PLEASE NOTE: HYBRID MEETING FORMAT
- SPECIAL OPEN SESSION OF THE CITY COUNCIL
- REGULAR MEETING OF THE RICHMOND HOUSING AUTHORITY
- REGULAR MEETING OF THE RICHMOND CITY COUNCIL
Tuesday, March 3, 2026, 5:00 p.m.
Community Services Building
440 Civic Center Plaza
Richmond, CA 94804
Members:
Eduardo Martinez, Mayor at Large
Jamelia Brown, Councilmember District 1
Cesar Zepeda, Councilmember District 2
Doria Robinson, Vice Mayor, District 3
Soheila Bana, Councilmember District 4
Sue Wilson, Councilmember District 5
Claudia Jimenez, Councilmember District 6
Jaycine Scott, Housing Authority Tenant Commissioner
NOTICE: MASKS ARE STRONGLY ENCOURAGED!!
***REGISTER TO VOTE HERE!!***
https://registertovote.ca.gov/
The last day to register to vote for the June 2, 2026, Primary Election is May 18, 2026 The last day to register to vote for the November 3, 2026, General Election is October 19, 2026 Link to City Council Agendas/Packets
http://www.ci.richmond.ca.us/4157/City-ofRichmond-Council-Meetings
Register to receive notification of new agendas, etc.
http://www.ci.richmond.ca.us/list.aspx
HOW TO WATCH THE MEETING FROM HOME:
KCRT – Comcast Channel 28 or AT&T Uverse Channel 991.
Livestream online at http://www.ci.richmond.ca.us/3178/KCRT-Live2.
HOW TO SUBMIT PUBLIC COMMENTS:
In Person: Anyone who desires to address the City Council on items appearing on the agenda, including Open Forum, must complete and file a pink speaker’s card with the City Clerk prior to the City Council’s consideration of the item. Once the City Clerk has announced the item, no person shall be permitted to speak on the item other than those persons who have submitted their names to the City Clerk. Each speaker will be allowed up to TWO (2) MINUTES to address the City Council on NON-PUBLIC HEARING items listed on the agenda. Speakers are allowed up to THREE (3) minutes on PUBLIC HEARING items.
Via Zoom: Anyone who desires to address the City Council on items appearing on the agenda, including Open Forum, must raise their hand once public comment is open. The public speakers attending in person will be called first, followed by Zoom participants. Only those public speakers that have their hand raised once the speakers are called will be recognized.
Open Session and City Council: Please click the link below to join the webinar:
https://zoom.us/j/99312205643?pwd=MDdqNnRmS2k4ZkRTOWhlUldQOUF1Zz09
Passcode: ccmeeting
By iPhone one-tap: US: +16699006833,,99312205643# or +13462487799,,99312205643# By Telephone: Dial (for higher quality, dial a number based on your current location): US: +1 669 900 6833 or +1 346 248 7799 or +1 253 215 8782 or +1 312 626 6799 or +1 929 205 6099 or +1 301 715 8592
Webinar ID: 993 1220 5643
International numbers available: https://zoom.us/u/aehrwCgISx
To comment by video conference: click on the Participants button at the bottom of your screen and select the “Raise Your Hand” button to request to speak when Public Comment is being asked for. When called upon, press the unmute button. After the allotted time, you will then be re-muted. **
To comment by phone: you will be prompted to “Raise Your Hand” by pressing “*9” to request to speak when Public Comment is asked for. When called upon, you will be asked to unmuted by pressing *6. After the allotted time, you will then be re-muted. Instructions of how to raise your hand by phone are available at:
https://support.zoom.us/hc/en-us/articles/201362663 -Joining-a-meeting-by-phone. **
**The mayor will announce the agenda item number and open public comment when appropriate.
3-3-26 CC MTG.
2 Via mail: received by 1:00 p.m. the day of the meeting, sent to 450 Civic Center Plaza, 3rd Floor, Office of the Clerk, Richmond, CA 94804.
Via eComments: eComments are available once an agenda is published. Locate the meeting in "upcoming meetings" and click the comment bubble icon. Click on the item you wish to comment on. eComments can be submitted when the agenda is published and until the conclusion of public comments for the agenda item. Email your comment to [email protected] should you have difficulty submitting an eComment during a meeting.
Via email: to [email protected] by 1:00 p.m. the day of the meeting.
Emails MUST contain in the subject line 1) public comments – Open Session prior to Closed Session; 2) public comments – Open Forum; or 3) public comments agenda item #__ [include the agenda item number].
Properly labeled public comments will be considered a public record, put into the official meeting record, available after the meeting as supplemental materials, and will be posted as an attachment to the meeting minutes when the minutes are posted: http://www.ci.richmond.ca.us/Archive.aspx?AMID=31
The City cannot guarantee that its network and/or the site will be uninterrupted. To ensure that the City Council receives your comments, you are strongly encouraged to submit your comments in writing in advance of the meeting.
Procedures for Removing Items from the Consent Calendar: Members of the public who request to remove an item from the consent calendar must first discuss the item with a staff member by phone or a back-and- forth email discussion, and state the name of the staff member when requesting removal of the item from the consent calendar (by 2 p.m. the day of the meeting). The procedures for discussion do not apply to items sponsored by the mayor or councilmembers.
Any member of the City Council who would like to remove an item from the consent calendar must notify the appropriate staff person and the City Clerk’s Office prior to the meeting. Although members of the City Council are encouraged to ask questions and share concerns with staff ahead of the meeting, they are not required to do so.
The Clerk’s Office must be informed of any requests to remove items from the Consent Calendar. Items removed from the Consent Calendar shall be placed at the end of the agenda for consideration.
CONDUCT AT MEETINGS: Richmond City Council meetings are limited public forums during which the City strives to provide an open, safe atmosphere and promote robust public debate. Members of the public, however, must comply with state law, as well as the City’s laws and procedures and may not actually disrupt the orderly conduct of these meetings. The public, for example, may not shout or use amplifying devices, must submit comment cards and speak during their allotted time, may not create a physical disturbance, may not speak on matters unrelated to issues within the jurisdiction of the City Council or the agenda item at hand, and may not cause immediate threats to public safety.
Click here for City Harassment Policy
Accessibility for Individuals with Disabilities: Upon request, the City will provide for written agenda materials 3-3-26 CC MTG.
3 in appropriate alternative formats, or disability-related modification or accommodation, including auxiliary aids or services and sign language interpreters, to enable individuals with disabilities to participate in and provide comments at/related to public meetings. Please submit a request, including your name, phone number and/or email address, and a description of the modification, accommodation, auxiliary aid, service or alternative format requested at least two days before the meeting. Requests should be emailed to [email protected] or submitted by phone at 510-620-6513, ext. 9, or 510-620-6509.
Requests made by mail to City Clerk’s Office, City Council meeting, 450 Civic Center Plaza, Richmond, CA 94804 must be received at least two days before the meeting. Requests will be granted whenever possible and resolved in favor of accessibility.
Unless otherwise noted in an agenda description, all actions taken by the Council include a determination that CEQA does not apply (i.e., the action is not a project and therefore exempt from CEQA).
Disclaimer: The City Clerk's Office translates agendas to enhance public access. Translated agendas are provided as a courtesy and do not constitute legal notice of the meeting or items to be discussed. In case of discrepancy, the English agenda will prevail.
Pages
3-3-26 CC MTG.
4 A. SPECIAL OPEN SESSION TO HEAR PUBLIC COMMENT BEFORE CLOSED
SESSION
5:00 p.m.
B. ROLL CALL
C. CLOSED SESSION
C.1 PUBLIC EMPLOYEE PERFORMANCE EVALUATION (Government Code Section 54957)
Title: City Clerk•
C.2 CONFERENCE WITH LEGAL COUNSEL - ANTICIPATED LITIGATION (Significant exposure to litigation pursuant to paragraph (2) or (3) of Subdivision (d) [as applicable] of Government Code Section 54956.9) Two Cases•
D. PUBLIC COMMENT BEFORE CLOSED SESSION (limited to items on the Closed Session agenda only)
E. ADJOURN TO CLOSED SESSION
________________________________________________________ 3-3-26 CC MTG.
5 F. REGULAR MEETING OF THE RICHMOND HOUSING AUTHORITY
5:55 p.m.
G. PLEDGE OF ALLEGIANCE
H. ROLL CALL
I. STATEMENT OF CONFLICT OF INTEREST
J. AGENDA REVIEW
K. HOUSING AUTHORITY OPEN FORUM
L. HOUSING AUTHORITY CONSENT CALENDAR
L.1 Contract with Desert Parks Landscaping (dba Pacific Site Management) for Landscaping Services
13 ADOPT a resolution to APPROVE a contract with Pacific Site Management for $36,000, to pay for outstanding invoices for landscaping services performed under the previous contract, with a new contract term ending June 30, 2026 – Economic Development Department/Richmond Housing Authority (Nannette Beacham/Antoinette Terrell 510-621-1300).
M. ADJOURNMENT
_______________________________________________________ 3-3-26 CC MTG.
6 N. REGULAR MEETING OF THE RICHMOND CITY COUNCIL
6:00 p.m.
O. ROLL CALL
P. STATEMENT OF CONFLICT OF INTEREST
Q. AGENDA REVIEW
R. REPORT FROM THE CITY ATTORNEY OF FINAL DECISIONS MADE DURING
CLOSED SESSION
S. REPORT FROM THE CITY MANAGER (public comment allowed under Open Forum) S.1 NEW EMPLOYEE REPORT - 1st Tuesday
T. OPEN FORUM FOR PUBLIC COMMENT
(public comment on items that remain on the Consent Calendar or items not on the agenda - limited to 2 minutes unless otherwise specified - Back and forth dialogue with the Council is prohibited)
U. CITY COUNCIL CONSENT CALENDAR
(All items placed under the Consent Calendar are considered to be routine and noncontroversial. These items will be enacted upon together with a motion and second, without discussion, of any member of the City Council, and each item shall be deemed to have received the action recommended.)
