.55. Because of the fluctuation upward in the market interest rates results in an estimated net market loss if we had to sell them in the market one month ago.

In a market (the city’s policy requires risk free rate of return) of fixed rates of return any instrument purchased today will decrease in value as the market interest rates increase and visa versa. Everything else being equal this means the instruments purchased when rates were lower than today’s rate now have an estimated market value below their cost thus producing the calculated estimated loss.

Cash balances on the 31st day of December 2021 in each authorized city bank account with Bank of America total $46,779,214.81 in the accounts shown below is the result of an influx of cash in the month of December of over $40 million.
(Per Bank Statements as of December 31, 2021)
The investments have a par value of $311,459,000 with a current estimated market value of $308,360,454 were purchased months or years ago. To provide greater return we can try to reduce the amount in LAIF and spread that over the 2,3,4, and 5- year terms. Recently, LAIF was generating an average return that is moving further from the City’s average portfolio return. LAIF’s December average apportionment rate was .22%, which is less than the current GSE (government sponsored enterprises) rates and less than our portfolio yield. Reducing the amount in LAIF would, however, reduce the liquidity of the portfolio.
493
So now the cost of the investments, the face value, and the market value as of December 31, 2021 and the prior 2 months is provided so at a glance you can see the summary of the entire portfolio, the risk, and the earnings with the current yield on a 365-day basis of .78% year to date. The total interest earnings for the calendar year 2021 was greater than initially estimated and equaled $1,845,568.64 (USBank, LIAF, and Ventura County investments) Now when we look back at the monthly cash flows of the recent years, we found that the month with the highest cash outflow was December 2018 with an outflow of $37.4 million. And the fact that we had $75 million invested in LAIF, which can be drawn down within one day, means there should be no normal condition that would require the Treasurer to sell investments before their maturity. Before we reveal the details, we want to know the level of efficiency in our investment team. But, first we look to see how much cash is available, how much cash is invested to determine the efficiency of the team. The goal is to invest 100% of available cash, and we know that for normal operations we should retain a daily balance of $3-5 million in the bank accounts. In the last 60 days the City has received in excess of $55 million inflow of cash making it difficult to maintain a reasonable investment strategy with the projection for cash outflows unavailable at this time.

The daily cash report for the last working day in December shows sufficient available cash to satisfy the city’s booked short-term obligations though somewhat reduced from prior months.

So, when we look at the detail, we see that the city is investing as a percent of total available cash. Bank of America provides a return of .19%. Thus, our efficiency rating is now 87.3%. 494

EFFICIENCY RATING
The bar chart below, shows the maturities of City’s investment portfolio and reflects the fact that as our older instruments are being called early, we find the need to acquire shorter term notes but not unless we can guarantee a rate of .19 % or higher as explained above.

COMMITTEE OUTCOME

This item did not originate in Committee.

Prepared by: Phillip Molina, City Treasurer

ATTACHMENTS

1. DEcember 2021 detail of investments_Redacted
495

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CITY OF OXNARD Page 5 of 24
December 1, 2021 to December 31, 2021

ASSET DETAIL
Stcurity Descript ion Porc•nt
Unreallzed olTotal Estimated Estimated
Shares/Face Amt Prlco Market Value Tax Cost Gain/Loss Portfolio Annual Income Current Yield Taxable Bonds
US Govammant Issues
F H L MC • 3134GXCAO
0 320 1 t/2412023
1,000 .000 000 99 2540 992 54000 1,000 ,000 00 •7,46000 04 3,200 00 0 32 FHLMC MTN - 3134GXKJ2
0 550 01/22/202e

2.000 .000 000 976960 1,957 .920 00 2,000 ,000 00 ◄ 2, 08000 08 tt ,00000 0 56 F H L MC MTN • 3137EA082

2.375 01/1312022

7.2,. 000 000 1000850 7.278 728 10 7,378 ,200 05 •99,'71 95 3 1 172,757 50 2 37 FNMA • 3135G05P4

0.300 08I03/2023

1.000 .000 000 99.'180 994.18000 999 ,410 00 -5,230.00 0.4 3,00000 0 30 FNMA MTN· 3135GABN0

0.280 12/29/2023

1.000 .000 .000 98.9630 989.630.00 1,000,000 .00 -10,370.00 0.4 2,800 00 0.28 FNMA MTN• 3136G13C5
0 300 10/24/2023

1.000 .000 000 99~80 995 .48000 1,000 ,000 00 -<1 ,52000 04 3,00000 030 FNMA MTN · 3135GA608
0 320 12115/2023
2000000 000 99 0220 1,98044000 2,000 ,000 00 ·19 ,56000 09 6,40000 032 FNMA 0et> • 3135G08F5
0 310 11/16/2023

1.000 .000 .000 99.5:320 995.320.00 1,000,000.00 -<1,680.00 0.4 3.100.00 0.31 Fed""'I Agn Mtg Co,p • 3134GWX87

0.300 12/29/2023

2.000 000 .000 99.4000 1,988.000 .00 1,999,780 .00 · 11,780.00 0.9 6,000.00 0.30 496

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CITY OF OXNARD Page 6 of 24
December 1, 2021 to December 31, 2021
ASSET DETAIL (conllnu di
Security Doscription Porcont
Unrealized olTotal Estlmated Estimated
Sha.res/Fae. Amt P'rfce Martliot Value Tax Cost GalnJLoas Por1follo Annual Income CurTtnt Ylold Fed..,.IAgnMtgCOrpMTN • 31422XNQI
0560 1~12()24
3 000.000 000 98 116'10 2,965.920 00 3,000 ,000 00 .J,1,080 00 1 3 16,800 00 0 57 Fed.,..I AgO M19 Corp MT N - 31422XASI
081003m/2026
I 000000 000 978760 976.76000 1,000,000 00 ·23 ,22000 04 6,100 00 063 Feo .... 1 F1tm C,oat 11b • 3133EME24

0.070 1210212022
10 000 000 000 99.7460 9,974.800.00 9,999 ,000.00 -24,20000 43 7,00000 0.07 Federal F1tm Cteot 11b • 3133EM066

0.080 09/15/2022
5 000.000.000 99.9770 4,998 850.00 4,999 ,355.00 -505.00 2.2 4,000.00 0.08 Fed""'I F1tmCtedllllb . 3133ELR89
0 250 04A)8l2()22
10,000.000.000 100.0260 10,002.600.00 10,005,200 00 ·2,600.00 4.3 25,000.00 0.25 Fod""'I FOfmCtedit81<5 • 3133 MCQ3
0 280 10/13/2023

2.000.000 000 99.2670 1,985.3'0.00 1,999 ,780 00 -14,44000 09 5,600 00 0.28 Fed°"'I F•m Ctedit Bb • 3133EM008
0 300 1 t/12/2024

3.000.000 000 98 0680 2,942,040 00 2,1195,000 00 -52,96000 1 3 9,00000 0 31 Fed~t Fatm Ctedil BkS - 313.1EMN~
0 3 10 07/2212024
3 000.000 000 98W20 2,95776000 3,000,000 00 -<12,24000 1 3 9,300 00 031 Federal F1tm Ctoat 11b • 3133EMHL9

0.3 10 11/30t'2023

1.000000 .000 99.2100 992.10000 I ,000 ,000 00 -7,900.00 0.4 3,10000 0-31 F!deral FarmCteatBks. - 3133ENBK5

1.140 10/20,l2026

1.000 ,000 .000 ll<!.9200 989.200.00 1.000 .ooo_oo -10,800.00 0.4 11.400.00 1-15 497

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CITY OF OXNARD Page 7 of 24
December 1, 2021 to December 31, 2021
ASSET DETAIL (continue d}
Security Ducrtptlon Perc•nt
Unrealized ofTo tal Estimated Estimated
Shares/Fae• Amt Price Marl<ot Value Tu Cost Gain/Lou Portfolio Annual Income Current Yield Federal Home Loan Bks - 3130N<VA1
0 030 0'210912026 Cpo
2 000.000 000 98.0800 1,961 600.00 2,000 ,000 00 -38.'10000 08 6,00000 031 F ederlll Horne Loan SQ - 3130AMCM2
0250 05/1~ Cpo
1,250.000 000 99 2760 1,240.950 00 1,249,687 50 "3,737 50 OS 3,12500 0.25 Fed~I Home Loan Bks - 3 130AK4S2
0 280 09/1112023
5,000.000 .000 99.6030 4,980.150.00 4,997 ,250 00 •17, 100.00 2.1 14,000 .00 0.28 Fod°"'I Homo Loan Bk$ • 3130AKIJe1

0.300 01/27/2026 -Cpo
10 000 .000 000 98 4010 9,840.100 00 10,000,000 00 · 159,90000 4 2 30,00000 0 30 Federal Homo Loan Bko • 3130AKW04

0.300 02I09l2026 Cpo

2.000000 000 97.9400 1,958 800.00 2,000 ,000 00 -41 ,20000 0.8 6,00000 0 31 Federal Home Loan BkS - 3130AJ<WM4
0 300 11/2612024

1.000.000 000 98 0330 980 .33000 1,000 ,000 00 -19,67000 04 3,00000 0 31 Fedef'al Home Loan Bks - 3 130AKGU
0 300 11/2712023

1.000.000 000 994MO 994 80000 1,000 ,000 00 -5,40000 04 3,00000 0 30 Fedl!'f'III Home Loan Bks • 3130ALES'9
0 330 08/26/2024
2 000 .000 000 9116400 1,972.600 00 2,000,000 00 -27,20000 08 5,600 00 033 Federal Home Loan Bu • 3130AKV0e

0.470 101291202S
1,000 OOCLOOO 97.2480 972.46000 1,000,000 .00 -27,520.00 0.4 ,,100 00 O.A8 Federal Home Loan BJcs - 313(W(M05

0.600 01126/2026
5 000 .000.000 96.8300 •.841 .500.00 •.997 ,500.00 • 156,000.00 2.1 25,000.00 0.52 498

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CITY OF OXNARD Page 8 of 24
December 1, 2021 to December 31 , 2021
ASSET DETAIL (continued}
Security Ooscription Porcont
Unreallnd olTotal Esdmated Estimated
Shares/Face Amt P'ric1 Martcot Value Tax Cost Gain/LOH Por1follo Annual Income Curnnt Ylold Federal Home Loan Bk$ • 3130ALLN2
0 500 03/24/202'!

2.000 .000 000 98 7600 1,975 .320 00 2,000 ,000 00 -24,68000 og 10,00000 0 51 FMl!'!'al Hotne Loan BU • 3 130,fJML3
0 500 04/29/202'! Cpn

1.000 000 000 gg 7600 997 68000 1,000 ,000 00 -2,34000 o• 5,00000 0 50 Fodera/ Home Loan Bks • 3130AKNl<8

0.500 lQ/20/2025
6000000 000 97.3700 5,&12.200.00 8,000,000 .00 -157,llOOOO 25 30,00000 0 51 Federal Home Loan Bl<S - 3130AKU8

0.500 12f.lQ/2025

2.000 .000.000 97.7910 1,955 .820.00 2,000 ,000.00 -44 ,180.00 0.8 10,000 .00 0.51 Federal Home Loan Bka • 3130AKVN3
0 520 01/29/202'!
1,000 000.000 97.n.a 977.74000 1,000 ,000 00 •22,2'50.00 O.• 5,200 00 0 53 Foder,,I Home Loan Bko • 3130AKN36
0 525 01/15/2026

2.000 .000 000 97.8310 1,956 .620 00 2,000 ,000 00 -43,360 00 08 10,500 00 054 F ederat Home Loan Bks - 31 lOAKT JS
0 540 02/09l202'l

2.000 .000 000 97 7910 1,955 .820 00 2,000 ,000 00 -44,18000 08 10,800 00 0 55 Federal Home Loan Bks - 3130AKVR4
0 550 02/121202'!

1.000 .000 000 98 9630 96H3000 1,000 ,000 00 -30,37000 o• 5,500 00 057 Federal Home loan Bks 3130AKNR:l

0.560 01/26r2026
1000000 .000 97.5700 975 .70000 1,000 ,000 00 -24,300.00 OA 5,80000 0 57 Federal Home Loan BkS - 3130AK082

0.800 01/28/2026

1.500.000 .000 98.0420 1.470.630 .00 1,500 ,00Q_(J() -29,370.00 0.6 9,000.00 0.61 499

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CITY OF OXNARD Page 9 of 24
December 1, 2021 to December 31 , 2021
ASSET DETAIL (continue d}
Socurity Du<:rtptlon Porc•nt
Unrealized olTotal Estimated Estimated
Sh•rellF•u Amt P'rfc1 Market v,1ue Tax Cost Gain/Lou Portfolio Annual Income CUITOnt Yield Federal Home Loan Blls • 31 JOAKPNO
0 600 01/29/202i;

2.000.000 000 97.5110 1,950,220.00 2,000 ,000 00 -<49,78000 08 12,00000 061 Federal Home Loen Blc.s - 3130A.KXJO
0 600 02/241202e
11,000 000 000 97 9580 10.n5.380 oo 10,994 ,200 00 -218,82000 46 66,00000 061 Fedt-ral Home Loan BU - 3 130AMU2
0 800 051271202e "'" Cpn
1,000.000.000 99.3340 9933'0 .00 1,000,000.00 "6,680.00 0.4 6,000.00 0.80 Federal I-tome LOin BU - 3130AKQ74
0 625 01/22/2026

5.000.000 000 98 1380 4,906.90000 5,000 ,000 00 -93,10000 2 I 31,250 00 064 Federal Home Loan Bk$ - 3130A.l.7M0

0.625 02/2"2026
3000000 000 98.0390 2,9'& 1,170.00 2,994 ,50000 -53,33000 1 3 18,750 00 064 Federal Home Loan BkS - 3130ANYS3
0 625 0l/30/2025

1.000.000 000 98 5790 985.79000 998,15000 ·12,36000 04 6,250 00 063 Federal Home Loan Bks 31JOAKRNI!
0 650 01128/2026

2.000.000 000 98 2010 1,964 020 00 2,000 ,000 00 •35,98000 08 13,00000 066 Federal Home loan Bks 3130APF91
0 650 12127/2024

1.000 000 000 98111520 98882000 1,000 ,000 00 -11 ,38000 04 8,500 00 066 Federal Home Loon Bks • 3130ALC88

0.680 02/2"2026

1.000 QOO_QOO 97.4&10 97 •. 6'000 1,000,000 _00 -25,3BO.OO 0.4 6,800.00 0.70 Federal Home Loan Bks - 3130ALN~

0.680 03/24/2025
1,000 000.000 99.1010 991.010.00 1,000 ,000.00 "6,990.00 0.4 6,800.00 0.119 500

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CITY OF OXNARD Page 10 of 24
December 1, 2021 to December 31 , 2021
ASSET DETAIL (continued}
Security Ooscription Porcont
Unreallnd olTotal Esdmated Estimated
Shares/Face Amt f>ric1 Martc1t Valut Tax Cost Gain/LOH Porffollo Annual Income Currtnt Yltld Federal Home Loan Bks - 3130IJ<QX7
010001126/2026
1 000.000 000 97~0 6,856 .080 00 7,000 ,200 00 -144, 12000 30 411,00000 0 71 Fl!d~I HOl'r'II!! Loan BU • 3 130APG82
0 700 10/28/202'5 Cpn

1.000 .000 000 98 BAIO 9884!000 1,000 ,000 00 -11 ,55000 o• 7,00000 0 71 Fed~t Home loan Bks • 3130ALFS8

0.800 03/10/2026

1.000000 000 97.!>750 975,75000 1,000,000.00 -24,25000 OA 8,00000 0.82 Federal Home Loan Bl<S - 3130ALON1

0.800 03/16/2026
2 000.000.000 98.J.!10 1,987,620.00 2,000 ,000.00 ·32,380.00 0.8 16,000.00 0.81 Fodorol Home Loan Bka • 3130AlG84
0 800 03/1712026
1,000 000.000 98.:134-0 983 .34000 1,000 ,000 00 · 18,660.00 o .• 8,00000 081 Foder,,I Home loan Bko • 3130Al'KZ7
0 875 01/2812025
1,000.000 000 99.10!0 991 .0IOOO 1,000 ,000 00 -3,115000 o• 8,7!000 088 F ed.,.I Home Loon Bka • 3 I 30AlGC2
0 875 03/23/2028
1,000 .000 000 98 6460 988,48000 1,000 ,000 00 ,13,52000 04 8,7!000 089 Federal Home Loan Bks • 3 130ALGJ7
1 000 03/Zl/2028
975 .000 000 98 9100 11&onoo 975 ,00000 ·10 ,627 ilO o• 11.7!000 101 Federal Home loan Bks 3130AMM41

1.000 08f16t2026
5 000 .000.000 98.0050 •.945 .300.00 5,000 ,000 00 ·5' ,700.00 2. 1 50,00000 1.01 Federal Home Loan BkS - 3 130A03T8

1.000 12/23/2026 Cpn

1.000.000 .000 99.9830 999,830.00 1,000,000 .00 -170J)0 OA 10,000 .00 1.00 501
502
503
504
505
506

CITY COUNCIL AGENDA REPORT

REPORTS
AGENDA ITEM NO. K.2

DATE: February 1, 2022

TO: City Council

FROM: Helen Miller, Information Technology Director, (805)385-7446, [email protected]

SUBJECT: Oxnard 311 - Performance Update Report. (0/10/10)

RECOMMENDATION

That the City Council receive an update on the fifth year (and first half of year 6) performance of the Oxnard 311 Constituent Relationship Management System.
(Community Services, Public Safety, Housing & Development Committee approved 3-0.) Please click the following link to view the required Measure M pre-recorded presentation video: https://youtu.be/cuclewNe0j4

BACKGROUND

Oxnard 311 is the City’s constituent relationship management (CRM) software, which allows residents within the City to report a variety of issues using a mobile phone application or website. Requests may be submitted in English, Spanish, or one of 15 other languages offered by the software vendor. During the first five and a half years of availability, the Oxnard 311 mobile app has been downloaded by 12,028 residents and has been used to process approximately 96,804 service requests. The Oxnard 311 system allows residents to see live updates, track the status of their requests, and communicate directly to staff through in-app messaging. The Oxnard 311 system empowers resident guardianship and involvement in the community while increasing transparency and accountability of City staff.

DISCUSSION
The Oxnard 311 system completed its fifth full year of service at the end of April 2021. The following discussion focuses on performance trends and metrics from each full year (May through April) and the first half of year six (May 2021 through October 2021).

1. Application Downloads
The Oxnard 311 system has grown each year in the number of Oxnard residents that are submitting service requests through the mobile application and website. The majority of requests (66.8%) are submitted through the free mobile application. As such, application downloads are a reliable metric for system growth.

Year 1 Year 2 Year 3 Year 4* Year 5 Year 6
(First Half) Total
Downloads 2,139 1,995 2,151 2,186 2,154 1,403
(30% increase 12,028
507
(6.7% decrease
compared to year
one)
(7.8% increase
compared to
year two)
(1.6% increase
compared to
year three)
(1.5%
decrease
compared to
year four)
compared to
year five if first
half trends
continue)
Please note that last year’s report contained an error in the number of downloads for both year four and the first half of year five. Staff recently discovered an error with the service the City uses for tracking download statistics. In December of 2019, the service no longer reported the number of Apple iOS downloads. Staff have since corrected this issue and the app download statistics have been updated in this report.

2. Requests Submitted
In the first five and a half years, the Oxnard 311 system has also increased in the number of service requests submitted.

This steady increase per year in the number of requests submitted reflects a growing user base.

Year 1 Year 2 Year 3 Year 4 Year 5 Year 6 (First
Half) Total
Requests
Submitted 7,900
15,435
(95% increase
compared to
year one)
17,704
(14% increase
compared to
year two)
18,784
(6%
increase
compared to
year three)
22,747
(21%
increase
compared to
year four)
14,306
(26% increase
compared to
year five if first
half trends
continue.
96,804

3. Performance Evaluation
There are 20 request types available to the public through the Oxnard 311 system. Staff from various departments in the City are involved in the Oxnard 311 system, which allows requests to be assigned to the correct person who has the appropriate skills/knowledge and is responsible for the required work to complete the request. The majority of requests,

70.6%, are for 3 of the 20 request types: illegal dumping, graffiti, and abandoned vehicles.

The following section covers performance statistics for each of the 20 request types. Each request type is presented in descending order by the total number of requests. Beyond number of requests, staff identified for each request type the percentage of requests completed on time, service level goal per year, and average completion time per year.

The Oxnard 311 system had slight database issues during the first three years that added a small margin of error to the performance statistics. City staff have resolved this issue and the performance stats for years five and six are accurate. In all cases, "days" refers to City working days and does not include weekends. The performance information is also summarized in the table at the end of this section of the report.

A. Illegal Dumping
Total number of requests in the first 5.5 years: 35,577 (36.8% of all requests) Percentage of requests completed on time: 74.9%
Year 1 Year 2 Year 3 Year 4 Year 5 Year 6
(First Half)
Goal 3 days 3 days 3 days 3 days 3 days 3 days
Number
of
Requests
2,371 5,470 6,433 6,556 8,616 6,131
508
Average

4.4 days (delayed
by 46.7% over
service goal)

8.6 days (delayed
by 186.7% over
service goal)

2.7 days
(exceeded
service goal by
10%)

5.5 days (delayed
by 84.8% over
service goal)

3.5 days
(delayed by

17.4% over
service goal)

0.8 days
(exceeded
service goal
by 74.3%)
Performance issues experienced during year two (8.6 days average completion time) were attributed to the then-current staffing levels, including an insufficient number of employees licensed to drive the larger vehicles used to pick up bulky items such as refrigerators or couches. Additional Environmental Resources staff members were hired to specifically focus on illegal dumping requests. The benefits of these additional hires are shown in the third year performance, when requests were completed in time that exceeded the service level goal by 10%. However, performance fell again in the fourth year and fifth year (5.5 and 3.5 days average completion time, respectively), which were below the three-day goal.

The COVID-19 related stay at home order had a large impact on overall performance, as staff availability was reduced significantly. Before the stay at home order was implemented, staff were completing illegal dumping requests within an average of 2.4 days, exceeding the service level goal by 27%. The average performance during the stay at home order fell to 30.1 days, reducing the overall average.

There are additional factors that contribute to the slower response time. Even outside of the stay at home order, staffing shortages in the Environmental Resources Division have been exacerbated by COVID-19. Illegal dumping on private property and illegal dumping related to the homeless crisis involves processes that must be coordinated with Code Enforcement and the Police Department and require more time. There is an increase in the number of homeless encampments Citywide but not necessarily a parallel increase in the amount of resources to tackle these 311 requests.

Finally, the rental of special equipment is often required for the removal of illegal dumping and encampments, and such rentals take extra time.

Through the budgeting process for Fiscal Year 2021-22, the Environmental Resources Division requested and received two additional Maintenance Worker Trainees assigned to the 311 Crew. Also, an existing Solid Waste Equipment Operator II position was reassigned to the 311 Crew. Increased efficiencies in coordination with the Police Department, Housing and Code Enforcement have also contributed to the improvement in work order completion times over the last year.

B. Graffiti
Total number of requests in the first 5.5 years: 21,913 (22.6% of all requests) Percentage of requests completed on time: 93.3%
Year 1 Year 2 Year 3 Year 4 Year 5 Year 6
(First Half)
Goal 3 days 3 days 3 days 3 days 3 days 3 days
Number
of
Requests

1,840 2,971 3,994 4,832 5,555 2,721
Average

1.7 days (exceeded
service goal by

43.3%)

1.1 days (exceeded
service goal
by 63.3%)

1.8 days
(exceeded service
goal by 40%)

2.0 days (exceeded
service goal by

32.4%)

2.3 days
(exceeded
service goal by

23.4%)

2.2 days
(exceeded
service goal
by 25%)
Public Works staff dedicated to removing graffiti on public property and Code Enforcement staff working with owners of private property with graffiti have both consistently met their service level goal. In year four, even though staffing was cut significantly in the City's Graffiti Action Program (GAP), staff has been able to keep its graffiti on public property response time down by transferring graffiti removal in parks to the Parks Division and by terminating a graffiti removal contract in unincorporated areas of the County in which the City was not being fully reimbursed. Staff continued to exceed their service 509
goal in year five and the first half of year six.

C. Abandoned Vehicles
Total number of requests in the first 5.5 years: 10,368 (10.7% of all requests) Percentage of requests completed on time: 86.9%
Year 1 Year 2 Year 3 Year 4 Year 5 Year 6
(First Half)
Goal 14 days 14 days 14 days 14 days 14 days 14 days
Number
of
Requests

700 1,671 1,774 2,073 2,564 1,586
Average

12.2 days
(exceeded service
goal by 12.9%)
9 days (exceeded
service goal by

35.7%)

9.3 days (exceeded
service goal
by 33.6%)

9.9 days (exceeded
service goal by

29.4 %)

9.2 days
(exceeded
service goal
by 34.5%)

7.3 days
(exceeded
service goal
by 47.6%)
Staff from Traffic Enforcement and Code Enforcement are assigned abandoned vehicle requests on public and private property, respectively. Collectively, staff have consistently met their service level goal.

D. Overgrown Landscape
Total number of requests in the first 5.5 years: 4,468 (4.6% of all requests) Percentage of requests completed on time: 69.6%
Year 1 Year 2 Year 3 Year 4 Year 5 Year 6
(First Half)
Goal 60 days 60 days 60 days 60 days 60 days 60 days
Number
of
Requests

313 891 902 898 936 528
Average

73.7 days (delayed
by 22.8% over
service goal)

92.5 days (delayed
by 54.2% over
service goal)

75.1 days (delayed
by 25.2% over
service goal)

36.7 days
(exceeded service
goal by 38.8%)

47.0 days
(exceeded
service goal
by 21.6%)

30.9 days
(exceeded
service goal
by 48.6%)
Public Works Parks Division staff cited staffing levels in the past as the main reason for performance issues that were preventing staff from completing requests within the service level goal time. Public Works has made improvements on how it uses the County's work release crews to address overgrown landscaping (including for 311 requests). The Parks Division has also developed a 311 crew with dedicated staff assigned to 311 requests. Staff exceeded their service goal for years four and five and continue that trend in the first half of year six.

E. General Questions
Total number of requests in the first 5.5 years: 3,944 (4.1% of all requests) 510
Percentage of requests completed on time: 55.8%
Year 1 Year 2 Year 3 Year 4 Year 5 Year 6
(First Half)
Goal 15 days 15 days 15 days 15 days 15 days 15 days
Number
of
Requests

413 668 709 742 881 531
Average

41.5 days (delayed
by 176.7% over
service goal)

45.9 days (delayed
by 206% over
service goal)

42.2 days (delayed
by 181.3% over
service goal)

30.7 days (delayed
by 104.7% over
service goal)

15.2 days
(delayed by

1.6% over
service goal)

16.5 days
(delayed by

9.8% over
service goal)
This category is a catch-all so residents can submit requests that otherwise do not fit into one of the existing categories.

Sample submissions include loud music, fireworks, dogs barking, trash or furniture in the alleyways, and broken playground equipment in parks. Staff responsible for this category often receives a request and reassigns it to the appropriate staff in another department, which delays the process. Staff continue to work on speeding up the reassigning process and have made significant progress in year five and the first half of year six. New staff have recently been added to the Oxnard 311 system in the second half of year six to assist with completing these requests.

F. Potholes
Total number of requests in the first 5.5 years: 3,472 (3.6% of all requests) Percentage of requests completed on time: 37.2%
Year 1 Year 2 (First
Half)
Year 2
(Second Half) Year 3 Year 4 Year 5 Year 6
(First Half)
Goal 150 days 15 days 30 days 30 days 35 days 35 days 35 days Number
of
Requests

592 382 260 717 759 493 265
Average

73.3 days
(exceeded
service goal
by 51.2%)
110.6 days
(delayed by
637% over
service goal)
118.6 days
(delayed
by 295% over
service goal)

81.7 days
(delayed
by 172.2% over
service goal)
100.1 days
(delayed by
186.1% over
service goal)
135.9 days
(delayed by
288.2% over
service goal)

61.8 days
(delayed by

76.6% over
service
goal)
Public Works Streets Division has averaged 7 to 8 vacant positions over the last 18 months, which has affected the response time for addressing 311 potholes. In addition, a large number of the pothole requests are related to issues that are more than potholes and require a substantial amount of work to repair, such as resurfacing entire street segments.

Resurfacing activities are significantly more work that takes additional time compared to filling in a pothole with asphalt.

Recently, staff has identified over two hundred pothole requests that are related to street resurfacing issues.

Streets Division staff have altered their workflow to accurately identify pothole requests that should be part of resurfacing efforts instead of standard pothole repairs. This adjustment will better track the amount of time it takes to address true potholes versus improvements to the overall street, which would be repaired as part of Capital Improvement Plan 511
projects.

In September 2021, the Streets Division hired seven maintenance workers and purchased two asphalt patch trucks for potholing with Measure E funding. Since September, Public Works has assigned staff to specifically address potholes on a daily basis. Street staff have also worked with the City’s GIS Division to create a work order system that includes route optimization and a mobile application to assist in collecting the data necessary to plan repairs and close out 311 requests.

With these aforementioned actions staff anticipates to meet the 35 day target for the completion of potholes going forward.

In addition, Engineering has dedicated approximately $30,000,000 in street and alley resurfacing projects for Fiscal Year 2021-2022, which will reduce the amount of 311 pothole requests in the future.

G. Litter
Total number of requests in the first 5.5 years: 2,372 (2.5% of all requests) Percentage of requests completed on time: 54.1%
Year 1 Year 2 Year 3 Year 4 Year 5 Year 6
(First Half)
Goal 3 days 3 days 3 days 10 days 10 days 10 days
Number
of
Requests

373 451 347 385 498 318
Average

14.6 days (delayed
by 386.7% over
service goal)

24.7 days (delayed
by 723.3% over
service goal)

20.3 days (delayed
by 576.7% over
service goal)

12.2 days (delayed
by 21.7% over
service goal)

17.1 days
(delayed by
71% over
service goal)

9.9 days
(exceeded
service goal
by 1.5%)
Public Works Parks staff requested, and was granted, a performance goal extension from three to ten days at the start of year four to more accurately reflect the litter-related workflow.

Parks staff indicated that the lack of dedicated staff to handle litter requests has been the main contributing factor to delayed completion time. The team responsible for responding to litter complaints throughout the City dropped from 3 to

2.5 full time staff. This is due to having 1 staff member being responsible for splitting his time between the 311 crew and opening/inspecting restrooms each morning. This 2.5 person team is responsible for not only litter, but also illegal dumping, assisting with homeless encampment cleanup and overgrown vegetation. This team also assists with weed abatement and any other tasks that require additional labor to complete within the parks, parkways, medians and any other general use areas. Low staffing levels cause additional staff from other crews to be pulled to assist with litter cleanup when requests fall too far behind.

The Parks staff identified a pathway to improvement, which includes adequate staffing or contractors to properly address the ongoing workload. Parks has also been working on adding lids to park trash cans that are currently missing lids.

Replacing the lids will help keep the trash from being blown out by the wind or pulled out by humans and birds. Parks staff is also looking at designating a standardized trash can for all of our parks that will best mitigate the aforementioned issues. Park staff is also working on adding new street sweeper services to park related parking lots that are not currently 512
under contract. Staff is also working on increasing the frequency of sweeping lots that are under contract but only serviced once a month.

Based upon the first six months of year six, prior adjustments and contracting of services has resulted in seeing a measurable improvement in this area. If the current trend remains consistent for the rest of year six, this area could see success in meeting the performance goal while addressing more total requests than last year. However, the success in the first six months of year six is likely the result of the focus on litter abatement, which impacts other maintenance responsibilities assigned to the limited staffing. As such, as part of next year’s budget process, additional dedicated staffing will be requested to ensure long-term success of not just litter abatement, but all other maintenance requests handled by this team.

H. Sidewalk Repair
Total number of requests in the first 5.5 years: 2,120 (2.2% of all requests) Percentage of requests completed on time: 52.8%
Year 1 Year 2 Year 3 Year 4 Year 5 Year 6
(First Half)
Goal 60 days 60 days 60 days 60 days 60 days 60 days
Number
of
Requests

241 687 410 427 252 103
Average
116 days (delayed
by 93.3% over
service goal)
121.9 days (delayed
by 103.2% over
service goal)

58.7 days
(exceeded service
goal by 2.2%)

65.3 days (delayed
by 8.8% over
service goal)

43.1 days
(exceeded
service goal
by 28.1%)

20.1 days
(exceeded
service goal
by 66.5%)
Public Works Streets Division staff has improved its response to this type of complaint over the past two and a half years and is now exceeding the service level goal. Currently, the City has a contract for asphalt/concrete grindings that has helped in resolving many sidewalk repair service requests.

I. Trash and Recycling Service
Total number of requests in the first 5.5 years: 1,859 (1.9% of all requests) Percentage of requests completed on time: 72%
Year 1 Year 2 Year 3 Year 4 Year 5 Year 6
(First Half)
Goal 2 days 2 days 2 days 3 days 3 days 3 days
Number
of
Requests

126 320 313 313 513 274
513
Average

4.3 days (delayed
by 115% over
service goal)

4.5 days (delayed
by 125% over
service goal)

7.5 days (delayed
by 275% over
service goal)

2.4 days
(exceeded service
goal by 18.8%)

1.7 days
(exceeded
service goal
by 44.5%)

2.6 days
(exceeded
service goal
by 14.7%)
There was a significant increase in this type of requests from year one to year two, and these requests now are almost exclusively related to homelessness. In many cases, that means staff need to offer the owners to reclaim their items for a period of time before the items can be cleared and the work order can be completed. Staff requested, and was granted, an extension of the service level goal from two to three days starting in year four. Staff are now consistently exceeding their performance goal in year five and the first half of year six.

J. Water Waste and Leaks
Total number of requests in the first 5.5 years: 1,842 (1.9% of all requests) Percentage of requests completed on time: 43.5%
Year 1 Year 2 Year 3 Year 4 Year 5 Year 6
(First Half)
Goal 4 days 4 days 4 days 4 days 4 days 4 days
Number of
Requests 133 310 321 326 454 298
Average

25.7 days
(delayed by
542.5% over
service goal)

42.9 days
(delayed
by 972.5% over
service goal)

47.1 days
(delayed
by 1,077.5%
over service
goal)

12.5 days
(delayed by
211.3% over
service goal)

8.9 days(delayed
by 123.1%
over service
goal)

6.7 days(delayed
by 68.6% over
service goal)
During the third year performance report, City staff identified workflow issues within the system that were preventing requests from being assigned to the correct person. Staff responded by developing complex assignment logic within the 311 system to automatically assign requests to appropriate personnel based on the location of the issue and the type of equipment causing the water waste or leak. Response times have reduced dramatically from 47.1 days in the third year to

12.5 days in the fourth year. Staff have continued to make progress yet still significantly exceeding the four-day response goal.

Public Works Parks Division management identified the lack of dedicated staff to tackle the water leak complaints as the main contributing factor to delayed completion time. Irrigation repairs are just one of the many deferred maintenance items that the limited Parks staff has to address in a reactionary fashion, which is inefficient.