U.1 City Attorney's Office
U.1.a Legal Services Agreement Amendment No. 5 with Ellis Investigations 58 APPROVE the fifth amendment to the legal services agreement with Ellis Investigations to increase the payment limit by $50,000, for a total amount not to exceed $250,000, for confidential personnel investigation services – City Attorney’s Office/Human Resources Department (Shannon Moore/Nickie Mastay/Sharrone Taylor 510- 620-6600).
U.2 Community Development
U.2.a Ordinance Adopting the 2025 California Building Standards Code 94 ADOPT an ordinance (second reading) amending Richmond
Municipal Code (RMC) Article VI, Building Regulations, Chapter 6.02 by adopting the 2025 California Building Standards Code with noted local amendments – Community Development Department (Lina Velasco/George Kabaivanov 510-620-5519).
3-3-26 CC MTG.
7 U.2.b Tobacco Retailer License Amendments 107
ADOPT an ordinance (second reading) amending Chapter 7.106 entitled “Tobacco Retailer License” and repealing Richmond Municipal Code Chapter 7.107 to comply with updates to State law relating to the sale of flavored tobacco products, establish a cap of 50 licenses that can be issued at any one time to protect against overconcentration, and to add operational prerequisites and enhanced regulations for enforcement of violations (including retailing without a tobacco retail license, sales to minors, and sales of illegal and hazardous substances), which shall aim to protect vulnerable demographics, streamline compliance standards, and enhance available enforcement tools – Community Development Department (Lina Velasco/Avery Stark/Eva Mann 510-621-1283).
U.3 Community Services
U.3.a Contract Amendment No. 1 with Commercial Titan Wrap for Van Wrapping Services
175
APPROVE the first contract amendment with Commercial Titan Wrap for high-performance, exterior-grade vinyl film wrap to Community Crisis Response Programs vehicles increasing the contract amount by $13,095.78, for a total payment limit to $23,095.78, and extending the contract expiration date to January 1, 2027 - Community Crisis Response Program (Sam Vaughn 510-620-5404/Michael Romero 510-620-6791/Joan Binalinbing 510-620-6531).
U.3.b Appropriate Grant Funds from the California State Library for Literacy Education
214
ADOPT a resolution to ACCEPT and APPROPRIATE the California State Library grant award of $137,058 for adult learner and family literacy services; and AUTHORIZE the city manager or their designee to execute the grant agreement and certify related grant reports – Community Services Department/Library Division (Kate Eppler 510- 620-5452/Abigail Sims-Evelyn 510-307-8082).
U.4 Economic Development
U.4.a Contract with Gordon Huether & Partners and Sonnikson Inc. for a Public Art Sculpture Project
252
APPROVE a contract with Gordon Huether & Partners in an amount not to exceed $175,000 for sculpture design and fabrication, and APPROVE a contract with Sonnikson Inc. in an amount not to exceed $50,000 for sculpture installation, both for a term beginning January 1, 2026, and ending December 31, 2026 - Economic Development Department/Arts and Culture Division (Nannette Beacham/Jordon Nesbitt 510-620-6787).
3-3-26 CC MTG.
8 U.4.b Agreement with STAX Engineering for Deployment of a CARB- Approved Emissions Control Solution Barge
354
ADOPT a resolution appropriating $750,000 annually for three fiscal years (Fiscal Year (FY) 2026–2027, FY 2027–2028, and FY 2028–2029), for a total appropriation of $2,250,000; APPROVE and AUTHORIZE the city manager or their designee to negotiate and execute an agreement with STAX Engineering, pursuant to a previously issued Request for Proposals, for the deployment and operation of a California Air Resources Board (CARB)-Approved Emissions Control Solution (CAECS) barge at the Port of Richmond, for an annual amount not-to-exceed $750,000, and a total contract amount not-to-exceed $2,250,000, for a three-year term ending March 31, 2029 – Economic Development Department/Port (Charles Gerard 510-620-6792).
U.5 Finance Department
U.5.a Special Assessment for Unpaid Garbage Liens 362
ADOPT a resolution authorizing placement of liens and special assessments for unpaid garbage collection service fees on Contra Costa County’s property tax records – Finance Department (Emily Combs/Mubeen Qader 510-620-6740/Antonio Banuelos 510-620- 6741).
U.5.b Amendment of Authorized Signatures on the Local Agency Investment Fund
399
ADOPT a resolution revising the authorization list on the Local Agency Investment Fund (LAIF) accounts to reflect current staff assignments – Finance Department (Emily Combs 510-620-6740).
U.6 Information Technology
U.6.a Contract Amendment No. 1 with Intuitive Municipal Solutions (iMS) for the Enterprise Community Development and Land Management (ERP) System
403
APPROVE the First Amendment to the agreement with Intuitive Municipal Solutions (iMS), LLC, for the City’s Enterprise Community Development and Land Management (ERP) System, to provide additional configuration, application support, and training services, increasing the contract amount by $249,610, for a total amount not to exceed $2,008,206 - Information Technology Department (Sue Hartman 510-620-6874).
3-3-26 CC MTG.
9 U.7 Mayor's Office
U.7.a Proclamation Declaring March 09, 2026, as Tibetan National Uprising Day
741
PROCLAMATION declaring March 09, 2026, as Tibetan Uprising Day in the City of Richmond – Mayor’s Office (Mayor Eduardo Martinez 510-620-6503).
U.7.b Proclamation Honoring Nicolas Traylor for Distinguished Service as Executive Director of the Richmond Rent Program
745
PROCLAMATION honoring Nicolas Traylor for his distinguished service as Executive Director of the Richmond Rent Program – Mayor’s Office (Mayor Eduardo Martinez 510-620-6503).
U.7.c Reappointment of Ode Kunthar to the Richmond Youth Council 749 APPOINT Ode Kunthar to the Richmond Youth Council, term expires October 1, 2026 – Mayor’s Office (Mayor Eduardo Martinez 510-620- 6503).
U.8 Police Department
U.8.a Purchase Carahsoft Technology Corp GrayKey Device for Forensic Evidence Extraction
752
APPROVE a sole-source contract with Carahsoft Technology Corp for the GrayKey device for forensic evidence commencing on January 1, 2026, and ending December 31, 2028, in an amount not to exceed $41,431.66 – Police Department (Chief Timothy Simmons 510-621-1802).
U.8.b Purchase of Expandable Batons from Peacekeeper Products International
784
APPROVE the purchase of 125 Peacekeeper Expandable Batons from Peacekeeper Products International in amount not to exceed $32,000 - Police Department (Chief Timothy Simmons 510-621- 1801/Daniel Reina 510-620-1809)
U.9 Public Works
U.9.a Purchase Irrigation Supplies, Tools, and Parts from Heritage Landscape Supply Group and Blue Angel International LLC 792
ADOPT a resolution to APPROVE the purchase of irrigation supplies, tools, and parts from Heritage Landscape Supply Group and Blue Angel International LLC, on an as-needed basis, for a three-year term, with the option to extend for up to two additional one-year terms, in an amount not to exceed $150,000, consistent with the approved budget – Public Works Department (Daniel Chavarria 510- 620-5478/ Darin Fitzpatrick 510-231-3044).
3-3-26 CC MTG.
10 V. BUDGET SESSION
V.1 Fiscal Year (FY) 2024-25 Audited Unspent Funds 836
DISCUSS and ADOPT resolutions to APPROPRIATE Fiscal Year 2024-25 audited unspent funds in the amount of $8,213,680 – Finance Department (Emily Combs 510-620-6790/Mubeen Qader 510-412-2077/Jerry Gurule 510- 620-6591).
V.2 City of Richmond Annual Comprehensive Financial Report for the Fiscal Year Ended June 30, 2025
843
RECEIVE a report on the City’s Annual Comprehensive Financial Report (ACFR) for Fiscal Year ended June 30, 2025 – Finance Department (Emily Combs/Mubeen Qader/Jerry Chak 510-620-6740)
W. NEW BUSINESS
W.1 Flock Safety Contract Extension 1192
RECEIVE a presentation, APPROVE a transitional contract amendment, and PROVIDE direction to staff regarding the Flock CCTV system, Flock Drone as a First Responder (DFR) Program, and Flock Automated License Plate Reader (ALPR) System – Police Department (Chief Timothy Simmons 510-621-1802).
W.2 Update Regarding the City’s Ongoing and Planned Efforts Related to Immigration Enforcement Actions
1290
RECEIVE an initial report regarding the City’s ongoing and planned efforts related to safeguarding residents from federal civil immigration enforcement actions, including U.S. Customs and Immigration Enforcement (ICE) raids – City Manager’s Office/City Attorney’s Office (Shasa Curl/Shannon Moore 510- 620-6512).
W.3 Cheese Park (La Moine Park) Improvements—Permanent Restrooms, Drinking Fountain, Playground Safety, Toddler-Area Fencing, Children’s Bike Garden, and Completion of Volunteer-Led Repainting
1318
ADOPT a resolution to DIRECT City staff to prepare a comprehensive work plan for improvements at Cheese Park (La Moine Park), including permanent restrooms, a drinking water fountain, playground restoration, safety fencing around the toddler area, completion of repainting started by volunteers, and the design of a children’s bike garden in collaboration with community partners such as Bike East Bay; and identify feasible funding sources in Fiscal Year (FY) 2026–27 Capital Improvement Program and operating budget process - Councilmember Soheila Bana (510-672-3490) and Councilmember Claudia Jimenez (510-620-6565).
3-3-26 CC MTG.
11 W.4 Create and Implement Blue Envelope Program in Richmond 1326 DIRECT the city manager or their designee to create and implement a Blue Envelope Program for residents, including a promotional campaign to inform police officers, first responders, and of the new program and how to participate, and aim to roll out the program in April for Autism Awareness Month - Councilmember Cesar Zepeda (510-620-6593).
W.5 Co-Sponsorship and Venue Reservation for Asian American Pacific Islander (AAPI) Community Celebration
1329
APPROVE an official City of Richmond community event and co-sponsorship of the Asian American Pacific Islander (AAPI) Community Celebration and AUTHORIZE the reservation of the Richmond Auditorium for Saturday, May 2, 2026 - Councilmember Soheila Bana (510-672-3490).