Parks staff has identified a pathway to improvement, which is having a more proactive approach by dedicating resources (in-house and contracting staff) to fully audit the irrigation systems in each park managed by the division (not including special districts parks, which are handled by a different Public Works division). Funding has been identified and approved by Council for the remainder of this fiscal year to have contractors assist in citywide irrigation repair as an initial push to address the large backlog of deferred maintenance. Once contracts are in place, this will make a significant difference in our ability to be more proactive with addressing 311s. In addition, for long term success, additional dedicated staff are needed to continue a proactive approach for the ongoing workload just for irrigation repairs. Furthermore, having a dedicated in-house irrigation repair team will help avoid other park-related maintenance items (e.g., playground equipment repairs, drinking fountain repairs, landscape maintenance, hardscape maintenance) from becoming ignored and backlogged. Staffing requests will be part of next year’s budget process. 514
K. Animal Safety
Total number of requests in the first 5.5 years: 1,431 (1.5% of all requests) Percentage of requests completed on time: 64.5%
Year 1 Year 2 Year 3 Year 4 Year 5 Year 6
(First Half)
Goal 2 days 2 days 2 days 7 days 7 days 7 days
Number
of
Requests
103 217 308 213 216 374
Average

7.3 days (delayed
by 265% over
service goal)

8.3 days (delayed
by 315% over
service goal)

5.8 days (delayed
by 190% over
service goal)

6.8 days
(exceeded service
goal by 3.4%)

2.8 days
(exceeded
service goal
by 60.5%)

1.9 days
(exceeded
service goal
by 73.1%)
Staff requested, and was granted, an extension of their service goal from two to seven days to more appropriately reflect the workflow related to animal safety requests. In addition, staff filled two vacant positions during year four. This increased personnel available to respond to requests and significantly reduced response times. Staff are now consistently exceeding their performance goals.

L. Streetlight Out
Total number of requests in the first 5.5 years: 1,317 (1.4% of all requests) Percentage of requests completed on time: 71.2%
Year 1 Year 2 Year 3 Year 4 Year 5 Year 6
(First Half)
Goal 15 days 15 days 15 days 15 days 15 days 15 days
Number
of
Requests

128 234 213 255 317 170
Average
123.6 days (delayed
by 724% over
service goal)

55.9 days (delayed
by 272.7% over
service goal)

28.5 days (delayed
by 90% over
service goal)

19.1 (delayed by

27.6% over
service goal)

7.0 days
(exceeded
service goal
by 53.2%)

10.1 days
(exceeded
service goal
by 32.7%)
As part of the third year 311 performance report, City staff identified issues with the previous workflow, which waited until Southern California Edison (SCE) completed work on its lights to close the Oxnard 311 ticket. Staff modified the workflow so that the City call center staff will report the streetlight issue to SCE and then forward the SCE ticket information to the Oxnard resident. Once the information has been forwarded to both SCE and the resident, Oxnard staff now closes the Oxnard 311 request. For a City-owned streetlight, the Oxnard 311 ticket remains open until the work is 515
complete, providing status updates to the resident. This new workflow dramatically reduced the average completion time for these requests, and staff have exceeded their performance goals in year five and the first half of year six.

M. Assessment District
Total number of requests in the first 5.5 years: 1,067 (1.1% of all requests) Percentage of requests completed on time: 66.5%
Year 1 Year 2 Year 3 Year 4 Year 5 Year 6
(First Half)
Goal 21 days 21 days 21 days 21 days 21 days 21 days
Number
of
Requests
190 229 211 211 124 102
Average

18.9 days
(exceeded service
goal by 10%)

31.6 days (delayed
by 50.5% over
service goal)

58.6 days (delayed
by 179% over
service goal)

17.9 days
(exceeded service
goal by 14.8%)

15.4 days
(exceeded
service goal
by 26.8%)

9.5 days
(exceeded
service goal
by 54.7%)
At the beginning of year four, Special Districts staff modified the division's internal process to reduce the target completion time. These modifications have led to staff consistently exceeding their service goals from year four through the first half of year six.

N. Street Signs
Total number of requests in the first 5.5 years: 1,059 (1.1% of all requests) Percentage of requests completed on time: 72.8%
Year 1 Year 2 Year 3 Year 4 Year 5 Year 6
(First Half)
Goal 60 days 60 days 60 days 60 days 60 days 60 days
Number
of
Requests
86 221 185 200 247 120
Average

70.5 days (delayed
by 17.5% over
service goal)

60.9 days (delayed
by 1.5% over
service goal)

32.3 days
(exceeded service
goal by 46.2%)

46.6 days
(exceeded service
goal by 22.3%)

24.8 days
(exceeded
service goal
by 58.7%)

16.8 days
(exceeded
service goal
by 71.9%)
The City has contracted with a sign vendor that supplies and makes signs, which has improved the response time for the repair and replacement of signs. Staff have been exceeding their performance goals consistently since year three. 516
O. Homeless Encampment
Total number of requests in the first 5.5 years: 1,000 (1.0% of all requests) Percentage of requests completed on time: 97.6%
Year 1 Year 2 Year 3 Year 4 Year 5 Year 6
(First Half)
Goal N/A N/A N/A 21 days 21 days 21 days
Number of
Requests N/A N/A N/A 7 561 405
Average N/A N/A N/A

7.6 days
(exceeded
service goal by

63.9%)

6.6 days
(exceeded
service goal by

68.4%)

4.7 days
(exceeded service
goal by 77.4%)
The Homeless Encampment request type was created and made available to the public April 23, 2020, which was close to the end of year four. This request type is marked as “sensitive” and limits access to the request to the person who submitted the request and the staff who are assigned to it. Staff from the Police Department, Environmental Resources, Code Compliance, and Housing are all involved in the workflow and work as a team to coordinate safe outreach and cleanup efforts. Staff have consistently exceeded their performance goal.

P. Traffic - General Issues
Total number of requests in the first 5.5 years: 954 (1.0% of all requests) Percentage of requests completed on time: 69.3%
Year 1 Year 2 Year 3 Year 4 Year 5 Year 6
(First Half)
Goal 15 days 15 days 15 days 18 days 18 days 18 days
Number
of
Requests

11 53 174 185 285 246
Average
384.7 days (delayed
by 2464.7% over
service goal)

40.5 days (delayed
by 170.0% over
service goal)

18.2 days (delayed
by 21.3% over
service goal)

19.1 days
(delayed by 6%
over service goal)

27.1 (delayed by

50.7% over
service goal)

17.3 days
(exceeded
service goal
by 3.8%)
Requests that are traffic enforcement related (and responded to by the Oxnard Police Department) consistently perform well in the Oxnard 311 system and exceed their performance goals. Public Works Engineering Division staff has cited recent staffing levels and high turnover as the main reason their staff could not complete requests within the service level goal time. The City Traffic Engineer position was vacant for much of 2020 but was filled in late August of 2020.

Requests within this category often take a significant amount of time to complete due to the complexity of the solutions, 517
such as when staff must reduce the speed limit or install new stop signs. Staff requested, and was granted, a service level goal extension from 15 days to 18 days starting in year four.

The Transportation and Mobility Division continued to experience extreme staff shortages for much of 2021. Since April 2021, only the City Traffic Engineer was available to respond to Oxnard 311 requests. Three engineer positions with the division remained vacant for much of the year with two only being filled in late October. Staff has employed consultant assistance to help with the backlog of 311 requests but COVID impacts to conducting field review has delayed processing of requests. Staff triaged requests for prioritization with a focus on safety. Additionally, with public schools reoccupying in August of 2021 after a year of COVID stay at home orders, staff experienced a significant increase in 311 and other requests for traffic control review.

Two positions were successfully recruited and filled in late 2021 and staff has begun to review and close out 311 requests. Additionally, a new modified approach to 311 requests will be implemented 2021/22 with 311 requests that require substantial field investigation or follow up study being moved into the Traffic Request process to monitor requests. This should assist in closing out simple 311 requests to meet SLA objectives and still track and process major complex requests as they are submitted.

Based upon the first six months of year six, adjustments to the process has resulted in seeing a measurable improvement in this area. If the current trend remains consistent for the rest of year six, this area will see success in meeting the performance goal while addressing more total requests than last year.

Q. Traffic - Signal Issues
Total number of requests in the first 5.5 years: 748 (0.8% of all requests) Percentage of requests completed on time: 40.6%
Year 1 Year 2 Year 3 Year 4 Year 5 Year 6
(First Half)
Goal 3 days 3 days 3 days 15 days 15 days 15 days
Number
of
Requests

176 135 136 132 101 68
Average
300.5 days
(delayed by
9916.7% over
service goal)

73.9 days (delayed
by 2363.3% over
service goal)

21.1 days
(delayed by
603.3% over
service goal)

23.8 days
(delayed by

58.7% over
service goal)

26.8 days
(delayed by

78.7% over
service goal)

11.8 days
(exceeded
service goal
by 21.2%)
Public Works Streets Division staff has cited the aging infrastructure, long lead time for replacement equipment, current staffing levels, and occasional multi-jurisdictional coordination as the main reasons for delay in responding to some of these requests. All safety related issues, including malfunctioning lights, are immediately responded to; however, if the complaint is a signal knockdown, the completion of the request could take weeks or even months to resolve. Staff requested, and was granted, a performance goal extension from 3 days to 15 days for requests that are not considered urgent. Staff have dramatically reduced their response times beginning in year three and have had their best performance yet in the first half of year five with the assistance of the City’s Traffic Engineer.

The City of Oxnard maintains over 165 signalized intersections. The traffic ignal infrastructure is old and needs replacement or updated components that require a significant amount of funding. Due to the age of some of our 518
components, some of the parts needed for repairs can have a substantial lead time. As an example, a replacement signal pole can have a lead time of six months or more depending upon the type. Replacing aging equipment, though expensive, will also reduce the need for frequent repairs as well as maintenance costs. Staff is currently working to create a modern work order system, which will assist in performing and capturing data from inspections and maintenance activities.

The Public Works Traffic Signal Maintenance section continued to experience extreme staff shortages in 2021, with only one position being staffed (of three FTE) for the year. This resulted in a significant delay in responding to Oxnard 311 and other requests for the signal system. A new third party maintenance contract has been obtained with a traffic signal provider to perform preventive maintenance and other work on the traffic signal system. This should help reduce the time it takes to respond to Oxnard 311 requests.

Based upon the first six months of year six, adjustments to the process have resulted in seeing a measurable improvement in this area. If the current trend remains consistent for the rest of year six, this area will see success in meeting the performance goal while addressing more total requests than last year.

R. Street Markings
Total number of requests in the first 5.5 years: 307 (0.3% of all requests) Percentage of requests completed on time: 67.5%
Year 1 Year 2 Year 3 Year 4 Year 5 Year 6
(First Half)
Goal 60 days 60 days 60 days 60 days 60 days 60 days
Number
of
Requests
27 61 61 72 54 32
Average

68.3 days (delayed
by 13.8% over
service goal)

78.9 days (delayed
by 31.5% over
service goal)

83.2 days (delayed
by 38.7% over
service goal)

31.2 days
(exceeded service
goal by 47.9%)

34.3 days
(exceeded
service goal
by 42.8%)

16.0 days
(exceeded
service goal
by 73.3%)
Public Works Streets Division staff has improved the response in the past year and a half and are now meeting or exceeding their service level goal.

S. Curb and Gutter Repair
Total number of requests in the first 5.5 years: 238 (0.2% of all requests) Percentage of requests completed on time: 46.4%
Year 1 Year 2 Year 3 Year 4 Year 5 Year 6
(First Half)
Goal 60 days 60 days 60 days 60 days 60 days 60 days
519
Number
of
Requests

14 51 52 52 42 27
Average
205.7 days (delayed
by 242.8% over
service goal)
150.8 days (delayed
by 151.3% over
service goal)

58.1 days
(exceeded
service goal by

3.2%)

80.1 days (delayed
by 33.5% over
service goal)

37.9 days
(exceeded
service goal
by 36.8%)

29.1 days
(exceeded
service level
by 51.5%)
Public Works Streets Division staff significantly improved their response time during year five and first half of year six and are now exceeding their service level goal.

T. Technical Support & Questions
Total number of requests in the first 5.5 years: 71 (0.1% of all requests) Percentage of requests completed on time: 91.5%
Year 1 Year 2 Year 3 Year 4 Year 5
Year 6
(First
Half)
Goal 6 days 6 days 6 days 6 days 6 days 6 days
Number
of
Requests
20 13 9 10 17 2
Average

61.2 days (delayed by
920.0% over service
goal)

6.7 days
(delayed
by 11.7% over
service goal)

1.2 days (exceeded
service goal by

80.0%)

8.8 days
(delayed by

46.7% over
service goal)

4.4 days
(exceeded
service level by

27.5%)

6.0 days
(meets
service
level)
Poor performance during year one was attributed to one request that took multiple months to complete. For the majority of requests, staff has consistently met the service level goal. However, Oxnard 311 app software-related issues often take more time to resolve than the service level goal allows. For example, when a user submitted a request regarding issues with uploading pictures, Accela had to release a software update patch that took close to a month to develop and release.

With these types of issues, City staff cannot process the request any faster.

Staff are completing requests within the service level goal for year five and the first half of year six.

Summary Table
A summary of the request types, their service level goals, and the performance for each service year can be found in the table immediately below. Each column of the table represents a different service year. Each row represents a different request type. In each cell of the table, the "goal" represents the service level goal in that year for that request type, and each "average" states the average completion time of staff in that year for that request type. For example, in year 2 for abandoned vehicles, the table lists "Goal: 14 , Average: 9." This means that in year 2, the service level goal for abandoned vehicles was 14 working days, but staff was responsive to those requests on an average of 9 working days. 520
Category Year 1 Year 2 Year 3 Year 4 Year 5 Year 6
(First Half)
Goal Avg Goal Avg Goal Avg Goal Avg Goal Avg Goal Avg
Illegal Dumping 3 4.4 3 8.6 3 2.7 3 5.5 3 3.5 3 0.8
Graffiti 3 1.7 3 1.1 3 1.8 3 2 3 2.3 3 2.2
Abandoned Vehicle 14 12.2 14 9 14 9.3 14 9.9 14 9.2 14 7.3 Overgrown Landscape 60 73.7 60 92.5 60 75.1 60 36.7 60 47 60 30.9 Pothole 150 73.3 15/30* 113.4 30 81.7 35 100.1 35 135.9 35 61.8 General Questions 15 41.5 15 45.9 15 42.2 15 30.7 15 15.2 15 16.5 Sidewalk Repair 60 116 60 121.9 60 58.7 60 65.3 60 43.1 60 20.1 Litter 3 14.6 3 24.7 3 20.3 10 12.2 10 17.1 10 9.9
Water Waste and Leaks 4 25.7 4 42.9 4 47.1 4 12.5 4 8.9 4 6.7 Trash and Recycling Service 2 4.3 2 4.5 2 7.5 3 2.4 3 1.7 3 2.6 Assessment District 21 18.9 21 31.6 21 58.6 21 17.9 21 15.4 21 9.5 Animal Safety 2 7.3 2 8.3 2 5.8 7 6.8 7 2.8 7 1.9
Streetlight Out 15 123.6 15 55.9 15 28.5 15 19.1 15 7.0 15 10.1 Street Signs 60 70.5 60 60.9 60 32.3 60 46.6 60 24.8 60 16.8 Traffic - Signal Issues 3 300.5 3 73.9 3 21.1 15 23.8 15 26.8 15 11.8 Tech Support and Questions 6 61.2 6 6.7 6 1.2 6 8.8 6 4.4 6 6 Homeless Encampment NA NA NA NA NA NA 21 7.6 21 6.6 21 4.7 Traffic - General Issues 15 384.7 15 40.5 15 18.2 18 19.1 18 27.1 18 17.3 Street Markings 60 68.3 60 78.9 60 83.2 60 31.2 60 34.3 60 16 Curb and Gutter Repair 60 205.7 60 150.8 60 58.1 60 80.1 60 37.9 60 29.1 *The service level goal for pothole requests was changed in the middle of year two. The first half of year 2 had a service level goal of 15 days. The second half of year 2 had a service level goal of 30 days.

4. Summary
A. Projected Future Use of Oxnard 311
Oxnard staff have communicated with other cities around the country that use the same CRM platform (Accela’s PublicStuff) to estimate what future Oxnard 311 use could look like. Most cities reported a large increase in submitted requests between years one and two as more users discovered the system, which Oxnard experienced. The following years display steady request increases between 7 to 30%, with an average over 9 years of 19%. Oxnard 311 growth appears to be close to following the same trend, as seen by the 21% overall increase in requests submitted between years four and five.

While impossible to predict the exact value of request increases for Oxnard 311, the City should be prepared for continuous growth. The related increase in workload will need to be met with a variety of solutions, including more efficient workflows, additional staff, and potentially increasing service level goals to account for additional work.

B. Changes to Technologically Improve the System
The new Tyler enterprise resource planning (ERP) system will have a significant impact on the Oxnard 311 system.

Requests submitted through Oxnard 311 will automatically generate detailed work orders in the new ERP compared to the minimal request assignments currently created through Accela’s PublicStuff platform. This will allow staff to collect more data related to resources used to complete requests. This in turn will allow City staff to gain new insights through data-rich analysis to better prepare for future workloads. 521
The new ERP system is anticipated to take multiple years to implement. As a temporary solution, the IT Department's GIS Division has created custom work order systems to assist staff in responding to high volume request types. One component of these custom work order systems is computer generated smart routing for vehicle efficiency when responding to requests throughout the City. This technology is still being refined and will ultimately save time and fuel while also reducing response time to requests.

C. Recent Technical Issue & Resolution
In late November, staff learned the 311 mobile app was experiencing technical issues. The app provider, Accela, identified the issue. To resolve it, Android users are to go into the device settings for the app and clear the app's storage/data, then relaunch the app and log back in. iOS users are to log out of the app and log back in; if this is unavailable, iOS users are to uninstall and reinstall the app from the App Store. After taking these steps, if anyone continues to have issues with the app, please visit www.oxnard.org/311 to submit a request via web browser.

To assess whether the technical issue is negatively impacting the community's ability to submit 311 requests, staff compared 311 request submittal volumes from a period prior to the issue to a period after the issue was reported. Both periods show similar request volumes by week and by day. There were a total of 571 requests from November 8-15, 2021, of which 74 were received on November 15 versus a total of 641 requests from January 3-10, 2022, of which 76 were received on January 10.

D. Analysis
In year 5, staff met the service level goals in 13 categories: abandoned vehicles, animal safety, assessment district, curb and gutter repair, graffiti, homeless encampment, overgrown landscape, sidewalk repair, street light out, street markings, street signs, tech support and questions, and trash and recycling services. In the first half of year six, staff met the service level goal in another four categories: illegal dumping, litter, traffic general issues, and traffic signal issues. Assuming a continuation of the same resources, staff will strive to continue on this path with these categories.

There are five request types for staff to focus on for improvements and continuing the successes of the first half of year six:

1. Regarding litter, based upon the first six months of year six, adjustments to the process have resulted in seeing improvement in this area. If the current trend remains consistent for the rest of year six, this area could see success in meeting the performance goal while addressing more total requests than last year. Public Works staff has also identified operation changes (e.g., sweeping operations, increase in service frequency, and adding trash can lids) as a means to reduce trash and subsequently calls for service. However, in the long term, additional dedicated staffing will be required for not just litter abatement, but all other maintenance requests handled by this team.

2. The general questions category was close to meeting the performance goal for year five and the first half of year six. Staff continue to focus on streamlining the reassignment of general questions to the appropriate staff. In addition, new staff have been added to the Oxnard 311 system to assist in completing the requests on time.

3. For potholes, the addition of staffing dedicated to repairing potholes in late 2021 should show positive results for the remainder of year six. Also, the recent purchase of two patch-trucks, which are specific pieces of equipment to increase the efficiency in pothole repairs, will provide a needed resource once they are received. The prioritization of resources that the City Council has dedicated to pavement repair projects, specifically alleyways, in the City’s Capital Improvement Plan will ultimately reduce the reports for pothole repairs. 522

4. For water waste and leaks, funding has been identified to pay for contractors to assist in citywide irrigation repairs as an initial push to address the large backlog of deferred maintenance. Once contracts are in place, this will make a difference in addressing the requests. However, for long term success, an increase in staff is required to fully audit the irrigation systems in each park and ultimately to meet the performance goal. As such, Public Works will be requesting additional staff resources in the next budget cycle.

5. For traffic - general and signal issues - based upon the first six months of year six, adjustments to the process, increase in staffing, and contracting for services have resulted in seeing improvement in this area. If the current trend remains consistent for the rest of year six, this area will see success in meeting the performance goal while addressing more total requests than last year. These changes will be monitored to continue the success seen in the first six months of year six.

STRATEGIC PRIORITIES

This agenda item supports the Quality of Life strategy. The purpose of the Quality of Life strategy is to build relationships and create opportunities within the community for safe and vibrant neighborhoods, which will showcase the promising future of Oxnard.

This agenda item supports the Organizational Effectiveness strategy. The purpose of the Organizational Effectiveness strategy is to strengthen and stabilize the organizational foundation of the City in the areas of Finance, Information Technology, and Human Resources, and to improve workforce quality while increasing transparency to the public.

FINANCIAL IMPACT

There is no financial impact.

COMMITTEE OUTCOME

The Community Services, Public Safety, Housing & Development Committee approved 3-0 on January 11, 2022, to approve the staff recommendation and to forward the item for Council approval.

Prepared by: Mike Shaffer, IT Manager

ATTACHMENTS

1. 311 presentation
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1 PERFORMANCEUPDATE FORSERVICE YEAR 5 & FIRST HALF OF SERVICE YEAR 6 (5/1/20-10/31/21)
Mike Shaffer, IT Manager – GIS
Helen Miller, Chief Information Officer
524
96,804Launched
2 12,028
2016
Requests Submitted DOWNLOADS
525
3 Continued
Success
Streamlined Access to Services
Increased Transparency
Increased Accountability
526
4 App Downloads
527
5 Requests Submitted
528
6 Illegal Dumping - 35,577
Graffiti - 21,913Abandoned
Vehicles
10,368
Requests Submitted
529
35,577 Illegal Dumping Requests
7 before
after
530
35,577 Illegal Dumping Requests
8 before
after
Goal = 3 Days Avg = 4.2 Days
Goal
531
9 532
21,913 Graffiti Requests
10 533
21,913 Graffiti Requests
11 Goal = 3 Days Avg = 1.9 Days
Goal
534
12 535
10,368 Abandoned Vehicle Requests
13 536
10,368 Abandoned Vehicle Requests
14 Goal = 14 Days Avg = 9.5 Days
Goal
537
15 538
Overall Service Category Performance
16 539
Focus Areas for Improvement and Continued Success
17 1. Litter - Parks management is requesting funding for additional staff to assist with these requests. Staff are also adding or increasing street sweeping services to parking lots and repairing trash cans to prevent trash from spilling.

2. General Questions - New staff members have been added to assist in completing these request types.

3. Potholes - Additional staff dedicated to pothole repairs were added in late 2021 along with the purchase of two
“patch truck” vehicles. CIP pavement resurfacing projects will also reduce the number of pothole requests.
540
Focus Areas for Improvement and Continued Success
18 4. Water Waste and Leaks - Funding has been identified to pay for contractors to assist in citywide irrigation repair. An increase in staff is still required to meet the performance goal given the total number of parks in the City. Public Works will be requesting additional staff resources in the next budget cycle.

5. Traffic - General and Signal Issues - Additional staff and contracting services have been added to assist with this request type.
541
Recent Technical Issue & Resolution
19 Our app service provider, Accela, identified an issue preventing use of the Oxnard 311 app. To resolve:
● Android Users: Go into device settings for the app and clear the app's storage/data, then relaunch the app and log back in.
● iOS Users: Log out of the app and log back in; if this feature is still not accessible, uninstall and reinstall the app from the App Store.

If you continue to have issues with the app, please visit www.oxnard.org/311 to submit a request via your web browser 542
311 Mobile App - Multi Language Capability
20 17 Languages Available
• English, Spanish, Arabic, Chinese, French, German, Greek, Hindu, Italian, Japanese, Korean, Polish, Portuguese, Russian, Serbian, Spanish, Turkish, Vietnamese
Apple & Android phones & tablets
• User must change their device’s preferred language
setting
• 311 menu options with City website links require
resident to manually select their preferred language;
limited to City’s public website language options
• 311 menu options with City entered static content;
e.g. Public Persons, are not translated. City staff is
researching remediation options with the vendor.
543
Questions?
21 544

CITY COUNCIL AGENDA REPORT

REPORTS
AGENDA ITEM NO. K.3

DATE: February 1, 2022

TO: City Council

FROM: Emilio Ramirez, Housing Director, (805) 385-8094, [email protected]

SUBJECT: Designation of Fifty-Three Parcels as Surplus Lands. (0/10/5)

RECOMMENDATION

1. That the City Council adopt a resolution.
a. affirming the City Council’s declaration of certain surplus lands described in Exhibit A to the Resolution; b. authorizing the City Manager or designee to send notices of availability as to the surplus lands; and c. authorizing the City Manager or designee to do all things which are deemed necessary or proper to effectuate the purposes of the Resolution, including but are not limited to, negotiating in good faith in accordance with the requirements of the Surplus Land Act.

2. That the Parking Authority adopt a resolution.
a. affirming the Parking Authority’s declaration of certain surplus lands described in Exhibit A to the Resolution; b. authorizing the City Manager or designee to send notices of availability as to the surplus lands; and c. authorizing the City Manager or designee to do all things which are deemed necessary or proper to effectuate the purposes of the Resolution, including but are not limited to, negotiating in good faith in accordance with the requirements of the Surplus Land Act.

Please click the following link to view the required Measure M pre-recorded presentation video: https://youtu.be/lR7OBTgo4EQ

BACKGROUND

INTRODUCTION
Last year, staff began a process to evaluate and prioritize the various city-owned parcels, with a focus on downtown sites.

The City of Oxnard and related entities own over 700 parcels, many of which are used for agency use such as parks, firestations and other city buildings to serve the community. This will be the first report, which we intend to do annually, where staff will report on parcels we own, and in some cases request council authorization to designate specific parcels as “surplus land.” The Surplus Land Act defines surplus land as land owned in fee simple by any local agency for which the local agency’s governing body takes formal action in a regular public meeting declaring that the land is surplus and is not necessary for the agency’s use. This staff report identifies fifty-three parcels of real property owned by the City of Oxnard and related entities as “surplus land.”
545
Assembly Bill 1486 (the “Law”) requires a local agency to annually report on surplus land held by the local agency. The intent of this legislation was, among other things, to improve the process for providing notice of surplus land to facilitate the development of affordable housing around the State. The Law requires that any land “not necessary for the agency’s use” be declared surplus prior to disposition of the land. “Agency’s use” is defined in the Law as land that is used or planned to be used for the agency’s work or operations. As defined in the Law, "agency use" expressly excludes commercial or industrial uses, such as non-government retail, entertainment, or office development. If an agency disposes of land to finance such a project or activity, that disposition must go through the surplus land process under the Law. This report includes a list of properties owned by the City, and by the Parking Authority (collectively “Local Agencies”) that staff recommends be designated as surplus land.

SURPLUS LAND PROCESS
Notice of Availability
The Local Agencies must undergo the following two-part process for all properties that have been declared surplus. First, the Local Agencies will contact the California Department of Housing and Community Development (“HCD”) to obtain a list of all Housing Sponsors who have expressed an interest to HCD in developing affordable housing. Housing sponsors, as defined by Health and Safety Code section 50074, are those developers that have completed the California Housing and Finance Agency’s (CAL HFA) Self Certification as a Housing Sponsor form. The Local Agencies would then need to prepare and send a notice of availability for the relevant “surplus land” to the Housing Sponsors on HCD’s list, other public agencies, and HCD prior to any solicitation or negotiation with other developers or interested parties.

As part of the proposed action, staff seeks authorization for the City Manager or designee to send written notices of availability to appropriate public agencies and prospective Housing Sponsors and enter into good faith negotiations with any interested parties that respond to the notice within the established time frame. Recipients of the notice will have sixty days to indicate their interest in the purchase of the surplus land. If a recipient timely expresses interest in the purchase, the subject Local Agency must enter into good faith negotiations for a period of not less than ninety days. Although the City is prohibited from negotiating certain terms (such as preventing residential use, reducing density, or imposing design requirements making affordable housing not viable), the City would not be required to approve any discretionary entitlements. The Local Agencies are also not required to sell the land to the interested party. If more than one of the entities expresses an interest, then priority must go to the project with the most affordability. If terms are not agreed upon between the interested party and the Local Agency within this ninety-day period of good faith negotiations, the Local Agency may negotiate with any other developers or interested parties for the disposition of the surplus land. Staff will return to the City Council and/or Parking Authority to request authorization to execute a negotiated disposition agreement with an interested party and submit required documentation to HCD, as described later in this report, prior to the disposition of a surplus site.

The Law expresses a preference for residential uses and particularly affordable housing. With certain exceptions, the Local Agencies cannot disallow a residential site as a condition of disposal of property. Additionally, if the surplus property is sold to an entity intending to develop ten or more residential units, at least fifteen percent of the property must be restricted as affordable units. No consideration is made in the Law regarding the existing general plan or zoning limits, nor does the Law supersede local land use control.

Notice to HCD
Prior to any disposition of property, the Local Agencies are required to submit to HCD a form describing the actions taken, including sending notices of availability and any negotiations conducted. If the private project includes ten or more housing units, then affordable housing restrictions must also be submitted for review. HCD should respond to the Local Agencies within thirty days of receiving the notice. During this period, HCD will inform the Local Agencies of any perceived failure to comply with the surplus land process. If HCD does not respond within thirty days, then the Local Agencies would be deemed to comply.

Remedial Action
If HCD informs the Local Agencies of any perceived failure to comply with the surplus land process, then the Local 546
Agencies must resolve the issue. If the Local Agencies disposes of the property in violation of the Law, then it will be required to pay as a penalty thirty percent of the sales price into an affordable housing fund and rising to fifty percent for every subsequent violation.

Disposal of Property
Finally, the Local Agencies may dispose of the property to the entity per the negotiated agreement.

Annual Report
The Law requires the City of Oxnard to report on the list of surplus lands annually, which is due April 1 of each year.

PROPOSED SURPLUS LAND (NEW DECLARATION)
Oxnard Surplus Land, included as an attachment to this staff report, describes property owned by the Local Agencies that staff recommends be designated as surplus land. In total there are fifty-three parcels included on this list. However, staff will only issue a Notice of Availability on 27 of the 53 parcels in 2022 to allow staff to focus on negotiations for the first 27 parcels. Notices of Availability for the remaining 26 parcels are not anticipated until 2023 at the earliest.

Upon receiving authorization from the governing board of the Local Agency to issue Notices of Availability for the properties recommended to be designated as surplus land, staff intends to coordinate with the City Manager’s office and begin issuing notices of availability for the following twenty-seven parcels included in the list of Oxnard Surplus Land:

1. The properties described as “Plaza Park North,” inclusive of nine parcels owned by the Oxnard Parking Authority and six parcels owned by the City which includes the former Social Security Building located at 425 S. B Street in Downtown Oxnard.

2. The properties described as “Plaza Park East,” inclusive of four parcels owned by the Oxnard Parking Authority and five parcels owned by the City in Downtown Oxnard.

3. The property described as “Petting Zoo,” inclusive of one parcel owned by the City of Oxnard located in Downtown Oxnard.

4. The property described as “Former Gull’s Wing Museum” inclusive of one parcel owned by the City of Oxnard located at 418 W. 4th Street in Downtown Oxnard.

5. The property described as “Riverpark,” inclusive of one parcel owned by the City located within the City’s River Park Specific Plan Area. As part of the notice released to interested parties, the City will require interested parties to agree to grant the City an easement to access adjacent property owned by the City.

The remaining 26 parcels are part of two separate projects, including the "Oxnard Transit Center Fourth and Oxnard Boulevard" and "Plaza Park South & Laundromat."
Environmental Analysis
The proposed action will not cause a direct physical change in the environment, nor a reasonably foreseeable indirect physical change in the environment. This action, therefore, does not constitute the approval of a project under the California Environmental Quality Act (“CEQA”), and it is exempt from CEQA. (Pub. Res. Code §21065, CEQA Guidelines §§15060(c), (2)(3); 15061(b)(3); 15064(d)(3); 15378(a).)

STRATEGIC PRIORITIES

This agenda item supports Economic Development strategy. The purpose of the Economic Development strategy is to focus on the retention and expansion of Oxnard businesses by increasing the skills and employability of our local workforce, inviting new business investments, and target site-based redevelopment opportunities.

547

FINANCIAL IMPACT

There are no immediate financial impacts relative to the recommended action. Some minimal direct costs will be incurred due to notices that must be mailed to the State, other agencies, and registered developers notifying them of the Local Agencies’ surplus property list. The City of Oxnard will be responsible for paying for these and any related costs. The following account: 101-4101-804-8209 will be used to pay for these expenditures. Staff may return to the governing board of the Local Agencies to seek authorization for additional expenditures associated with any future negotiations and disposition agreements with interested parties that may follow after the initial sixty-day notice period.

COMMITTEE OUTCOME

The Community Services, Public Safety, Housing & Development Committee recommends approval (2-1).