X. REPORTS OF OFFICERS: REFERRALS TO STAFF, AND GENERAL REPORTS (INCLUDING AB 1234 REPORTS)(limited to two minutes per Councilmember) Y. ADJOURNMENT
________________________
3-3-26 CC MTG.
12
March 3, 2026
Economic Development
Richmond Housing Authority (RHA)
DATE: March 3, 2026
TO: Chair Martinez and Members of the Board of
Commissioners of the Richmond Housing Authority
(RHA)
FROM:
Antoinette Terrell, RHA Executive Director
Nannette Beacham, Economic Development Director
Subject:
Contract with Desert Parks Landscaping (dba Pacific Site Management) for Landscaping Services
FINANCIAL IMPACT: The proposed $36,000 contract will be funded through the U.S. Housing and Urban Development’s (HUD)
annual allocation of Operating Subsidy and rent from
Public Housing Residents and is included within the
approved fiscal year 2025-2026 RHA Nystrom Village
budget (Account String: 44545191- 400537).
PREVIOUS COUNCIL
ACTION:
None
STATEMENT OF THE
ISSUE:
The Richmond Housing Authority’s landscape
maintenance contract with Desert Parks Landscaping,
doing business as Pacific Site Management, expired on
June 30, 2025. During the contract period, emergency
tree maintenance was necessary, resulting in total
expenditures exceeding the not-to-exceed contract
amount. City staff require authorization to pay the
outstanding invoices for services rendered during the
contract term.
AGENDA
REPORT
13
March 3, 2026
RECOMMENDED ACTION:
ADOPT a resolution to APPROVE a contract with Pacific
Site Management for $36,000, to pay for outstanding
invoices for landscaping services performed under the
previous contract, with a new contract term ending June 30, 2026 – Economic Development/Richmond Housing
Authority (Nannette Beacham/Antoinette Terrell 510-621- 1300).
DISCUSSION:
The multi-year landscaping contract with Desert Parks Landscaping (dba Pacific Site Management) provided routine grounds maintenance to Nystrom Village from its start date of May 21, 2019, through its expiration on June 30, 2025. During the contract term, a pair of trees fell during a storm event and several trees and large limbs were identified as posing immediate safety risks to residents, staff, and buildings. These hazards required urgent response to prevent potential injury and further property damage.
To address these conditions, Pacific Site Management performed tree removal and hazard-mitigation services at RHA’s direction. As a result, these expenditures caused the overall contract expenditures to exceed the not-to-exceed amount by $36,000.
RHA’s procurement policies require approval for payments that exceed a contract’s authorized limits, City staff is requesting Board authorization to pay the outstanding invoices for services that were completed during the valid contract period with funds that are available in FY2026 budget.
Tree located at 1418 Florida Ave.
14
March 3, 2026
Tree located along Marina Way South
Trees down along Marina Way South
DOCUMENTS ATTACHED:
Attachment 1 – Contract
Attachment 2 – Outstanding Invoices
Attachment 3 – Resolution
15 RICHMOND HOUSING AUTHORITY
PURCHASE OF SERVICES CONTRACT
Project Mgr: __________________________________ Project Mgr Phone No:
Project Description: _______________________________________________________________ The parties to this Purchase of Services Contract (Contract) do mutually agree and promise as follows:
1. Parties. The parties to this Contract are the Housing Authority of the City of Richmond, California, (Authority) and the following named Contractor:
(NAME) _________________________________
(Street Address) ___________________________
(City, State, Zip Code) ______________________
(Taxpayer ID No.) ________________________
(Vendor No.)
(Richmond Business License No.) ________________ (Expiration Date) An California [ ] corporation, [ ] partnership, [ ] private individual, [ ] nonprofit corporation, [ ] religious institution, [ ] sole proprietor, [ ] other (Please check appropriate box)
2. Term. The effective date of this Contract is
unless terminated as provided herein.
and it terminates
3. Payment Limit. Authority's total payments to Contractor under this Contract shall not exceed $ _____________ . The Authority shall not pay for services that exceed the Contract Payment Limit without the prior written approval of the Authority's Executive Director if the total contract amount does not exceed $10,000 or without the prior approval of the Board of Commissioners if the total contract amount is over $10,000.
4. Contractor's Obligations. Contractor shall provide those services and carry out that work described in the Service Plan which is attached hereto and, is incorporated herein by reference, subject to all the terms and conditions contained or incorporated herein.
Gregory Palomino
(510) 621-1361
Pacific Site Management Landscaping Services
Desert Parks Landscaping (dba Pacific Site Management)
12740 Earhart Ave
Auburn, CA 95602
40051915
01/01/2025
06/30/2026
36,000
12073
12/31/2025
✔
16 Authority's Obligations. Authority shall make to the Contractor those payments described in the Payment Provisions attached hereto which are incorporated herein by reference, subject to all the terms and conditions contained or incorporated herein.
6. General and Special Conditions. This Contract is subject to the General Conditions and Special Conditions (if any), which are attached hereto and are incorporated herein by reference, subject to all the terms and conditions contained or incorporated herein.
7. Signatures. These signatures attest the parties' agreement hereto:
HOUSING AUTHORITY OF CONTRACTOR:
THE CITY OF RICHMOND
By ________________________________________ By __________________________________ Title Title
Date Signed ________________________________ Date Signed
LIST OF ATTACHMENTS:
Service Plan
Payment Provisions
Insurance Provisions
General Conditions
Special Conditions
(*The Corporation Chief Financial Officer, Secretary or Assistant Secretary should sign below.)
By _________________________________
Title ________________________________
Date Signed __________________________
(NOTE: Pursuant to California Corporations
Code Section 313, if Contractor is a
corporation or nonprofit corporation, this
Contract (1) must be signed by (a) the
Chairperson of the Board, President or Vice
President and (b) the Secretary, any Assistant
Secretary, the Chief Financial Officer or any
Assistant Treasurer and (2) should be
accompanied by completed notary
acknowledgment forms.)
[Complete the notary acknowledgments
which are attached hereto.]
17 PAYMENT PROVISIONS
(PLEASE NOTE THAT THE HOUSING AUTHORITY OF THE CITY OF RICHMOND
SHALL NOT PAY FOR SERVICES THAT EXCEED THE CONTRACT PAYMENT LIMIT
WITHOUT THE PRIOR WRITTEN APPROVAL OF THE ADMINISTRATOR IF THE TOTAL EXCESS CONTRACT AMOUNT DOES NOT EXCEED $10,000.00 OR WITHOUT
THE PRIOR APPROVAL OF THE AGENCY BOARD IF THE TOTAL EXCESS CONTRACT AMOUNT IS OVER $10,000.00.)
1. Provided Contractor is not in default under this Contract, Contractor shall be compensated as provided below.
2. Any and all payments made pursuant to this Contract shall be subject to the Contract Payment Limit. The Payment Limit includes expenses (phones, photo copying, meals and travel, etc). Invoices, shall be adequately detailed, based on accurate records, and be in a form reasonably satisfactory to the Authority.
Contractor may be required to provide back-up material upon request.
3. Contractor shall submit timely invoices to the following address:
Attention: Accounts Payable, Finance
Department Project Manager:
P. O. Box 4046
Richmond, CA 94804-0046
4. All invoices that are submitted by Contractor shall be subject to the approval of the Authority's Project Manager, before payments
shall be authorized.
5. The Authority shall pay invoice(s) within 45 days after completion of services to the Authority's satisfaction. Authority shall not pay late fees or interest.
6. A business license from the City of Richmond shall be obtained before any" payment under this Contract shall be authorized and the business license must be kept current during the term of this Contract for payments to continue to be authorized.
7. All insurance coverage required by this Contract shall be provided by the Contractor before any payment under this Contract shall be authorized and the insurance coverage must be kept current during the term of this Contract for payments to continue to be authorized.
Gregory Palomino
Gregory Palomino
18 INSURANCE PROVISIONS
During the entire term of this Contract and any extension or modification thereof, the Contractor shall keep in effect insurance policies meeting the insurance requirements specified in the insurance provisions which are attached hereto and incorporated herein by this reference. 19 GENERAL CONDITIONS
1 Compliance with Law. CONTRACTOR shall be subject to and comply with all Federal, State and local laws and regulations applicable with respect to its performance under this Contract, including but not limited to, licensing, employment and purchasing practices; and wages, hours, and conditions of employment.
2. Inspection. CONTRACTOR's performance, place of business and records pertaining to this Contract are subject to monitoring, inspection, review and audit by authorized representatives of the AUTHORITY, the State of California, and the United States Government.
Records.
3.1 CONTRACTOR shall keep and make available for inspection and copying by authorized representatives of the AUTHORITY, the State of California, and the United States Government, the CONTRACTOR's regular business records and such additional records pertaining to this Contract as may be required by the AUTHORITY.
3.2 CONTRACTOR shall retain all documents pertaining to this Contract for a period of five years after this Contract's termination (or for any further period that is required by law) and until all Federal or State audits are complete and exceptions resolved for this contract's funding period. Upon request, CONTRACTOR shall make these records available to authorized representatives of the AUTHORITY, the State of California, and the United States Government.
4. Reporting Requirements. CONTRACTOR shall include in all documents or written reports completed and submitted to AUTHORITY in accordance with this Contract a separate section listing the numbers and dollar amounts of all contracts and subcontracts relating to the preparation of each such document or written report.
5. Termination.
5.1 Written Notice. This Contract may be terminated by either party, at their sole discretion, upon thirty-day (30) advance written notice thereof to the other, and may be canceled immediately by written mutual consent.
5.2 Failure to Perform.
5.2.1 The AUTHORITY upon written notice to CONTRACTOR, may immediately terminate this Contract should the CONTRACTOR fail to perform properly any of its obligations hereunder. In the event of such termination, the AUTHORITY may proceed with the work in any reasonable manner it chooses.