Prepared by: Emilio Ramirez, Housing Director

ATTACHMENTS

1. Oxnard List of Surplus Land

2. Presentation

3. City Council Resolution

4. Parking Authoirty Resolution

5. Surplus Land Act Guidelines
548

OXNARD SURPLUS LAND
December 2021
549

OXNARD TRANSIT CENTER FOURTH STREET & OXNARD BLVD

CURRENT USE

PARKING
PARCEL

NUMBER ADDRESS SIZE
(ACRES) Owner GENERAL PLAN

DESIGNATION ZONING
201021138 Address Not Assigned .413 City Downtown Downtown Core 201016012 400 South Oxnard Boulevard .14 City Downtown Downtown Core 201016013 Address Not Assigned .169 City Downtown Downtown Core 201016011 127 Enterprise Street .18 City Downtown Downtown Core 201016010 135 Enterprise Street .126 City Downtown Downtown Core 201016009 147 Enterprise Street .101 City Downtown Downtown Core 550

OXNARD TRANSIT CENTER FOURTH STREET & OXNARD BLVD

CURRENT USE

PARKING
PARCEL

NUMBER ADDRESS SIZE
(ACRES) Owner GENERAL PLAN

DESIGNATION ZONING
201016008 151 Enterprise Street .094 City Downtown Downtown Core 201016007 157 Enterprise Street .018 City Downtown Downtown Core 201021130 136 Enterprise Street .22 City Downtown Downtown Core 201021104 Address Not Assigned .07 City Downtown Downtown Core 201021136 Address Not Assigned .092 City Downtown Downtown Core 201021122 Address Not Assigned .05 City Downtown Downtown Core 551

OXNARD TRANSIT CENTER FOURTH STREET & OXNARD BLVD

CURRENT USE

PARKING
PARCEL

NUMBER ADDRESS SIZE
(ACRES) Owner GENERAL PLAN

DESIGNATION ZONING
201021123 Address Not Assigned .05 City Downtown Downtown Core 201021115 135 East Fifth Street .05 City Downtown Downtown Core 201021114 Address Not Assigned .05 City Downtown Downtown Core 201021113 Address Not Assigned .05 City Downtown Downtown Core 201021112 159 East Fifth Street .10 City Downtown Downtown Core 201021111 Address Not Assigned .04 City Downtown Downtown Core 552

PLAZA PARK NORTH

CURRENT USE

PARKING AND VACANT BUILDING
PARCEL

NUMBER ADDRESS SIZE
(ACRES) Owner GENERAL PLAN

DESIGNATION ZONING
202010121 Address Not Assigned .32 Parking Authority Downtown Downtown Core 202010123 Address Not Assigned .05 Parking Authority Downtown Downtown Core 202010120 Address Not Assigned .05 City Downtown Downtown Core 202010122 Address Not Assigned .009 City Downtown Downtown Core 202010143 Address Not Assigned .01 City Downtown Downtown Core 202010137 Address Not Assigned .01 Parking Authority Downtown Downtown Core 553

PLAZA PARK NORTH

CURRENT USE

PARKING AND VACANT BUILDING
PARCEL

NUMBER ADDRESS SIZE
(ACRES) Owner GENERAL PLAN

DESIGNATION ZONING
202010135 Address Not Assigned .01 Parking Authority Downtown Downtown Core 202010133 Address Not Assigned .01 Parking Authority Downtown Downtown Core 202010131 Address Not Assigned .01 Parking Authority Downtown Downtown Core 202010129 Address Not Assigned .04 Parking Authority Downtown Downtown Core 202010127 Address Not Assigned .01 Parking Authority Downtown Downtown Core 554

PLAZA PARK NORTH

CURRENT USE

PARKING AND VACANT BUILDING
PARCEL

NUMBER ADDRESS SIZE
(ACRES) Owner GENERAL PLAN

DESIGNATION ZONING
202010125 Address Not Assigned .01 Parking Authority Downtown Downtown Core 202010136 Address Not Assigned .007 City Downtown Downtown Core 202010140 Address Not Assigned .02 City Downtown Downtown Core 202010141 425 South B Street .33 City Downtown Downtown Core 555

PLAZA PARK EAST

CURRENT USE

PARKING
PARCEL

NUMBER ADDRESS SIZE
(ACRES) Owner GENERAL PLAN

DESIGNATION ZONING
202010524 Address Not Assigned .22 Parking Authority Downtown Downtown Core 202010522 Address Not Assigned .07 Parking Authority Downtown Downtown Core 202010520 Address Not Assigned .07 Parking Authority Downtown Downtown Core 202010512 538 South B Street .08 City Downtown Downtown Core 202010518 Address Not Assigned .44 Parking Authority Downtown Downtown Core 202010523 Address Not Assigned .02 City Downtown Downtown Core 556

PLAZA PARK EAST

CURRENT USE

PARKING
PARCEL

NUMBER ADDRESS SIZE
(ACRES) Owner GENERAL PLAN

DESIGNATION ZONING
202010521 Address Not Assigned .0068 City Downtown Downtown Core 202010519 Address Not Assigned .0068 City Downtown Downtown Core 202010517 Address Not Assigned .04 City Downtown Downtown Core 557

PLAZA PARK SOUTH & LAUNDROMAT

CURRENT USE

PARKING AND VACANT BUILDING
PARCEL

NUMBER ADDRESS SIZE
(ACRES) Owner GENERAL PLAN

DESIGNATION ZONING
202010311 Address Not Assigned .02 City Downtown Downtown Core 202010302 Address Not Assigned .12 Parking Authority Downtown Downtown Core 202010318 Address Not Assigned .06 Parking Authority Downtown Downtown Core 202010322 Address Not Assigned .01 City Downtown Downtown Core 202010321 318 West Fifth Street .10 City Downtown Downtown Core 202010320 Address Not Assigned .08 Parking Authority Downtown Downtown General
558

PLAZA PARK SOUTH & LAUNDROMAT

CURRENT USE

PARKING AND VACANT BUILDING
PARCEL

NUMBER ADDRESS SIZE
(ACRES) Owner GENERAL PLAN

DESIGNATION ZONING
202010314 Address Not Assigned .11 Parking Authority Downtown Downtown General
202010313 321 West Sixth Street .06 City Downtown Downtown General
559

PETTING ZOO

CURRENT USE

VACANT LAND
PARCEL

NUMBER ADDRESS SIZE
(ACRES) Owner GENERAL PLAN

DESIGNATION ZONING
202010440 Address Not Assigned .18 City Downtown Downtown Core 560
FORMER GULL’S WING MUSEUM

CURRENT USE

VACANT BUILDING
PARCEL

NUMBER ADDRESS SIZE
(ACRES) Owner GENERAL PLAN

DESIGNATION ZONING
202008519 418 West Fourth Street .18 City Downtown Downtown Core 561

RIVER PARK

CURRENT USE

VACANT LAND
PARCEL

NUMBER ADDRESS SIZE
(ACRES) Owner GENERAL PLAN

DESIGNATION ZONING
132003301 Address Not Assigned 1.40 City COMMERCIAL

REGIONAL

RIVERPARK

SPECIFIC PLAN
562
Emilio Ramirez
Housing Director
City Council
February 1, 2022
Surplus Land
563
Introduction
2 1. Assembly Bill (“AB 1486” or the “Law”) requires a local agency to annually report on surplus lands held by the local agency in an Annual Report, this report is due annually on April 1st. The Law requires that any land “not necessary for the agency’s use” be declared surplus prior to disposition of the land.

2. “Agency Use” excludes commercial or industrial uses, such as non-government retail, entertainment, or office development. If an agency disposes of land to finance such a project or activity, that disposition must go through the surplus land process under the Law.

3. As part of the surplus land act process, a local agency must first make property declared as surplus available to affordable housing developers (Housing Sponsors) interested in developing affordable housing and other public agencies who have registered with the California Department of Housing and Community Development (“HCD”) as “interested parties” prior to making them available for purchase or lease by other parties.
564
Introduction -Continued
3 4. This report includes a list of properties owned by the City, and by the Parking Authority (collectively, “Local Agencies”) that staff recommends be designated as surplus land. In some cases, other property owned by the Local Agencies is still being evaluated by staff to determine whether or not it is necessary for the Local Agency's use. Those properties have not been included in this report. 565
Surplus Land Process
4 Once the properties recommended by staff are declared as surplus via resolution from the Local Agency’s governing body, the following steps must be taken by the City to comply with the Surplus Land Act:

1. The Local Agencies must obtain a list of “interested parties” from HCD that have expressed interest in developing affordable housing and send those parties a “Notice of Availability.”

2. Recipients of the notice have 60 days to indicate their interest in the purchase of the surplus land. If a recipient timely expresses interest in the purchase, the Local Agencies must enter into good faith negotiations for a period of not less than 90 days. However, the Local Agencies are not required to sell the property to any interested party and the City is not required to approve any discretionary entitlements.

3. If terms are not agreed upon between the interested party and the Local Agencies within the 90-day period of good faith negotiations, the Local Agencies may negotiate with any other developers or interested parties for the disposition of the surplus land.

4. If the any surplus property is sold to an entity intending to develop 10 or more residential units, at least 15 percent must be restricted as affordable units. 566
Surplus Land Process
5 5. Before the Local Agency moves forward with disposition of a surplus property to an “interested party” the Local Agency is required to submit a form to HCD describing the Local Agency’s compliance with the Surplus Land Act requirements, including applicable affordable housing restrictions. HCD has 30 days to respond to confirm the Local Agency’s compliance with Surplus Land Act requirements or to inform the Local Agency of any perceived failure to comply.

6. Upon receiving HCD approval the Local Agency may dispose of the property per the negotiated agreement.

7. If the Local Agency disposes of a property in violation of the Surplus Land Act, the Local Agency is required to pay a penalty of 30% of the sales price into an affordable housing fund, rising to 50% for every subsequent violation.

8. As part of the recommended action under this staff report, staff seeks authorization for the City Manager or designee to send out written notices of availability to appropriate public agencies and prospective affordable housing developers, and enter into good faith negotiations with any interested parties that respond to the notice within the established time frame.
567
Surplus Land Process
6 9. City staff will return to the governing body of the local agency to request authorization to execute a negotiated disposition agreement with an interested party and submit required documentation to HCD, prior to disposition of a surplus site to an interested party.
568
Proposed Surplus Land Declaration
7 A. A list of all properties recommended by staff to be declared as Surplus Land is included as attachment to the staff report. The list includes fifty-three (53) parcels, all of which are located in Downtown Oxnard, except for two parcels, which are located within the River Park Specific Plan area.

B. Upon receiving authorization from the governing board of the Local Agency to issue Notices of Availability, staff will begin issuing notices for the twenty-seven (27) parcels described in the next slide. Notices of Availability for the remaining twenty-six (26) properties recommended to be declared surplus will be sent out at a later date. 569
Proposed Surplus Land Declaration
8 Notices of Availability will be sent to interested parties for the properties described in the Oxnard List of Surplus Land as:

1. “Plaza Park North,” inclusive of nine (9) parcels owned by the Oxnard Parking Authority and six (6) parcels owned by the City, which includes the former Social Security Building located at 425 S. B Street in Downtown Oxnard.

2. “Plaza Park East,” inclusive of four (4) parcels owned by the Oxnard Parking Authority and five (5) parcels owned by the City in Downtown Oxnard.

3. “Petting Zoo,” inclusive of one (1) parcel owned by the City of Oxnard located at 431 S. A Street in Downtown Oxnard.

4. “Former Gull’s Wing Museum” inclusive of one (1) parcel owned by the City of Oxnard located at 418 W. 4th Street in Downtown Oxnard.

5. “River Park,” inclusive of one (1) parcel owned by the City located within the City’s River Park Specific Plan Area. As part of the notice released to interested parties, the City will require interested parties to agree to grant the City an easement to access adjacent property owned by the City.
570
Proposed Surplus Land Declaration
9 The remaining 26 parcels are part of two separate projects, including the “Oxnard Transit Center Fourth and Oxnard Boulevard” and “Plaza Park South & Laundromat.” 571
Plaza Park North
10 E. Fourth St.
572
Plaza Park East
11 E. Fourth St.

W. Fifth St.
573
Petting Zoo
12 E. Fourth St.

W. Fifth St.

S. A St.

S. B St.
574
Former Gull Wing Museum
13 E. Fourth St.

W. Fifth St.

S. A St.

S. B St.

W. Fourth St.

W. Fifth St.
575
River Park
14 E. Fourth St.

W. Fifth St.

S. A St.

S. B St.

W. Fourth St.

W. Fifth St.
576
Oxnard Transit Center
15 E. Fourth St.

W. Fifth St.

S. A St.

S. B St.

W. Fourth St.

W. Fifth St.
577
Plaza Park South and Laundromat
16 E. Fourth St.

W. Fifth St.

S. A St.

S. B St.

W. Fourth St.

W. Fifth St.
578
Recommendation
17 Staff recommends that:

1. City Council adopt a resolution (i) affirming the City Council’s declaration of certain surplus lands described in Exhibit A to the Resolution in light of Assembly Bill 1486 as surplus property, (ii) authorizing the City Manager or designee to send notices of availability as to the surplus lands, and (iii) authorizing the City Manager or designee to do all things which are deemed necessary to vary out the purposes of the Resolution, including but are not limited to, negotiating in good faith in accordance with the requirements of the Surplus Land Act.

2. Parking Authority adopt a resolution (i) affirming the Parking Authority’s declaration of certain surplus lands described in Exhibit A to the Resolution in light of Assembly Bill 1486 as surplus property, (ii) authorizing the City Manager or designee to send notices of availability as to the surplus lands, and (iii) authorizing the City Manager or designee to do all things which are deemed necessary to carry out the purposes of the Resolution, including but are not limited to, negotiating in good faith in accordance with the requirements of the Surplus Land Act.
579

A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF OXNARD DECLARING

CERTAIN CITY-OWNED REAL PROPERTIES TO BE SURPLUS PURSUANT TO GOVERNMENT CODE SECTION 54220, ET SEQ.

WHEREAS, the Surplus Property Land Act, Government Code Section 54220, et seq., defines surplus property as land owned by any local agency that is not necessary for the agency’s use; and WHEREAS, staff has completed a review of City-owned property and has identified certain sites that may not be necessary for the City’s use as defined in state law; and WHEREAS, the passage of this resolution will not cause a direct physical change in the environment, nor a reasonably foreseeable indirect physical change in the environment; this action, therefore, does not constitute the approval of a project under the California Environmental Quality Act (“CEQA”), and it is exempt from CEQA. (Pub. Res. Code §21065, CEQA Guidelines §§15060(c), (2)(3);15061(b)(3);15064(d)(3); 15378(a)).

NOW, THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF OXNARD:

SECTION 1. Those certain City -owned properties, and any rights, title, and interest therein, listed in Exhibit A, and referenced as “Owner” - “City”, of this resolution are declared surplus pursuant to Government Code Section 54220 et seq.

SECTION 2. The City Manager or designee is authorized to prepare and send all notices required by state law related to the declaration of the above-identified surplus property including, without limitation, notices of availability of the surplus property as provided for by state law.

SECTION 3. The City Manager or designee is authorized to do all things which are deemed necessary or proper to effectuate the purposes of this Resolution. Such actions include, but are not limited to, negotiating in good faith in accordance with the requirements of the Surplus Land Act.

SECTION 4. The passage of this resolution will not cause a direct physical change in the environment, nor a reasonably foreseeable indirect physical change in the environment; this action, therefore, does not constitute the approval of a project under the California Environmental Quality Act (“CEQA”), and it is exempt from CEQA. (Pub. Res. Code §21065, CEQA Guidelines §§15060(c), (2)(3); 15061(b)(3); 15064(d)(3); 15378(a)).

PASSED, APPROVED AND ADOPTED this ___ day of ______, 2021, by the following vote:

AYES:

NOES:

ABSTAIN:

ABSENT:
580

ATTEST:

Rose Chaparro, City Clerk

APPROVED AS TO FORM:

Stephen Fischer, City Attorney

John C. Zaragoza, Mayor

581

A RESOLUTION OF THE PARKING AUTHORITY OF THE CITY OF OXNARD

DECLARING CERTAIN PARKING AUTHORITY-OWNED REAL PROPERTIES TO BE SURPLUS PURSUANT TO GOVERNMENT CODE SECTION 54220, ET SEQ.

WHEREAS, the Surplus Property Land Act, Government Code Section 54220, et seq., defines surplus property as land owned by any local agency that is not necessary for the agency’s use; and WHEREAS, staff has completed a review of Parking Authority-owned property and has identified certain sites that may not be necessary for the Parking Authority’s use as defined in state law; and WHEREAS, the passage of this resolution will not cause a direct physical change in the environment, nor a reasonably foreseeable indirect physical change in the environment; this action, therefore, does not constitute the approval of a project under the California Environmental Quality Act (“CEQA”), and it is exempt from CEQA. (Pub. Res. Code §21065, CEQA Guidelines §§15060(c), (2)(3); 15061(b)(3); 15064(d)(3); 15378(a)).

NOW, THEREFORE, BE IT RES OLVED BY THE PARKING AUTHORITY OF THE CITY OF OXNARD:

SECTION 1. Those certain Parking Authority-owned properties, and any rights, title, and interest therein, listed in Exhibit A, and referenced as “Owner” - “Parking Authority”, of this resolution are declared surplus pursuant to Government Code Section 54220 et seq.

SECTION 2. The City Manager or designee is authorized to prepare and send all notices required by state law related to the declaration of the above-identified surplus property including, without limitation, notices of availability of the surplus property as provided for by state law.

SECTION 3. The City Manager or designee is authorized to do all things which are deemed necessary or proper to effectuate the purposes of this Resolution. Such actions include, but are not limited to, negotiating in good faith in accordance with the requirements of the Surplus Land Act.

SECTION 4. The passage of this resolution will not cause a direct physical change in the environment, nor a reasonably foreseeable indirect physical change in the environment; this action, therefore, does not constitute the approval of a project under the California Environmental Quality Act (“CEQA”), and it is exempt from CEQA. (Pub. Res. Code §21065, CEQA Guidelines §§15060(c), (2)(3); 15061(b)(3);15064(d)(3); 15378(a)).

PASSED, APPROVED AND ADOPTED this ___ day of ______, 2021, by the following vote:

AYES:

NOES:

ABSTAIN:

ABSENT:
582

ATTEST:

Rose Chaparro, City Clerk

APPROVED AS TO FORM:

Stephen Fischer, City Attorney

John C. Zaragoza, Mayor

583
Surplus Land Act Guidelines
FINAL
Gavin Newsom, Governor
S
tate of California
L
ourdes M. Castro Ramír ez, S ec retary
Business, Consumer Services and Housing Agency
Gustavo Velasquez, Director
C
alifornia Department of Housing and Community Development 202
0 West El Camino Avenue, Suite 500
Sacramento, CA 95833
916-263-7400
April 2021
584
2 2
Contents
ARTICLE I. PROGRAM OVERVIEW .............................................................................. 4 Sect
ion 101. Guidelines ................................................................................................... 4 S
ection 102. Definitions… ............................................................................................... 5 S
ection 103. Exemptions ............................................................................................... 10 ARTI
CLE II. SURPLUS LAND ....................................................................................... 13 Sect
ion 200. Surplus Land Determination Process ....................................................... 13 Sect
ion 201. Notice of Availability ................................................................................. 13 Sect
ion 202. Disposal of Surplus Land for Affordable Housing ..................................... 14 Sect
ion 203. Bidding Requirements for Exempt Surplus Land for Affordable Housing. 21 A
RTI
CLE III. REQUIREMENTS TO BE PLACED ON SURPLUS LAND FOR
AFFORDABLE HOUSING ............................................................................................ 21

Section 300. Requirements When an Entity Proposes to use the Surplus Land for Developing Affordable Housing ..................................................................................... 21

ARTICLE IV. REPORTING REQUIREMENTS .............................................................. 22 S
ection 400. Local Agency Reporting Requirements .................................................... 22 A
RTICLE V. PERFORMANCE MONITORING AND PENALTIES ................................. 24 Section 500. HCD Monitoring, Recording, and Reporting .............................................. 24 S
ection 501. Penalties ................................................................................................ ... 25 Section 502. Private Enforcement ................................................................................. 27 585
3 3

OVERVIEW
Article I summarizes the purpose and scope of the Surplus Land Act (SLA) by identifying the objectives of the Guidelines and defining key terms within the law. This section also defines lands exempt from the provisions of the SLA.

Article II describes the mechanisms for identifying and disposing of surplus lands. This Article also describes requirements for developments built upon disposed surplus land, surplus land in which no sale took place under the auspices of the SLA, and requirements for affordable housing on surplus land that is developed at a later date.

Article III identifies the affordable housing requirements for developments built upon disposed surplus land.

Article IV summarizes the notification, recording, and reporting requirements to the California Department of Housing and Community Development (HCD) under the SLA.

Article V explains HCD’s obligations to monitor local agency compliance with the SLA and identifies the escalating penalties associated with noncompliance. 586
4 4
ARTICLE I. PROGRAM OVERVIEW
Assembly Bill (AB) 1486 (Statutes of 2019, Chapter 664) and AB 1255 (Statutes of 2019, Chapter 661) made changes to the SLA found in Government Code, Title 5, Division 2, Part 1, Chapter 5, Article 8. Surplus Land. Generally, the purpose of the amendments is to promote affordable housing development on unused or underutilized public land throughout the state to respond to the existing affordable housing crisis. The amendments to the SLA adopted with AB 1486 and AB 1255 clarify and strengthen reporting and enforcement provisions of the SLA to promote increased compliance with the SLA.

AB 1486
took effect January 1, 2020.

As of that date, HCD began reviewing notices that local agencies are required to send by email or certified mail pursuant to Government Code Section 54222(a)(1) and examining complaints and other information received or requested to confirm compliance with the SLA pursuant to Government Code Section 65585.1. As of that date, HCD also began collecting (in Table G of the Housing Element Annual Progress Report (APR)) information on jurisdiction- owned sites identified in the housing element sites inventory, and subsequently disposed of by the jurisdiction.

As of
January 1, 2021, HCD was required to begin implementing Government Code Section 54230.5, including, but not limited to, adopting these Guidelines; reviewing each local agency’s description of the notices of availability sent, negotiations conducted with any responding entities, and copies of any restrictions to be recorded against the property pursuant to Government Code Sections 54233 or 54233.5; submitting written findings to local agencies; and, if necessary, assessing penalties, in conjunction with the Attorney General, to local agencies that dispose of surplus property in violation of the SLA.

Note
: Authority cited: Government Code Section 54230, subdivision (c), Section 54230.5, subdivision (b)(2)(D). Reference cited: Government Code Section 54222, Section 54230, Section 54230.5(b)(2)(A), Section 54233, Section 54233, Section 54233.5, Section 65585.1.

Secti
on 101. Guidelines

(a) These SLA Guidelines (hereinafter “Guidelines”) implement, interpret, and make specific the text of the SLA. The forms linked in the Appendices of these Guidelines may be updated from time to time upon approval by the Director of HCD or the Director’s designee.

(b) These Guidelines establish and revise terms, conditions, forms, and procedures for the proper identification and disposition of various types of surplus land, as well as provide detail on expectations and sanctions related to SLA compliance. Major actors and their responsibilities include:

(1) Local agencies:

A) Prov
ide notices of availability of surplus land for lease or purchase to local public entities and housing sponsors as required by Government Code Section 54222 on the form provided in Appendix A;
587
5 5
B) Where applicable, receive notices of interest from entities desiring to purchase or lease surplus land and negotiate with entities in good faith;

C) Pr
ovide HCD with descriptions of the notices of availability sent, and negotiations conducted with any responding entities, regarding the disposal of the parcel of surplus land on the form provided in Appendix B;

D) For
ward to HCD a copy of any restrictions to be recorded against the surplus land pursuant to Government Code Section 54233 or 54233.5, whichever is applicable, in the form prescribed by HCD in Appendix B; and

E) If
the local agency is a city or county, beginning April 1, 2021, the local agency must report annually information about all locally owned surplus land sites pursuant to Government Code Section 54230. Reporting shall be in table H of the APR in accordance with APR instructions.

(2) Housing sponsors, as defined by Section 50074 of the Health and Safety Code, may notify HCD of their interest in surplus land pursuant to Government Code Section 54222(a)(1) using the survey in Appendix D.

(3) HCD will maintain updates of interested housing sponsors and inventories of publicly owned surplus land and a list of notices of availability.

Not
e: Authority cited: Government Code Section 54230, subdivision (c), Section 54230.5, subdivision (b)(2)(D). Reference cited: Government Code Section 54221, Section 54222, Section 54230, Section 54230.5, subdivision (b)(2)(A), Section 54230.5, subdivision (b)(2)(D), Section 54233, Section 54233.5; Health and Safety Code Section 50074.

Sect
ion 102. Definitions

Al
l terms not defined below shall, unless their context suggests otherwise, be interpreted in accordance with the meanings of terms provided in the SLA and Article 10.6 of Government Code Sections 65580 – 65589.11 (housing elements).

(a) “
Affordable housing” means housing available at affordable housing cost, as defined in Section 50052.5 of the Health and Safety Code, to lower-income households, or affordable rent, as defined in Section 50053 of the Health and Safety Code, to lower- income households as defined in Section 50079.5 of the Health and Safety Code.

(b) “
Affordable housing cost” means that for owner-occupied housing, the sales price at which the monthly ownership cost including principal, interest, taxes, insurance, and utilities equals:
(1) For extremely low-income households the product of 30 percent times 30 percent of the area median income adjusted for family size appropriate for the unit.

(2) F
or very low-income households the product of 30 percent times 50 percent of the area median income adjusted for family size appropriate for the unit.

588
6 6
(3) For lower-income households whose gross incomes exceed the maximum income for very low-income households and does not exceed 70 percent of the area median income adjusted for family size, the product of 30 percent times 70 percent of the area median income adjusted for family size appropriate for the unit. In addition, for any lower-income household that has a gross income that equals or exceeds 70 percent of the area median income adjusted for family size, it shall be optional for any state or local funding agency to require that affordable housing cost not exceed 30 percent of the gross income of the household.

(4
) For moderate-income households, affordable housing cost shall not be less than 28 percent of the gross income of the household, nor exceed the product of 35 percent times 110 percent of area median income adjusted for family size appropriate for the unit. In addition, for any moderate-income household that has a gross income that exceeds 110 percent of the area median income adjusted for family size, it shall be optional for any state or local funding agency to require that affordable housing cost not exceed 35 percent of the gross income of the household.

(c
) “ Affordable rent” means that, including a reasonable utility allowance, rent shall not exceed:

(1
) For extremely low-income households, the product of 30 percent times 30 percent of the area median income adjusted for family size appropriate for the unit.

(2) For very low-income households, the product of 30 percent times 50 percent of the area median income adjusted for family size appropriate for the unit.

(3) For lower income households whose gross incomes exceed the maximum income for very low-income households, the product of 30 percent times 60 percent of the area median income adjusted for family size appropriate for the unit. In addition, for those lower-income households with gross incomes that exceed 60 percent of the area median income adjusted for family size, it shall be optional for any state or local funding agency to require that affordable rent be established at a level not to exceed 30 percent of the gross income of the household. (4) For moderate income households, the product of 30 percent times 110 percent of the area median income adjusted for family size appropriate for the unit. In addition, for those moderate-income households whose gross incomes exceed 110 percent of the area median income adjusted for family size, it shall be optional for any state or local funding agency to require that affordable rent be established at a level not to exceed 30 percent of the gross income of the household.

(d
) “Agency’s use”. Except as provided below, “agency’s use” shall include, but not be limited to, land that is being used, or is planned to be used pursuant to a written plan adopted by the local agency’s governing board for agency work or operations, including, but not limited to, utility sites, watershed property, land being used for conservation purposes, land for demonstration, exhibition, or educational purposes related to greenhouse gas emissions, and buffer sites near sensitive governmental uses, including, but not limited to, waste water treatment plants as described in Government Code Section 54221(c)(1).
589
7 7

(1
) Agency’s use shall not include commercial or industrial uses or activities, including nongovernmental retail, entertainment, or office development. Property disposed of for the sole purpose of investment or generation of revenue shall not be considered necessary for the agency’s use.

(2
) In the case of a local agency that is a district, excepting those whose primary mission or purpose is to supply the public with a transportation system, “agency’s use” may include commercial or industrial uses or activities, including nongovernmental retail, entertainment, or office development, or be for the sole purpose of investment or generation of revenue if the agency’s governing body takes action in a public meeting declaring that the use of the site will do one of the following:

(A
) Directly further the express purpose of agency work or operations.

(B
) Be expressly authorized by a statute governing the local agency, provided the district complies with Government Code Section 54233.5 where applicable.

(e
) “APR” means the Annual Progress Report from each city or county detailing the agency’s implementation of the housing element of its general plan submitted to and using forms and definitions adopted by HCD.

(f
) “Assisted unit” means a unit that is subject to rent and/or occupancy restrictions, as a result of financial assistance, as specified in a regulatory agreement.

(g
) “CalHFA” means the California Housing Finance Agency.

(h) “ Disposition of surplus land” means the sale or lease of local agency-owned land formally declared surplus.

(1
) For purposes of this subsection, “lease” shall not include a lease of land on which no development or demolition will occur or which has a term that is less than five (5) years (including any extensions, amendments or options).

However, an enforceable option to lease, as defined by these Guidelines, will qualify as a lease for purposes of these Guidelines. (2) If a local agency is unsure whether a transaction involving local agency owned land meets this definition, they are encouraged to email [email protected]
for additional guidance from HCD.

(i
) “District” includes all districts within the state, including, but not limited to, all special districts, sewer, water, utility, and local and regional park districts, and any other political subdivision of the state that is a district.

(j
) “Exclusive Negotiating Agreement (ENA)” means a legally binding agreement that binds a prospective buyer and seller under which the seller cannot make any similar deals with other potential buyers for a specified period. 590
8 8

(k
) “Expression-of-interest list” means the list maintained by HCD on its website of developers that have notified HCD of their interest in purchasing or leasing surplus property.

(l
) “Fair market value” is the price a particular parcel would sell for on the open market when certain conditions are met. Those conditions are: (1) the parties involved are aware of all the facts, (2) are acting in their own interest, (3) are free of any pressure to buy or sell, and (4) have ample time to make the decision. In cases where fair market value has not been established, the parties may seek a broker’s opinion of value or an appraisal may be conducted. If, following a single appraisal, consensus on fair market value remains absent, a second appraisal is frequently obtained. If consensus on fair market value is not reached after the second appraisal, the parties may average the results of the two appraisals, or a third appraisal may be obtained. Nothing in these Guidelines prevents a local agency from selling or leasing surplus land for fair market value or fair market rent or less than fair market value or fair market rent.

(m
) “Good faith negotiation” means to deal honestly and fairly with the other party throughout the negotiation process whether or not the negotiation results in a contract.

(n
) “HCD” means the California Department of Housing and Community Development.

(o
) “Housing sponsor” means any individual, joint venture, partnership, limited partnership, trust, corporation, limited equity housing cooperative, cooperative, local public entity, duly constituted governing body of an Indian reservation or rancheria, tribally designated housing entity, or other legal entity, or any combination thereof, certified by CalHFA pursuant to rules and regulations of CalHFA as qualified to either own, construct, acquire, or rehabilitate a housing development, whether for profit, nonprofit, or organized for limited profit, and subject to the regulatory powers of CalHFA pursuant to rules and regulations of CalHFA and other specified terms and conditions. “Housing sponsor” includes persons and families of low or moderate income who are approved by CalHFA as eligible to own and occupy a housing development and individuals and legal entities receiving property improvement loans through CalHFA.

(p
) “ Local agency” means every city, whether organized under general law or by charter, county, city and county, district, including school, sewer, water, utility, and local and regional park districts of any kind or class, joint powers authority, successor agency to a former redevelopment agency, housing authority, or other political subdivision of this state and any instrumentality thereof that is empowered to acquire and hold real property.

(q
) “Lower-income households” means persons and families whose income does not exceed the qualifying limits for lower-income families as established and amended from time to time pursuant to Section 8 of the United States Housing Act of 1937. Lower- income households includes very low-income households, as defined in Health and Safety Code Section 50105, and extremely low-income households, as defined in Health and Safety Code Section 50106.

(r)
“Open-space purposes” means the use of land for public recreation, enjoyment of 591
9 9
scenic beauty, or conservation or use of natural resources.

(s) “
Option to lease” means a contract by which a local agency enters an agreement with another entity to allow the latter to lease surplus land at a specified rate for a specified term, or within a reasonable time in the future, but without imposing an obligation to lease upon the option holder.

(t) “Option to purchase” means a contract by which a local agency enters an agreement with another entity to allow the latter to purchase surplus land at a specified price, or within a reasonable time in the future, but without imposing an obligation to purchase upon the option holder.

(u) “
Persons and families of low or moderate income” means persons and families whose income does not exceed 120 percent of area median income adjusted for family size by HCD in accordance with adjustment factors adopted and amended from time to time by the United States Department of Housing and Urban Development pursuant to Section 8 of the United States Housing Act of 1937.

(v)
“Planning period” means the time period between the due date for an agency’s preparation or update of its housing element and the due date for the next housing element according to the applicable schedule described in paragraphs (2) and (3) of subdivision (e) of Government Code Section 65588. Generally, the “Planning period" is eight years.

(w)
“RHNA” means the Regional Housing Needs Allocation to be developed by HCD in consultation with each council of governments, where appropriate, which shall determine the existing and projected need for housing for each region.

(x) “
Surplus land” means land owned in fee simple for which a local agency’s governing body takes formal action at a regular public meeting declaring land to be surplus and not necessary for a local agency’s use. Land must be declared either “surplus” or “exempt surplus” as supported by written findings before a local agency may take any action to dispose of it consistent with an agency's policies or procedures. A local agency, on an annual basis, may declare multiple parcels as “surplus” or “exempt surplus.”

(y) "
Transitional housing" means a rental housing development operating under programmatic constraints that requires the termination of assistance after a specified time or event, in no case less than six months after initial occupancy, and the re-renting of the assisted unit to another eligible participant.

(z) “U
nit” means a residential unit that is used as a primary residence by its occupants, consistent with the definition of a unit as utilized by the US Census Bureau and the California Department of Finance, including efficiency units, residential hotel units, and units used as transitional housing.

Not
e: Authority cited: Government Code Section 54230, subdivision (c), Section 54230.5, subdivision (b)(2)(D). Reference cited: Government Code Section 54221, Section 54222, Section 54222.5, Section 54223, Section 54226, Section 54230, Section 54230.5, Section 54233, Section 54233.5, Section 54234, Section 65400, Sections 65580 – 65589.11; Health and Safety Code Section 50052.5, Section 50053, Section 50074, Section 50079.5, 50093; 592
10 10
Public Resources Code, Division 13 (Section 21000 et seq.).

Sec
tion 103. Exemptions

(a) Thes
e Guidelines apply to the disposal of all surplus lands.

(b) Sur
plus land that meets one or more of the following conditions is exempt from Articles II and III of these Guidelines:

(1) An E
NA or legally binding agreement to dispose of property that meets the requirements of Government Code Section 54234 is not subject to the requirements of AB 1486 and must comply with the SLA as it existed on December 31, 2019.

(A) Sur
plus land subject to an ENA or legally binding agreement to dispose of property is not subject to Articles II and III of these Guidelines so long as the local agency entered into the ENA or legally binding agreement on or before September 30, 2019, and the disposition of the property is completed by December 31, 2022.

(B) The di
sposal of any surplus land pursuant to a qualifying ENA or legally binding agreement to dispose of property must still comply with the SLA as it existed on December 31, 2019.

(C) T
he deadline for disposal of property set out in Paragraph (A) above shall be extended if the disposition of property, the local agency’s right or ability to dispose of the property, or a development project for which such property is proposed to be transferred, is the subject of judicial challenge, by petition for writ of mandate, complaint for declaratory relief or otherwise, to the date that is six months following the final conclusion of such litigation.

(D) I
f a legally binding agreement to dispose of property is either an enforceable option to lease or option to purchase and the option is exercised or expires after December 31, 2022, the local agency must notify HCD, in writing, within 30 days of the option’s execution or the option’s expiration.

(2) Land hel
d in the Community Redevelopment Property Trust Fund or designated in a long-range property management plan is not subject to the requirements of these Guidelines if both of the following apply:

(A) An E
NA or legally binding agreement for disposition of the property is entered into not later than December 31, 2020.

(B) The di
sposition is completed by December 31, 2022.

(C)
The deadline for disposal of the property set out in Paragraph (B) above shall be extended if the land subject to the Community Redevelopment 593
11 11
Property Trust Fund or the long-range property management plan is the subject of litigation, including, but not limited to, litigation challenging the disposition of such property, the right or ability to dispose of the property, or a development project for which such property is proposed to be transferred, the date specified in Paragraph (B) shall be extended to the date that is six months following the final conclusion of such litigation. (3) L and declared to be exempt by the local agency. Other land may be exempt from these Guidelines provided that the governing board of a local agency declares the property to be “exempt surplus land” at a regular public meeting and the declaration is supported by written findings demonstrating that the land is of one or more of the following types:
(A) County or City Surplus Land Transferred for the Development of Affordable Housing with restrictions as described in Government Code Section 25539.4 or 37364.

(B
) Small Surplus Land Parcels sold to an owner of contiguous land that is:

(i
) less than 5,000 square feet in area;

(
ii) less than the minimum legal residential building lot size for the jurisdiction in which the parcel is located, or 5,000 square feet in area, whichever is less; or

(
iii) has no record access, is less than 10,000 square feet in area, and is not contiguous to land owned by a state or local agency that is used for open-space or low and moderate ncome
housing purposes.

(C
) Exchange of Surplus Land. Surplus land that a local agency is exchanging for another property necessary for the local agency’s use.

(D
) Local Agency to Agency Surplus Land Transfer. Local agency surplus land is transferred to another local, state, or federal agency for the transferee agency’s use.

(E
) Surplus Street Land. Surplus land that is a former street, right of way, or easement, and is conveyed to an owner of an adjacent property.

(F
) Exempt Surplus Land for Affordable Housing. Land declared “exempt surplus land” that is advertised to all entities identified in subdivision (a) of Section 54222 of the Government Code and who are then invited to participate in the competitive bid process for either of the purposes identified below:

(i
) A housing development (including mixed-use developments with ancillary commercial ground floor uses) that restricts 100 percent of the residential units to persons and families of low or moderate income, with at least 75 percent of the residential units restricted to 594
12 12
lower-income households as affordable housing pursuant to Section 102(a) of these Guidelines. In no event shall the maximum affordable sales price or rent level be higher than 20 percent below the median market rents or sales prices for the neighborhood in which the site is located.

(
ii) A mixed-use development that is more than one acre in area, that includes not less than 300 housing units, and that restricts at least 25 percent of the residential units to lower-income households, as defined in Health and Safety Code Section 50079.5 as affordable housing pursuant to Section 102(a) of these Guidelines.

(
iii) If used for one of the purposes described in Section 103(a)(3)(F)(i) and (ii) of these Guidelines, the local agency must put the land out for open, competitive bid. All entities identified in Section 202 must be invited to participate in the competitive bid process. If entities were invited to participate in the competitive bid process prior to the existence of HCD’s expression-of-interest list, then noticing will be considered sufficient if reasonable efforts were made to include known interested parties.

(G
) Validly Restricted Surplus Land. Surplus land that is subject to valid legal restrictions not imposed by the local agency such as covenants, or other restrictions that are and that would make housing prohibited, unless there is a feasible method to satisfactorily mitigate or avoid the prohibition on the site. An existing nonresidential land use designation is not per se a legal restriction that would make housing prohibited.

(H
) Surplus Trust Lands. Surplus land that was granted by the state in trust to a local agency or that was acquired by the local agency for trust purposes by purchase or exchange, and for which disposal of the land is authorized or required subject to conditions established by statute.

(I
) School District Surplus Land. Land that is subject to Education Code Sections 17388, 17515, 17536, 81192, 81397, 81399, 81420, and 81422 and Part 14 of Division 31 of the Health and Safety Code commencing with Health and Safety Code Section 53570, unless compliance with the SLA is expressly required.

(J
) Real property that is used by a district for agency’s use expressly authorized in Government Code Section 54221(c).

(K
) Transfers of Surplus Parking Lot Land. Surplus parking lot land that has been transferred before June 30, 2019, by the state to a local agency pursuant to Streets and Highways Code Section 32667 and has a minimum planned residential density of at least 100 dwelling units per acre and includes 100 or more residential units that are restricted to persons and families of low or moderate income pursuant to Government Code Section 54221(f)(1)(K).
595
13 13

(c) N
o Exemption Determination: Any determination by a local agency that its surplus lands are exempt from the SLA must be supported by written findings and shall be provided to HCD pursuant to Section 400(e) of these Guidelines.

Not
e: Authority cited: Government Code Section 54230, subdivision (c)(2), Section 54230.5, subdivision (b)(2)(D). Reference cited: Government Code Section 54221, Section 54222, Section 54222.3, Section 54223, Section 54226, Section 54227, Section 54230, Section 54230.5, Section 54233, Section 54234, subdivisions (a)(2), (b)(1), (b)(2), Section 25539, Section 25539.4, Section 37364; Education Code Section 17388, Section 17515, Section 17536, Section 81192, Section 81397, Section 81399, Section 81420, and Section 81422; Health and Safety Code Sections 53570 et seq.; Streets and Highways Code Section 32667.

596
14 14
ARTICLE II. SURPLUS LAND
Sec
tion 200. Surplus Land Determination Process
(a) Land
must be declared either “surplus land” or “exempt surplus land”, as supported by written findings, before a local agency may take any action to dispose of it consistent with an agency's policies or procedures. (b) Surplus land shall have the definition set forth in Section 102(w) of these Guidelines and exempt surplus land shall have the definition and meet the requirements set forth in Section 103(b)(3) of these Guidelines. (c) Begi
nning April 1, 2021, “a central inventory of all surplus land” shall be reported to HCD no later than April 1 of each year on Table H of the city or county’s APR submitted pursuant to Government Code 65400(a)(2).

Note
: Authority cited: Government Code Section 54230, subdivision (c)(2), Section 54230.5, subdivision (b)(2)(D). Reference cited: Government Code Section 54230, Section 65400.

Secti
on 201. Notice of Availability
Any l
ocal agency disposing of surplus land, prior to disposing of that property or participating in negotiations to dispose of that property with a prospective transferee, shall send a written notice of availability (NOA) to certain parties designated in the SLA. The notice shall be in a form prescribed by HCD in Appendix A of these Guidelines and shall comply with the following. (a) Low- an
d Moderate-Income Housing Availability Notice.
(1) A w
ritten notice of the availability of surplus land provided on the form contained in Appendix A of these Guidelines for the purpose of developing low- and moderate-income housing shall be sent to the following:
(A) HCD and any local public entity as defined in Health and Safety Code Section 50079 within whose jurisdiction the surplus land is located. HCD will maintain on its website an up-to-date listing of all notices of availability throughout the state.
(B) Hous
ing sponsors that have notified HCD of their interest in surplus land that is in the county in which the surplus land is located or in all California counties. Housing sponsors must notify HCD of their interest in surplus land by completing a survey provided by HCD. Those interested in receiving notices from local agencies based on HCD’s expressions-of- interest list are responsible for keeping their addresses and contacts current.
(2) An e
ntity not on HCD’s list may also respond to an NOA.
(3) A
ll responses shall be date and time stamped by the local agency as they are received.
597
15 15
(4) All NOAs shall be sent by certified mail or email and shall include the location and a description of the surplus land.
(5) A
NOA cannot be sent before the governing body for the local agency has declared the land for which the notice is being issued to be “surplus land”, and any such notice sent prematurely will not be deemed valid. (b) Park, Recreation and Open Space availability notices shall comply with the conditions and follow the requirements as described in Government Code Sections 54221(f)(2), 54222, and 54227(b).
(c) School facilities surplus land availability notices shall comply with the conditions and follow the requirements as described in Government Code Section 54222(c). (d) Infill Opportunity Zone or Transit Village Plan surplus land availability notic es shall comply with the conditions and follow the requirements as described in Government Code Section 54222(d).

Not
e: Authority cited: Government Code Section 54230, subdivision (c)(2), Section 54230.5, subdivision (b)(2)(D). Reference cited: Government Code Section 54221(f)(2), Section 54222, and Section 54227(b); Health and Safety Code Section 50079.

Se
ction 202. Disposal of Surplus Land for Affordable Housing After the governing board of a local agency has held the required public meeting to declare property as surplus land, as described in Section 102(w) of these Guidelines, a Low- and Moderate-Income Housing Availability Notice described in Section 201(a) must be sent to interested housing sponsors identified by the expressions-of-interest list maintained by HCD and local public entities within whose jurisdiction the surplus land is located and invite those interested to respond to the local agency with a notice of interest. (a) Negotiating Disposition of Surplus Land for Affordable Housing (1) R
esponse to a NOA of surplus land for the development of affordable housing (A) 60
Days to Respond.

An e
ntity or association interested in developing surplus land for affordable housing must notify in writing the disposing agency of its interest in purchasing or leasing the land within 60 days after the agency’s notice of availability of the land is sent via certified mail or provided via electronic mail.
(i) A
local agency may not issue a request for proposals on surplus land less than 60 days from the date that the local agency issues the NOA of surplus land.
(ii) I
f a notice of interest is received in response to an NOA, a request for proposals may not be issued until after the conclusion of the 90- day negotiation period.
598
16 16
(B) Upon Receipt of Notice of Interest.

If a local agency disposing of surplus land receives a timely notice of interest from a proper entity, then a 90-day good faith negotiation period begins on the first day after the end of the 60-day period in Government Code Section 54222(e). If the price or terms cannot be agreed upon after the full 90-day good faith negotiation period, then the local agenc y may dispose of the surplus land without further regard to the SLA but must still comply with Government Code Section 54233 or 54233.5, as applicable. (C) 90-Day, Good Faith Negotiation Period.

For purposes of the 90-day good faith negotiation period, residential use of the surplus land by the prospective transferee shall be deemed an acceptable use. Terms agreed to as part of the 90-day good faith negotiation period must comply with the following:
(i) A local agency cannot prohibit residential use of the surplus land as a condition of a sale or lease.
(ii) A local agency cannot reduce the authorized number of residential units or the maximum lot coverage of the surplus land below what is allowed by zoning or general plan requirements.
(iii) A local agency may not require, as a condition of sale or l ease, any design standards or architectural requirements that would have a substantial negative effect on the viability or affordability of a housing development for very low-, low- or moderate-income households, other than the minimum standards required by general plan, zoning, and subdivision standards and criteria.
(D) For the purposes of complying with the SLA’s requirements regarding NOAs, “participating in negotiations” does not include the commissioning of appraisals, due diligence prior to the sale or lease of the surplus land, discussions with brokers or real estate agents not representing a potential buyer, or other studies to determine value or best use of the surplus land, issuance of a request for qualifications, development of marketing materials, or discussions conducted exclusively among local agency employees and elected officials. (Gov. Code Section 54222(f)) (E) If an entity believes a local agency has not negotiated with it in good faith pursuant to this section, the entity may notify HCD by emailing [email protected].
(F) Sample negotiation process timeline. The following represents a sample timeline for a good faith negotiation per the definition in Section 102(m) of these Guidelines. Minor departures from this sample do not constitute per se bad faith, and differences in the timeline may be justified with prior 599
17 17
notice to HCD.
• M
arch 1, 2021 – disposing agency sends a NOA of surplus land as described in Section 201;
• March 10, 2021 – first entity desiring to purchase or lease the surplus land sends notice of interest to disposing agency; • March 12, 2021 – disposing agency receives notice of interest from first entity desiring to purchase or lease the surplus land; • March 20, 2021 – second entity desiring to purchase
or lease the surplus land sends notice of interest to
disposing agency;
• March 22, 2021 – disposing agency receives notice of interest from second entity desiring to purchase or lease the surplus land; • A pril 30, 202 1 – last day for an entity desiring to purchase or lease the surplus land to respond to the NOA;
• May 1, 2021 – 90-day, good faith negotiation period commences, as described in Section 202(a)(1)(C)
• July 30, 2021 – last day of 90-day, good faith negotiation period; • July 31, 2021 – first day that disposing agency may dispose of the surplus land without regard to the amendments to the SLA, except that the disposing agency must still follow Government Code 54233 or 54233.5.
(2) T
erms
(A) A
s part of the 90-day good faith negotiation period, a local agency and a prospective transferee may agree to limitations on residential use or density if, without such limitations, the residential use or density would have a specific, adverse impact, supported by written findings, upon the public health or safety or upon the local agency’s operation or facilities, and there is no feasible method to satisfactorily mitigate the impact. (B) For low and moderate-income housing purposes, a local agency may agree to a payment period of up to 20 years for a sale of surplus land in any contract of sale or sale by trust deed for the land. Such payment period may exceed 20 years but shall not exceed the term that the surplus land is required to be used for low- or moderate-income housing. (C)
A local agency may sell or lease surplus land at fair market value or fair market rent or less than fair market value or fair market rent. (D) A
greement between the local agency and buyer.
(i) F
ailure to agree on sale/purchase price of land: If “fair market value” was determined by a single appraisal, a second appraisal value commissioned from a mutually acceptable firm may be averaged with the initial value to determine a sales price.
(ii) P
artial lease/acquisition: A local agency may agree to a lease or 600
18 18
sale of part of the surplus land provided that the remaining parcel or parcels are disposed of as surplus land or exempt surplus land.

A written justification for accepting a lease or sale of part of surplus land must accompany the Appendix B report to HCD.
(iii) A
gency change of mind: A local agency may withdraw its NOA provided that no notices of interest have been received and a written “notice of withdrawal” is sent to all housing sponsors, local public entities, HCD, and any other developers to which the notice of availability was sent.
(iv
) Conditions and restrictions required by the local agency as seller: A local agency may provide entities with reasonable conditions or restrictions for the surplus land in question, which must be included in the NOA, and reviewed by HCD pursuant to Section 400. The parties are required by the SLA to then negotiate in good faith. If it appears that the parties cannot resolve issues that would preclude a disposition within the 90-day negotiation period, the parties may discuss the issue(s) with HCD.
(b) P
ayment Period for Surplus Land Disposed of in Contract of Sale or Sale by Trust Deed (1) I
f surplus land is disposed of for housing for persons and families of low and moderate income, the payment period shall not exceed the term that the land is required to be used for low- or moderate-income housing. (2) I
f surplus land is disposed of for park or recreation purposes, for open-space purposes, or for school purposes, the local agency may provide for a payment period of up to 20 years.
(3) M
ultiple Notices of Interest
(A) A
local agency may negotiate concurrently with all entities that provide notice of interest for the purpose of developing affordable housing that meets the requirements of Government Code Section 54222.5. (B) I
n the event that any local agency disposing of surplus land receives a notice of interest to purchase or lease that land from more than one of the entities to which a NOA was given, the local agency shall give first priority to the entity or entities that agree to use the site for affordable housing that meets the requirements of Government Code Section 54222.5, described as follows:
(i) N
ot less than 25 percent of the total number of units developed (which number includes density bonus units) shall be affordable housing as defined by Section 102(a) of these Guidelines. (ii) I
f more than one entity proposes the same number of units that meet the requirements of Government Code Section 54222.5, priority 601
19 19
shall be given to the entity that proposes the deepest average level of affordability for the affordable units.
(C) I
f the local agency receives notices of interest from more than one entity that agrees to meet the requirements of Government Code Section 54222.5, then the local agency shall give priority to the entity that proposes to provide the greatest number of units that meet the requirements of Government Code Section 54222.5.
(4) G
rounds for local agency to reject offer:
(A) A
local agency may reject an offer when the local agency and buyer/lessee cannot agree on sales price or lease terms.
(B) A
local agency may reject an offer when priority is given to a competing offer that includes a greater number of affordable units or, in case of a tie in the number of units, the lowest average level of affordability consistent with Government Code Section 54222.5.
(C) A
local agency may reject an offer when the interested entity is not responsive to a local agency’s reasonable conditions or restrictions as described in the NOA, where consistent with these Guidelines and the SLA, and such conditions or restrictions are reviewed by HCD. (c) R
equirements If Negotiations End with No Sale or Lease of Surplus Land (1) Local Agencies That Are Not Districts.
(A) If th
e local agency does not agree to price and terms with any entity to which NOA of land was given pursuant to these Guidelines, or if no entity to which a NOA was given pursuant to these Guidelines responds to that notice, then the land in question may be disposed of outside of the SLA, except that Section 202(c)(1) and (2) shall apply.

In s
uch a case, if 10 or more residential units are developed on the property, not less than 15 percent of the total number of residential units developed on the parcels shall be sold or rented as affordable housing as defined by Section 102(a) of these Guidelines.
(B) T
he purchasing entity shall agree to the following additional requirements:
(i) R
ental units shall remain at an affordable housing cost to, and occupied by, lower-income households for a period of at least 55 years. Ownership units shall remain at an affordable housing cost to, and occupied by, lower-income households for a period of at least 45 years. The initial occupants of all ownership units on the surplus land shall be lower-income households and the unit shall be subject to an equity sharing agreement consistent with Health and Safety Code Section 65915(c)(2). Any subsequent occupants shall also be lower-income households, if necessary, for the unit to remain 602
20 20
occupied by lower-income households, for at least 45 years or 55 years, respectively.

(
ii) The requirements set out in subdivision (a) above shall be contained in a covenant or restriction recorded against the surplus land at the time of sale, which by its express terms shall run with the land and shall be enforceable by any of the following parties, against any owner who violates the covenant or restriction and each successor in interest who continues the violation:

I.

The local agency that disposed of the property.

I.

Any resident of an affordable ownership or rental unit
described in subdivision (a).

II. A
resident’s association with members who reside in units described in subdivision (a).

III. A
former resident of a unit described in subdivision (a) who last resided in that unit.

IV
. An applicant seeking to enforce the covenants or restrictions for a particular unit, ownership or rental, as described in subdivision (a), if the applicant conforms to all of the following:

a. Is
of low or moderate income, as defined in Section
50093 of the Health and Safety Code;

b. I
s able and willing to occupy that particular unit; and

c. W
as denied occupancy of that particular unit due
to an alleged breach of a covenant or restriction
implementing Government Code Section
54222.5.

V. A
person on an affordable housing waiting list who is of low or moderate income, as defined in Section 50093 of the Health and Safety Code, and who is able and willing to occupy a unit subject to this provision of the Guidelines.

(C
) A local agency shall provide a copy of any restrictions recorded against the surplus land to HCD as an attachment to the form prescribed by HCD in Appendix B.

(2
) Districts.

(A
) If a local agency that is a district, excepting those whose primary mission or purpose is to supply the public with a transportation system, disposes of surplus land where local zoning permits development of 10 or more 603
21 21
residential units or is rezoned within five years of the disposal to permit the development of 10 or more residential units, and 10 or more residential units are developed on the property, not less than 15 percent of the total number of residential units developed on the parcel shall be sold or rented as affordable housing as defined by Section 102(a) of these Guidelines, and the additional requirements contained in Section 202(c)(1)(B)(i-ii) of these Guidelines shall apply.

(B
) A local agency that is a district shall provide a copy of any restrictions recorded against the surplus land to HCD on the form prescribed by HCD in Appendix B of these Guidelines.

(C
) This subsection shall not apply to projects as defined in Health and Safety Code Section 32121(j).

N
ote: Authority cited: Government Code Section 54230, subdivision (c)(2), Section 54230.5, subdivision (b)(2)(D). Reference cited: Government Code Section 54221, Section 54222, Section 54222.5, Section 54223, Section 54225, Section 54226, Section 54227, Section 54233; Health and Safety Code Section 32121

604
22 22
ARTICLE III. REQUIREMENTS TO BE PLACED ON SURPLUS LAND FOR AFFORDABLE

HOUSING

Se
ction 300. Requirements When an Entity Proposes to Use the Surplus Land for Developing Affordable Housing

(a) A
n entity proposing to use the surplus land for affordable housing shall agree to make no less than 25 percent of the total number of units developed on the parcels as affordable housing pursuant to Section 102(a) of these Guidelines. The entity shall agree to the following additional requirements:

(1
) Rental units shall remain at an affordable housing cost to, and occupied by, lower- income households for a period of at least 55 years.

(2
) Ownership units shall remain at an affordable housing cost to, and occupied by, lower-income households for a period of at least 45 years. The initial occupants of all ownership units on the property shall be lower-income households and the unit shall be subject to an equity sharing agreement consistent with Health and Safety Code Section 65915(c)(2). Any subsequent occupants shall also be lower-income households, if necessary, for the unit to remain occupied by lower-income households, for at least 45 years.

(b
) The requirements set out in subdivision (a) above shall be contained in a covenant or restriction recorded against the surplus land at the time of sale, which by its express terms shall run with the land and shall be enforceable by any of the following parties, against any owner who violates the covenant or restriction and each successor in interest who continues the violation:

(1
) The local agency that disposed of the property.

(2
) Any resident of an affordable ownership or rental unit described in subdivision (a).

(3
) A resident’s association with members who reside in units described in subdivision (a).

(4
) A former resident of a unit described in subdivision (a) who last resided in that unit.

(5
) An applicant seeking to enforce the covenants or restrictions for a particular unit, ownership or rental as described in subdivision (a), if the applicant conforms to all of the following:

(A
) Is of low or moderate income, as defined in Section 50093 of the Health and Safety Code;

(B
) Is able and willing to occupy that particular unit; and

(C
) Was denied occupancy of that particular unit due to an alleged breach of a covenant or restriction implementing Government Code Section 54222.5. 605
23 23

(6) A
person on an affordable housing waiting list who is of low or moderate income, as defined in Section 50093 of the Health and Safety Code, and who is able and willing to occupy a unit subject to this provision of the Guidelines.

(c
) A local agency shall provide a copy of any restrictions recorded against the surplus land to HCD as an attachment to the form prescribed by HCD in Appendix B.

N
ote: Authority cited: Government Code Section 54230, subdivision (c), Section 54230.5, subdivision (b)(2)(D). Reference cited: Government Code Section 54222.5, Section 54233; Health and Safety Code Section 50093, Section 65915.

606
24 24
ARTICLE IV. REPORTING REQUIREMENTS

S
ection 400. Local Agency Reporting Requirements

(a
) Pre-Negotiation and Disposal Notice. A local agency must submit a NOA to HCD, any other local public entities within whose jurisdiction surplus land is located, and all interested housing sponsors that have provided notice to HCD. (1) Prior to disposing of surplus land or participating in negotiations to dispose of surplus land with a prospective transferee, a written NOA shall be sent to HCD on the form in Appendix A pursuant to Section 201 of these Guidelines. If the NOA includes any local agency conditions or restrictions regarding development, such conditions or restrictions must be reviewed by HCD prior to the initiation of negotiations with any interested and qualified developer.

(b
) Post- Negotiation Notice and Proposed Disposition Summary: A proposed disposition summary must be sent to HCD on Appendix B at the conclusion of negotiations for the disposition of surplus land.

(1
) Prior to finalizing any agreements or disposing of any surplus land, the local agency shall provide to HCD a description of the NOAs sent, a description of the negotiations conducted with any responding entities, including any non-solicited expressions of interest in regard to the disposal of the surplus land, and a copy of any restrictions to be recorded against the property pursuant to Government Code Sections 54233 or 54233.5, whichever is applicable, in a form prescribed by HCD in Appendix B. A sample covenant/restriction is provided in Appendix C.

(2
) A local agency may submit this information to HCD after it has sent NOAs required by Government Code Section 54222 and concluded negotiations with any responding entities. Article V of these Guidelines provides details on HCD’s required review of this information.

(3
) If a local agency proposes to dispose of surplus land to an entity that does not have first priority and/or priority pursuant to Government Code Section 54227, the local agency is required to provide HCD an adequate written explanation.

(c
) A local agency shall provide HCD a copy of any restrictions to be recorded against the property pursuant to sections 202(d)(1)(B) and 300(b) of these Guidelines as an attachment to Appendix B.

(d
) A local agency that is a city, county, or city and county shall submit an APR pursuant to Government Code 65400 including the following information:

(1
) A central inventory of all surplus land and all lands as of December 31 in excess of the local agency’s foreseeable needs, if any, identified pursuant to Government Code Section 50569. Beginning in 2021, this inventory is to be submitted to HCD by April 1 of each year. This inventory will become part of the APR as Table H.

Please reference Section 601 for web links which detail APR and Housing Element requirements.

607
25 25
(2) Jurisdiction-owned sites identified in the housing element sites inventory subsequently disposed of by the jurisdiction in Table G of the Housing Element APR.

(e
) Notice of Exemption Determination: A local agency that determines that property is exempt from the SLA shall support such a determination with written findings and shall provide a copy of the written determination to HCD at least 30 days prior to disposition.
(1) A copy of the resolution declaring the property exempt surplus land that includes written findings supporting such a declaration will generally be considered sufficient documentation to meet this requirement. (2) Local agencies are encouraged to notify HCD at [email protected] prior
to having the resolution approved in order to clarify whether land should be declared “surplus land” or “exempt surplus land”.”

N
ote: Authority cited: Government Code Section 54230, subdivision (c), Section 54230.5, subdivision (b)(2)(D). Reference cited: Government Code Section 50569, Section 54221, Section 54222, Section 54230.5, Section 54233, Section 54233.5, Section 65400.

608
26 26
ARTICLE V. PERFORMANCE MONITORING AND PENALTIES

S
ection 500. HCD Monitoring, Recording, and Reporting

(a) Initiation of Monitoring. Beginning on January 1, 2021, HCD shall initiate monitoring of local agency compliance with certain requirements imposed by the SLA.

(b) Educational Materials and Technical Assistance. To assist agencies with SLA compliance, HCD will from time to time make available educational resources and materials regarding the SLA and these Guidelines to local agencies and the public.

(c) HCD Findings:

(1) Review: HCD shall review the information submitted by a local agency pursuant to Section 400 of these Guidelines.

(2) Notice of Violation (NOV): HCD shall consider and make findings on whether the local agency’s proposed sale or lease of the surplus land will violate the SLA and these Guidelines. If HCD determines that the proposed sale or lease will violate the SLA, HCD shall make written findings and provide them to the local agency within 30 days of receipt of the local agency’s submittal of all of the following: (i) a description of the notices of availability sent; (ii) a description of the negotiations conducted with any responding entities in regard to the disposal of the surplus land; and (iii) a copy of any restrictions to be recorded against the surplus land pursuant to Health and Safety Code Section 54233 or 54233.5, whichever is applicable, in a form prescribed by HCD (collectively “Complete Submittal”) HCD’s 30-day response period will not begin to run until HCD receives the Complete Submittal. HCD shall provide the local agency at least 60 days from the date that HCD sends the NOV to respond to the NOV before taking any other action.

(d) The local agency shall consider HCD’s written findings made pursuant to Section 500(c) and shall do one of the following:

(1) Correct any issues identified by HCD.

(2) Provide written responses to HCD prior to disposition of the surplus land explaining how its process for disposing of surplus land complies with the SLA and addressing each of HCD’s written findings.
(e) HCD shall evaluate any written responses provided by the local agency pursuant to Section 500(d) to determine whether the local agency’s findings are deficient in addressing the issues identified by HCD.

N
ote: Authority cited: Government Code Section 54230, subdivision (c), Section 54230.5, subdivision (b)(2)(D). Reference cited: Government Code Section 54230.5

S
ection 501. Penalties

(a) Local agency’s failure to adequately respond to HCD. 609
27 27

(1) If the local agency does not correct all the issues identified by HCD’s written findings or does not provide written findings explaining the reason its process for selling or leasing surplus land complies with the SLA, HCD shall notify the local agency and may notify the Attorney General that the local agency is in violation of the SLA. HCD may seek to enforce the SLA and pursue remedies, including, but not limited to, injunctive or declarative relief.

(2) If the local agency provides written findings explaining the reason its process for selling or leasing surplus land complies with the SLA, but HCD determines that the findings are deficient pursuant to Section 500(e), HCD shall notify the local agency and may notify the Attorney General that the local agency is in violation of the SLA. HCD may seek to enforce the SLA and pursue remedies, including, but not limited to, injunctive or declarative relief.

(b) Local agency’s violation of surplus land disposition requirements; administrative penalties.
(1) A local agency that disposes of land in violation of the SLA after receiving a NOV from HCD is in violation of the SLA pursuant to HCD’s review as described in Section 500(c).

(2) A local agency shall have 60 days from the date of the NOV to cure or correct an alleged violation before an action may be brought to enforce Government Code Section 54230.5, including penalties pursuant to Section 501(b)(3) of these Guidelines, unless the local agency disposes of the land before curing or correcting the alleged violation.

(3) If the local agency fails to correct the violation within 60 days from the date of the NOV, an administrative penalty of 30 percent of the final sale price of the land sold in violation of the SLA, or 50 percent for each subsequent violation, shall be invoiced by HCD to the local agency.

(4) Upon receipt of HCD’s invoice, the local agency may appeal the penalty assessment to HCD’s Director by submitting to the Director a written appeal. The written appeal shall be limited to a statement of relevant facts, arguments, and evidence demonstrating the error of law, procedure, or fact upon which the appeal is based. Pursuant to statute, penalties are mandatory in the absence of such error and cannot be waived or modified for grounds not stated in Government Code Title 5, Division 2, Part 1, Chapter 5, Article 8.

(5) Once the written appeal is submitted to the Director, HCD may request but is not required to accept additional information or materials for consideration. Appeals are to be submitted to the Director at the following address:

C
alifornia Department of Housing and Community Development Division of Housing Policy Development
2020 W. El Camino Avenue, Suite 500
Sacramento, California 95833

610
28 28
(6) The Director will accept appeals delivered through a carrier service such as the U.S. Postal Service, UPS, FedEx, or other carrier services that provide date stamp verification of delivery. Deliveries must be received during HCD’s weekday (non-state holiday) business hours of 9:00 a.m. to 5:00 p.m. Pacific Standard Time.

(7) Appeals must be received by the Director no later than thirty (30) business days from the date of HCD’s invoice of the assessed administrative penalty.

(8) The Director shall render the decision in writing within forty-five (45) business days after notice and hearing in accordance with Chapter 5 (commencing with Section 11500) of Part 1 of Division 3 of Title 2 of the Government Code.

(9) The Director’s decision shall be HCD’s final decision.

N
ote: Authority cited: Government Code Section 54230, subdivision (c), Section 54230.5, subdivision (b)(2)(D). Reference cited: Government Code Section 6250 et seq., Section 54222, Section 54230.5, Section 65589.5.

S
ection 502. Private Enforcement

(a) An entity identified in Government Code Section 54222, or a person who would have been eligible to apply for residency in any affordable housing developed, or a housing organization as defined in Government Code Section 65589.5, or any beneficially interested person or entity, may bring an action to enforce Government Code Section 54230.5.

(b) At least 30 days prior to bringing an action pursuant to subdivision (a) above, a notice of intent to enforce the SLA shall be provided to the local agency and to HCD, identifying the alleged violations of these Guidelines and/or the SLA.

(c) If HCD has not issued a NOV, HCD shall review the notice of intent to enforce the SLA and within 30 days notify the local agency if it must cure or correct the alleged violation in subdivision (b). The local agency shall have 60 days from receiving this notification from HCD to cure or correct the alleged violation before an action may be brought, unless the local agency disposes of the land before curing or correcting the alleged violation, or HCD deems the alleged violation not to be a violation in less than 30 days.

N
ote: Authority cited: Government Code Section 54230, subdivision (c), Section 54230.5, subdivision (b)(2)(D). Reference cited: Government Section 54222, Section 54230.5, Section 65589.5.

611
29 29
Appendix A – Notice of Availability Form

https://www.hcd.ca.gov/community-development/disaster-recovery- programs/docs/1.20.21.LS.SLA_TA_NoticeAvailability_CoverLetter.docx

https://www.hcd.ca.gov/community-development/disaster-recovery- programs/docs/SLA_TA_NoticeAvailability_PropertyDescription.xlsx

612
30 30
Appendix B – Description of Disposition Form

https://www.hcd.ca.gov/community-development/disaster-recovery- programs/docs/SLA_TA_DispositionDescriptionTemplate2.xlsx

613
31 31
Appendix C – Sample Covenant/Restriction

https://www.hcd.ca.gov/community-
development/docs/1.20.LS.SLA_TA_SampleCovenantRestriction.docx

614
32 32
Appendix D – HCD Survey to Indicate Interest in Surplus Land

H
ousing sponsors, as defined by Section 50074 of the Health and Safety Code, may notify HCD of their interest in surplus land pursuant to Section Government Code 54222(a)(1) using the survey at the link below:

h
ttps://www.surveymonkey.com/r/ZRCC3FL
615

CITY COUNCIL AGENDA REPORT

REPORTS
AGENDA ITEM NO. K.4

DATE: February 1, 2022

TO: City Council

FROM: Michael Wolfe, Public Works Director, (805) 385-8055, [email protected]

SUBJECT: Agreement A-8433 to Taft Electric Company for Traffic Signal Modifications Project (7 Signals), Specification No. PW 19-98. (0/5/5)

RECOMMENDATION

That the City Council approve and authorize the following for a total of $3,599,880 in Project funds for the Traffic Signal Modifications Project (7 Signals), Specification No. PW 19-98 (Project No. 183114):

1. The Mayor to execute Agreement A-8433 with Taft Electric Company in the amount of $2,999,900 for the Project;

2. A Project contingency amount of $299,990;

3. A Project allocation amount of $299,990 for engineering, inspection, survey and project management; and

4. A budget appropriation recognizing grant revenue and appropriation of $860,783 from the Federal Transportation Grant Fund (275) and appropriation of $954,145 from the fund balance of the Air Pollution Buydown Fee Fund (118) for the Project.
(This item did not originate in Committee as this is a capital improvement project specifically listed in the City's Capital Improvement Program.)
Please click the following link to view the required Measure M pre-recorded presentation video: https://youtu.be/Y4-M- LBrsH8

BACKGROUND

The Project scope consists of modifying seven existing traffic signals at the intersections of:

1. Channel Islands Boulevard at J Street

2. Channel Islands Boulevard at Cloyne Street/Gisler Avenue

3. Channel Islands Boulevard at Statham Blvd

4. Ventura Road at 7th Street

5. Oxnard Blvd at 7th Street

6. Oxnard Blvd at 4th Street

7. Oxnard Blvd at Date Street
Work includes replacement of signal poles, mast arms, and signal heads, which are necessary in order to upgrade to existing traffic signal standards and provide for protected left-turn phasing. Upgrades also include installation of LED luminaires for enhanced visibility, detection loops, ADA improvements, emergency vehicle preemption, and renewing signing and striping including crosswalks for enhanced pedestrian safety. 616
Capital Improvement Program (CIP) Reference
Project No. 183114– Traffic Signal Modifications Project (7 Signals), Specification No. PW 19-98 - CIP 2021-2026 - Adopted May 18, 2021– Page 126.

DISCUSSION
The specific work for this Project includes removal of existing out-dated traffic signal equipment and placement of new traffic signal poles, signal heads, signal controllers, demolition of existing asphalt concrete and concrete pavement, new concrete pavement, and restoration of asphalt concrete pavement to prepare roadway for intersection improvement, landscaping and tree trimming or removal to improve visibility of traffic signals, curb, gutter, sidewalk, signing, striping, and all other appurtenant and associated work in accordance with the Contract Documents. This work benefits the City by enhancing circulation and mobility in the intersections, which includes improving left turning vehicle stacking, improving intersection visibility with enhanced lighting, removing tree limbs blocking signal head visibility, and improving pedestrian facilities through updated crosswalk striping and updating non-ADA compliant curb ramps.

The work is tentatively scheduled to begin in early March and continue into the Summer (90 working days). Traffic signal poles and equipment typically have extensive procurement periods due to limited manufacturers and material shortages. Staff will work closely with the Kamala, Blackstock North, College Estates, Five Points Northeast, Sea Air, Wilson, and Hobson Park East Neighborhood Council to keep them informed of the schedule and will also work closely with nearby schools, Gold Coast Transit District for any bus stop or route impacts, and residents directly impacted by the work to keep them informed of the project schedule. General project information will be disseminated to help keep the public informed as well.

The notice inviting formal bids (NIFB) on the Project was published on November 18, 2021, and all bids were due and opened on December 21, 2021. The City received the following bids:

PTM GENERAL ENGINEERING SERVICES, INC.: $2,739,039 TAFT ELECTRIC COMPANY: $2,999,900 ALFARO COMMUNICATIONS CONSTRUCTION, INC.: $3,555,555 The Bids from the lowest and the highest bidder were determined to be non-responsive to the call for bids. The bid from Taft Electric Company is responsive to the City’s NIFB. Following this determination, procurement staff reviewed all documentation received from Taft Electric Company and its subcontractors. Procurement staff verified possession of required currently valid licenses, reviewed the federal Occupational Safety and Health Administration (OSHA) website for safety violations, and verified registration with the California Department of Industrial Relations (DIR). Based upon the available information and research performed to date, staff believes that the contractor is capable of satisfactorily completing the project. Thus, staff recommends that the City Council award the Agreement for this Project to Taft Electric Company.