20 GENERAL CONDITIONS Page 3
5.2.2 In lieu of termination, the AUTHORITY has the right to withhold payment to the CONTRACTOR when, in the opinion of the AUTHORITY expressed in writing to the CONTRACTOR,
5.2.2.1 The CONTRACTOR'S performance, in whole or in part, either has not been carried out or is insufficiently
documented;
5.2.2.2 The CONTRACTOR has neglected, failed, or refused to furnish information or to cooperate with any inspection, review, or audit of its program, work, or records; or
5.2.2.3 The CONTRACTOR has failed to sufficiently itemize or document its demand(s) for payment.
5.3 Cessation of Funding. Notwithstanding Paragraph 5.1 above, in the event that Federal, State, or other non-AUTHORITY funding for this Contract ceases, this Contract may be terminated immediately by AUTHORITY upon written notice.
6. Entire Agreement. This Contract contains all the terms and conditions agreed upon by the parties. Except as expressly provided herein, no other understandings, oral or otherwise, regarding the subject matter of this Contract shall be deemed to exist or to bind any of the parties hereto.
7. Further Specifications for Operating Procedures. Detailed specifications of operating procedures and budgets required by this Contract, including but not limited to, monitoring, auditing, billing, or regulatory changes, may be developed and set forth in written Information Agreements between the CONTRACTOR and the AUTHORITY. Such Information Agreements shall be designated as such and shall not be amendments to this Contract except to the extent that they further detail or clarify that which is already required hereunder. Such Information Agreements may not enlarge in any manner the scope of this Contract, including any sums of money to be paid the CONTRACTOR as provided herein.
8. Modifications and Amendments.
8.1 General Amendments. This Contract may be modified or amended by a written document executed by this CONTRACTOR and the AUTHORITY'S Board of Commissioners or, after Board approval, by its designee, subject to any required State or Federal approval.
21 GENERAL CONDITIONS Page 4
8.2 Administrative Amendments. Subject to the Payment Limit, the Payment Provisions and the Service Plan may be amended by a written administrative amendment executed by the CONTRACTOR and AUTHORITY's Executive Director subject to any required State or Federal approval, provided that such administrative amendments may not materially change the Payment Provisions or the Service Plan.
9. Disputes. Disagreements between the AUTHORITY and CONTRACTOR concerning the meaning, requirements, or performance of this Contract shall be subject to final determination, in writing, in accordance with the applicable procedures (if any) required by the State or Federal Government.
10. Choice of Law and Jurisdiction.
10.1 This Contract is made in Contra Costa County and shall be governed and construed in accordance with laws of the State of California.
10.2 Any action relating to this Contract shall be instituted and prosecuted in the courts of Contra Costa County, State of California.
11. Conformation with Federal and State Regulations. Should Federal or State regulations touching upon the subject of this Contract be adopted or revised during the term hereof, this Contract may be amended to assure conformance with such Federal or State requirements.
12. No Waiver by Authority. Subject to Paragraph 9 (Disputes) of these General Conditions, inspections or approvals, or statements by any officer, agent or employee of the AUTHORITY relating to the CONTRACTOR's performance, or payments therefor, or any combination of these acts, shall not relieve the CONTRACTOR'S obligation to fulfill this Contract as prescribed; nor shall the AUTHORITY be thereby stopped from bringing any action for damages or enforcement arising from any failure to comply with any of the terms and conditions of this Contract.
13. Subcontract and Assignment. This Contract binds the heirs, successors, assigns and representatives of CONTRACTOR. The CONTRACTOR shall not enter into subcontracts for any work contemplated under this Contract and shall not assign this Contract, nor any portion hereof or monies due or to become due, without the prior written consent of the AUTHORITY's Board of Commissioners or its designee, subject to any required State or Federal approval.
14. Independent Contract Status. This Contract is by and between two independent CONTRACTORS and is not intended to and shall not be construed to create the 22 GENERAL CONDITIONS Page 5
relationship of agent, servant, employee, partnership, joint venture or association.
15. Conflicts of Interest. CONTRACTOR promises and attests that the CONTRACTOR and any members of its governing body shall avoid any actual or potential conflicts of interest. If CONTRACTOR is a corporation, CONTRACTOR agrees to furnish to the AUTHORITY upon demand a valid copy of its most recently adopted bylaws and also a complete and accurate list of its governing body (Board of Directors or Trustees) and to timely update said bylaws or the list of its governing body as changes in such governance occur.
16. Confidentiality.
16.1 CONTRACTOR agrees to comply with, and to require its employees, agents and partners to comply with, all applicable State or Federal statutes or regulations respecting confidentially, including but not limited to, the identity of persons served under this Contract, their records, or services provided them, and assures that:
16.1.1 All applications and records concerning any individual made or kept by CONTRACTOR or any public officer or agency in connection with the administration of or relating to services provided under this Contract will be confidential, and will not be open to examination for any purposes not directly connected with the administration of such service.
16.1.2 No person will publish or disclose or permit or cause to be published or disclosed, any list of persons receiving services, except as may be required in the administration of such service.
16.2 CONTRACTOR agrees to inform all employees, agents and partners of the above provisions, and that any person knowingly and intentionally disclosing such information other than as authorized by law may be guilty of a misdemeanor.
17. Nondiscrimination - CONTRACTOR. CONTRACTOR agrees to observe the provisions of Section 2.28.030 of the Municipal Code of the City of Richmond, obligating every CONTRACTOR under a Contract with the CITY for public work or for goods or for services to refrain from discriminatory employment or subcontracting practices on the basis of race, color, sex, sexual orientation, religious creed, national origin or ancestry of any employees, any applicant for employment for any potential subcontractor. Said Section
2.28.030 is, by this reference, made a part of this Contract.
18. Indemnification. The CONTRACTOR shall defend, save harmless and indemnify the AUTHORITY and its officers, agents and employees from any and all claims, costs and 23 GENERAL CONDITIONS Page 6
liability for any damages, sickness, death or injury to persons or property arising from, or connected with, the operations or services of the CONTRACTOR or its agents, servants, employees or subcontractors hereunder, save and except claims or litigation arising from the sole negligence or willful misconduct of the AUTHORITY or its officers or employees.
CONTRACTOR shall reimburse the AUTHORITY for any expenditures, including reasonable attorney's fees, incurred by the AUTHORITY in pursuit or defense of matters that are the subject of this indemnification. If requested by the AUTHORITY, the CONTRACTOR shall defend any claims or litigation to which this indemnification provision applies at the sole cost and expense of the CONTRACTOR.
19. Notices. All notices provided for by this Contract shall be in writing and may be delivered by deposit in the United States mail, postage prepaid. Notices to the AUTHORITY shall be addressed to the AUTHORITY's Executive Director. Notices to the CONTRACTOR shall be addressed to the CONTRACTOR's address designated herein. The effective date of notice to the CONTRACTOR shall be the date of receipt by CONTRACTOR. The effective date of notice to the AUTHORITY shall be the date of receipt by the AUTHORITY's Executive Director.
20. Primacy of General Conditions. Except for Special Conditions which expressly supersede General Conditions, the Special Conditions (if any) and Service Plan do not limit any term of the General Conditions.
21. Nonrenewal. CONTRACTOR understands and agrees that there is no representation, implication, or understanding that the services provided by CONTRACTOR under this Contract will be purchased or renewed by the AUTHORITY under a new contract following expiration or termination of this Contract, and waives all rights or claims to notice or hearing respecting any failure by AUTHORITY to continue the purchase of all or any failure to continue purchase of all or any such services from CONTRACTOR.
22. Possessory Interest. If this Contract results in the CONTRACTOR having possession of, claim to or right to the possession of land or improvements, but does not vest ownership of the land or improvements in the same person, or if this Contract results in the placement of taxable improvements on tax exempt land (Revenue and Taxation Code 107), such interest or improvements may represent a possessory interest subject to property tax, and CONTRACTOR may be subject to the payment of property taxes levied on such interest.
23. No Third-Party Beneficiaries. Notwithstanding mutual recognition that services under this Contract may provide some aid or assistance to members of the AUTHORITY's population, it is not the intention of either the AUTHORITY or CONTRACTOR that such individuals occupy the position of intended third-party beneficiaries of the obligations assumed by either party to this Contract.
24 GENERAL CONDITIONS Page 7
24. Copyrights and Rights in Data. CONTRACTOR shall not publish or transfer any materials produced or resulting from activities supported by this Contract without the express prior written consent of the AUTHORITY's Executive Director. If any material is subject to copyright, the AUTHORITY reserves the right to copyright such, and the CONTRACTOR agrees not to copyright such material. If the material is copyrighted by CONTRACTOR, the AUTHORITY reserves a royalty-free, nonexclusive, and irrevocable license to reproduce, publish, and use such materials, in whole or in part, and to authorize others to do so.
25. Changes and Extra Work.
25.1 When Changes in the Services Plan are required by AUTHORITY or requested by CONTRACTOR, CONTRACTOR shall promptly estimate their effect on the cost of the services, and on its time schedule, and so notify AUTHORITY in writing.
25.2 No Change shall be implemented by CONTRACTOR unless it is approved by AUTHORITY in writing. Unless otherwise agreed to in writing, all provisions of this Contract shall apply to all Changes in the Service Plan.
25.3 If AUTHORITY determines that a Change materially affects the total value or time of performance of this Contract, CONTRACTOR and AUTHORITY will mutually agree in writing to an equitable adjustment.
25.4 Within the limits of the Contract Payment Limit of this Contract, AUTHORITY may request Extra Work to be performed by CONTRACTOR. Extra Work is defined as work which was not authorized in the original Contract, and is, subsequent to the execution of this Contract by all parties hereto, determined by the AUTHORITY to be necessary for the Project. Upon receipt of an Extra Work authorization from AUTHORITY's Authorized Representative, CONTRACTOR shall continue performance of the services as revised by the authorization.
25.5 If AUTHORITY determines that revisions to the Contract Payment Limit, Service Plan, Payment Provisions, or other parts of the Contract are necessary, the revisions shall be mutually agreed upon and incorporated herein through the execution of written amendments to this Contract.
26. Survival.
The rights and obligations of the parties which by their nature survive termination or completion of the services covered by this Contract, shall remain in full force and effect after termination or completion.