In addition to the construction amount noted above, a 10% project contingency of $299,990 and 10% engineering service and staff time of $299,990 are necessary to perform inspection, survey, labor compliance, and project management, for a project total of $3,599,880.

The bids are higher than the original engineer’s estimate, which staff attributes to two major factors: 1) market increases for both material and labor from the post-pandemic revival and the recovering economy and 2) supply chain shortages, especially for steel-made traffic signal equipment. In addition, the influx of transportation funding through State Senate Bill 1 continues to increase projects moving into construction resulting in higher demand, which is a natural bid- environment change when a significant amount of Federal/State funding is available. Staff recommends awarding the contract given the benefits the project will have on the general circulation and enhanced mobility at these busy intersections.

In an effort to fund the increase while minimizing the impact to local funding, the City’s Transportation Planner was successful in securing an additional $860,783 of Highway Safety Improvement Program grant funding. The remaining 617
budget shortfall is requested through a budget appropriation from the available fund balance in the Air Pollution Buydown Fee fund (118).

STRATEGIC PRIORITIES

This agenda item supports the Infrastructure and Natural Resources strategy. The purpose of the Infrastructure and Natural Resources strategy is to preserve and improve our roads, utilities, parks, trees, water supply and natural resources through effective planning, prioritization, and an equitable and efficient use of available funding.

FINANCIAL IMPACT

The total estimated cost for this Project is $3,599,880, which includes the construction agreement A-8433 with Taft Electric Company for $2,999,900, $299,990 in contingency funds and $299,990 in EISPM funds. The Traffic Signal Modifications (7 Signals) Project No. 183114 construction phase is currently funded from the Air Pollution Buydown Fee Fund (118) and the Federal Transportation Grant Fund (275) with a total project budget balance of approximately $1,784,952.

A budget appropriation of $860,783 is necessary from the Federal Transportation Grant Fund (275), and a budget appropriation of $954,145 is requested from the available fund balance in the Air Pollution Buydown Fee Fund (118).

Project Fund
Number
Fund
Name
Current
Appropriations
Available
Budget
Additional
Appropriations
Total
Available
Budget
118 Air Pollution
Buydown Fee
Fund
$438,540 $437,002 $954,145 $1,391,147183114 – Citywide
Signal Modifications
Project
275 Fed.

Transport. My
Grants Fund
$1,590,770 $1,347,950 $860,783 $2,208,733
TOTAL $2,029,310 $1,784,952 $1,814,928 $3,599,880

COMMITTEE OUTCOME

This item did not originate in Committee as this is a capital improvement project specifically listed in the City's Capital Improvement Program.

Prepared by: Tatiana Arnaout, City Engineer, Debbie O'Leary, Transportation Planner

ATTACHMENTS

1. Agmt A-8433 Taft Electric Company PW 19-98

2. Budget Appropriation - 183114

3. Presentation
618
Agreement No. A-8433
1 CONTRACT

CITY OF OXNARD CONTRACT FOR

TRAFFIC SIGNAL MODIFICATIONS PROJECT
SPECIFICATION NO. PW 19-98
FEDERAL PROJECT NO. HSIPL-5129(095)

THIS CONTRACT (“Contract”) is made and entered this ______ day of _____________, 20___ (“Effective Date”), by and between the CITY OF OXNARD, a California municipal corporation (“City”) and TAFT ELECTRIC COMPANY (“Contractor”). Contractor’s license number is 772245.

In consideration of the covenants set forth herein, the parties hereto agree as follows:

1. Incorporation. The Contract consists of all Contract Documents, which shall include the Notice Inviting Bids, Instructions to Bidders, General Provisions, Grant Provisions including Form FHWA-1273 attached hereto as “Exhibit A”, Special Provisions, Plans, Standard Plans, Greenbook, Reference Specifications, Bid (including documentation accompanying the Bid and post-Bid documentation submitted before the not ice of award), insurance documentation, Bonds, the City business license, permits from regulatory agencies, Addenda, Change Orders and Supplemental Agreements. These documents are incorporated herein by reference.

2. Scope of Services. Contractor shall perform the Work in a good and workmanlike manner for the project identified as the TRAFFIC SIGN AL MODIFICATIONS PROJECT, SPECIFICATION NO. PW 19-98, FEDERAL PROJECT NO. HSIPL- 5129(095), (“Project”), as described in this Contract and in the incorporated Contract Documents.

3. Compensation. In consideration of the services rendered hereunder, City shall pay Contractor a not to exceed amount of two million, nine hundred ninety-nine thousand, nine hundred dollars ($2,999,900.00) in accordance with the prices as submitted in the Bid, attached hereto as Exhibit “B” and incorporated herein by this reference.

4. Antitrust Claims. In entering into this Contract, Contractor assigns to City all rights, title, and interest in and to all causes of action it may have under Section 4 of the Clayton Act (15 U.S.C.

Section 15) or under the Cartwright Act (Business and Professions Code Section 16700 et seq.) arising from purchases of goods, services, or materials pursuant to the Contract. This assignment shall be made and become effective at the time City tenders final payment to Contractor without further acknowledgment by the parties.

5. Prevailing Wages. City and Contractor acknowledge that the Project is a public work to which prevailing wages apply. Copies of the preva iling rate of per diem wages for each craft, classification, or type of worker needed to perform the Project are on file with the Project Coordinator at City Hall and will be made av ailable to any interested party on request.

Contractor and all Subcontractors are not qualified to bid on, be listed in a Bid proposal, or engage in the performance of any contract for public work, as defined in Labor Code Sections 1720 through 1861, unless registered and qualified to perform public work pursuant to Labor Code Section 1725.5 at the time of Bid submission.

6. Workers’ Compensation. Labor Code Sections 1860 and 3700 provide that every contractor will be required to secure the payment of compensation to its employees. In accordance with the provisions of Labor Code Section 1861, by signi ng this Contract, the Contractor certifies as 619
Agreement No. A-8433
2 follows: “I am aware of the provisions of Section 3700 of the Labor Code which require every employer to be insured against liability for workers’ compensation or to undertake self-insurance in accordance with the provisions of that Code, and I will comply with such provisions before commencing the performance of the Work of this Contract.”

7. Titles. The titles used in this Contract are for convenience only and shall in no way define, limit or describe the scope or intent of this Contract or any part of it.

8. Authority. Any person executing this Contract on behalf of Contractor warrants and represents that he or she has the authority to execute this Contract on behalf of Contractor and has the authority to bind Contractor to the performance of its obligations hereunder.

9. Entire Agreement. This Contract, including all incorporated documents, constitutes the entire agreement between the parties hereto with respect to the Project, and supersedes all previous agreements, promises, proposals, representations, understandings and negotiations, whether written or oral, between the parties regarding the subject matter.

10. Amendment. No Contract modification, amendm ent or supplement to this Contract other than Change Orders will be binding unless written and signed by the parties’ duly authorized representatives.

11. Counterparts. This Contract may be executed in one or more counterparts, each of which shall be deemed an original, but all of which together shall constitute one and the same instrument. A signed copy of this Contract tran smitted by facsimile, email or other means of electronic transmission shall be deemed to have the same legal effect as delivery of an original executed copy of this Contract for all purposes.

[signatures on following page]

620
Agreement No. A-8433
3 IN WITNESS WHEREOF, the parties hereto have executed the Agreement on the first written above.

CITY OF OXNARD TAFT ELECTRIC COMPANY

John C. Zaragoza, Mayor1 Date Jim Marsh, President 2 Date Alexander Nguyen, City Manager
Purchasing Manager
[ n a m e ] , B u y e r
Carol Smith, Secretary Date
A T T E S T :

Rose Chaparro, Date
City Clerk (only if Mayor signs)

APPROVED AS TO FORM:

Stephen M. Fischer, City Date
Attorney (always required)

1 The City Council must authorize and the Mayor must sign any agreement over $200,000 annually. The City Manager may authorize and sign any agreement over $100,000 but up to $200,000 annually. The Purchasing Manager may authorize and sign any agreement up to $100,000 annually. A Buyer may authorize and sign any agreement up to $25,000 annually.

2 The City requires the following for any contract:
 For a corporation, the signatures of the Board President, CEO or Vice President and of the Board Secretary, Assistant Secretary, CFO or Assistant Treasurer;
 For an LLC, the signatures of at least two managers of the LLC (company directors, not lower‐level managers); or  For a partnership, the signature of a partner. If the partnership is a limited partnership, the signer must be a general partner.

If the company has a different structure, or if the above‐listed persons are not the appropriate signers, please submit to the City Attorney legally‐binding documentation stating who can sign and bind your company.

621
Agreement No. A-8433
4 EXHIBIT INS-G

INSURANCE REQUIREMENTS FOR CONSTRUCTION PROJECTS
(WITHOUT BUILDER’S RISK REQUIREMENT)

1. Contractor shall obtain and maintain during the performance of any services under this Contract the following insurance against claims for injuries to persons or damages to propert y which may arise from or in connection with the performance of services hereunder by Contractor, its agents, representatives, employees or subcontractors.

a. Commercial General Liability Insurance, including Contractual Liability, in an amount not less than $2,000,000 combined single limit for bodily injury and property damage for each claimant for general liability with coverage equivalent to Insuranc e Services Office Commercial General Liabil ity Coverage (Occurrence Form CG 0001). If a general aggregate limit is used, that limit shall apply separately to the project location or shall be twice the occurrence amount; b. Business Automobile Liability Insurance in an amount not less than $1,000,000 combined single limit for bodily injury and property damage for each claimant for automobile liability with coverage equivalent to Insurance Services Office Automobile Liability Co verage (Occurrence Form CA0001) covering Code No. 1, “any auto;” c. If architectural, engineering, or electrical work will be performed under the Contract, Professional Liability/Errors and Omiss ions Insurance appropriate to the work being done in an amount not less than $1,000,000, with neither Contractor nor listed subcontr actors having less than $500,000 individually. The Pr ofessional Liability/Errors and Omissions Insurance must be project specific wit h at least a one year extended reporting period, or longer upon request. d. Workers’ Compensation Insurance in compliance with the laws of the State of California, and Employer’s Liability Insurance in a n amount not less than $1,000,000 per claimant. Additionally, the wo rkers’ compensation policy shall include a waiver of all righ ts of subrogation which the insurer may have against the City.

2. Contractor shall, prior to performance of any services, file wi th the Risk Manager certificates of insurance with original endorsements effecting coverage required by this Exhibit INS-G. The certificates and endorsements for each insurance policy ar e to be signed by a person authorized by that insurer to bind coverage on its behalf. The certificates and endorsements are to be on t he attached forms or on other forms approved by the Risk Manager. All certificates and endorsements are to be received and approved by the Risk Manager before work commences. City reserves the right to require complete certified copies of all required insurance policies at any time. The certificates of insurance and endorsements shall be se nt via email (or fax if necessary) to the Risk Manager, addres sed as follows (do not send hard copies):

City of Oxnard
Insurance Compliance
Reference No. PW 19-98
P.O. Box 100085 – OX
Duluth, GA 30096
Via Email: [email protected]
Via Fax: 678-259-1007

3. Contractor agrees that all insurance coverages shall be provided by a California admitted insurance carrier with an A.M. Best r ating of A:VII or better and shall be endorsed to state that coverage may not be suspended, voided, canceled by either party, or redu ced in coverage or limits without 30 days’ prior written notice to the Ri sk Manager. The Risk Manager shall not approve or accept any endorsement if the endorsement contains “best effort” modifiers or if the insurer is relieved from the responsibility to give such notice.

4. Contractor agrees that the Commercial Gene ral Liability and Business Au tomobile Liability Insurance policies shall be endorsed to name City, its City Council, officers, employees and volunteers as additional insureds as respects: liability arising out of a ctivities performed by or on behalf of Contractor; pr oducts and completed operations of Contractor ; premises owned, o ccupied or used by Contractor; or automobiles owned, leased, hired or borrowed by Contractor. The coverage shall contain no special limitations o n the scope of protection afforded to City, its City Council, officers, employees and volunteers. The General Liability Special Endorsement Form and Automobile Liability Special Endorsement Form attached to this Exhibit INS-G or s ubstitute forms containing the same information and acceptable to the Risk Manager shall be us ed to provide the endorsements (ISO form CG 2010 11/85 or if not available, CG 2010 with an edition date prior to 01/04 and CG 2037).

5. The coverages provided to City shall be primary and not contributing to or in excess of any existing City insurance or self-insurance coverages (this must be endorsed) . Additionally, the workers’ compensation policy sha ll include a waiver of all rights of subrogation which the insurer may have against the City. Any failure to co mply with reporting provisions of the policies shall not affect coverage provided to City, its City Council, officer s, employees and volunteers. The insurance shall apply separately to each insured a gainst whom claim is made or suit is brought, except with respect to the limits of the insurer’s liability.

6. Any deductibles or self-insured retentions must be declared to and approved by the Ri sk Manager. At the option of the Risk Manager, either the insurer shall reduce or eliminate such deductibles or self-insured retentions as respects City, its City Co uncil, officers, employees and volunteers, or the Contractor shall procure a bond guaranteeing payment of losses and related investiga tions, claim administration and defense expenses.

7. All insurance standards applicable to Contractor shall also be a pplicable to Contractor’s subcont ractors. Contractor agrees to maintain appropriate agreements with subcontractors and to pr ovide proper evidence of coverage upon receipt of a written reques t from the Risk Manager.
622
Agreement No. A-8433
5 INSTRUCTION FOR SUBMITTING INSURANCE CERTIFICATES AND ENDORSEMENT FORMS

Certificates of Insurance

The sample accord form on the following page is provided to facilitate your preparation and submission of certificates of insurance. You may use this or any industry form that shows coverage as broad as that shown on the attached sample. Please note the certificate holder address must be as shown on the attached sample accord form with the contract number and insuran ce exhibit identification information completed.

Improperly addressed certificates may delay the contract start-up date because the City =s practice is to return unidentifiable insurance certificates to the insured for clarification as to the contract number. Cancellation provisions must be endorsed to the policy. Modifying the certificate does not change coverage or obligate the carrier to provide notice of cancellation.

Endorsement Forms

Original endorsements are required for general liability and automobile liability insurance policies and must be attached to the applicable certificate of insurance. City preference is that you use the endorsement forms which are attached. Substitute forms will be accepted, however, as long as they include provisions comparable to the attached.

623
Agreement No. A-8433
6 ACORD CERTIFICATE OF INSURANCE ISSUE DATE
(MM/DD/YY)

PRODUCER

THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE HOLDER. TH IS CERTIFICATE DOES NOT AMEND, EXTEND OR ALTER THE COVERAGE AFFORDED BY THE POLICIES BELOW.

CODESUB-CODE

COMPANIES AFFORDING INSURANCE COVERAGE

INSURED

COMPANY

LETTER ASPECIFY COMPANY NAMES IN THIS SPACE

COMPANY

LETTER B

COVERAGES

THIS IS TO CERTIFY THAT THE POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICY PERIO D INDICATED, NOTWITHSTANDING

ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THIS CERTIFICATE MAY BE ISSUED OR MA Y PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS, EXCLUSIONS AND CONDITIONS OF SUCH POLICIES. LIMITS SHOW N MAY HAVE BEEN REDUCED BY PAID CLAIMS.

CO
LTR

TYPE OF INSURANCE

POLICY NUMBER

POLICY EFFECTIVE

DATE (MM/DD/YY)

POLICY EXPIRATION

DATE (MM/DD/YY)

LIMITS

A

GENERAL LIABILITY
[x] COMMERCIAL GENERAL LIABILITY
[ ] CLAIMS MADE [x] OCCUR.
[x] OWNER’S & CONTRACTOR’S PROT.

GENERAL AGGREGATE $2,000,000
PRODUCTS COMP/OP AGG. $2,000,000
PERSONAL & ADV. INJURY $2,000,000
EACH OCCURRENCE $2,000,000
FIRE DAMAGE (Any one fire) $
MED. EXPENSE (Any one person) $

A

AUTOMOBILE LIABILITY
[x] ANY AUTO

ALL OWNED AUTOS

SCHEDULED AUTOS

HIRED AUTOS

NON-OWNED AUTOS

GARAGE LIABILITY

COMBINED SINGLE
$1,000,000
LIMIT
BODILY INJURY $
(Per person)
BODILY INJURY $
(Per accident)
PROPERTY DAMAGE $

A

EXCESS LIABILITY

UMBRELLA FORM

OTHER THAN UMBRELLA FORM

EACH OCCURRENCE $

AGGREGATE $

A

WORKERS’ COMPENSATION
AND
EMPLOYERS’ LIABILITY

STATUTORY LIMITS
EACH ACCIDENT $1,000,000
DISEASE-POLICY LIMIT $1,000,000
DISEASE-EACH EMPLOYEE $1,000,000

A

OTHER
Errors and omissions insurance or malpractice insurance available for the insured’s profession; if architectural, engineering or electrical work will be performed under the Contract

Minimum coverage $1,000,000
Each consultant/ $500,000
& listed sub-consultant

DESCRIPTION OF OPERATIONS/LOCATIONS/VEHICLES/RESTRICTIONS/SPECIAL ITEMS

CERTIFICATE HOLDER

CITY OF OXNARD
Attn: Insurance Compliance
Reference No. PW 19-98
P.O. Box 100085 – OX
Duluth, GA 30096
Via Email: [email protected]
Via Fax: 678-259-1007

CANCELLATION

SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELED BEFORE THE EXPIRATION DATE THEREOF, THE ISSUING COMPANY WILL ENDEAVOR TO MAIL 30 DAYS WRITTEN NOTICE TO THE

CERTIFICATE HOLDER NAMED TO THE LEFT, BUT FAILURE TO MAIL SUCH NOTICE SHALL IMPOSE NO OBLIGATION OR LIABILITY OF ANY KIND UPON THE COMPANY, ITS AGENTS OR REPRESENTATIVES.

AUTHORIZED REPRESENTATIVE

624
Agreement No. A-8433
7 GENERAL LIABILITY SPECIAL ENDORSEMENT
FOR THE CITY OF OXNARD (the ACity@)

SUBMIT IN DUPLICATE
ENDORSEMENT NO.

ISSUE DATE (MM/DD/YY)

PRODUCER

POLICY INFORMATION:

Insurance Company:

Policy No.:

Policy Period: (from) (to)
LOSS ADJUSTMENT EXPENSE  Included in Limits
 In Addition to Limits
Telephone:

 Deductible  Self-Insured Retention (check which) of $ with an Aggregate of $ applies to
coverage.  Per Occurrence  Per Claim (which)

NAMED INSURED
APPLICABILITY. This insurance pertains to the operations, products and/or tenancy of the named insured under all written agreements and permits in force with the City unless checked here  in which case only the following specific agreements and permits with the City are covered:

CITY AGREEMENTS/PERMITS

TYPE OF INSURANCE

GENERAL LIABILITY
 COMMERCIAL GENERAL LIABILITY
 COMPREHENSIVE GENERAL LIABILITY
 OWNERS & CONTRACTORS PROTECTIVE

 Claims Made
Retroactive Date
 Occurrence

OTHER PROVISIONS

COVERAGES

LIABILITY LIMITS IN THOUSANDS $

EACH OCCURRENCE

AGGREGATE

 GENERAL
 PRODUCTS/COMPLETED OPERATIONS
 PERSONAL & ADVERTISING INJURY
 FIRE DAMAGE



CLAIMS: Underwriter=s representative for claims pursuant to this insurance.

Name:

Address:

Telephone: ( )

In consideration of the premium charged and notwithstanding any inconsistent statement in the policy to which this endorsement is attached or any endorsement now or hereafter attached thereto, insurance company agrees as follows:

1. INSURED. The City, its officers, agents, employees and volunteers are included as insureds with regard to liability and defense of sui ts arising from the operations, products and activities performed by or on behalf of the named insured.

2. CONTRIBUTION NOT REQUIRED. As respects: (a) work performed by the named insured for or on behalf of the City; or (b) products sold by the named insured to the City; or (c) premises leased by the named insured from t he City, the insurance afforded by this policy shall be primary ins urance as respects the City, its officers, agents, employees or volunteers; or stand in an unbroken chain of coverage excess of the named insured=s scheduled underlying primary coverage. In either event, any other insurance maintained by the City, its officers, agents, employees or volunteers shall be in excess of this insurance and shall not contribute with it.

3. SEVERABILITY OF INTEREST. This insurance applies separately to each insured against whom c laim is made or suit is brought except with respect to the company=s limits of liability. The inclusion of any person or organization as an insured shall not affect any right which such person or organization would have as a claimant if not so included.

4. CANCELLATION NOTICE. With respect to the interests of the City, this insurance shall not be canceled, or materially reduced in coverage or limits except after thirty (30) days prior written notice by receipted delivery has been given to the City.

5. PROVISIONS REGARDING THE INSURED=S DUTIES. Any failure to comply with reporting provisions of t he policy or breaches or violations of warranties shall not affect coverage provided to the City, its officers, agents, employees or volunteers.

6. SCOPE OF COVERAGE. This policy, if primary, affords coverage at least as broad as:
a. Insurance Services Office Commercial General Liability Coverage, Aoccurrence@ form CG0001; or b. If excess, affords coverage which is at least as broad as the primary insurance form CG0001.

Except as stated above nothing herein shall be held to waive, alter or extend any of the limits, condition s, agreements or excl usions of the policy to which this endorsement is attached.

ENDORSEMENT HOLDER

CITY OF OXNARD
Attn: Insurance Compliance
Reference No. PW 19-98
P.O. Box 100085 – OX
Duluth, GA 30096
Via Email: [email protected]
Via Fax: 678-259-1007

AUTHORIZED REPRESENTATIVE
 Broker/Agent  Underwriter 

I (print/type name), warrant that I have authority to bind the above-mentioned insurance company and by my signature hereon do so bind this company to this endorsement.

Signature
(original signature required)

Telephone: ( ) Date Signed

625
Agreement No. A-8433
8 AUTOMOBILE LIABILITY SPECIAL ENDORSEMENT
FOR THE CITY OF OXNARD (the ACity@)

SUBMIT IN DUPLICATE
ENDORSEMENT NO.

ISSUE DATE (MM/DD/YY)

PRODUCER

POLICY INFORMATION:

Insurance Company:

Policy No.:

Policy Period: (from) (to)
LOSS ADJUSTMENT EXPENSE  Included in Limits
 In Addition to Limits
Telephone:

 Deductible  Self-Insured Retention (check which) of $ with an Aggregate of $ applies to
coverage.  Per Occurrence  Per Claim (which)

NAMED INSURED
APPLICABILITY. This insurance pertains to the operations, products and/or tenancy of the named insured under all written agreements and permits in force with the City unless checked here  in which case only the following spec ific agreements and permits with the City are covered:

CITY AGREEMENTS/PERMITS

TYPE OF INSURANCE

OTHER PROVISIONS
 COMMERCIAL AUTO POLICY
 BUSINESS AUTO POLICY
 OTHER
LIMIT OF LIABILITY CLAIMS: Underwriter=s representative for claims pursuant to this insurance.

Name:

Address:

Telephone: ( )

$ per accident, for bodil y injury and property damage.

In consideration of the premium charged and notwithstanding any inc onsistent statement in the policy to which this endorsement is attached or any endorsement now or hereafter attached thereto, insurance company agrees as follows:

1. INSURED. The City, its officers, agents, volunteers and employees are in cluded as insureds with regard to liability and defense of sui ts arising from the operations, products and activities performed by or on behalf of the named insured.

2. CONTRIBUTION NOT REQUIRED. As respects: (a) work performed by the named insured for or on behalf of the City; or (b) products sold by the named insured to the City; or (c) premis es leased by the named insured from the Ci ty, the insurance afforded by this policy shall be primary insurance as respects the City, its offi cers, agents, employees or volunteers; or stand in an unbroken chain of coverage excess of the named insured=s scheduled underlying primary coverage. In either event, any ot her insurance maintained by the City, its officers, agents, em ployees or volunteers shall be in excess of this insurance and shall not contribute with it.

3. SEVERABILITY OF INTEREST. This insurance applies separately to each insured agains t whom claim is made or suit is brought except with respect to the company =s limits of liability. The inclusion of any person or organization as an insured shall not affect any right which such person or organization would have as a claimant if not so included.

4. CANCELLATION NOTICE. With respect to the interests of the City, this insuranc e shall not be canceled, or materially reduced in coverage or limits except after thirty (30) days prior written notice by receipted delivery has been given to the City.

5. PROVISIONS REGARDING THE INSURED =S DUTIES. Any failure to comply with reporting provis ions of the policy or breaches or violations of warranties shall not affect coverage provided to the City, its officers, agents, employees or volunteers.

6. SCOPE OF COVERAGE. This policy, if primary, affords coverage at least as broad as:
a. Insurance Services Office Automobile Liability Coverage, Aoccurrence” form CA0001, code (Aany auto@); or b. If excess, affords coverage which is at least as broad as t he primary insurance form referenced in the preceding section (1).

Except as stated above nothing herein shall be held to waive, alter or extend any of the limits, conditions, agreements or excl usions of the policy to which this endorsement is attached.

ENDORSEMENT HOLDER

CITY OF OXNARD
Attn: Insurance Compliance
Reference No. PW 19-98
P.O. Box 100085 – OX
Duluth, GA 30096
Via Email: [email protected]
Via Fax: 678-259-1007

AUTHORIZED REPRESENTATIVE
 Broker/Agent  Underwriter 
I (print/type name), warrant that I have authority to bind the above-mentioned insurance company and by my signature hereon do so bind this company to this endorsement.

Signature
(original signature required)
Telephone: ( ) Date Signed
626
Agreement No. A-8433
9 Bond No. __________

PAYMENT BOND
(LABOR AND MATERIALS)

KNOW ALL PERSONS BY THESE PRESENTS that:

WHEREAS the City of Oxnard (“Agency”), State of California, has awarded to TAFT ELECTRIC COMPANY, 1694 Eastman Avenue, Ventura, California, 93003 (“Principal”) (Name and address of Contractor)
a contract (the “Contract”) for the Work described as TRAFFIC SIGNAL MODIFICATIONS PROJECT, SPECIFICATION NO. PW 19-98, FEDERAL PROJECT NO. HSIPL-5129(095).

WHEREAS, under the terms of the Contract, the Principal is required before entering upon the performance of any Work, to file a good and sufficient Payment Bond with the Agency to secure the claims to which reference is made in Title 3 (commencing with Section 9000) of Part 6 of Division 4 of the Civil Code.

NOW, THEREFORE, we, the undersigned Principal, and

(Name and address of Surety)
a corporation organized and existing under the laws of the State of __________________ (“Surety”) a duly admitted surety insurer under the laws of the State of California, as Surety, and our heirs, assignees, successors, executors a nd administrators are held and firmly bound, jointly and severally, unto the Agency and all Contractors, Subcontractors, laborers, material suppliers, and other persons employed in the performance of the Contract and referred to in Title 3 (commencing with Section 9000) of Part 6 of Division 4 of the Civil Code in the penal sum of Two Million, Nine Hundred Ninety-Nine Thousand, Nine Hundred Dollars ($2,999,900.00), this amount being not less than one hundred percent (100%) of the total Contract Price in lawful money of the United States of America, for materials furnished or labor thereon of any kind, or for amounts due under the Unemployment Insurance Act with respect to this Work or labor, that the Surety will pay the same in an amount not exceeding the amount hereinabove set forth, and also in case suit is brought upon this Bond, will pay, in addition to the face amount thereof, costs and reasonable expenses and fees, including reasonable attorneys’ fees, incurred by Agency in successfully enforcing this obligation, to be aw arded and fixed by the court, and to be taxed as costs and to be included in the judgment therein rendered.

It is hereby expressly stipulated and agreed that this Bond shall inure to the benefit of any and all persons, companies, and corporations entitled to file claims under Title 3 (commencing with Section 9000) of Part 6 of Division 4 of the Civil Code, so as to give a right of action to them or their assigns in any suit brought upon this Bond.

Upon expiration of the time within which the California Labor Commissioner may serve a civil wage and penalty assessment against the principal, any of its Subcontractors, or both the principal and its Subcontractors pursuant to Labor Code Section 1741, and upon expiration of the time within which a joint labor management committee may commence an action against the principal, any of its Subcontractors, or both the principal and its Subcontractors pursuant to 627
Agreement No. A-8433
10 Labor Code Section 1771.2, if the condition of this Bond be fully performed, then this obligation shall become null and void; otherwise, it shall be and remain in full force and effect.

The Surety hereby stipulates and agrees that no change, extension of time, alteration, or addition to the terms of the Contract, including all incorporated documents, shall in any manner affect its obligations on this Bond. The Sure ty hereby waives notice of any such change, extension, alteration, or addition. Additionally, th e Surety hereby waives California Civil Code 2845 and 2849 as well as any statutes of limitation, statutes of repose and laches as they may apply to an action on this Bond.

IN WITNESS WHEREOF, this instrument has been duly executed by Principal and Surety, on the date set forth below, the name of each party being hereto affixed and these presents duly signed by its undersigned representative(s) pursuant to authority of its governing body.

Dated:

“Principal”

By:

Its: __________________________

By:

Its: __________________________

(Seal)

“Surety”

By:

Its: __________________________

By:

Its: __________________________

(Seal)

Notes: This Bond must be executed in duplicate and dated, all signatures must be notarized, and evidence of the authority of any person signing as attorney-in-fact must be attached. Date of Bond must not be before the Effective Date of t he Contract. Surety companies executing Bonds must appear on the Treasury Department’s most current list (Circular 570 as amended) and be authorized to transact business in the State of California.

628
Agreement No. A-8433
11 Bond No. __________

PERFORMANCE BOND
KNOW ALL PERSONS BY THESE PRESENTS that:

WHEREAS the City of Oxnard (“Agency”), has awarded to TAFT ELECTRIC COMPANY, 1694 Eastman Avenue, Ventura, California, 93003 (“Principal”) (Name and address of Contractor)
a contract (the “Contract”) for the Work described as TRAFFIC SIGNAL MODIFICATIONS PROJECT, SPECIFICATION NO. PW 19-98, FEDERAL PROJECT NO. HSIPL-5129(095).

WHEREAS, Principal is required under the terms of the Contract to furnish a Bond for the faithful performance of the Contract.

NOW, THEREFORE, we, the undersigned Principal, and

,
(Name and address of Surety)
a corporation organized and existing under the laws of the State of __________________ (“Surety”) a duly admitted surety insurer under the laws of the State of California, as Surety, are held and firmly bound unto the Agency in the penal sum of Two Million, Nine Hundred Ninety- Nine Thousand, Nine Hundred Dollars ($2,999,900.00), this amount being not less than one hundred percent (100%) of the total Contract Price in lawful money of the United States of America, for the payment of which sum well and truly to be made, we bind ourselves, our heirs, assignees, successors, executors and administrator s, jointly and severally, firmly by these presents.

THE CONDITION OF THIS OBLIGATION IS S UCH THAT, if the hereby bounded Principal, his, her or its heirs, executors, administrators, successors or assigns, shall in all things stand to and abide by, and well and truly keep and perform the covenants, conditions and provisions in the Contract and any alteration thereof made as therein provided, on the Principal’s part, to be kept and performed at the time and in the manner therein specified, and in all respects according to their true intent and meaning, and shall indemnify and save harmless the Agency, its officers, agents and employees, as therein stipulated, then this obligation shall become null and void one (1) year from the date of recordation of the Notice of Completion for the Project; otherwise, it shall be and remain in full force and effect.

As a part of the obligation secured hereby and in addition to the face amount specified therefor, there shall be included costs and reasonable expenses and fees, including reasonable attorneys’ fees, incurred by Agency in successfully enforcing such obligation, all to be taxed as costs and included in any judgment rendered. Surety hereby waives any statutes of limitation, statutes of repose and laches as they may apply to an action on this Bond.

The Surety hereby stipulates and agrees that no change, extension of time, alteration or addition to the terms of the Contract, including all incorporated documents, or of the Work to be performed thereunder or the Specifications accompanying the same shall in any way affect the Surety’s obligations under this Bond. The Surety hereby waives notice of any such change, extension of time, alteration or addition to the terms of the Contract or to the Work or to the 629
Agreement No. A-8433
12 Specifications. Surety hereby waives Califor nia Civil Code 2845 and 2849. The City is the principal beneficiary of this Bond and has all rights of a party hereto.

IN WITNESS WHEREOF, this instrument has been duly executed by Principal and Surety, on the date set forth below, the name of each party being hereto affixed and these presents duly signed by its undersigned representative(s) pursuant to authority of its governing body.

D a t e d :

“Principal”

By:

Its: __________________________

By:

Its: __________________________

(Seal)

“Surety”

By:

Its: _________________________

By:

Its: _________________________

(Seal)

Notes: This Bond must be executed in duplicate and dated, all signatures must be notarized, and evidence of the authority of any person signing as attorney-in-fact must be attached. Date of Bond must not be before the Effective Date of t he Contract. Surety companies executing Bonds must appear on the Treasury Department’s most current list (Circular 570 as amended) and be authorized to transact business in the State of California. 630
Agreement No. A-8433
Exhibit A – Form FHWA-1273
EX. A 1

EXHIBIT A
FORM FHWA-1273 REQUIRED CONTRACT PROVISIONS FEDERAL-AID CONTRACTS

FHWA-1273 -- Revised May 1, 2012

REQUIRED CONTRACT PROVISIONS

FEDERAL-AID CONSTRUCTION CONTRACTS
I. General
II. Nondiscrimination
III. Non-segregated Facilities
IV. Davis-Bacon and Related Act Provisions
V. Contract Work Hours and Safety
Standards Act Provisions
VI. Subletting or Assigning the Contract
VII. Safety: Accident Prevention
VIII. False Statements Concerning Highway
Projects
IX. Implementation of Clean Air Act and
Federal Water Pollution Control Act
X. Compliance with Government-wide
Suspension and Debarment Requirements
XI. Certification Regarding Use of Contract
Funds for Lobbying

ATTACHMENTS
A. Employment and Materials Preference
for Appalachian Development Highway
System or Appalachian Local Access Road
Contracts (included in Appalachian
contracts only)
I. GENERAL

1. Form FHWA-1273 must be physically
incorporated in each construction contract
funded under Title 23 (excluding emergency
contracts solely intended for debris
removal). The contractor (or subcontractor)
must insert this form in each subcontract
and further require its inclusion in all lower
tier subcontracts (excluding purchase
orders, rental agreements and other
agreements for supplies or services).

The applicable requirements of Form
FHWA-1273 are incorporated by reference
for Work done under any purchase order,
rental agreement or agreement for other
services. The Contractor shall be
responsible for compliance by any
subcontractor, lower-tier subcontractor or
service provider.

Form FHWA-1273 must be included in all
Federal-aid design-build contracts, in all
subcontracts and in lower tier subcontracts
(excluding subcontracts for design services,
purchase orders, rental agreements and
other agreements for supplies or services).

The design-builder shall be responsible for
compliance by any subcontractor, lower-tier
subcontractor or service provider.

Contracting agencies may reference Form
FHWA-1273 in Bid proposal or request for
proposal documents, however, the Form
FHWA-1273 must be physically
incorporated (not referenced) in all
contracts, subcontracts and lower-tier
subcontracts (excluding purchase orders,
rental agreements and other agreements for
supplies or services related to a
construction contract).

2. Subject to the applicability criteria noted
in the following sections, these Contract
provisions shall apply to all Work performed
on the Contract by the contractor's own
organization and with the assistance of
workers under the Contractor's immediate
superintendence and to all Work performed
on the Contract by piecework, station Work,
or by subcontract.

3. A breach of any of the stipulations
contained in these Required Contract
Provisions may be sufficient grounds for
withholding of progress payments,
withholding of final payment, termination of
the Contract, suspension / debarment or
631
Agreement No. A-8433
Exhibit A – Form FHWA-1273
EX. A 2

any other action determined to be
appropriate by the contracting agency and
FHWA.

4. Selection of Labor: During the
performance of this Contract, the Contractor
shall not use convict labor for any purpose
within the limits of a construction project on
a Federal-aid highway unless it is labor
performed by convicts who are on parole,
supervised release, or probation. The term
Federal-aid highway does not include
roadways functionally classified as local
roads or rural minor collectors.

II. NONDISCRIMINATION
The provisions of this Section related to 23
CFR Part 230 are applicable to all federal-
aid construction contracts and to all related
construction subcontracts of $10,000 or
more. The provisions of 23 CFR Part 230
are not applicable to material supply,
engineering, or architectural service
contracts.

In addition, the Contractor and all
Subcontractors must comply with the
following policies: Executive Order 11246,
41 CFR 60, 29 CFR 1625-1627, Title 23
USC Section 140, the Rehabilitation Act of
1973, as amended (29 USC 794), Title VI of
the Civil Rights Act of 1964, as amended,
and related regulations including 49 CFR
Parts 21, 26 and 27; and 23 CFR Parts 200,
230, and 633.

The Contractor and all Subcontractors must
comply with: the requirements of the Equal
Opportunity Clause in 41 CFR 60-1.4(b)
and, for all construction contracts exceeding
$10,000, the Standard Federal Equal
Employment Opportunity Construction
Contract Specifications in 41 CFR 60-4.3.

Note: The U.S. Department of Labor has
exclusive authority to determine compliance
with Executive Order 11246 and the policies
of the Secretary of Labor including 41 CFR
60, and 29 CFR 1625-1627. The contracting
agency and the FHWA have the authority
and the responsibility to ensure compliance
with Title 23 USC Section 140, the
Rehabilitation Act of 1973, as amended (29
USC 794), and Title VI of the Civil Rights
Act of 1964, as amended, and related
regulations including 49 CFR Parts 21, 26
and 27; and 23 CFR Parts 200, 230, and
633.

The following provision is adopted from 23
CFR 230, Appendix A, with appropriate
revisions to conform to the U.S. Department
of Labor (US DOL) and FHWA
requirements.

1. Equal Employment Opportunity: Equal
employment opportunity (EEO)
requirements not to discriminate and to take
affirmative action to assure equal
opportunity as set forth under laws,
executive orders, rules, regulations (28 CFR
35, 29 CFR 1630, 29 CFR 1625-1627, 41
CFR 60 and 49 CFR 27) and orders of the
Secretary of Labor as modified by the
provisions prescribed herein, and imposed
pursuant to 23 U.S.C. 140 shall constitute
the EEO and specific affirmative action
standards for the contractor's Project
activities under this Contract. The provisions
of the Americans with Disabilities Act of
1990 (42 U.S.C. 12101 et seq .) set forth
under 28 CFR 35 and 29 CFR 1630 are
incorporated by reference in this Contract.

In the execution of this Contract, the
Contractor agrees to comply with the
following minimum specific requirement
activities of EEO:
a. The Contractor will work with the
contracting agency and the Federal
Government to ensure that it has made
every good faith effort to provide equal
opportunity with respect to all of its terms
and conditions of employment and in their
review of activities under the Contract.
b. The Contractor will accept as its
operating policy the following statement:
“It is the policy of this Company to
assure that applicants are employed,
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Agreement No. A-8433
Exhibit A – Form FHWA-1273
EX. A 3

and that employees are treated
during employment, without regard
to their race, religion, sex, color,
national origin, age or disability.

Such action shall include:
employment, upgrading, demotion,
or transfer; recruitment or
recruitment advertising; layoff or
termination; rates of pay or other
forms of compensation; and
selection for training, including
apprenticeship, pre-apprenticeship,
and/or on-the-job training.”

2. EEO Officer: The Contractor will
designate and make known to the
contracting officers an EEO Officer who will
have the responsibility for and must be
capable of effectively administering and
promoting an active EEO program and who
must be assigned adequate authority and
responsibility to do so

3. Dissemination of Policy: All members of
the Contractor’s staff who are authorized to
hire, supervise, promote, and discharge
employees, or who recommend such action,
or who are substantially involved in such
action, will be made fully cognizant of, and
will implement, the Contractor's EEO policy
and contractual responsibilities to provide
EEO in each grade and classification of
employment. To ensure that the above
agreement will be met, the following actions
will be taken as a minimum:
a. Periodic meetings of supervisory and
personnel office employees will be
conducted before the start of Work and then
not less often than once every six (6)
months, at which time the Contractor's EEO
policy and its implementation will be
reviewed and explained. The meetings will
be conducted by the EEO Officer.
b. All new supervisory or personnel office
employees will be given a thorough
indoctrination by the EEO Officer, covering
all major aspects of the Contractor's EEO
obligations within thirty (30) days following
their reporting for duty with the Contractor.
c. All personnel who are engaged in direct
recruitment for the Project will be instructed
by the EEO Officer in the Contractor's
procedures for locating and hiring minorities
and women.
d. Notices and posters setting forth the
Contractor's EEO policy will be placed in
areas readily accessible to employees,
applicants for employment and potential
employees.
e. The Contractor's EEO policy and the
procedures to implement such policy will be
brought to the attention of employees by
means of meetings, employee handbooks,
or other appropriate means.

4. Recruitment: When advertising for
employees, the Contractor will include in all
advertisements for employees the notation:
"An Equal Opportunity Employer." All such
advertisements will be placed in
publications having a large circulation
among minorities and women in the area
from which the Project work force would
normally be derived.
a. The Contractor will, unless precluded by
a valid bargaining agreement, conduct
systematic and direct recruitment through
public and private employee referral
sources likely to yield qualified minorities
and women. To meet this requirement, the
Contractor will identify sources of potential
minority group employees, and establish
with such identified sources procedures
whereby minority and women applicants
may be referred to the Contractor for
employment consideration.
b. In the event the Contractor has a valid
bargaining agreement providing for
exclusive hiring hall referrals, the Contractor
is expected to observe the provisions of that
agreement to the extent that the system
meets the Contractor's compliance with
EEO contract provisions. Where
implementation of such an agreement has
the effect of discriminating against
minorities or women, or obligates the
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Agreement No. A-8433
Exhibit A – Form FHWA-1273
EX. A 4

Contractor to do the same, such
implementation violates federal
nondiscrimination provisions.
c. The Contractor will encourage its present
employees to refer minorities and women as
applicants for employment. Information and
procedures with regard to referring such
applicants will be discussed with
employees.

5. Personnel Actions: Wages, working
conditions, and employee benefits shall be
established and administered, and
personnel actions of every type, including
hiring, upgrading, promotion, transfer,
demotion, layoff, and termination, shall be
taken without regard to race, color, religion,
sex, national origin, age or disability. The
following procedures shall be followed:
a. The Contractor will conduct periodic
inspections of Project sites to insure that
working conditions and employee facilities
do not indicate discriminatory treatment of
Project site personnel.
b. The Contractor will periodically evaluate
the spread of wages paid within each
classification to determine any evidence of
discriminatory wage practices.
c. The Contractor will periodically review
selected personnel actions in depth to
determine whether there is evidence of
discrimination. Where evidence is found, the
Contractor will promptly take corrective
action. If the review indicates that the
discrimination may extend beyond the
actions reviewed, such corrective action
shall include all affected persons.
d. The Contractor will promptly investigate
all complaints of alleged discrimination
made to the Contractor in connection with
its obligations under this Contract, will
attempt to resolve such complaints, and will
take appropriate corrective action within a
reasonable time. If the investigation
indicates that the discrimination may affect
persons other than the complainant, such
corrective action shall include such other
persons. Upon completion of each
investigation, the Contractor will inform
every complainant of all of their avenues of
appeal.

6. Training and Promotion:
a. The Contractor will assist in locating,
qualifying, and increasing the skills of
minorities and women who are applicants
for employment or current employees. Such
efforts should be aimed at developing full
journey level status employees in the type
of trade or job classification involved.
b. Consistent with the Contractor's work
force requirements and as permissible
under federal and State regulations, the
Contractor shall make full use of training
programs, i.e., apprenticeship, and on-the-
job training programs for the geographical
area of Contract performance. In the event
a special provision for training is provided
under this Contract, this subparagraph will
be superseded as indicated in the special
provision. The City may reserve training
positions for persons who receive welfare
assistance in accordance with 23 U.S.C.
140(a).
c. The Contractor will advise employees and
applicants for employment of available
training programs and entrance
requirements for each.
d. The Contractor will periodically review the
training and promotion potential of
employees who are minorities and women
and will encourage eligible employees to
apply for such training and promotion.

7. Unions: If the Contractor relies in whole
or in part upon unions as a source of
employees, the Contractor will use good
faith efforts to obtain the cooperation of
such unions to increase opportunities for
minorities and women. Actions by the
Contractor, either directly or through a
Contractor's association acting as agent,
will include the procedures set forth below:
634
Agreement No. A-8433
Exhibit A – Form FHWA-1273
EX. A 5

a. The Contractor will use good faith efforts
to develop, in cooperation with the unions,
joint training programs aimed toward
qualifying more minorities and women for
membership in the unions and increasing
the skills of minorities and women so that
they may qualify for higher paying
employment.
b. The Contractor will use good faith efforts
to incorporate an EEO clause into each
union agreement to the end that such union
will be contractually bound to refer
applicants without regard to their race,
color, religion, sex, national origin, age or
disability.
c. The Contractor is to obtain information as
to the referral practices and policies of the
labor union except that to the extent such
information is within the exclusive
possession of the labor union and such
labor union refuses to furnish such
information to the Contractor, the Contractor
shall so certify to the contracting agency
and shall set forth what efforts have been
made to obtain such information.
d. In the event the union is unable to
provide the Contractor with a reasonable
flow of referrals within the time limit set forth
in the collective bargaining agreement, the
Contractor will, through independent
recruitment efforts, fill the employment
vacancies without regard to race, color,
religion, sex, national origin, age or
disability; making full efforts to obtain
qualified and/or qualifiable minorities and
women. The failure of a union to provide
sufficient referrals (even though it is
obligated to provide exclusive referrals
under the terms of a collective bargaining
agreement) does not relieve the Contractor
from the requirements of this paragraph. In
the event the union referral practice
prevents the Contractor from meeting the
obligations pursuant to Executive Order
11246, as amended, and these special
provisions, such Contractor shall
immediately notify the contracting agency.

8. Reasonable Accommodation for
Applicants / Employees with Disabilities:

The Contractor must be familiar with the
requirements for and comply with the
Americans with Disabilities Act and all rules
and regulations established there under.

Employers must provide reasonable
accommodation in all employment activities
unless to do so would cause an undue
hardship.

9. Selection of Subcontractors, Procurement
of Materials and Leasing of Equipment: The
Contractor shall not discriminate on the
grounds of race, color, religion, sex, national
origin, age or disability in the selection and
retention of Subcontractors, including
procurement of materials and leases of
equipment. The Contractor shall take all
necessary and reasonable steps to ensure
nondiscrimination in the administration of
this Contract.
a. The Contractor shall notify all potential
Subcontractors and suppliers and lessors of
their EEO obligations under this Contract.
b. The Contractor will use good faith efforts
to ensure Subcontractor compliance with
their EEO obligations.

10. Assurance Required by 49 CFR

26.13(b):
a. The requirements of 49 CFR Part 26 and
the State DOT’s U.S. DOT-approved DBE
program are incorporated by reference.
b. The Contractor or Subcontractor shall not
discriminate on the basis of race, color,
national origin, or sex in the performance of
this Contract. The Contractor shall carry out
applicable requirements of 49 CFR Part 26
in the award and administration of DOT-
assisted contracts. Failure by the Contractor
to carry out these requirements is a material
breach of this Contract, which may result in
the termination of this Contract or such
other remedy as the contracting agency
deems appropriate.
635
Agreement No. A-8433
Exhibit A – Form FHWA-1273
EX. A 6

11. Records and Reports: The Contractor
shall keep such records as necessary to
document compliance with the EEO
requirements. Such records shall be
retained for a period of three (3) years
following the date of the final payment to the
Contractor for all Contract Work and shall
be available at reasonable times and places
for inspection by authorized representatives
of the contracting agency and the FHWA.
a. The records kept by the Contractor shall
document the following:
(1) The number and Work hours of minority
and non-minority group members and
women employed in each Work
classification on the Project;
(2) The progress and efforts being made in
cooperation with unions, when applicable, to
increase employment opportunities for
minorities and women; and
(3) The progress and efforts being made in
locating, hiring, training, qualifying, and
upgrading minorities and women;
b. The Contractors and Subcontractors will
submit an annual report to the contracting
agency each July for the duration of the
Project, indicating the number of minority,
women, and non-minority group employees
currently engaged in each Work
classification required by the Contract Work.

This information is to be reported on Form
FHWA-1391. The staffing data should
represent the Project work force on board in
all or any part of the last payroll period
preceding the end of July. If on-the-job
training is being required by special
provision, the Contractor will be required to
collect and report training data. The
employment data should reflect the work
force on board during all or any part of the
last payroll period preceding the end of July.

III. NONSEGREGATED FACILITIES
This provision is applicable to all Federal-
aid construction contracts and to all related
construction subcontracts of $10,000 or
more.

The Contractor must ensure that facilities
provided for employees are provided in
such a manner that segregation on the
basis of race, color, religion, sex, or national
origin cannot result. The Contractor may
neither require such segregated use by
written or oral policies nor tolerate such use
by employee custom. The Contractor's
obligation extends further to ensure that its
employees are not assigned to perform their
services at any location, under the
Contractor's control, where the facilities are
segregated. The term "facilities" includes
waiting rooms, Work areas, restaurants and
other eating areas, time clocks, restrooms,
washrooms, locker rooms, and other
storage or dressing areas, parking lots,
drinking fountains, recreation or
entertainment areas, transportation, and
housing provided for employees. The
Contractor shall provide separate or single-
user restrooms and necessary dressing or
sleeping areas to assure privacy between
sexes.

IV. DAVIS-BACON AND RELATED ACT

PROVISIONS
This Section is applicable to all Federal-aid
construction projects exceeding $2,000 and
to all related subcontracts and lower-tier
subcontracts (regardless of subcontract
size). The requirements apply to all projects
located within the right-of-way of a roadway
that is functionally classified as Federal-aid
highway. This excludes roadways
functionally classified as local roads or rural
minor collectors, which are exempt.

Contracting agencies may elect to apply
these requirements to other projects.

The following provisions are from the U.S.

Department of Labor regulations in 29 CFR

5.5 “Contract provisions and related
matters” with minor revisions to conform to
the FHWA-1273 format and FHWA program
requirements.
636
Agreement No. A-8433
Exhibit A – Form FHWA-1273
EX. A 7

1. Minimum wages
a. All laborers and mechanics employed or
working upon the site of the Work, will be
paid unconditionally and not less often than
once a week, and without subsequent
deduction or rebate on any account (except
such payroll deductions as are permitted by
regulations issued by the Secretary of Labor
under the Copeland Act (29 CFR part 3)),
the full amount of wages and bona fide
fringe benefits (or cash equivalents thereof)
due at time of payment computed at rates
not less than those contained in the wage
determination of the Secretary of Labor
which is attached hereto and made a part
hereof, regardless of any contractual
relationship which may be alleged to exist
between the Contractor and such laborers
and mechanics.

Contributions made or costs reasonably
anticipated for bona fide fringe benefits
under Section 1(b)(2) of the Davis-Bacon
Act on behalf of laborers or mechanics are
considered wages paid to such laborers or
mechanics, subject to the provisions of
paragraph 1.d. of this Section; also, regular
contributions made or costs incurred for
more than a weekly period (but not less
often than quarterly) under plans, funds, or
programs which cover the particular weekly
period, are deemed to be constructively
made or incurred during such weekly
period. Such laborers and mechanics shall
be paid the appropriate wage rate and
fringe benefits on the wage determination
for the classification of Work actually
performed, without regard to skill, except as
provided in 29 CFR 5.5(a)(4). Laborers or
mechanics performing Work in more than
one classification may be compensated at
the rate specified for each classification for
the time actually worked therein: Provided,
that the employer's payroll records
accurately set forth the time spent in each
classification in which Work is performed.

The wage determination (including any
additional classification and wage rates
conformed under paragraph 1.b. of this
Section) and the Davis-Bacon poster (WH–
1321) shall be posted at all times by the
Contractor and its Subcontractors at the site
of the Work in a prominent and accessible
place where it can be easily seen by the
workers.
b. (1) The contracting officer shall require
that any class of laborers or mechanics,
including helpers, which is not listed in the
wage determination and which is to be
employed under the Contract shall be
classified in conformance with the wage
determination. The contracting officer shall
approve an additional classification and
wage rate and fringe benefits therefore only
when the following criteria have been met:
(i) The Work to be performed by the
classification requested is not performed by
a classification in the wage determination;
and
(ii) The classification is utilized in the area
by the construction industry; and
(iii) The proposed wage rate, including any
bona fide fringe benefits, bears a
reasonable relationship to the wage rates
contained in the wage determination.
(2) If the Contractor and the laborers and
mechanics to be employed in the
classification (if known), or their
representatives, and the contracting officer
agree on the classification and wage rate
(including the amount designated for fringe
benefits where appropriate), a report of the
action taken shall be sent by the contracting
officer to the Administrator of the Wage and
Hour Division, Employment Standards
Administration, U.S. Department of Labor,
Washington, DC 20210. The Administrator,
or an authorized representative, will
approve, modify, or disapprove every
additional classification action within 30
days of receipt and so advise the
contracting officer or will notify the
contracting officer within the 30-day period
that additional time is necessary.
(3) In the event the Contractor, the laborers
637
Agreement No. A-8433
Exhibit A – Form FHWA-1273
EX. A 8

or mechanics to be employed in the
classification or their representatives, and
the contracting officer do not agree on the
proposed classification and wage rate
(including the amount designated for fringe
benefits, where appropriate), the contracting
officer shall refer the questions, including
the views of all interested parties and the
recommendation of the contracting officer,
to the Wage and Hour Administrator for
determination. The Wage and Hour
Administrator, or an authorized
representative, will issue a determination
within 30 days of receipt and so advise the
contracting officer or will notify the
contracting officer within the 30-day period
that additional time is necessary.
(4) The wage rate (including fringe benefits
where appropriate) determined pursuant to
paragraphs 1.b.(2) or 1.b.(3) of this Section,
shall be paid to all workers performing Work
in the classification under this Contract from
the first day on which Work is performed in
the classification.
c. Whenever the minimum wage rate
prescribed in the Contract for a class of
laborers or mechanics includes a fringe
benefit which is not expressed as an hourly
rate, the Contractor shall either pay the
benefit as stated in the wage determination
or shall pay another bona fide fringe benefit
or an hourly cash equivalent thereof.
d. If the Contractor does not make
payments to a trustee or other third person,
the Contractor may consider as part of the
wages of any laborer or mechanic the
amount of any costs reasonably anticipated
in providing bona fide fringe benefits under
a plan or program, Provided, That the
Secretary of Labor has found, upon the
written request of the Contractor, that the
applicable standards of the Davis-Bacon Act
have been met. The Secretary of Labor may
require the Contractor to set aside in a
separate account assets for the meeting of
obligations under the plan or program.

2. Withholding
The contracting agency shall upon its own
action or upon written request of an
authorized representative of the Department
of Labor, withhold or cause to be withheld
from the Contractor under this Contract, or
any other Federal contract with the same
Contractor, or any other federally-assisted
contract subject to Davis-Bacon prevailing
wage requirements, which is held by the
same Contractor, so much of the accrued
payments or advances as may be
considered necessary to pay laborers and
mechanics, including apprentices, trainees,
and helpers, employed by the Contractor or
any Subcontractor the full amount of wages
required by the Contract. In the event of
failure to pay any laborer or mechanic,
including any apprentice, trainee, or helper,
employed or working on the site of the
Work, all or part of the wages required by
the Contract, the contracting agency may,
after written notice to the Contractor, take
such action as may be necessary to cause
the suspension of any further payment,
advance, or guarantee of funds until such
violations have ceased.

3. Payrolls and basic records
a. Payrolls and basic records relating
thereto shall be maintained by the
Contractor during the course of the Work
and preserved for a period of three (3) years
thereafter for all laborers and mechanics
working at the site of the Work. Such
records shall contain the name, address,
and social security number of each such
worker, his or her correct classification,
hourly rates of wages paid (including rates
of contributions or costs anticipated for bona
fide fringe benefits or cash equivalents
thereof of the types described in Section
1(b)(2)(B) of the Davis-Bacon Act), daily
and weekly number of hours worked,
deductions made and actual wages paid.

Whenever the Secretary of Labor has found
under 29 CFR 5.5(a)(1)(iv) that the wages
of any laborer or mechanic include the
amount of any costs reasonably anticipated
in providing benefits under a plan or
program described in Section 1(b)(2)(B) of
638
Agreement No. A-8433
Exhibit A – Form FHWA-1273
EX. A 9

the Davis-Bacon Act, the Contractor shall
maintain records which show that the
commitment to provide such benefits is
enforceable, that the plan or program is
financially responsible, and that the plan or
program has been communicated in writing
to the laborers or mechanics affected, and
records which show the costs anticipated or
the actual cost incurred in providing such
benefits. Contractors employing apprentices
or trainees under approved programs shall
maintain written evidence of the registration
of apprenticeship programs and certification
of trainee programs, the registration of the
apprentices and trainees, and the ratios and
wage rates prescribed in the applicable
programs.
b. (1) The Contractor shall submit weekly for
each week in which any Contract Work is
performed a copy of all payrolls to the
contracting agency. The payrolls submitted
shall set out accurately and completely all of
the information required to be maintained
under 29 CFR 5.5(a)(3)(i), except that full
social security numbers and home
addresses shall not be included on weekly
transmittals. Instead the payrolls shall only
need to include an individually identifying
number for each employee (e.g., the last
four digits of the employee's social security
number). The required weekly payroll
information may be submitted in any form
desired. Optional Form WH–347 is available
for this purpose from the Wage and Hour
Division Web site at
http://www.dol.gov/esa/whd/forms/wh347ins
tr.htm or its successor site. The Contractor
is responsible for the submission of copies
of payrolls by all Subcontractors.

Contractors and Subcontractors shall
maintain the full social security number and
current address of each covered worker,
and shall provide them upon request to the
contracting agency for transmission to the
State DOT, the FHWA or the Wage and
Hour Division of the Department of Labor for
purposes of an investigation or audit of
compliance with prevailing wage
requirements. It is not a violation of this
Section for a Contractor to require a
Subcontractor to provide addresses and
social security numbers to the Contractor for
its own records, without weekly submission
to the contracting agency.
(2) Each payroll submitted shall be
accompanied by a “Statement of
Compliance,” signed by the Contractor or
Subcontractor or his or her agent who pays
or supervises the payment of the persons
employed under the Contract and shall
certify the following:
(i) That the payroll for the payroll period
contains the information required to be
provided under §5.5 (a)(3)(ii) of
Regulations, 29 CFR part 5, the appropriate
information is being maintained under §5.5
(a)(3)(i) of Regulations, 29 CFR part 5, and
that such information is correct and
complete;
(ii) That each laborer or mechanic (including
each helper, apprentice, and trainee)
employed on the Contract during the payroll
period has been paid the full weekly wages
earned, without rebate, either directly or
indirectly, and that no deductions have been
made either directly or indirectly from the full
wages earned, other than permissible
deductions as set forth in Regulations, 29
CFR part 3;
(iii) That each laborer or mechanic has been
paid not less than the applicable wage rates
and fringe benefits or cash equivalents for
the classification of Work performed, as
specified in the applicable wage
determination incorporated into the
Contract.
(3) The weekly submission of a properly
executed certification set forth on the
reverse side of Optional Form WH–347
shall satisfy the requirement for submission
of the “Statement of Compliance” required
by paragraph 3.b.(2) of this Section.
(4) The falsification of any of the above
certifications may subject the Contractor or
Subcontractor to civil or criminal prosecution
639
Agreement No. A-8433
Exhibit A – Form FHWA-1273
EX. A 10

under Section 1001 of Title 18 and Section
231 of Title 31 of the United States Code.
c. The Contractor or Subcontractor shall
make the records required under paragraph

3.a. of this Section available for inspection,
copying, or transcription by authorized
representatives of the contracting agency,
the State DOT, the FHWA, or the
Department of Labor, and shall permit such
representatives to interview employees
during working hours on the job. If the
Contractor or Subcontractor fails to submit
the required records or to make them
available, the FHWA may, after written
notice to the Contractor, the contracting
agency or the State DOT, take such action
as may be necessary to cause the
suspension of any further payment,
advance, or guarantee of funds.

Furthermore, failure to submit the required
records upon request or to make such
records available may be grounds for
debarment action pursuant to 29 CFR 5.12.

4. Apprentices and trainees
a. Apprentices (programs of the USDOL).

Apprentices will be permitted to work at less
than the predetermined rate for the Work
they performed when they are employed
pursuant to and individually registered in a
bona fide apprenticeship program registered
with the U.S. Department of Labor,
Employment and Training Administration,
Office of Apprenticeship Training, Employer
and Labor Services, or with a State
Apprenticeship Agency recognized by the
Office, or if a person is employed in his or
her first ninety (90) days of probationary
employment as an apprentice in such an
apprenticeship program, who is not
individually registered in the program, but
who has been certified by the Office of
Apprenticeship Training, Employer and
Labor Services or a State Apprenticeship
Agency (where appropriate) to be eligible
for probationary employment as an
apprentice.

The allowable ratio of apprentices to
journeymen on the job site in any craft
classification shall not be greater than the
ratio permitted to the Contractor as to the
entire work force under the registered
program. Any worker listed on a payroll at
an apprentice wage rate, who is not
registered or otherwise employed as stated
above, shall be paid not less than the
applicable wage rate on the wage
determination for the classification of Work
actually performed. In addition, any
apprentice performing Work on the job site
in excess of the ratio permitted under the
registered program shall be paid not less
than the applicable wage rate on the wage
determination for the Work actually
performed. Where a Contractor is
performing construction on a project in a
locality other than that in which its program
is registered, the ratios and wage rates
(expressed in percentages of the
journeyman's hourly rate) specified in the
Contractor's or Subcontractor's registered
program shall be observed.

Every apprentice must be paid at not less
than the rate specified in the registered
program for the apprentice's level of
progress, expressed as a percentage of the
journeymen hourly rate specified in the
applicable wage determination. Apprentices
shall be paid fringe benefits in accordance
with the provisions of the apprenticeship
program. If the apprenticeship program
does not specify fringe benefits, apprentices
must be paid the full amount of fringe
benefits listed on the wage determination for
the applicable classification. If the
Administrator determines that a different
practice prevails for the applicable
apprentice classification, fringes shall be
paid in accordance with that determination.

In the event the Office of Apprenticeship
Training, Employer and Labor Services, or a
State Apprenticeship Agency recognized by
the Office, withdraws approval of an
apprenticeship program, the Contractor will
no longer be permitted to utilize apprentices
at less than the applicable predetermined
640
Agreement No. A-8433
Exhibit A – Form FHWA-1273
EX. A 11

rate for the Work performed until an
acceptable program is approved.
b. Trainees (programs of the USDOL).

Except as provided in 29 CFR 5.16, trainees
will not be permitted to work at less than the
predetermined rate for the Work performed
unless they are employed pursuant to and
individually registered in a program which
has received prior approval, evidenced by
formal certification by the U.S. Department
of Labor, Employment and Training
Administration.

The ratio of trainees to journeymen on the
job site shall not be greater than permitted
under the plan approved by the
Employment and Training Administration.

Every trainee must be paid at not less than
the rate specified in the approved program
for the trainee's level of progress,
expressed as a percentage of the
journeyman hourly rate specified in the
applicable wage determination. Trainees
shall be paid fringe benefits in accordance
with the provisions of the trainee program. If
the trainee program does not mention fringe
benefits, trainees shall be paid the full
amount of fringe benefits listed on the wage
determination unless the Administrator of
the Wage and Hour Division determines that
there is an apprenticeship program
associated with the corresponding
journeyman wage rate on the wage
determination which provides for less than
full fringe benefits for apprentices. Any
employee listed on the payroll at a trainee
rate who is not registered and participating
in a training plan approved by the
Employment and Training Administration
shall be paid not less than the applicable
wage rate on the wage determination for the
classification of Work actually performed. In
addition, any trainee performing Work on
the Project site in excess of the ratio
permitted under the registered program
shall be paid not less than the applicable
wage rate on the wage determination for the
Work actually performed.

In the event the Employment and Training
Administration withdraws approval of a
training program, the Contractor will no
longer be permitted to utilize trainees at less
than the applicable predetermined rate for
the Work performed until an acceptable
program is approved.
c. Equal employment opportunity. The
utilization of apprentices, trainees and
journeymen under this part shall be in
conformity with the equal employment
opportunity requirements of Executive Order
11246, as amended, and 29 CFR part 30.
d. Apprentices and Trainees (programs of
the U.S. DOT).

Apprentices and trainees working under
apprenticeship and skill training programs
which have been certified by the Secretary
of Transportation as promoting EEO in
connection with Federal-aid highway
construction programs are not subject to the
requirements of paragraph 4 of this Section
IV. The straight time hourly wage rates for
apprentices and trainees under such
programs will be established by the
particular programs. The ratio of
apprentices and trainees to journeymen
shall not be greater than permitted by the
terms of the particular program.

5. Compliance with Copeland Act
requirements. The Contractor shall comply
with the requirements of 29 CFR part 3,
which are incorporated by reference in this
Contract.

6. Subcontracts. The Contractor or
Subcontractor shall insert Form FHWA-
1273 in any subcontracts and also require
the Subcontractors to include Form FHWA-
1273 in any lower tier subcontracts. The
Contractor shall be responsible for the
compliance by any Subcontractor or lower
tier Subcontractor with all the Contract
clauses in 29 CFR 5.5.

7. Contract termination: debarment. A
breach of the contract clauses in 29 CFR
641
Agreement No. A-8433
Exhibit A – Form FHWA-1273
EX. A 12

5.5 may be grounds for termination of the
Contract, and for debarment as a Contractor
and a Subcontractor as provided in 29 CFR

5.12.liquidated

8. Compliance with Davis-Bacon and
Related Act requirements. All rulings and
interpretations of the Davis-Bacon and
Related Acts contained in 29 CFR parts 1,
3, and 5 are herein incorporated by
reference in this Contract.

9. Disputes concerning labor standards.

Disputes arising out of the labor standards
provisions of this Contract shall not be
subject to the general disputes clause of
this Contract. Such disputes shall be
resolved in accordance with the procedures
of the Department of Labor set forth in 29
CFR parts 5, 6, and 7. Disputes within the
meaning of this clause include disputes
between the Contractor (or any of its
Subcontractors) and the contracting agency,
the U.S. Department of Labor, or the
employees or their representatives.

10. Certification of eligibility.
a. By entering into this Contract, the
Contractor certifies that neither it (nor he or
she) nor any person or firm who has an
interest in the Contractor's firm is a person
or firm ineligible to be awarded Government
contracts by virtue of Section 3(a) of the
Davis-Bacon Act or 29 CFR 5.12(a)(1).
b. No part of this Contract shall be
subcontracted to any person or firm
ineligible for award of a Government
contract by virtue of Section 3(a) of the
Davis-Bacon Act or 29 CFR 5.12(a)(1).
c. The penalty for making false statements
is prescribed in the U.S. Criminal Code, 18
U.S.C. 1001.

V. CONTRACT WORK HOURS AND

SAFETY STANDARDS ACT
The following clauses apply to any Federal-
aid construction contract in an amount in
excess of $100,000 and subject to the
overtime provisions of the Contract Work
Hours and Safety Standards Act. These
clauses shall be inserted in addition to the
clauses required by 29 CFR 5.5(a) or 29
CFR 4.6. As used in this paragraph, the
terms laborers and mechanics include
watchmen and guards.

1. Overtime requirements. No Contractor or
Subcontractor contracting for any part of the
Contract Work which may require or involve
the employment of laborers or mechanics
shall require or permit any such laborer or
mechanic in any workweek in which he or
she is employed on such Work to work in
excess of forty hours in such workweek
unless such laborer or mechanic receives
compensation at a rate not less than one
and one-half times the basic rate of pay for
all hours worked in excess of forty (40)
hours in such workweek.

2. Violation; liability for unpaid wages;
liquidated damages. In the event of any
violation of the clause set forth in paragraph
(1.) of this Section, the Contractor and any
Subcontractor responsible therefor shall be
liable for the unpaid wages. In addition,
such Contractor and Subcontractor shall be
liable to the United States (in the case of
Work done under contract for the District of
Columbia or a territory, to such District or to
such territory), for liquidated damages. Such
liquidated damages shall be computed with
respect to each individual laborer or
mechanic, including watchmen and guards,
employed in violation of the clause set forth
in paragraph (1.) of this Section, in the sum
of $10 for each calendar day on which such
individual was required or permitted to Work
in excess of the standard workweek of forty
(40) hours without payment of the overtime
wages required by the clause set forth in
paragraph (1.) of this Section.

3. Withholding for unpaid wages and
liquidated damages. The FHWA or the
contacting agency shall upon its own action
or upon written request of an authorized
representative of the Department of Labor
642
Agreement No. A-8433
Exhibit A – Form FHWA-1273
EX. A 13

withhold or cause to be withheld, from any
moneys payable on account of Work
performed by the Contractor or
Subcontractor under any such contract or
any other Federal contract with the same
Contractor, or any other federally-assisted
contract subject to the Contract Work Hours
and Safety Standards Act, which is held by
the same Contractor, such sums as may be
determined to be necessary to satisfy any
liabilities of such Contractor or
Subcontractor for unpaid wages and
liquidated damages as provided in the
clause set forth in paragraph (2.) of this
Section.

4. Subcontracts. The Contractor or
Subcontractor shall insert in any
subcontracts the clauses set forth in
paragraph (1.) through (4.) of this Section
and also a clause requiring the
Subcontractors to include these clauses in
any lower tier subcontracts. The Contractor
shall be responsible for compliance by any
Subcontractor or lower tier Subcontractor
with the clauses set forth in paragraphs (1.)
through (4.) of this Section.

VI. SUBLETTING OR ASSIGNING THE

CONTRACT
This provision is applicable to all Federal-
aid construction contracts on the National
Highway System.