25 GENERAL CONDITIONS Page 8
Performance and Final Acceptance.
27.1 CONTRACTOR represents that it is experienced, qualified, registered, licensed, equipped, organized and financed to perform the services under this Contract.
27.2 CONTRACTOR shall perform the services under this Contract with that degree of skill and judgment normally exercised by professional firms performing services of a similar nature in the State of California, and shall be responsible for the professional quality, technical accuracy and coordination of the services it performs under this Contract. In addition to the other rights and remedies which AUTHORITY may have, CONTRACTOR shall, at its own expense, correct any services which fail to meet the above standard.
27.3 AUTHORITY shall provide CONTRACTOR an opportunity to cure errors and omission which may be disclosed during the review of submittals, with no increase in the authorized Contract Payment Limit. Should CONTRACTOR fail to make necessary corrections in a timely manner, such corrections shall be made by the AUTHORITY and the cost thereof shall be charged to CONTRACTOR.
27.4 If warranted, AUTHORITY shall determine, and CONTRACTOR may request such determination, that CONTRACTOR has satisfactorily completed performance of this Contract. Upon such determination, AUTHORITY shall issue to CONTRACTOR a written Notice of Final Acceptance, after which CONTRACTOR shall not incur further costs under this Contract.
CONTRACTOR shall respond to such Notice of Final Acceptance by executing and submitting to AUTHORITY a Release and Certificate of Final Payment.
28. Force Majeure.
Neither party hereto shall be considered in default in the performance of its obligations hereunder to the extent that the performance of such an obligation is prevented or delayed by any cause, existing or future, which is beyond the reasonable control of such party.
29. Severability.
In the event that any of the provisions or portions or applications thereof of this Contract are held to be unenforceable or invalid by any court of competent jurisdiction, AUTHORITY and CONTRACTOR shall negotiate an equitable adjustment in the provisions of the Contract with a view toward effecting the purpose of this Contract, and the validity and enforceability of the remaining provisions or portions or applications 26 GENERAL CONDITIONS Page 9
thereof, shall not be affected thereby.
30. Authorized Representatives and Notices.
30.1 AUTHORITY and CONTRACTOR shall each designate, below, an Authorized Representative who has authority to act on its behalf in the administration of this Contract.
30.2 Written notification to the other party shall be provided, in advance, of changes in name or address of such Authorized Representatives.
30.3 Notices provided for under this Contract shall be in writing, and shall be served on the Authorized Representative of the receiving party, either personally or at the party's offices, or by registered or certified mail to its office address.
30.4 AUTHORITY hereby designates as its Authorized Representative the Project Manager whose name and address are as follows:
30.5 CONTRACTOR hereby designates as its Authorized Representative the Project Manager whose name and address are as follows:
31. Pursuant to Richmond Municipal Code Section 7.04.030, the Contractor must have, or must obtain, a City of Richmond business license before any provision of this Contract will be deemed to take effect.
Gregory Palomino
450 Civic Center Plaza 2nd Floor
Richmond, CA 94804
27 SPECIAL CONDITIONS
1. The purpose of this contract is to authorize payment for services previously performed by Pacific Site Management for the Richmond Housing Authority (RHA) during the term of the prior landscaping contract that expire on June 30, 2025. No new services are authorized under this agreement.
2. The total compensation under this contract shall not exceed $36,000, which represents payment for outstanding invoices related to services previously rendered which are invoices: 4213217, 4213310, 4213403, 4213496, 4213593, which are attached hereto and incorporated herein by this reference.
3. In addition to the General Conditions set forth herein, Contractor shall comply with the terms and conditions set forth in the documents entitled General Conditions for Non- Construction Contracts Section I” (HUD-5370-C Section I), “General Conditions for Non-Construction Contracts Section II” (HUD-5370-C Section II), “Certifications and Representations of Offerors” (HUD-5369-C), “Certification Regarding Debarment and Suspension” (HUD-2992), and “HUD Table 5.1” (HUD Table 5.1) which is attached hereto and incorporated herein by this reference. If there are any conflicts between the terms and conditions set forth in the General Conditions set forth herein and the terms and conditions set forth in the attached document, the terms and conditions set forth in the attached document shall take precedence and shall prevail.
4. In addition to the General Conditions set forth herein, Contractor shall comply with the terms and conditions set forth in the documents entitled “City of Richmond Sanctuary City Compliance Statement” which is attached hereto and incorporated herein by this reference.
28 **PLEASE NOTE NEW ADDRESS**
12740 Earhart Ave.
Auburn CA 95602
(510) 223-6597
Contract Invoice
4213217
Project: Billed To:
A service charge of per annum will be charged on all amounts overdue on regular statement dates.
Thank you for your prompt payment!
Non-Taxable Amount:
Taxable Amount:
Sales Tax:
Amount Due
Due Date: Terms:
License:
Nystrom Villages
Richmond Housing Authority
P.O. Box 4046
Richmond CA 94804
City of Richmond Finance Dept.
Accounts Payable
P.O. Box 4046
Richmond CA 94804
944237
Order# 03/03/2025
7,200.00
0.00 0.00
7,200.00
30DY
02/01/2025
Invoice#:
Date:
18.0000 %
Description Amount
LANDSCAPE MAINTENANCE FOR THE MONTH DATED ABOVE 6,400.00 Additional area service request 800.00
Contract/P.O. No. 4707/22001628
29 **PLEASE NOTE NEW ADDRESS**
12740 Earhart Ave.
Auburn CA 95602
(510) 223-6597
Contract Invoice
4213310
Project: Billed To:
A service charge of per annum will be charged on all amounts overdue on regular statement dates.
Thank you for your prompt payment!
Non-Taxable Amount:
Taxable Amount:
Sales Tax:
Amount Due
Due Date: Terms:
License:
Nystrom Villages
Richmond Housing Authority
P.O. Box 4046
Richmond CA 94804
City of Richmond Finance Dept.
Accounts Payable
P.O. Box 4046
Richmond CA 94804
944237
Order# 03/31/2025
7,200.00
0.00 0.00
7,200.00
30DY
03/01/2025
Invoice#:
Date:
18.0000 %
Description Amount
LANDSCAPE MAINTENANCE FOR THE MONTH DATED ABOVE 6,400.00 Additional area service request 800.00
Contract/P.O. No. 4707/22001628
30 **PLEASE NOTE NEW ADDRESS**
12740 Earhart Ave.
Auburn CA 95602
(510) 223-6597
Contract Invoice
4213403
Project: Billed To:
A service charge of per annum will be charged on all amounts overdue on regular statement dates.
Thank you for your prompt payment!
Non-Taxable Amount:
Taxable Amount:
Sales Tax:
Amount Due
Due Date: Terms:
License:
Nystrom Villages
Richmond Housing Authority
P.O. Box 4046
Richmond CA 94804
City of Richmond Finance Dept.
Accounts Payable
P.O. Box 4046
Richmond CA 94804
944237
Order# 05/01/2025
7,200.00
0.00 0.00
7,200.00
30DY
04/01/2025
Invoice#:
Date:
18.0000 %
Description Amount
LANDSCAPE MAINTENANCE FOR THE MONTH DATED ABOVE 6,400.00 Additional area service request 800.00
Contract/P.O. No. 4707/22001628
31 **PLEASE NOTE NEW ADDRESS**
12740 Earhart Ave.
Auburn CA 95602
(510) 223-6597
Contract Invoice
4213496
Project: Billed To:
A service charge of per annum will be charged on all amounts overdue on regular statement dates.
Thank you for your prompt payment!
Non-Taxable Amount:
Taxable Amount:
Sales Tax:
Amount Due
Due Date: Terms:
License:
Nystrom Villages
Richmond Housing Authority
P.O. Box 4046
Richmond CA 94804
City of Richmond Finance Dept.
Accounts Payable
P.O. Box 4046
Richmond CA 94804
944237
Order# 05/31/2025
7,200.00
0.00 0.00
7,200.00
30DY
05/01/2025
Invoice#:
Date:
18.0000 %
Description Amount
LANDSCAPE MAINTENANCE FOR THE MONTH DATED ABOVE 6,400.00 Additional area service request 800.00
Contract/P.O. No. 4707/22001628
32 **PLEASE NOTE NEW ADDRESS**
12740 Earhart Ave.
Auburn CA 95602
(510) 223-6597
Contract Invoice
4213593
Project: Billed To:
A service charge of per annum will be charged on all amounts overdue on regular statement dates.
Thank you for your prompt payment!
Non-Taxable Amount:
Taxable Amount:
Sales Tax:
Amount Due
Due Date: Terms:
License:
Nystrom Villages
Richmond Housing Authority
P.O. Box 4046
Richmond CA 94804
City of Richmond Finance Dept.
Accounts Payable
P.O. Box 4046
Richmond CA 94804
944237
Order# 07/01/2025
7,200.00
0.00 0.00
7,200.00
30DY
06/01/2025
Invoice#:
Date:
18.0000 %
Description Amount
LANDSCAPE MAINTENANCE FOR THE MONTH DATED ABOVE 6,400.00 Additional area service request 800.00
Contract/P.O. No. 4707/22001628
33 General Conditions for Non-Construction
Contracts
Section I – (With or without Maintenance Work)
U.S. Department of Housing and Urban
Development
Office of Public and Indian Housing
Office of Labor Relations
OMB Approval No. 2577-0157 (exp. 1/01/2014)
Public Reporting Burden for this collection of information is estimated to average 0.08 hours per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of info rmation. Send comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to the Reports Management Officer, Office of Information Policies and Systems, U.S. Department of Housing and Urban Development, Washington, D.C. 20410-3600; and to the Office of Management and Budget, Paperwork Reduction Project (2577-0157), Washington, D.C. 20503. Do not send this completed form to either of these addressees.
Applicability. This form HUD-5370-C has 2 Sections. These Sections must be inserted into non-construction contracts as described below:
1) Non-construction contracts (without maintenance)
greater than $100,000 - use Section I;
2) Maintenance contracts (including nonroutine
maintenance as defined at 24 CFR 968.105) greater than
$2,000 but not more than $100,000 - use Section II; and 3) Maintenance contracts (including nonroutine
maintenance), greater than $100,000 – use Sections I
and II.