1. The Contractor shall perform with its own
organization Contract Work amounting to
not less than 30 percent (or a greater
percentage if specified elsewhere in the
contract) of the total original Contract price,
excluding any specialty items designated by
the contracting agency. Specialty items may
be performed by subcontract and the
amount of any such specialty items
performed may be deducted from the total
original Contract price before computing the
amount of Work required to be performed
by the Contractor's own organization (23
CFR 635.116).
a. The term “perform Work with its own
organization” refers to workers employed or
leased by the Contractor, and equipment
owned or rented by the Contractor, with or
without operators. Such term does not
include employees or equipment of a
Subcontractor or lower tier Subcontractor,
agents of the Contractor, or any other
assignees. The term may include payments
for the costs of hiring leased employees
from an employee leasing firm meeting all
relevant Federal and State regulatory
requirements. Leased employees may only
be included in this term if the Contractor
meets all of the following conditions:
(1) the Contractor maintains control over the
supervision of the day-to-day activities of
the leased employees;
(2) the Contractor remains responsible for
the quality of the Work of the leased
employees;
(3) the Contractor retains all power to
accept or exclude individual employees
from Work on the Project; and
(4) the Contractor remains ultimately
responsible for the payment of
predetermined minimum wages, the
submission of payrolls, statements of
compliance and all other Federal regulatory
requirements.
b. "Specialty Items" shall be construed to be
limited to work that requires highly
specialized knowledge, abilities, or
equipment not ordinarily available in the
type of contracting organizations qualified
and expected to bid or propose on the
Contract as a whole and in general are to
be limited to minor components of the
overall Contract.

2. The Contract amount upon which the
requirements set forth in paragraph (1) of
Section VI is computed includes the cost of
material and manufactured products which
are to be purchased or produced by the
Contractor under the Contract provisions.
643
Agreement No. A-8433
Exhibit A – Form FHWA-1273
EX. A 14

3. The Contractor shall furnish (a) a
competent superintendent or supervisor
who is employed by the firm, has full
authority to direct performance of the Work
in accordance with the Contract
requirements, and is in charge of all
construction operations (regardless of who
performs the Work) and (b) such other of its
own organizational resources (supervision,
management, and engineering services) as
the contracting officer determines is
necessary to assure the performance of the
Contract.

4. No portion of the Contract shall be sublet,
assigned or otherwise disposed of except
with the written consent of the contracting
officer, or authorized representative, and
such consent when given shall not be
construed to relieve the Contractor of any
responsibility for the fulfillment of the
Contract. Written consent will be given only
after the contracting agency has assured
that each subcontract is evidenced in writing
and that it contains all pertinent provisions
and requirements of the Contract.

5. The 30% self-performance requirement of
paragraph (1) is not applicable to design-
build contracts; however, contracting
agencies may establish their own self-
performance requirements.

VII. SAFETY: ACCIDENT PREVENTION
This provision is applicable to all Federal-
aid construction contracts and to all related
subcontracts.

1. In the performance of this Contract the
Contractor shall comply with all applicable
Federal, State, and local laws governing
safety, health, and sanitation (23 CFR 635).

The Contractor shall provide all safeguards,
safety devices and protective equipment
and take any other needed actions as it
determines, or as the contracting officer
may determine, to be reasonably necessary
to protect the life and health of employees
on the job and the safety of the public and
to protect property in connection with the
performance of the Work covered by the
Contract.

2. It is a condition of this Contract, and shall
be made a condition of each subcontract,
which the Contractor enters into pursuant to
this Contract, that the Contractor and any
Subcontractor shall not permit any
employee, in performance of the Contract,
to work in surroundings or under conditions
which are unsanitary, hazardous or
dangerous to his/her health or safety, as
determined under construction safety and
health standards (29 CFR 1926)
promulgated by the Secretary of Labor, in
accordance with Section 107 of the Contract
Work Hours and Safety Standards Act (40
U.S.C. 3704).

3. Pursuant to 29 CFR 1926.3, it is a
condition of this Contract that the Secretary
of Labor or authorized representative
thereof, shall have right of entry to any site
of Contract performance to inspect or
investigate the matter of compliance with
the construction safety and health standards
and to carry out the duties of the Secretary
under Section 107 of the Contract Work
Hours and Safety Standards Act (40
U.S.C.3704).

VIII. FALSE STATEMENTS CONCERNING

HIGHWAY PROJECTS
This provision is applicable to all Federal-
aid construction contracts and to all related
subcontracts.

In order to assure high quality and durable
construction in conformity with approved
plans and specifications and a high degree
of reliability on statements and
representations made by engineers,
contractors, suppliers, and workers on
Federal-aid highway projects, it is essential
that all persons concerned with the Project
perform their functions as carefully,
thoroughly, and honestly as possible. Willful
falsification, distortion, or misrepresentation
with respect to any facts related to the
Project is a violation of Federal law. To
644
Agreement No. A-8433
Exhibit A – Form FHWA-1273
EX. A 15

prevent any misunderstanding regarding the
seriousness of these and similar acts, Form
FHWA-1022 shall be posted on each
Federal-aid highway project (23 CFR 635)
in one or more places where it is readily
available to all persons concerned with the
Project:
18 U.S.C. 1020 reads as follows:
"Whoever, being an officer, agent, or
employee of the United States, or of
any State or Territory, or whoever,
whether a person, association, firm,
or corporation, knowingly makes any
false statement, false
representation, or false report as to
the character, quality, quantity, or
cost of the material used or to be
used, or the quantity or quality of the
Work performed or to be performed,
or the cost thereof in connection with
the submission of plans, maps,
specifications, contracts, or costs of
construction on any highway or
related project submitted for
approval to the Secretary of
Transportation; or
Whoever knowingly makes any false
statement, false representation,
false report or false claim with
respect to the character, quality,
quantity, or cost of any Work
performed or to be performed, or
materials furnished or to be
furnished, in connection with the
construction of any highway or
related project approved by the
Secretary of Transportation; or
Whoever knowingly makes any false
statement or false representation as
to material fact in any statement,
certificate, or report submitted
pursuant to provisions of the
Federal-aid Roads Act approved
July 1, 1916, (39 Stat. 355), as
amended and supplemented;
Shall be fined under this Title or
imprisoned not more than 5 years or
both."
IX. IMPLEMENTATION OF CLEAN AIR

ACT AND FEDERAL WATER POLLUTION

CONTROL ACT
This provision is applicable to all Federal-
aid construction contracts and to all related
subcontracts.

By submission of this Bid/proposal or the
execution of this Contract, or subcontract,
as appropriate, the Bidder, proposer,
federal-aid construction Contractor, or
subcontractor, as appropriate, will be
deemed to have stipulated as follows:

1. That any person who is or will be utilized
in the performance of this Contract is not
prohibited from receiving an award due to a
violation of Section 508 of the Clean Water
Act or Section 306 of the Clean Air Act.

2. That the Contractor agrees to include or
cause to be included the requirements of
paragraph (1) of this Section X in every
subcontract, and further agrees to take such
action as the contracting agency may direct
as a means of enforcing such requirements.

X. CERTIFICATION REGARDING

DEBARMENT, SUSPENSION,

INELIGIBILITY AND VOLUNTARY

EXCLUSION
This provision is applicable to all Federal-
aid construction contracts, design-build
contracts, subcontracts, lower-tier
subcontracts, purchase orders, lease
agreements, consultant contracts or any
other covered transaction requiring FHWA
approval or that is estimated to cost
$25,000 or more – as defined in 2 CFR
Parts 180 and 1200.

1. Instructions for Certification – First Tier
Participants:
a. By signing and submitting this proposal,
the prospective first tier participant is
645
Agreement No. A-8433
Exhibit A – Form FHWA-1273
EX. A 16

providing the certification set out below.
b. The inability of a person to provide the
certification set out below will not
necessarily result in denial of participation in
this covered transaction. The prospective
first tier participant shall submit an
explanation of why it cannot provide the
certification set out below. The certification
or explanation will be considered in
connection with the department or agency's
determination whether to enter into this
transaction. However, failure of the
prospective first tier participant to furnish a
certification or an explanation shall
disqualify such a person from participation
in this transaction.
c. The certification in this clause is a
material representation of fact upon which
reliance was placed when the contracting
agency determined to enter into this
transaction. If it is later determined that the
prospective participant knowingly rendered
an erroneous certification, in addition to
other remedies available to the Federal
Government, the contracting agency may
terminate this transaction for cause of
default.
d. The prospective first tier participant shall
provide immediate written notice to the
contracting agency to whom this proposal is
submitted if any time the prospective first
tier participant learns that its certification
was erroneous when submitted or has
become erroneous by reason of changed
circumstances.
e. The terms "covered transaction,"
"debarred," "suspended," "ineligible,"
"participant," "person," "principal," and
"voluntarily excluded," as used in this
clause, are defined in 2 CFR Parts 180 and
1200. “First Tier Covered Transactions”
refers to any covered transaction between a
grantee or subgrantee of Federal funds and
a participant (such as the prime or general
contract). “Lower Tier Covered
Transactions” refers to any covered
transaction under a First Tier Covered
Transaction (such as subcontracts). “First
Tier Participant” refers to the participant
who has entered into a covered transaction
with a grantee or subgrantee of Federal
funds (such as the Contractor). “Lower Tier
Participant” refers any participant who has
entered into a covered transaction with a
First Tier Participant or other Lower Tier
Participants (such as Subcontractors and
suppliers).
f. The prospective first tier participant
agrees by submitting this proposal that,
should the proposed covered transaction be
entered into, it shall not knowingly enter into
any lower tier covered transaction with a
person who is debarred, suspended,
declared ineligible, or voluntarily excluded
from participation in this covered
transaction, unless authorized by the
department or agency entering into this
transaction.
g. The prospective first tier participant
further agrees by submitting this proposal
that it will include the clause titled
"Certification Regarding Debarment,
Suspension, Ineligibility and Voluntary
Exclusion-Lower Tier Covered
Transactions," provided by the department
or contracting agency, entering into this
covered transaction, without modification, in
all lower tier covered transactions and in all
solicitations for lower tier covered
transactions exceeding the $25,000
threshold.
h. A participant in a covered transaction
may rely upon a certification of a
prospective participant in a lower tier
covered transaction that is not debarred,
suspended, ineligible, or voluntarily
excluded from the covered transaction,
unless it knows that the certification is
erroneous. A participant is responsible for
ensuring that its principals are not
suspended, debarred, or otherwise ineligible
to participate in covered transactions. To
verify the eligibility of its principals, as well
as the eligibility of any lower tier prospective
participants, each participant may, but is not
646
Agreement No. A-8433
Exhibit A – Form FHWA-1273
EX. A 17

required to, check the Excluded Parties List
System website (https://www.epls.gov/),
which is compiled by the General Services
Administration.
i. Nothing contained in the foregoing shall
be construed to require the establishment of
a system of records in order to render in
good faith the certification required by this
clause. The knowledge and information of
the prospective participant is not required to
exceed that which is normally possessed by
a prudent person in the ordinary course of
business dealings.
j. Except for transactions authorized under
paragraph (f) of these instructions, if a
participant in a covered transaction
knowingly enters into a lower tier covered
transaction with a person who is
suspended, debarred, ineligible, or
voluntarily excluded from participation in this
transaction, in addition to other remedies
available to the Federal Government, the
department or agency may terminate this
transaction for cause or default.
* * * * *

2. Certification Regarding Debarment,
Suspension, Ineligibility and Voluntary
Exclusion – First Tier Participants:
a. The prospective first tier participant
certifies to the best of its knowledge and
belief, that it and its principals:
(1) Are not presently debarred, suspended,
proposed for debarment, declared ineligible,
or voluntarily excluded from participating in
covered transactions by any Federal
department or agency;
(2) Have not within a three-year period
preceding this proposal been convicted of or
had a civil judgment rendered against them
for commission of fraud or a criminal
offense in connection with obtaining,
attempting to obtain, or performing a public
(federal, State or local) transaction or
contract under a public transaction; violation
of Federal or State antitrust statutes or
commission of embezzlement, theft, forgery,
bribery, falsification or destruction of
records, making false statements, or
receiving stolen property;
(3) Are not presently indicted for or
otherwise criminally or civilly charged by a
governmental entity (Federal, State or local)
with commission of any of the offenses
enumerated in paragraph (a)(2) of this
certification; and
(4) Have not within a three-year period
preceding this application/proposal had one
or more public transactions (Federal, State
or local) terminated for cause or default.
b. Where the prospective participant is
unable to certify to any of the statements in
this certification, such prospective
participant shall attach an explanation to
this proposal.

2. Instructions for Certification - Lower Tier
Participants:
(Applicable to all subcontracts, purchase
orders and other lower tier transactions
requiring prior FHWA approval or estimated
to cost $25,000 or more - 2 CFR Parts 180
and 1200)
a. By signing and submitting this proposal,
the prospective lower tier is providing the
certification set out below.
b. The certification in this clause is a
material representation of fact upon which
reliance was placed when this transaction
was entered into. If it is later determined
that the prospective lower tier participant
knowingly rendered an erroneous
certification, in addition to other remedies
available to the Federal Government, the
department, or agency with which this
transaction originated may pursue available
remedies, including suspension and/or
debarment.
c. The prospective lower tier participant
647
Agreement No. A-8433
Exhibit A – Form FHWA-1273
EX. A 18

shall provide immediate written notice to the
person to which this proposal is submitted if
at any time the prospective lower tier
participant learns that its certification was
erroneous by reason of changed
circumstances.
d. The terms "covered transaction,"
"debarred," "suspended," "ineligible,"
"participant," "person," "principal," and
"voluntarily excluded," as used in this
clause, are defined in 2 CFR Parts 180 and
1200. You may contact the person to which
this proposal is submitted for assistance in
obtaining a copy of those regulations. “First
Tier Covered Transactions” refers to any
covered transaction between a grantee or
subgrantee of Federal funds and a
participant (such as the prime or general
contract). “Lower Tier Covered
Transactions” refers to any covered
transaction under a First Tier Covered
Transaction (such as subcontracts). “First
Tier Participant” refers to the participant
who has entered into a covered transaction
with a grantee or subgrantee of Federal
funds (such as the Contractor). “Lower Tier
Participant” refers any participant who has
entered into a covered transaction with a
First Tier Participant or other Lower Tier
Participants (such as Subcontractors and
suppliers).
e. The prospective lower tier participant
agrees by submitting this proposal that,
should the proposed covered transaction be
entered into, it shall not knowingly enter into
any lower tier covered transaction with a
person who is debarred, suspended,
declared ineligible, or voluntarily excluded
from participation in this covered
transaction, unless authorized by the
department or agency with which this
transaction originated.
f. The prospective lower tier participant
further agrees by submitting this proposal
that it will include this clause titled
"Certification Regarding Debarment,
Suspension, Ineligibility and Voluntary
Exclusion-Lower Tier Covered Transaction,"
without modification, in all lower tier covered
transactions and in all solicitations for lower
tier covered transactions exceeding the
$25,000 threshold.
g. A participant in a covered transaction
may rely upon a certification of a
prospective participant in a lower tier
covered transaction that is not debarred,
suspended, ineligible, or voluntarily
excluded from the covered transaction,
unless it knows that the certification is
erroneous. A participant is responsible for
ensuring that its principals are not
suspended, debarred, or otherwise ineligible
to participate in covered transactions. To
verify the eligibility of its principals, as well
as the eligibility of any lower tier prospective
participants, each participant may, but is not
required to, check the Excluded Parties List
System website (https://www.epls.gov/),
which is compiled by the General Services
Administration.
h. Nothing contained in the foregoing shall
be construed to require establishment of a
system of records in order to render in good
faith the certification required by this clause.

The knowledge and information of
participant is not required to exceed that
which is normally possessed by a prudent
person in the ordinary course of business
dealings.
i. Except for transactions authorized under
paragraph e of these instructions, if a
participant in a covered transaction
knowingly enters into a lower tier covered
transaction with a person who is
suspended, debarred, ineligible, or
voluntarily excluded from participation in this
transaction, in addition to other remedies
available to the Federal Government, the
department or agency with which this
transaction originated may pursue available
remedies, including suspension and/or
debarment.
* * * * *
Certification Regarding Debarment,
648
Agreement No. A-8433
Exhibit A – Form FHWA-1273
EX. A 19

Suspension, Ineligibility and Voluntary
Exclusion--Lower Tier Participants:

1. The prospective lower tier participant
certifies, by submission of this proposal, that
neither it nor its principals is presently
debarred, suspended, proposed for
debarment, declared ineligible, or voluntarily
excluded from participating in covered
transactions by any Federal department or
agency.

2. Where the prospective lower tier
participant is unable to certify to any of the
statements in this certification, such
prospective participant shall attach an
explanation to this proposal.
* * * * *
XI. CERTIFICATION REGARDING USE OF

CONTRACT FUNDS FOR LOBBYING
This provision is applicable to all Federal-
aid construction contracts and to all related
subcontracts which exceed $100,000 (49
CFR 20).

1. The prospective participant certifies, by
signing and submitting this bid or proposal,
to the best of his or her knowledge and
belief, that:
a. No Federal appropriated funds have been
paid or will be paid, by or on behalf of the
undersigned, to any person for influencing
or attempting to influence an officer or
employee of any Federal agency, a Member
of Congress, an officer or employee of
Congress, or an employee of a Member of
Congress in connection with the awarding of
any federal contract, the making of any
federal grant, the making of any Federal
loan, the entering into of any cooperative
agreement, and the extension, continuation,
renewal, amendment, or modification of any
federal contract, grant, loan, or cooperative
agreement.
b. If any funds other than federal
appropriated funds have been paid or will
be paid to any person for influencing or
attempting to influence an officer or
employee of any federal agency, a Member
of Congress, an officer or employee of
Congress, or an employee of a Member of
Congress in connection with this federal
Contract, grant, loan, or cooperative
agreement, the undersigned shall complete
and submit Standard Form-LLL, "Disclosure
Form to Report Lobbying," in accordance
with its instructions.

2. This certification is a material
representation of fact upon which reliance
was placed when this transaction was made
or entered into. Submission of this
certification is a prerequisite for making or
entering into this transaction imposed by 31
U.S.C. 1352. Any person who fails to file the
required certification shall be subject to a
civil penalty of not less than $10,000 and
not more than $100,000 for each such
failure.

3. The prospective participant also agrees
by submitting its bid or proposal that the
participant shall require that the language of
this certification be included in all lower tier
subcontracts, which exceed $100,000 and
that all such recipients shall certify and
disclose accordingly.

649
Agreement No. A-8433
Exhibit A – Form FHWA-1273
EX. A 20

FEMALE AND MINORITY GOALS (This Section originates from Caltrans Local Assistance Procedures Manual (“LAPM”) Exhibit 12-G – Required Federal-Aid Contract Language, Section 12)
To comply with Section II, "Nondiscrimination," of "Required Contract Provisions Federal-Aid Construction Contracts," the following are for female and minority utilization goals for federal-aid construction contracts and subcontracts that exceed $10,000:

The nationwide goal for female utilization is 6.9 percent. The goals for minority utilization [45 Fed Reg 65984 (10/3/1980)] are as follows:

MINORITY UTILIZATION GOALS
Economic Area Goal
(Percent
)
174

Redding CA:

Non-SMSA (Standard Metropolitan Statistical Area) Counties:

CA Lassen; CA Modoc; CA Plumas; CA Shasta; CA Siskiyou; CA Tehama

6.8 175

Eureka, CA
Non-SMSA Counties:

CA Del Norte; CA Humboldt; CA Trinity

6.6 176

San Francisco-Oakland-San Jose, CA:

SMSA Counties:
7120 Salinas-Seaside-Monterey, CA
CA Monterey
7360 San Francisco-Oakland
CA Alameda; CA Contra Costa; CA Marin; CA San Francisco; CA San Mateo
7400 San Jose, CA
CA Santa Clara, CA
7485 Santa Cruz, CA
CA Sant/a Cruz
7500 Santa Rosa
CA Sonoma
8720 Vallejo-Fairfield-Napa, CA
CA Napa; CA Solano
Non-SMSA Counties:

CA Lake; CA Mendocino; CA San Benito

28.9 25.6

19.6 14.9

9.1 17.1

23.2 177

Sacramento, CA:

SMSA Counties:
6920 Sacramento, CA
CA Placer; CA Sacramento; CA Yolo
Non-SMSA Counties
CA Butte; CA Colusa; CA El Dorado; CA Glenn; CA Nevada; CA Sierra; CA Sutter; CA Yuba

16.1 14.3

650
Agreement No. A-8433
Exhibit A – Form FHWA-1273
EX. A 21

178

Stockton-Modesto, CA:

SMSA Counties:
5170 Modesto, CA
CA Stanislaus
8120 Stockton, CA
CA San Joaquin
Non-SMSA Counties
CA Alpine; CA Amador; CA Calaveras; CA Mariposa; CA Merced; CA Tuolumne

12.3 24.3

19.8 179

Fresno-Bakersfield, CA
SMSA Counties:
0680 Bakersfield, CA
CA Kern
2840 Fresno, CA
CA Fresno
Non-SMSA Counties:

CA Kings; CA Madera; CA Tulare

19.1 26.1

23.6 180

Los Angeles, CA:

SMSA Counties:
0360 Anaheim-Santa Ana-Garden Grove, CA
CA Orange
4480 Los Angeles-Long Beach, CA
CA Los Angeles
6000 Oxnard-Simi Valley-Ventura, CA
CA Ventura
6780 Riverside-San Bernardino-Ontario, CA
CA Riverside; CA San Bernardino
7480 Santa Barbara-Santa Maria-Lompoc, CA
CA Santa Barbara
Non-SMSA Counties
CA Inyo; CA Mono; CA San Luis Obispo

11.9 28.3

21.5 19.0

19.7 24.6
181

San Diego, CA:

SMSA Counties
7320 San Diego, CA
CA San Diego
Non-SMSA Counties
CA Imperial

16.9 18.2
For the last full week of July during which Work is performed under the Contract, the Prime Contractor and each non material-supplier Subcontractor with a subcontract of $10,000 or more must complete Form FHWA PR-1391 (Appendix C to 23 CFR 230). Submit the forms by August

15. FEDERAL TRAINEE PROGRAM – NOT APPLICABLE FOR THIS PROJECT.

TITLE VI ASSURANCES (This Section originates from Caltrans Local Assistance Procedures Manual (“LAPM”) Exhibit 12-G – Required Federal-Aid Contract Language, Section 13) During the performance of this Agreement, the Contractor, for itself, its assignees and 651
Agreement No. A-8433
Exhibit A – Form FHWA-1273
EX. A 22

successors in interest (hereinafter collectively referred to as Contractor) agrees as follows:
(1) Compliance with Regulations: Contractor shall comply with the regulations relative to nondiscrimination in federally a ssisted programs of the Department of Transportation, Title 49, Code of Federal Regulations, Part 21, as they may be amended from time to time, (hereinafter referred to as the REGULATIONS), which are herein incorporated by reference and made a part of this agreement.
(2) Nondiscrimination: Contractor, with regard to the Work performed by it during the AGREEMENT, shall not discriminate on the grounds of race, color, sex, national origin, religion, age, or disability in the selection and retention of sub-applicants, including procurements of materials and leases of equipment. Contractor shall not participate either directly or indirectly in the discrimination prohibited by Section 21.5 of the Regulations, including employment practices when the agreement covers a program set forth in Appendix B of the Regulations. (3) Solicitations for Sub-agreements, Including Procurements of Materials and Equipment: In all solicitations either by competitive bidding or negotiation made by Contractor for Work to be performed under a Sub-agreement, including procurements of materials or leases of equipment, each potential sub-applicant or supplier shall be notified by Contractor of the Contractor’s obligations under this Agreement and the Regulations relative to nondiscrimination on the grounds of race, color, or national origin.
(4) Information and Reports: Contractor shall prov ide all information and reports required by the Regulations, or directives issued pursuant thereto, and shall permit access to its books, records, accounts, other sources of information, and its facilities as may be determined by the California Department of Transportation or FHWA to be pertinent to ascertain compliance with such Regulations or directives. Where any informati on required of Contractor is in the exclusive possession of another who fails or refuses to furnis h this information, Contractor shall so certify to the California Department of Transportation or the FHWA as appropriate, and shall set forth what efforts Contractor has made to obtain the information. (5) Sanctions for Noncompliance: In the event of Contractor’s noncompliance with the nondiscrimination provisions of this agreemen t, the California Department of Transportation shall impose such agreement sanctions as it or the FHWA may determine to be appropriate, including, but not limited to:
(a) withholding of payments to Contractor under the Agreement within a reasonable period of time, not to exceed ninety (90) days; and/or
(b) cancellation, termination or suspension of the Agreement, in whole or in part. (6) Incorporation of Provisions: Contractor shall include the provisions of paragraphs (1) through (6) in every sub-agreement, including procurements of materials and leases of equipment, unless exempt by the Regulations, or directives issued pursuant thereto.

Contractor shall take such action with respect to any sub-agreement or procurement as the California Department of Transportation or FHWA may direct as a means of enforcing such provisions including sanctions for noncomplianc e, provided, however, that, in the event Contractor becomes involved in, or is threatened with, litigation with a sub-applicant or supplier as a result of such direction, Contractor may request the California Department of Transportation enter into such litigation to protect the interests of the State, and, in addition, 652
Agreement No. A-8433
Exhibit A – Form FHWA-1273
EX. A 23

Contractor may request the United States to enter into such litigation to protect the interests of the United States.

USE OF UNITED STATES-FLAG VESSELS (This Section originates from Caltrans Local Assistance Procedures Manual (“LAPM”) Exhibit 12-G – Required Federal-Aid Contract Language, Section 14)
The Contractor agrees-

1. To utilize privately owned United States-flag commercial vessels to ship at least 50 percent of the gross tonnage (computed separately for dry bulk carries, dry cargo liners, and tankers) involved, whenever shipping any equipment, material , or commodities pursuant to this Contract, to the extent such vessels are available at fair and reasonable rates for United States-flag commercial vessels.

2. To Furnish within 20 days following the date of loading for shipments originating within the United State or within thirty (30) Working Days following the date of loading for shipments originating outside the United States, a legible copy of a rated “on-board” commercial ocean bill- of-lading in English for each shipment of cargo described in paragraph (1) of this Section to both the Contracting Officer (through the Contractor in the case of subcontractor bills-of-lading) and to the Division of National Cargo, Office of Market Development, Maritime Administration, Washington, DC 20590.

3. To insert the substance of the provisions of this clause in all subcontracts issued pursuant to this Contract.

MAINTAIN RECORDS AND SUBMIT REPORTS DOCUMENTING YOUR PERFORMANCE

UNDER THIS SECTION

653
Agreement No. A-8433
Exhibit A – Form FHWA-1273
EX. A 24

Appendix E of the Title VI Assurances
(US DOT Order 1050.2A)
During the performance of this contract, the contractor, for itself, its assignees, and successors in interest (hereinafter referred to as the “contractor”) agrees to comply with the following nondiscrimination statutes and authorities; including but not limited to:

Pertinent Nondiscrimination Authorities:

1. Title VI of the Civil Rights Act of 1964 (42 U.S.C. § 2000d et seq., 78 stat. 252), (prohibits discrimination on the basis of race, color, national origin); and 49 CFR Part 21.

2. The Uniform Relocation Assistance and Real Pr operty Acquisition Policies Act of 1970, (42 U.S.C. § 4601), (prohibits unfair treatment of persons displaced or whose property has been acquired because of Federal or Federal-aid programs and projects);

3. Federal-Aid Highway Act of 1973, (23 U.S.C. § 324 et seq.), (prohibits discrimination on the basis of sex);

4. Section 504 of the Rehabilitation Act of 1973, (29 U.S.C. § 794 et seq.), as amended, (prohibits discrimination on the basis of disability); and 49 CFR Part 27;

5. The Age Discrimination Act of 1975, as amended, (42 U.S.C. § 6101 et seq.), (prohibits discrimination on the basis of age);

6. Airport and Airway Improvement Act of 1982, (49 U.S.C. § 4 71, Section 4 7123), as amended, (prohibits discrimination based on race, creed, color, national origin, or sex);

7. The Civil Rights Restoration Act of 1987, (PL 100-209), (Broadened the scope, coverage and applicability of Title VI of the Civil Rights Act of 1964, The Age Discrimination Act of 1975 and Section 504 of the Rehabilitation Act of 1973, by expanding the definition of the terms “programs or activities” to include all of the programs or activities of the Federal-aid recipients, subrecipients and contractors, whether such programs or activities are Federally funded or not);

8. Titles II and III of the Americans with Disabilities Act, which prohibit discrimination on the basis of disability in the operation of public entities, public and private transportation systems, places of public accommodation, and certain testing entities (42 U.S.C. §§ 12131-12189) as implemented by Department of Transportation regulations at 49 C.F.R. parts 37 and 38;

9. The Federal Aviation Administration's Nondiscrimination statute (49 U.S.C. § 47123) (prohibits discrimination on the basis of race, color, national origin, and sex);

10. Executive Order 12898, Federal Actions to Ad dress Environmental Justice in Minority Populations and Low-Income Populations, which ensures non- discrimination against minority populations by discouraging programs, policies, and activities with disproportionately high and adverse human heal th or environmental effects on minority and low-income populations;
654
Agreement No. A-8433
Exhibit A – Form FHWA-1273
EX. A 25

11. Executive Order 13166, Improving Access to Se rvices for Persons with Limited English Proficiency, and resulting agency guidance, national origin discrimination includes discrimination because of limited English proficiency (LEP). To ensure compliance with Title VI, you must take reasonable steps to ensure that LEP persons have meaningful access to your programs (70 Fed. Reg. at 74087 to 74100);

12. Title IX of the Education Amendments of 1972, as amended, which prohibits you from discriminating because of sex in education programs or activities (20 U.S.C. 1681 et seq).
655
Agreement No. A-8433
Exhibit B
EX. B 1

EXHIBIT B

656
Agreement No. A-8433
Exhibit B
EX. B 2

657
Department: Date:

Project/Program
Manager: Phone:

Reason for Appropriation:

Accounts and Descriptions AMOUNT
Fund:

Revenues/Transfers In
860,783
Sub-total Revenues 860,783
Expenditures/Transfers Out
860,783
Sub-total Expenditures 860,783
Net Change to Fund Balance 0
Fund:

Expenditures/Transfers Out
654,155
118-3125-826.82-09 SVCS-OTHER PROF/CONTRACT 100,000
118-3125-826.84-51 SERVICES OTHER PROGRAMS 199,990
Sub-total Expenditures 954,145
Net Change to Fund Balance (954,145)
Net Appropriation Change 1,814,928
Approvals
Department Director
Chief Financial Officer
City Manager
275-3125-826.82-08 SERVICES CONSTRUCTION
185 RMRA Gas Tax (2032 h(2))

REQUEST FOR BUDGET APPROPRIATION
Request Budget appropriation for the Traffic Signal Modification Project(7 Signals), Specification No., PW 19-98 (Project No., 183114) In the amount of $1,814,928 to fund Agreement A8433 with Taft Electric Company and allocate Contingency and EISPM funds
January 11, 2022Public Works Transportation
Gio Rodriguez
183114 CITY WIDE SIGNAL MOD
118-3125-826.82-08 SERVICES-CONSTRUCUTION
275 FED. TRANSPORT. MY GRANTS
3125 TRANSIT SERVICES CIP
275-3125-531.72-01 FEDERAL GRANT REVENUE
183114 CITY WIDE SIGNAL MOD

REQUIRES CITY COUNCIL AUTHORIZATION
BA# (Finance Use Only)______________
BA Doc# (Finance Use Only)___________
Revised : 2/23/2012
658
AWARD AGREEMENT A-8433 TO
TAFT ELECTRIC COMPANY
FOR THE TRAFFIC SIGNAL
MODIFICATION PROJECT (7 SIGNAL)
PW 19-98
City Council
February 1, 2022
Tatiana Arnaout, PE
City Engineer
659

RECOMMENDATION

That the City Council approve and authorize the following for a total of $3,599,880 in Project funds for the Traffic Signal Modifications Project (7 Signals), Specification No. PW 19-98 (Project No. 183114):

1. The Mayor to execute Agreement A-8433 with Taft Electric Company in the amount of $2,999,900 for the Project;

2. A Project contingency amount of $299,990;

3. A Project allocation amount of $299,990 for engineering, inspection, survey and project management; and

4. A budget appropriation recognizing grant revenue and appropriation of $860,783 from the Federal Transportation Grant  Fund (275) and appropriation of $954,145 from the fund balance of the Air Pollution Buydown Fee Fund (118) for the Project.

2 660

BACKGROUND
3 661

BACKGROUND
4 Project Locations Relative to City Limits
662

BACKGROUND

5 663

DISCUSSION
Traffic signal  improvements  will  enhance  circulation  and  mobility  in  the intersections and updating non-ADA compliant curb ramps and replacing crosswalks will improve pedestrian facilities.
• Work will include:
• Replacement of signal poles, mast arms, and signal heads, signal controllers
• LED luminaires
• Detection loops and cameras
• Emergency vehicle preemption
• Pedestrian ADA curb ramps and crosswalks
• Signage and striping
• Tree trimming

6 664

DISCUSSION
Tree removal (Channel Islands Boulevard/Statham Street)

7 665

DISCUSSION

• The notice inviting formal bids (NIFB) for the project was published on November 18, 2021, with bids due on December 21, 2021. • Three (3) bids were received and evaluated:
• Bids from both the lowest and highest bidders were determined to be non-responsive bids. The bid from Taft Electric Company is responsive to the City’s NIFB thus is recommended by staff that City Council awards the agreement for this project to Taft Electric Company
8 PTM General Engineering Services, Inc $2,739,039
Taft Electric Company $2,999,900
Alfaro Communications Construction, Inc $3,555,555
666

DISCUSSION

Bids higher than the original engineer’s estimate are attributed to:
1) Market increases for both material and labor from the post-pandemic revival and the recovering economy
2) Supply chain shortages, especially for steel-made traffic signal equipment
3) Influx of transportation funding through State Senate Bill 1 results in higher demand, which is a natural bid-environment change when a significant amount of Federal/State funding is available.

9 667

DISCUSSION

• City’s Transportation Planner was successful in securing an additional $860,783 of Highway Safety Improvement Program grant funding.
• The remaining budget shortfall is requested through a budget appropriation from the available fund balance in the Air Pollution Buydown Fee fund (118).

10 668

FINANCIAL IMPACT

• Total cost for the Project is $3,599,880 and includes:
• Agreement A-8433 with Taft Electric Company for $2,999,900 • Project contingency of $299,990
• Engineering, inspection, survey and project management (EISPM) of $299,990

11 Total Available Budget after appropriation - $3,599,880 669

FINANCIAL IMPACT

• The total estimated cost for this Project is $3,599,880, which includes the construction agreement A-8433 with Taft Electric Company for $2,999,900, $299,990 in contingency funds and $299,990 in EISPM funds. The Traffic Signal Modifications (7 Signals) Project No. 183114 construction phase is currently funded from the Air Pollution Buydown Fee Fund (118) and the Federal  Transportation  Grant  Fund  (275)  with  a  total  project  budget balance of approximately $1,784,952.
• A  budget  appropriation  of  $860,783  is  necessary  from  the  Federal Transportation Grant revenue fund (275), and a budget appropriation of $954,145 is requested from the available fund balance in the Air Pollution Buydown Fee fund (118).

12 Total Available Budget after appropriation - $3,599,880 670
QUESTIONS?
671

CITY COUNCIL AGENDA REPORT

REPORTS
AGENDA ITEM NO. K.5

DATE: February 1, 2022

TO: City Council

FROM: Michael Wolfe, Public Works Director, (805) 385-8055, [email protected]

SUBJECT: Introduction of an Ordinance Repealing and Replacing Chapter 19, Article II, Solid Waste and Recycling. (0/10/10)

RECOMMENDATION

That the City Council:

1. Determine that the proposed ordinance is exempt from California Environmental Quality Act (CEQA) under CEQA Guideline Section 15061 (b)(3), because the enhanced solid waste regulations, as provided for the proposed ordinance, will not have a significant effect on the environment, and the new State mandatory requirements strengthen the City’s handling of solid waste, recyclable materials and organic materials for the protection of the environment; and

2. Introduce an Ordinance for first reading (by title only, waiving further reading), repealing and replacing Chapter 19 of the Oxnard City Code relating to solid waste and recycling.

Please click the following link to view the required Measure M pre-recorded presentation video: https://youtu.be/MZ_98z-rYL0

BACKGROUND

In 2016, the State of California passed Senate Bill 1383 (SB 1383) which is intended to reduce “short-lived climate pollutants” entering the atmosphere. Currently, the State of California’s overall waste stream causes over 27 million tons of organic waste per year that ends up in landfills. This organic waste decomposes and releases methane into the atmosphere where it combines with other gases to significantly contribute to climate change. SB 1383 establishes a statewide target to achieve a goal of 75% reduction in the landfilling of organic waste by 2025. To achieve compliance with the State mandates, California municipalities must adopt updated solid waste and recycling ordinances that include provisions to implement and enforce SB 1383.

The current City of Oxnard Ordinance, Chapter 19, Article II - Solid Waste; Recycling was originally passed in 1964 and last updated in 1995. Chapter 19, Article II will be updated with new language in order to comply with the provisions now required by the State for implementation of SB 1383.

DISCUSSION
The proposed, updated Ordinance (Attachment A) will replace the current Ordinance, Chapter 19, Article II, Solid Waste and Recycling to ensure continued compliance with SB 1383 and meet the new State requirements. The changes proposed are based primarily on the State’s recommended language and reflect the most substantial changes to municipal solid waste management since the State’s adoption of Assembly Bill 939 (AB 939) in 1989. Furthermore, just changing the City’s ordinance is not enough. The City’s Environmental Resource Division is a full-service solid waste utility and operator of a regional materials recovery facility (MRF). Therefore, this updated ordinance addresses and implements 672
changes across several operational elements to account for the State requirements of SB 1383, unlike other municipalities in the County that have solid waste franchise agreements.

Significant updates in the proposed Ordinance to address the State’s mandates of SB 1383 include:

1. Expanded language and new category for Commercial Edible Food Generators

2. Mandatory organics recycling service for all residential customers

3. Mandatory organics recycling service for all multi-family and commercial customers, except those qualifying for waivers

4. Authorizing the City to change service levels to correspond with disposal volumes

5. Requiring customers to maintain security of their containers/carts

6. Venues/Events with food sales/vendors will be required to meet SB 1383 requirements (eg. Strawberry Festival, Tamale Festival, Multicultural Festival)

7. City must provide education and outreach programs, tracking and reporting for residential, commercial and multi-family customers

8. City must conduct regular monitoring of containers/carts for contamination and issue notifications to violators

9. Tracking of the implementation of food donation programs by customers that generate specific types and amounts of organic waste

10. Annual reporting to CalRecycle on implementation progress and tracking City purchases of post-consumer recycled-content paper products

11. Enforcement by the City, including fines and penalties, if necessary, commencing on January 1, 2024

12. New trash enclosure standards for new developments and tenant improvements The City of Oxnard has implemented several operational changes in anticipation of SB 1383. Since 2014, the Environmental Resources Division has provided a commercial food waste collection program, which currently services several businesses. Staff has contacted approximately 3,000 businesses and multi-family units subject to the SB 1383 by phone, email and/or U.S. mail to inform them of the new State requirements. An outreach, education, identification and data tracking/reporting system for businesses falling within SB 1383 mandates has been developed and reported to CalRecycle.

Many training and operational adjustments have been implemented at the Del Norte Regional Recycling and Transfer Station. On January 3, 2022, the Environmental Resources Division commenced weekly collection of residential organics (green waste) containers to allow residential customers to properly dispose of food waste.

Impacts to Residential Customers
The most significant element of SB 1383 affecting residential customers is the requirement for municipalities to provide residential customers with a food waste collection program. Approximately 37,000 residential customers are serviced weekly by the City of Oxnard Environmental Resources Division. Approximately 5% of residential customers have only two-container service; one container/cart for trash and one container/cart for mixed recyclables. These circumstances originated during the development approval process and were the result of limited space for a third container/cart and/or landscaping services being provided by a homeowners’ association (HOA). Staff will be conducting outreach to these customers to provide options for food waste.

Prior to January 1, 2022, the trash containers were serviced weekly. However, the mixed recyclables and organics (green waste) containers were collected on alternating weeks. After thorough review of the residential requirements of SB 1383; analysis of Oxnard residential collection and container options; and limited local options for organic material processing, it was determined that utilization of the existing organic waste (green waste) container to collect bagged residential food waste weekly is the best option for City operations. Weekly service of all three containers/carts commenced January 3, 2022.

As of January 1, 2022, all residential customers with three carts will receive weekly collection of all three containers/carts. This is the most common option chosen by California municipalities. Education and outreach materials have been developed in English and Spanish to assist customers in the transition. There will be no changes in cost to the residential customer associated with the standard operational elements described above. However, if a customer chooses to add or change service levels, the current rates will apply for services. 673

Impacts to Multi-Family and Commercial Customers
The most significant element of SB 1383 affecting multi-family and commercial customers is the requirement for municipalities to provide an additional food waste container for all customers, regardless of their weekly generation volumes. Approximately (500) multi-family and (2,500) commercial customers are serviced weekly by the City. In cases where multi-family or commercial customers do not currently have a food waste container, and can not provide proof of a “third party” or “self haul” participation in a program compliant with SB 1383, an additional organics container will be added to their City service beginning April 1, 2022 under the new Ordinance.

Starting January 1, 2024, fines can be assessed in cases of non-compliance. The amount charged for fines and fine structures will be determined in a separate process through City Council.

Multi-Family and Commercial customers do not have to use City services for the organics container and have options through third-party vendors or they can self-haul. However, customers must report this information to the City in order to remain compliant. Again, if a customer has not reported this information to the City, then an additional organics container will be added to their City service beginning April 1, 2022 under the new Ordinance, which will increase their monthly solid waste charge. The current cost for weekly City service of one commercial and multi-family unit organic container is $63.80 per month.

Multi-family customers and commercial customers receiving food waste services through a “third party,” “self haul,” or “backhauling” program must complete a City of Oxnard Alternative Service Certification Form (Attachment C) every five years. This will allow the City to report accurate information to CalRecycle and remain compliant with SB 1383 mandates. This Alternative Services Certification form can be downloaded as a PDF from our web page for multi-family at oxnard.org/apartment-condo-service/ and for businesses at oxnard.org/commercial-service/ and either emailed or sent via U.S. Mail to the City; address and email are provided on the form. A sample of the City of Oxnard Alternative Service Certification Form is attached to this report as Attachment C.

In select circumstances where space limitations prevents any additional containers from being added to multi-family or commercial customer service locations, or the location’s generation volume is below the specified threshold by the State, a City of Oxnard Space Conditions Waiver (Attachment D) is required to demonstrate to CalRecycle that all other service options have been exhausted. It should be noted that the State criteria for issuing either of these waivers to a customer is rather stringent and requires significant backup documentation. The acceptance of such waiver requests by the City will be per the State’s criteria and therefore infrequent and managed on a case-by-case basis. Waivers can be downloaded as a PDF from our web page at oxnard.org/apartment-condo-service/ or oxnard.org/commercial-service/ and either emailed or sent via U.S. Mail to the City; address and email are provided on the form. A sample of the City of Oxnard Space Conditions Waiver is attached to this report as Attachment D.

SB 1383 Education / Outreach Efforts To-Date
Staff have been actively involved in setting up the City for successful compliance with SB 1383. A critical aspect of this law’s implementation is the outreach and education to all of our customers to ensure participation and mitigate contamination. Some of the key efforts made by staff to date are:

1. Sent three separate notifications in the single-family residential utility bills (October 2021, November 2021 & December 2021)

2. Sent certified letters to businesses and multi-family units providing information on SB 1383 and how to comply

3. Updating the tracking database to comply with CalRecycle reporting requirements

4. Working closely with the Collections staff to ensure sufficient inventory and timely delivery of new containers when requested by customers

5. Providing all city department staff who routinely interface with the public, key talking points and links to online resources (Utility Billing, Customer Service, Public Information, etc)

6. Conducting field account verification to ensure database accuracy

7. Updating relevant pages on the Division’s webpages and continue to monitor for accuracy

8. Creating online forms to encourage business participation

9. Updating the Oxnard Recycles online tool and mobile application for accuracy 674

10. Identifying and engaging pilot project locations to test viability of different program offerings, (i.e. selecting a multi-family and commercial business locations to test different educational and outreach modalities to determine scalability)

11. Providing multi-family and commercial businesses with bilingual printable PDFs to display at their properties and/or use for staff or tenant education

12. Attending CalRecycle trainings and providing that information to relevant staff affected by SB 1383 implementation

13. Researching vendors and preparing to purchase backyard and countertop compost containers for residents

14. Conducted pre-implementation sampling of the residential waste stream to determine the baseline level of contamination (i.e. prevalence of recycling and organics in the trash) for educational purposes SB 1383 Future Education / Outreach Efforts

1. The official re-launch of the backyard composting program to coincide with food scraps recycling

2. Sending an annual certified letter to any identified non-compliant businesses with information on how to become in compliance; providing compliance information during new project or tenant improvement development review

3. Incorporating SB 1383 education in all future special events and program advertising and outreach

4. Developing an educational video for single-family residential customers demonstrating the best practices when placing carts out for servicing

5. January 1, 2024 - enforcing the law once the Ordinance is adopted to ensure the city’s compliance with CalRecycle

6. Continue to use social media to inform and educate residents about SB 1383 requirements

STRATEGIC PRIORITIES

This agenda item supports the Infrastructure and Natural Resources strategy. The purpose of the Infrastructure and Natural Resources strategy is to preserve and improve our roads, utilities, parks, trees, water supply and natural resources through effective planning, prioritization, and an equitable and efficient use of available funding.

FINANCIAL IMPACT

There is no fiscal impact at this time. All new services required by SB-1383 and this new Ordinance will be charged per the current rate model, when applicable. Because this is an unfunded State mandate, staff will continue to evaluate and determine if recent operational changes create any financial impacts.

COMMITTEE OUTCOME

This item did not originate in Committee.

Prepared by: Brian Yanez, Assistant Public Works Director, Todd Vasquez-Housley, Environmental Resources Division Manager

ATTACHMENTS

1. PROPOSED Oxnard City Code Chapter 19 Article Solid Waste And Recycling Organics Ordinance

2. CURRENT Oxnard City Code Chapter 19 Article Solid Waste and Recycling Organics Ordinance

3. Alternative Service Certification

4. Special Conditions Waiver Form

5. Solid Waste Ordinance Presentation
675
1 CITY COUNCIL OF THE CITY OF OXNARD
ORDINANCE NO.

ORDINANCE OF THE CITY OF OXNARD, CALIFORNIA, REPEALING AND REPLACING ARTICLE 2, OF CHAPTER 19 OF THE OXNARD CITY CODE,

RELATING TO SOLID WASTE AND RECYCLING
WHEREAS, State recycling law, Assembly Bill 939 of 1989, the California Integrated Waste Management Act of 1989 (California Public Resources Code Section 40000, et seq., as amended, supplemented, superseded, and replaced from time to time), requires cities and counties to reduce, reuse, and recycle (including composting) Solid Waste generated in their city to the maximum extent feasible before any incineration or landfill disposal of waste, to conserve water, energy, and other natural resources, and to protect the environment; WHEREAS, State recycling law, Assembly Bill 341 of 2011 (approved by the Governor of the State of California on October 5, 2011, which amended Sections 41730, 41731, 41734, 41735, 41736, 41800, 42926, 44004, and 50001 of, and added Sections 40004, 41734.5, and 41780.01 and Chapter 12.8 (commencing with Section 42649) to Part 3 of Division 30 of, and added and repealed Section 41780.02 of, the Public Resources Code, as amended, supplemented, superseded and replaced from time to time), places requirements on businesses and Multi-Family property owners that generate a specified threshold amount of Solid Waste to arrange for recycling services and requires the City to implement a Mandatory Commercial Recycling program; WHEREAS, State organics recycling law, Assembly Bill 1826 of 2014 (approved by the Governor of the State of California on September 28, 2014, which added Chapter 12.9 (commencing with Section 42649.8) to Part 3 of Division 30 of the Public Resources Code, relating to Solid Waste, as amended, supplemented, superseded, and replaced from time to time), requires businesses and Multi-Family property owners that generate a specified threshold amount of Solid Waste, Recycling, and Organic Waste per week to arrange for recycling services for that waste, requires the City to implement a recycling program to divert Organic Waste from businesses subject to the law, and requires the City to implement a Mandatory Commercial Organics Recycling program; WHEREAS, SB 1383, the Short-lived Climate Pollutant Reduction Act of 2016, requires CalRecycle to develop regulations to reduce organics in landfills as a source of methane. The regulations place requirements on multiple entities including the City, residential households, Commercial Businesses, and business owners, Commercial Edible Food Generators, haulers, Self- Haulers, Food Recovery Organizations, and Food Recovery Services to support the achievement of Statewide Organic Waste disposal reduction targets;
WHEREAS, SB 1383, the Short-lived Climate Pollutant Reduction Act of 2016, requires the City to adopt and enforce an ordinance or enforceable mechanism to implement relevant provisions of SB 1383 Regulations. This ordinance will also help reduce food insecurity by requiring Commercial Edible Food Generators to arrange to have the maximum amount of their Edible Food, that would otherwise be disposed of, be recovered for human consumption; and 676
2 WHEREAS, Requirements in this ordinance are consistent with other adopted goals and policies of the City including elements of the strategic plans adopted by City Council on March 16, 2021.

NOW, THEREFORE, THE CITY COUNCIL OF THE CITY OF OXNARD DOES ORDAIN AS FOLLOWS:

Part 1. Article 2, of Chapter 19 of the Oxnard City Code, is hereby repealed and replaced in its entirety to read as follows:
“ARTICLE II. SOLID WASTE and RECYCLING
DIVISION 1. IN GENERAL
SEC. 19-150. FINDINGS & PURPOSE.

The City finds and declares:

The collection, transportation, processing, marketing, transfer and disposal of Solid Waste and recyclables by qualified persons is necessary to protect the public health, safety and general welfare and to implement State law. For these reasons, collecting, transporting, processing, marketing, transferring and disposing of Solid Waste and recyclable materials requires regulation and control by the City in the manner set forth in this Code, including, but not limited to, this Article.

SEC. 19-151. DEFINITIONS.
(A) For the purposes of this Article, the following words shall have the following meanings. Any words or phrases relating to Solid Waste that are not defined in this Article shall have the meaning applied to them in Cal. Pub. Res. Code, Sections 40000 et seq. (B) Whenever reference is made herein to any portion of this Article, any other ordinance, resolution or Regulation of the City, or any law of this State, the reference shall be deemed to apply to all amendments and additions heretofore or hereafter made to such ordinances, resolutions, Regulations or laws.

1. ARTICLE - Article II of Chapter 19 of the Oxnard City Code and any Regulations issued pursuant hereto.

2. CALRECYCLE means California's Department of Resources Recycling and Recovery, which is the Department designated with responsibility for developing, implementing, and enforcing SB 1383 Regulations on the City (and others).

3. CALIFORNIA CODE OF REGULATIONS or “CCR” means the State of California Code of Regulations. CCR references in this Article are preceded with a number that refers to the relevant Title of the CCR (e.g., “14 CCR” refers to Title 14 of CCR).

4. CHARGES - Money paid for Solid Waste, recycling, and related services.

Charges and Rates are synonymous.

5. CITY - means the City of Oxnard, California.

6. COMMERCIAL BUSINESS or “Commercial” means a firm, partnership, proprietorship, joint-stock company, corporation, or association, whether for-profit or nonprofit, strip mall, 677
3 industrial facility, or a multifamily residential dwelling, or as otherwise defined in 14 CCR Section 18982(a)(6). A multi-family residential dwelling that consists of fewer than five (5) units is not a Commercial Business for purposes of implementing this Article.

7. CONTAINER COLLECTION SERVICES means the City’s method for collecting and transporting collected materials from single-family, multi-family, commercial, and industrial waste generators. The city may authorize either a three or two bin collection system that is in compliance with color, size, and labeling requirements of SB 1383, 14 CCR Section 18982.2.

8. CONTAINER CONTAMINATION or “Contaminated Container” means a container, regardless of color, that contains Excluded Waste and/or contaminants, or as otherwise defined in 14 CCR Section 18982(a)(55).

9. CONSTRUCTION & DEMOLITION or C&D means construction and demolition debris.

10. CURBSIDE - A curb located adjacent to a street or alley located within the City.

11. ENFORCEMENT ACTION means an action of the City Enforcement Official to address non-compliance with this ordinance including, but not limited to, issuing administrative citations, fines, penalties, or using other remedies.

12. ENFORCEMENT OFFICIAL means the public works director or designee, environmental resources division manager, code enforcement personnel, Ventura County administrative official, chief operating officer, executive director, or other executives in charge or their authorized designee(s) who is/are partially or wholly responsible for enforcing this Article.

13. EVENTS AND VENUES means an event, including, but not limited to, a sporting event or a flea market, that charges an admission price, or is operated by a local agency, and serves an average of more than 1,000 individuals per day of operation of the event, at a location that includes, but is not limited to, a public, nonprofit, or privately owned park, parking lot, golf course, street system, or other open space when being used for an event; or a permanent venue facility that annually seats or serves an average of more than 1,000 individuals within the grounds of the facility per day of operation of the venue facility. For purposes of this Article and implementation of 14 CCR, Division 7, Chapter 12, a venue facility includes, but is not limited to, a public, nonprofit, or privately owned or operated stadium, amphitheater, arena, hall, amusement park, conference or civic center, zoo, aquarium, airport, racetrack, horse track, performing arts center, fairground, museum, theater, or other public attraction facility.

14. EXCLUDED WASTE means hazardous substances, hazardous waste, infectious waste, designated waste, volatile, corrosive, medical waste, infectious, regulated radioactive waste, and toxic substances or material that facility operator(s), which receive materials from the City and its generators, reasonably believe(s) would, as a result of or upon acceptance, transfer, processing, or disposal, be a violation of local, State, or Federal law, regulation, or ordinance, including: land use restrictions or conditions, waste that cannot be disposed of in Class III landfills or accepted at the facility by permit conditions, waste that in City, or its designee’s reasonable opinion would present a significant risk to human health or the environment, cause a nuisance or otherwise create or expose City, or its Designee, to potential liability; but not including de minimis volumes or concentrations of waste of a type and amount normally found in Single-Family or Multi-Family Solid Waste after implementation of programs for the safe collection, processing, recycling, treatment, and disposal of batteries and paint in compliance with Sections 41500 and 41802 of the California Public Resources Code. 678
4 15. NON-LOCAL ENTITY means the following entities that are not subject to the City’s enforcement authority, or as otherwise defined in 14 CCR Section 18982(a)(42):
1) Special district(s) located within the boundaries of the City, 2) Federal facilities, including military installations, located within the boundaries of the city.
3) Prison(s), except privately run prisons, located within the boundaries of the City. 4) Facilities operated by the State park system located within the boundaries of the City.
5) Public universities (including community colleges) located within the boundaries of the City.
6) County fairgrounds located within the boundaries of the City. 7) State agencies located within the boundaries of the City.

16. NONRESIDENTIAL USE - A use on a lot that does not contain one or more residential dwellings or uses.

17. OCCUPANT - The person who is entitled to use and occupy any lot located in the City, including buildings and structures located thereon.

18. ORGANICS CONTAINER - has the same meaning as in 14 CCR Section 18982.2(a)(29) and shall be used for the purpose of storage and collection of Source Separated Organic Material including any Solid Waste material originated from living organisms and their metabolic waste products, including but not limited to food, green material, landscape, and pruning waste, organic textiles and carpets, lumber, wood, compostable paper products, printing and writing paper, manure, biosolids, digestate, and sludges or as otherwise defined in 14 CCR Section 18982(a)(46). Biosolids and digestate are as defined by 14 CCR Section 18982(a).

19. ORGANIC MATERIAL means Solid Wastes containing material originated from living organisms and their metabolic waste products, including but not limited to food, food scraps, fats, oils and grease (FOG), living material, landscape and pruning waste, organic textiles and carpets, lumber, wood, compostable paper products, printing and writing paper, manure, biosolids, digestate, and sludges or as otherwise defined in 14 CCR Section 18982(a)(46).

Biosolids and digestate are as defined by 14 CCR Section 18982(a).

20. OWNER - The legal owner of any lot located within the City.

21. PROCESSED MATERIALS - Recyclable materials, including compostable organic materials that have been processed or pre-processed by a processing facility.

22. RECYCLING CONTAINER - means a container that is part of a two or three-container waste collection service that complies with the requirements of the City and has the same meaning as in 14 CCR Section 18982.2(a)(5) and shall be used for the purpose of the storage and collection of source separated Recyclable Materials for the use or temporary storage of recyclable materials.

23. RECYCLABLE MATERIALS - Materials that are discarded with the intent that they be collected for return to the economic mainstream in the form of processed materials, rather than becoming Solid Waste deposited in a landfill, and may include non-organic recyclables, which includes non-putrescible and non-hazardous recyclable wastes including but not limited to bottles, cans, metals, plastics, and glass, or as otherwise defined in 14 CCR Section 18982(a)(43), paper, cardboard, metal, plastics, wood, construction and demolition materials, 679
5 and other materials specified by the city manager for inclusion in the City's recycling and diversion programs, but shall not include Excluded Waste.

24. RECYCLING OR PROCESSING FACILITY - Means a facility, licensed and authorized by the City or another public agency where recyclable materials are separated or aggregated, sorted, or otherwise pre-processed, processed and/or prepared for marketing to an end user of the processed materials.

25. REFUSE CONTAINER means a container that is part of a two or three-container waste collection service and has the same meaning as in as specified in 14 CCR Sections 18984.1(a) and (b), or as otherwise defined in 14 CCR Section 17402(a)(6.5) and shall be used for the purpose of storage and collection of Solid Waste including refuse, trash, non-Recyclable Materials, non-Organic Wastes but shall not include Excluded Waste.

26. REGULATIONS - Written regulations and amendments thereof issued by the city manager or through State or Federal laws pursuant to this Article.

27. REMOTE MONITORING means the use of the internet of things (IoT) and/or wireless electronic devices to visualize the contents of collection containers for purposes of identifying the quantity of materials in containers (level of fill) and/or presence of Prohibited Container Contaminants.

28. RESIDUAL MATERIALS - That portion of Recyclable Materials delivered to a processing facility that is leftover and must be disposed of after the Recyclable and/or Organic Materials have been processed and/or diverted from the waste stream sent to the landfill.

29. SELF-HAULER means a person, who hauls Solid Waste, Organic or Recyclable Material he or she has generated to another person or processing facility. Self-hauler also includes a person who back-hauls waste, or as otherwise defined in 14 CCR Section 18982(a)(66). Back- haul means generating and transporting Solid Waste, compostable Organic Materials, or Recyclable Materials to a destination owned and operated by the generator using the generator’s own employees and equipment, or as otherwise defined in 14 CCR Section 18982(a)(66)(A).

30. SINGLE-FAMILY GENERATOR means of, from, or pertaining to any residential premises with fewer than five (5) units.

31. SOLID WASTE has the same meaning as defined in State Public Resources Code Section 40191, which defines Solid Waste as all putrescible and non-putrescible solid, semisolid, and liquid wastes, including garbage, trash, refuse, non-compostable paper, non-compostable organic material, rubbish, ashes, industrial wastes, certain non-divertible demolition and construction wastes, abandoned vehicles and parts thereof, discarded home and industrial appliances, dewatered, treated, or chemically fixed sewage sludge which is not hazardous, manure, vegetable or animal solid and semi-Solid Wastes, and other discarded solid and semi- solid wastes, with the exception that solid waste does not include any of the following wastes:
a. Hazardous waste, as defined in the State Public Resources Code Section 40141. b. Radioactive waste regulated pursuant to the State Radiation Control Law (Chapter 8 (commencing with Section 114960) of Part 9 of Division 104 of the State Health and Safety Code).
c. Medical waste is regulated pursuant to the State Medical Waste Management Act (Part 14 (commencing with Section 117600) of Division 104 of the State Health and Safety Code). Untreated medical waste shall not be disposed of in a Solid Waste landfill, as defined in State Public Resources Code Section 40195.1. Medical waste 680
6 that has been treated and deemed to be Solid Waste shall be regulated pursuant to Division 30 of the State Public Resources Code.

32. SOLID WASTE DIVISION - That division of the City that is responsible for the collection of Solid Waste and the management of services related to processing and transporting refuse, Recyclable and Organic Materials within the City.

33. THREE CONTAINER COLLECTION SYSTEM – the collection system used by the City to collect three Solid Waste materials streams including: Refuse or Trash, Recyclable and Organic Materials. The materials identified for each of the three containers are further defined in 14 CCR Sections 18982.2(a)(28), 18982.2(a)(5), and 18982.2(a)(29) respectively.

34. TIER ONE COMMERCIAL FOOD GENERATOR - means a commercial edible food generator pursuant to 14 CCR Section 18982(a)(73) that is one of the following:
1) supermarket
2) grocery store with a total square foot area equal to or greater than 10,000 square feet 3) food service provider
4) food distributor
5) wholesale food vendor

35. TIER TWO COMMERCIAL FOOD GENERATOR - means a commercial edible food generator pursuant to 14 CCR Section 18982(a)(73) that is one of the following:
1) restaurant with 250 or more seats, or a total facility size equal to or greater than 5,000 square feet
2) hotel with an on-site food preparation and service facility or kitchen and 100 or more beds
3) health facility with an on-site food preparation and service facility or kitchen and 100 or more beds
4) large venue
5) large event

36. TRUCK - Any motor vehicle that transports recyclable materials within the City and that is defined as a truck in the Cal. Vehicle Code. 64 Code, Sec. 15-2) (Ord. No. 2372)

37. WAIVER – means the act a City Enforcement Official may take to intentionally relinquish a requirement to comply with specified sections of the law based on established criteria set forth by the City.

38. WASTE - any material, substance, or byproduct that has been eliminated or discarded as no longer useful. Any material that cannot be diverted, recycled, transformed, processed or otherwise repurposed rather than being sent to the landfill.

SEC. 19-152. ESTABLISHMENT OF REGULATIONS BY CITY MANAGER.

The city manager or designee shall from time to time, as deemed necessary or desirable, issue and amend Regulations relating to the collection of residential and nonresidential Solid Waste and recyclable materials and the conditions of service, including but not limited to minimum service levels; refundable deposits; standards for extra nonresidential business service; standards for keeping, collecting, removing and disposing of Solid Waste, Recyclable and Organic Materials; the sufficiency and sanitation of Solid Waste, Recyclable and Organic Materials; containers and carriers; green waste; and the sale of salvageable materials, and of products, 681
7 commodities and services incidental thereto, and the charges to be made therefor. Copies of such Regulations shall be maintained at the Solid Waste division.

SEC. 19-153. HOURS OF OPERATION AND CHARGES SET BY CITY COUNCIL. (A) The City Council shall by resolution set hours of operation of Solid Waste and Recyclable Materials collection and hours of operation of City-owned or operated public Recycling or Processing Facilities. In the event of a local or general emergency, or pandemic, the city manager may make adjustments to hours of operation for the duration of the local or general emergency or pandemic.
(B) The City Council shall by ordinance set charges for collection of Solid Waste, Recyclable Materials, and related services. Such charges may include all costs incurred by the City in providing such services, including but not limited to the costs of employee and administrative overhead, the costs of contracts for services, and the costs of the purchase and rental of supplies and equipment, in addition to facility upgrades necessary to comply with all State and Federal laws.

SEC. 19-154. COMPLIANCE WITH ARTICLE.

Whenever compliance with the provisions of this Article is required of any person, such requirement shall include compliance with all Regulations issued by the city manager or designee pursuant to this Article.

Waivers and Exemptions
(A) Waivers: Pursuant to 14 CCR Section 18984.11 and the SB 1383 Regulations, which allow the City, at their option, to grant waivers to waste generators for physical space limitations, de minimis volumes, and/or collection frequency waivers.
(B) De Minimis Waivers - the City may waive a Commercial Business’ obligation (including any/all Multi-Family Residential Dwellings) to comply with some or all of the waste collection requirements of this ordinance if that entity provides documentation that the waste generated is below a certain amount as described in C(1) below. Commercial Businesses requesting a De Minimis waiver shall:
1) Submit an application specifying the services for which they are requesting a waiver and provide documentation as noted below.
2) Provide written and photographic documentation that either:
a. The Commercial Business’ total Solid Waste collection service is two cubic yards or more per week and Organic Waste subject to collection in a Green or Yellow Container comprises less than 20 gallons per week per applicable container of the business’ total waste; or,
b. The Commercial Business’ total Solid Waste collection service is less than two cubic yards per week and Organic Waste subject to collection in a Green or Yellow Container comprises less than 10 gallons per week per applicable container of the business’ total waste.
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8 3) Notify the City if circumstances change such that Commercial Business’s Organic Material generation exceeds the threshold required for such a waiver, in which case the waiver will be rescinded.
4) Upon receipt of such a waiver, provide written verification of eligibility for De Minimis waiver every 5 years.
(C) Physical Space Waivers - the City may waive a Commercial Business’ or property owner’s obligations (including all Multi-Family Residential Dwellings) to comply with some or all of the Recyclable Materials and/or Organic Materials collection service requirements if the City has evidence from its own staff, a hauler, a licensed architect, or a licensed engineer, demonstrating that the premises lack adequate space and/or approved Waste Enclosure for the collection containers required for compliance.

1. A Commercial Business or property owner may request a physical space waiver through the following process:
a.Submit an application form specifying the type(s) of collection services for which they are requesting a compliance waiver.
b.Provide written and photographic documentation that the premises lack adequate space for the City’s required three or two bin commercial collection services per State Law, including documentation from its hauler, licensed architect, or licensed engineer.
c.Upon receipt of such a waiver, provide written verification to the City that it is still eligible for a physical space waiver every five years. d.New occupants to existing multi-tenant commercial buildings are subject to provisions in Section 19-180 of this Article.

DIVISION 2. REMOVAL AND DISPOSAL OF SOLID WASTE
SEC. 19-160. SOLID WASTE ON PRIVATE PROPERTY.
(A) No owner, occupant, or person in control of private property shall deposit, store or cause or permit to be deposited or stored any Solid Waste or non-containerized debris on such property so that such Solid Waste could or does attract rodents or pests and create a health hazard. “Rodent,” as used in this subsection, means rats, mice, gophers, and squirrels. “Pest,” as used in this subsection, includes any animal or insect not under human control, which is offensive to the senses or interferes with the comfortable enjoyment of life, including but not limited to roaches, mosquitoes, and flies.
(B) Every owner, occupant or person in control of private property shall properly store and maintain accumulations of Solid Waste so that they are not carried or deposited by the elements on any public right of way or public place, or on the private property of another. (C) Single-Family Generators shall comply with the following requirements:

1. Shall subscribe to the City's two or three Container Collection Services for all Refuse (Trash), Recycling, and Organic materials generated. 683
9 2. Shall place Source Separated materials in the designated containers, non-organic, non-recyclable materials in the Refuse (Trash) container; Organic Material including bagged food waste in the Organics container; and non-compostable, Recyclable Materials in the Recycling container.

3. The City shall have the right to review and adjust the number and size of a generator’s containers and/or collection frequency to evaluate the adequacy of capacity provided for each type of collection service for proper separation of materials and containment of materials.

4. Single-Family Generators shall adjust their service level for collection services as requested by the City.

5. Generators may additionally manage their Organic Material by preventing, reducing, or managing their Organic Material on-site, and/or using a Community Composting site pursuant to 14 CCR Section 18984.9(c).

6. Generators may choose to self-haul Recyclable Materials to the City’s drop-off Recycling Center pursuant to Division 4 of this Article.

7. Allow access for the City or its designated agent to perform periodic Inspection of collection containers.
(D) Multi-Family Generators shall comply with the following requirements:
1) Shall subscribe to the City's three or two Container Collection Services for all Refuse (Trash), Recycling and Organic materials generated.
2) Shall place Source Separated materials in the designated containers, non-organic, non- recyclable materials in the Refuse (Trash) container; Organic Material including bagged food waste in the Organics container; and non-compostable, Recyclable Materials in the Recycling container.
3) Multi-Family Generators may choose to utilize the services of a 3rd party hauling company per Section 19-175-(B) and Sections 19-190 through 19-194 of this Article provided that the Multi-Family Generator is able to respond to the City’s request to a. Inspect the 3rd Party hauling company’s bins, and/or b. Receive an annual report of types of materials, volumes, and frequency being managed by the 3rd Party hauling company
c. Provide a refundable deposit in amount not to exceed $5,000. 4) The City shall have the right to review and adjust the number and size of a generator’s containers and/or collection frequency to evaluate the adequacy of capacity provided for each type of collection service for proper separation of materials and containment of materials.
5) Multi-Family generators shall adjust the service level for their collection services as requested by the City.
6) To the extent practical through education, training, Inspection, and/or other measures, excluding Multi-Family Residential Dwellings, prohibit employees, contractors, or tenants from placing materials in a container not designated for those materials per the city’s Three Container Collection service or, if self-hauling, per the requirements Section 19-190.
7) Generators may choose to manage their Organic Waste by preventing, reducing, or managing their Organic Material on-site, and/or using a Community Composting site pursuant to 14 CCR Section 18984.9(c).
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10 8) Generators may choose to self-haul recyclable materials to the City’s drop-off Recycling Center pursuant to Division 4 of this Article. 9) Allow access for the City or its designated agent to perform periodic inspection of collection containers and/or enclosures.
10) Provide education information before, or within fourteen (14) days of, occupation of the premises by new tenants that describes requirements to keep Source Separated Organic and Recyclable Materials separate from Solid Waste (when applicable), maintaining the security of the containers to prevent illegal access, the location of containers, and the rules governing their use at each property.
(E) Commercial Businesses shall comply with the following requirements:

1. Shall subscribe to the City's three or two Container Collection Services for all Refuse (Trash), Recycling and Organic Wastes generated.

2. Shall place Source Separated materials in the designated containers, non-organic, non-recyclable materials in the Refuse (Trash) container; organic material including bagged food waste in the Organics container; and non-compostable, Recyclable Materials in the Recycling container.

3. Commercial Business Generators may choose to utilize the services of a 3rd party hauling company per Section 19-175-(B) and Sections 19-190 through 19-194 of this Article provided that the Commercial Business Generator is able to respond the City’s request to
a. Inspect the 3rd Party hauling company’s bins, and/or b. Receive an annual report of types of materials, volumes, and frequency being managed by the 3rd Party hauling company
c. Provide a refundable deposit in amount not to exceed $5,000