====================================================
Section I - Clauses for All Non-Construction Contracts greater than $100,000
====================================================
1. Definitions
The following definitions are applicable to this contract:
(a) "Authority or Housing Authority (HA)" means the
Housing Authority.
(b) "Contract" means the cont ract entered into between the Authority and the Contractor. It includes the contract form, the Certifications and Representations, these contract
clauses, and the scope of work. It includes all formal
changes to any of those documents by addendum, Change
Order, or other modification.
(c) "Contractor" means the person or other entity entering into the contract with the Authority to perform all of the work required under the contract.
(d) "Day" means calendar days, unless otherwise stated. (e) "HUD" means the Secretary of Housing and Urban
development, his delegates, successors, and assigns, and the officers and employees of the United States
Department of Housing and Urban Development acting for
and on behalf of the Secretary.
2. Changes
(a) The HA may at any time, by written order, and without notice to the sureties, if any, make changes within the general scope of this contract in the services to be
performed or supplies to be delivered.
(b) If any such change causes an increase or decrease in the hourly rate, the not-to-exceed amount of the contract, or the time required for performance of any part of the work under this contract, whether or not changed by the order, or otherwise affects the conditions of this contract, the HA shall make an equitable adjustment in the not-to-exceed amount, the hourly rate, the delivery schedule, or other affected terms, and shall modify the contract accordingly. (c) The Contractor must assert its right to an equitable adjustment under this clause within 30 days from the date of receipt of the written order. However, if the HA decides that the facts justify it, the HA may receive and act upon a proposal submitted before final payment of the contract. (d) Failure to agree to any adjustment shall be a dispute under clause Disputes, herein. However, nothing in this clause shall excuse the Contractor from proceeding with the
contract as changed.
(e) No services for which an additional cost or fee will be charged by the Contractor shall be furnished without the prior written consent of the HA.
3. Termination for Convenience and Default
(a) The HA may terminate this cont ract in whole, or from time to time in part, for the HA's convenience or the failure of the Contractor to fulfill the contract obligations (default).
The HA shall terminate by delivering to the Contractor a written Notice of Termination specifying the nature, extent, and effective date of the termination. Upon receipt of the notice, the Contractor shall: (i) immediately discontinue all services affected (unless the notice directs otherwise); and (ii) deliver to the HA all information, reports, papers, and other materials accumulated or generated in performing
this contract, whether completed or in process.
(b) If the termination is for the convenience of the HA, the HA shall be liable only for payment for services rendered
before the effective date of the termination.
(c) If the termination is due to the failure of the Contractor to fulfill its obligations under the contract (default), the HA may (i) require the Contractor to deliver to it, in the manner and to the extent directed by the HA, any work as
described in subparagraph (a)(ii) above, and compensation be determined in accordance with the Changes clause,
paragraph 2, above; (ii) take over the work and prosecute the same to completion by contract or otherwise, and the Contractor shall be liable for any additional cost incurred by the HA; (iii) withhold any payments to the Contractor, for the purpose of off-set or partial payment, as the case may be, of amounts owed to the HA by the Contractor.
(d) If, after termination for failure to fulfill contract obligations (default), it is determined that the Contractor had not failed, the termination shall be deemed to have been effected for the convenience of the HA, and the Contractor shall been titled to payment as described in paragraph (b) above.
(e) Any disputes with regard to this clause are expressly made subject to the terms of clause titled Disputes herein.
4. Examination and Retention of Contractor's Records
(a) The HA, HUD, or Comptrolle r General of the United States, or any of their duly authorized representatives shall, until 3 years after final payment under this contract, have access to and the right to examine any of the Contractor's directly pertinent books, documents, papers, or other records
involving transactions related to this contract for the purpose of making audit, examination, excerpts, and
transcriptions.
Section I - Page 1 of 6
form HUD-5370-C (10/2006)
34 (b) The Contractor agrees to incl ude in first-tier subcontracts under this contract a clause substantially the same as
paragraph (a) above. "Subcontract," as used in this clause, excludes purchase orders not exceeding $10,000.
(c) The periods of access and examination in paragraphs (a) and (b) above for records relating to:
(i) appeals under the clause titled Disputes;
(ii) litigation or settlement of claims arising from the performance of this contract; or,
(iii) costs and expenses of this contract to which the HA, HUD, or Comptroller General or any of their duly
authorized representatives has taken exception shall
continue until disposition of such appeals, litigation, claims, or exceptions.
5. Rights in Data (Ownership and Proprietary Interest)
The HA shall have exclusive ownership of, all proprietary interest in, and the right to full and exclusive possession of all information, materials and documents discovered or produced by Contractor pursuant to the terms of this Contract, including but not limited to reports, memoranda or letters concerning the research and reporting tasks of this Contract.
6. Energy Efficiency
The contractor shall comply with all mandatory standards and policies relating to energy efficiency which are contained in the energy conservation plan issued in compliance with the Energy Policy and Conservation Act (Pub.L. 94-163) for the State in which the work under this contract is performed.
7. Disputes
(a) All disputes arising under or relating to this contract, except for disputes arising under clauses contained in Section III, Labor Standards Provisions, including any claims for
damages for the alleged breach there of which are not
disposed of by agreement, shall be resolved under this
clause.
(b) All claims by the Contract or shall be made in writing and submitted to the HA. A claim by the HA against the
Contractor shall be subject to a written decision by the HA. (c) The HA shall, with reasonabl e promptness, but in no event in no more than 60 days, render a decision concerning any claim hereunder. Unless the Contractor, within 30 days
after receipt of the HA's decision, shall notify the HA in writing that it takes exception to such decision, the decision shall be final and conclusive.
(d) Provided the Contractor has (i) given the notice within the time stated in paragraph (c) above, and (ii) excepted its claim relating to such decision from the final release, and (iii) brought suit against the HA not later than one year after receipt of final payment, or if final payment has not been made, not later than one year after the Contractor has had a reasonable time to respond to a written request by the HA that it submit a final voucher and release, whichever is earlier, then the HA's decision shall not be final or
conclusive, but the dispute shall be determined on the
merits by a court of competent jurisdiction.
(e) The Contractor shall proceed diligently with performance of this contract, pending final resolution of any request for relief, claim, appeal, or action arising under the contract, and comply with any decision of the HA.
8. Contract Termination; Debarment
A breach of these Contract clauses may be grounds for
termination of the Contract and for debarment or denial of participation in HUD programs as a Contractor and a
subcontractor as provided in 24 CFR Part 24.
9. Assignment of Contract
The Contractor shall not assign or transfer any interest in this contract; except that claims for monies due or to become due from the HA under the contract may be assigned to a bank, trust company, or other financial institution. If the Contractor is a partnership, this contract shall inure to the benefit of the surviving or remaining member(s) of such partnership approved by the HA.
10. Certificate and Release
Prior to final payment under this contract, or prior to settlement upon termination of this contract, and as a condition precedent thereto, the Contractor shall execute and deliver to the HA a certificate and release, in a form acceptable to the HA, of all claims against the HA by the Contractor under and by virtue of this contract, other than such claims, if any, as may be specifically excepted by the Contractor in stated amounts set forth therein.
11. Organizational Conflicts of Interest
(a) The Contractor warrants that to the best of its knowledge and belief and except as otherwise disclosed, it does not have any organizational conflict of interest which is defined as a situation in which the nature of work under this
contract and a contractor's organizational, financial,
contractual or other interests are such that:
(i) Award of the contract may result in an unfair
competitive advantage; or
(ii) The Contractor's objectiv ity in performing the contract work may be impaired.
(b) The Contractor agrees that if after award it discovers an organizational conflict of interest with respect to this contract or any task/delivery order under the contract, he or she shall make an immediate and full disclosure in writing to the Contracting Officer which shall include a description of the action which the Contractor has taken or intends to take to eliminate or neutralize the conflict. The HA may, however, terminate the contract or task/delivery order for the convenience of the HA if it would be in the best interest of the HA.
(c) In the event the Contractor was aware of an organizational conflict of interest before the award of this contract and intentionally did not disclose the conflict to the Contracting Officer, the HA may terminate the contract for default. (d) The terms of this clause shall be included in all
subcontracts and consulting agreements wherein the work to be performed is similar to the service provided by the prime Contractor. The Contractor shall include in such
subcontracts and consulting agreements any necessary
provisions to eliminate or neutralize conflicts of interest.
12. Inspection and Acceptance
(a) The HA has the right to review, require correction, if necessary, and accept the work products produced by the Contractor. Such review(s) shall be carried out within 30 days so as to not impede the work of the Contractor. Any
Section I - Page 2 of 6
Form HUD-5370-C (10/2006)
35 product of work shall be deemed accepted as submitted if the HA does not issue written comments and/or required
corrections within 30 days from the date of receipt of such product from the Contractor.
(b) The Contractor shall make any required corrections
promptly at no additional charge and return a revised copy of the product to the HA within 7 days of notification or a later date if extended by the HA.
(c) Failure by the Contractor to proceed with reasonable promptness to make necessary corrections shall be a
default. If the Contractor's submission of corrected work remains unacceptable, the HA may terminate this contract (or the task order involved) or reduce the contract price or cost to reflect the reduced value of services received.
13. Interest of Members of Congress
No member of or delegate to the Congress of the United States of America or Resident Commissioner shall be admitted to any share or part of this contract or to any benefit to arise there from, but this provision shall not be construed to extend to this contract if made with a corporation for its general benefit.
14. Interest of Members, Offi cers, or Employees and Former Members, Officers, or Employees
No member, officer, or employee of the HA, no member of the governing body of the locality in which the project is situated, no member of the governing body in which the HA was activated, and no other pubic official of such locality or localities who exercises any functions or responsibilities with respect to the project, shall, during his or her tenure, or for one year thereafter, have any interest, direct or indirect, in this contract or the proceeds thereof.
15. Limitation on Payments to Influence Certain Federal Transactions
(a) Definitions. As used in this clause:
"Agency", as defined in 5 U.S.C. 552(f), includes Federal executive departments and agencies as well as independent regulatory commissions and Government corporations, as
defined in 31 U.S.C. 9101(1).
"Covered Federal Action" means any of the following
Federal actions:
(i) The awarding of any Federal contract;
(ii) The making of any Federal grant;
(iii) The making of any Federal loan;
(iv) The entering into of any cooperative agreement; and, (v) The extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or
cooperative agreement.
Covered Federal action does not include receiving from an agency a commitment providing for the United States to insure or guarantee a loan.
"Indian tribe" and "tribal organization" have the meaning provided in section 4 of the Indian Self-Determination and Education Assistance Act (25 U.S.C. 450B). Alaskan Natives are included under the definitions of Indian tribes in that Act. "Influencing or attempting to influence" means making, with the intent to influence, any communication to or appearance before an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with any covered
Federal action.
"Local government" means a unit of government in a State and, if chartered, established, or otherwise recognized by a State for the performance of a governmental duty, including a local public authority, a special district, an intrastate district, a council of governments, a sponsor group representative
organization, and any other instrumentality of a local
government.
"Officer or employee of an agency" includes the following individuals who are employed by an agency:
(i) An individual who is appointed to a position in the Government under title 5, U.S.C., including a position
under a temporary appointment;
(ii) A member of the uniformed services as defined in
section 202, title 18, U.S.C.;
(iii) A special Government employee as defined in section 202, title 18, U.S.C.; and,
(iv) An individual who is a member of a Federal advisory committee, as defined by the Federal Advisory
Committee Act, title 5, appendix 2.
“Person" means an individual, corporation, company,
association, authority, firm, partnership, society, State, and local government, regardless of whether such entity is operated for profit or not for profit. This term excludes an Indian tribe, tribal organization, or other Indian organization with respect to expenditures specifically permitted by other Federal law. "Recipient" includes all contractors, subcontractors at any tier, and subgrantees at any tier of the recipient of funds received in connection with a Federal contract, grant, loan, or cooperative agreement. The term excludes an Indian tribe, tribal organization, or any other Indian organization with respect to expenditures specifically permitted by other Federal law. "Regularly employed means, with respect to an officer or employee of a person requesting or receiving a Federal
contract, grant, loan, or cooperative agreement, an officer or employee who is employed by such person for at least 130 working days within one year immediately preceding the date of the submission that initiates agency consideration of such person for receipt of such contract, grant, loan, or cooperative agreement. An officer or employee who is employed by such person for less than 130 working days within one year
immediately preceding the date of submission that initiates agency consideration of such person shall be considered to be regularly employed as soon as he or she is employed by such person for 130 working days.
"State" means a State of the United States, the District of Columbia, the Commonwealth of Puerto Rico, a territory or possession of the United States, an agency or instrumentality of a State, and a multi-State, regional, or interstate entity having governmental duties and powers.
(b) Prohibitio n.
(i) Section 1352 of title 31, U. S.C. provides in part that no appropriated funds may be expended by the recipient
of a Federal contract, grant, loan, or cooperative
agreement to pay any person for influencing or
attempting to influence an officer or employee of any
agency, a Member of Congress, an officer or
employee of Congress, or an employee of a Member
of Congress in connection with any of the following
covered Federal actions: 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.
(ii) The prohibition does not apply as follows:
Section I - Page 3 of 6
Form HUD-5370-C (10/2006)
36 (1) Agency and legislative liaison by Own
Employees.
(a) The prohibition on the use of appropriated
funds, in paragraph (i) of this section, does not
apply in the case of a payment of reasonable
compensation made to an officer or employee of
a person requesting or receiving a Federal
contract, grant, loan, or cooperative agreement, if
the payment is for agency and legislative
activities not directly related to a covered Federal
action.
(b) For purposes of paragraph (b)(i)(1)(a) of
this clause, providing any information specifically
requested by an agency or Congress is permitted
at any time.
(c) The following agency and legislative liaison
activities are permitted at any time only where
they are not related to a specific solicitation for
any covered Federal action:
(1) Discussing with an agency
(including individual demonstrations) the qualities
and characteristics of the person's products or
services, conditions or terms of sale, and service
capabilities; and,
(2) Technical discussions and other
activities regarding the application or adaptation
of the person's products or services for an
agency's use.
(d) The following agency and legislative liaison
activities are permitted where they are prior to
formal solicitation of any covered Federal action:
(1) Providing any information not
specifically requested but necessary for an
agency to make an informed decision about
initiation of a covered Federal action;
(2) Technical discussions regarding the
preparation of an unsolicited proposal prior to its
official submission; and
(3) Capability presentations by persons
seeking awards from an agency pursuant to the
provisions of the Small Business Act, as
amended by Public Law 95-507 and other
subsequent amendments.
(e) Only those activities expressly authorized
by subdivision (b)(ii)(1)(a) of this clause are
permitted under this clause.
(2) Professional and technical services.
(a) The prohibition on the use of appropriated
funds, in subparagraph (b)(i) of this clause,
does not apply in the case of-
(i) A payment of reasonable compensation
made to an officer or employee of a
person requesting or receiving a
covered Federal action or an extension,
continuation, renewal, amendment, or
modification of a covered Federal
action, if payment is for professional or
technical services rendered directly in
the preparation, submission, or
negotiation of any bid, proposal, or
application for that Federal action or for
meeting requirements imposed by or
pursuant to law as a condition for
receiving that Federal action.
(ii) Any reasonable payment to a person,
other than an officer or employee of a
person requesting or receiving a
covered Federal action or an extension,
continuation, renewal, amendment, or
modification of a covered Federal action
if the payment is for professional or
technical services rendered directly in
the preparation, submission, or
negotiation of any bid, proposal, or
application for that Federal action or for
meeting requirements imposed by or
pursuant to law as a condition for
receiving that Federal action. Persons
other than officers or employees of a
person requesting or receiving a
covered Federal action include
consultants and trade associations.
(b) For purposes of subdivision (b)(ii)(2)(a) of
clause, "professional and technical services"
shall be limited to advice and analysis
directly applying any professional or
technical discipline.
(c) Requirements imposed by or pursuant to law
as a condition for receiving a covered
Federal award include those required by law
or regulation, or reasonably expected to be
required by law or regulation, and any other
requirements in the actual award
documents.
(d) Only those services expressly authorized by
subdivisions (b)(ii)(2)(a)(i) and (ii) of this
section are permitted under this clause.
(iii) Selling activities by independent sales
representatives.
(c) The prohibition on the us e of appropriated funds, in subparagraph (b)(i) of this clause, does not apply to the following selling activities before an agency by independent sales representatives, provided such activities are prior to formal solicitation by an agency and are specifically limited to the merits of the matter:
(i) Discussing with an agency (including individual
demonstration) the qualities and characteristics of the person's products or services, conditions or terms of
sale, and service capabilities; and
(ii) Technical discussions and other activities regarding the application or adaptation of the person's products
or services for an agency's use.
(d) Agreement. In accepting any contract, grant, cooperative agreement, or loan resulting from this solicitation, the person submitting the offer agrees not to make any
payment prohibited by this clause.
(e) Penalties. Any person who makes an expenditure
prohibited under paragraph (b) of this clause shall be
subject to civil penalties as provided for by 31 U.S.C. 1352.
An imposition of a civil penalty does not prevent the
Government from seeking any other remedy that may be
applicable.
(f) Cost Allowability. Nothing in this clause is to be interpreted to make allowable or reasonable any costs which would be unallowable or unreasonable in accordance with Part 31 of the Federal Acquisition Regulation (FAR), or OMB
Circulars dealing with cost allowability for recipients of assistance agreements. Conversely, costs made
specifically unallowable by the requirements in this clause will not be made allowable under any of the provisions of FAR Part 31 or the relevant OMB Circulars.
Section I - Page 4 of 6
Form HUD-5370-C (10/2006)
37 16. Equal Employment Opportunity
During the performance of this contract, the Contractor agrees as follows:
(a) The Contractor shall not di scriminate against any employee or applicant for employment because of race, color,
religion, sex, or national origin.
(b) The Contractor shall take a ffirmative action to ensure that applicants are employed, and that employees are treated during employment without regard to their race, color,
religion, sex, or national origin. Such action shall include, but not be limited to (1) employment; (2) upgrading; (3) demotion; (4) transfer; (5) recruitment or recruitment
advertising; (6) layoff or termination; (7) rates of pay or other forms of compensation; and (8) selection for training, including apprenticeship.
(c) The Contractor shall post in conspicuous places available to employees and applicants for employment the notices to be provided by the Contracting Officer that explain this clause.
(d) The Contractor shall, in al l solicitations or advertisements for employees placed by or on behalf of the Contractor, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, or national origin.
(e) The Contractor shall send, to each labor union or
representative of workers with which it has a collective bargaining agreement or other contract or understanding, the notice to be provided by the Contracting Officer
advising the labor union or workers' representative of the Contractor's commitments under this clause, and post
copies of the notice in conspicuous places available to employees and applicants for employment.
(f) The Contractor shall comp ly with Executive Order 11246, as amended, and the rules, regulations, and orders of the Secretary of Labor.
(g) The Contractor shall furn ish all information and reports required by Executive Order 11246, as amended and by
rules, regulations, and orders of the Secretary of Labor, or pursuant thereto. The Contractor shall permit access to its books, records, and accounts by the Secretary of Labor for purposes of investigation to ascertain compliance with such rules, regulations, and orders.
(h) In the event of a determination that the Contractor is not in compliance with this clause or any rule, regulation, or order of the Secretary of Labor, this contract may be canceled, terminated, or suspended in whole or in part, and the
Contractor may be declared ineligible for further
Government contracts, or federally assisted construction contracts under the procedures authorized in Executive
Order 11246, as amended. In addition, sanctions may be
imposed and remedies invoked against the Contractor as
provided in Executive Order 11246, as amended, the rules, regulations, and orders of the Secretary of Labor, or as otherwise provided by law.
(i) The Contractor shall include the terms and conditions of this clause in every subcontract or purchase order unless exempted by the rules, regulations, or orders of the
Secretary of Labor issued under Executive Order 11246, as amended, so that these terms and conditions will be
binding upon each subcontractor or vendor. The
Contractor shall take such action with respect to any
subcontractor or purchase order as the Secretary of
Housing and Urban Development or the Secretary of Labor may direct as a means of enforcing such provisions,
including sanctions for noncompliance; provided that if the Contractor becomes involved in, or is threatened with,
litigation with a subcontractor or vendor as a result of such direction, the Contractor may request the United States to enter into the litigation to protect the interests of the United States.
17. Dissemination or Disclosure of Information
No information or material shall be disseminated or disclosed to the general public, the news media, or any person or
organization without prior express written approval by the HA.
18. Contractor's Status
It is understood that the Contractor is an independent contractor and is not to be considered an employee of the HA, or assume any right, privilege or duties of an employee, and shall save harmless the HA and its employees from claims suits, actions and costs of every description resulting from the Contractor's activities on behalf of the HA in connection with this Agreement.
19. Other Contractors
HA may undertake or award other contracts for additional work at or near the site(s) of the work under this contract. The contractor shall fully cooperate with the other contractors and with HA and HUD employees and shall carefully adapt
scheduling and performing the work under this contract to accommodate the additional work, heeding any direction that may be provided by the Contracting Officer. The contractor shall not commit or permit any act that will interfere with the performance of work by any other contractor or HA employee.
20. Liens
The Contractor is prohibited from placing a lien on HA's property. This prohibition shall apply to all subcontractors.
21. Training and Employment Opportunities for Residents in the Project Area (Section 3, HUD Act of 1968; 24 CFR 135)
(a) The work to be performed under this contract is subject to the requirements of section 3 of the Housing and Urban
Development Act of 1968, as amended, 12 U.S.C. 1701u
(section 3). The purpose of section 3 is to ensure that employment and other economic opportunities generated by HUD assistance or HUD-assisted projects covered by section 3, shall, to the greatest extent feasible, be directed to low- and very low-income persons, particularly persons who are recipients of HUD assistance for housing.
(b) The parties to this contract agree to comply with HUD's regulations in 24 CFR Part 135, which implement section 3. As evidenced by their execution of this contract, the parties to this contract certify that they are under no contractual or other impediment that would prevent them from complying with the Part 135 regulations.
(c) The contractor agrees to send to each labor organization or representative of workers with which the contractor has a collective bargaining agreement or other understanding, if any, a notice advising the labor organization or workers' representative of the contractor's commitments under this section 3 clause, and will post copies of the notice in conspicuous places at the work site where both employees and applicants for training and employment positions can see the notice. The notice shall describe the section 3 preference, shall set forth minimum number and job titles subject to hire, availability of
Section I - Page 5 of 6
Form HUD-5370-C (10/2006)
38 apprenticeship and training positions, the qualifications for each; and the name and location of the person(s) taking applications for each of the positions; and the anticipated date the work shall begin.
(d) The contractor agrees to include this section 3 clause in every subcontract subject to compliance with regulations in 24 CFR Part 135, and agrees to take appropriate action, as provided in an applicable provision of the subcontract or in this section 3 clause, upon a finding that the subcontractor is in violation of the regulations in 24 CFR Part 135. The contractor will not subcontract with any subcontractor where the contractor has notice or knowledge that the subcontractor has been found in violation of the regulations in 24 CFR Part 135.
(e) The contractor will certify that any vacant employment positions, including training positions, that are filled (1) after the contractor is selected but before the contract is executed, and (2) with persons other than those to whom the regulations of 24 CFR Part 135 require employment opportunities to be directed, were not filled to circumvent the contractor's obligations under 24 CFR Part 135.
(f) Noncompliance with HUD's regulations in 24 CFR Part 135 may result in sanctions, termination of this contract for default, and debarment or suspension from future HUD assisted contracts.
22. Procurement of Recovered Materials
(a) In accordance with Section 6002 of the Solid Waste Disposal Act, as amended by the Resource Conservation and Recovery Act, the Contractor shall procure items designated in guidelines of the Environmental Protection Agency (EPA) at 40 CFR Part 247 that contain the highest percentage of recovered materials
practicable, consistent with maintaining a satisfactory level of competition. The Contractor shall procure items designated in the EPA guidelines that contain the highest percentage of recovered materials practicable unless the Contractor
determines that such items: (1) are not reasonably available in a reasonable period of time; (2) fail to meet reasonable
performance standards, which shall be determined on the basis of the guidelines of the National Institute of Standards and Technology, if applicable to the item; or (3) are only available at an unreasonable price.
(b) Paragraph (a) of this clause shall apply to items purchased under this contract where: (1) the Contractor purchases in excess of $10,000 of the item under this contract; or (2) during the preceding Federal fiscal year, the Contractor: (i) purchased any amount of the items for use under a contract that was funded with Federal appropriations and was with a Federal agency or a State agency or agency of a political subdivision of a State; and (ii) purchased a total of in excess of $10,000 of the item both under and outside that contract.
Section I - Page 6 of 6
Form HUD-5370-C (10/2006)
39 General Conditions for Non-ConstructionU.S. Department of Housing and Urban Development
Office of Public and Indian Housing
Office of Labor Relations
OMB Approval No. 2577-0157 (exp. 11/30/202 3)
Contracts
Section II – (With Maintenance Work)
Public Reporting Burden for this collection of information is estimated to average one hour per response, including the time for reviewing instructions,s earching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. HUD may not conduct or sponsor, and an applicant is not required to respond to a collection of information unless it displays a currently valid OMB control number.
Applicability. This form HUD-5370C has 2 Sections. These Sections must be inserted into non-construction contracts as described below:
in the classification under this Contract from the first day on which work is performed in the classification.
2. Withholding of funds
1) Non-construction contracts (w ithout maintenance) greater than $250,000 - use Section I;
2) Maintenance contracts (including nonroutine maintenance as defined at 24 C FR 905.200) greater than $2,000 but not more than $250,000 - use Section II; and
3) Maintenance contracts (including nonroutine maintenance), greater than $250,000 – use Sections I and II.
The Contracting Officer, upon his/her own action or upon request of HUD, shall withhold or cause to be withheld from the Contractor under this Contract or any other contract subject to HUD-determined wage rates, with the same prime Contractor, so much of the accrued payments or advances as may be
considered necessary to pay laborers and mechanics employed by the Contractor or any subcontractor the full amount of wages required by this clause. In the event of failure to pay any laborer or mechanic employed under this Contract all or part of the wages required under this Contract, the Contracting Officer or HUD may, after written notice to the Contractor, take such action as may be necessary to cause the suspension of any further payment or advance until such violations have ceased. The Public Housing Agency or HUD may, after written notice to the Contractor, disburse such amounts withheld for and on account of the Contractor or subcontractor to the respective employees to whom they are due.
Section II – Labor Standard Provisions for all Maintenance Contracts greater than $2,000
1. Minimum Wages
(a) All maintenance laborers and mechanics employed under this Contract in the operation of the project(s) shall be paid unconditionally and not less often than semi-monthly, and without subsequent deduction (except as otherwise
provided by law or regulations), the full amount of wages due at time of payment computed at rates not less than
those contained in the wage determination of the Secretary of Housing and Urban Development which is attached
hereto and made a part hereof. Such laborers and
mechanics shall be paid the appropriate wage rate on the wage determination for the classification of work actually performed, without regard to skill. 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 classifications and wage rates approved by HUD under subparagraph
1(b), 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
3. Records
(a) The Contractor and each subcontractor shall make and maintain for three (3) years from the completion of the work records containing the following for each laborer and
mechanic:
(i) Name, address and Social Security Number;
(ii) Correct work classification or classifications;
(iii) Hourly rate or rates of monetary wages paid;
(iv) Rate or rates of any fringe benefits provided;
(v) Number of daily and weekly hours worked;
(vi) Gross wages earned;
(vii) Any deductions made; and
(viii) Actual wages paid.
seen by the workers.
(b) The Contractor and each subcontractor shall make the records required under paragraph 3(a) available for
inspection, copying, or transcription by authorized
representatives of HUD or the HA and shall permit such
representatives to interview employees during working
hours on the job. If the Contractor or any subcontractor fails to make the required records available, HUD or its designee 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.
(b) (i) Any class of laborers or mechanics 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. HUD shall approve an additional
classification and wage rate only when the following criteria have been met:
(1) The work to be performed by the classification
required is not performed by a classification in the 4. Apprentices and Traineeswage determination; (2) The classification is utilized in the area by the
industry; and (a) Apprentices and trainees will be permitted to work at less than the predetermined rate for the work they perform
when they are employed pursuant to and individually
registered in:
(i)
(3) The proposed wage rate bears a reasonable
relationship to the wage rates contained in the
wage determination. A bona fide apprenticeship program registered with the U.S. Department of Labor, Employment
and Training Administration (ETA), Office of
(ii) The wage rate determined pursuant to this
paragraph shall be paid to all workers performing work
Section II - Page 1 of 3 form HUD-5370-C (1/2014)
40 Apprenticeship Training, Employer and Labor
Services (OATELS), or with a state apprenticeship
agency recognized by OATELS, or if a person is
employed in his/her first 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 OATELS or a state apprenticeship
agency (where appropriate) to be eligible for
probationary employment as an apprentice; A
trainee program which has received prior approval,
evidenced by formal certification by the
(ii)
forth those findings that are in dispute and the
reasons, including any affirmative defenses, with
respect to the violations. The request shall be
directed to the appropriate HA or HUD official in
accordance with instructions contained in the
notice of findings or, if the notice does not specify
to whom a request should be made, to the
Regional Labor Relations Officer (HUD). The HA
or HUD official shall, within 60 days (unless
otherwise indicated in the notice of findings) after
receipt of a timely request for reconsideration,
issue a written decision on the findings of violation.
The written decision on reconsideration shall
contain instructions that any appeal of the decision
shall be addressed to the Regional Labor
Relations Officer by letter postmarked within 30
calendar days after the date of the decision. In the
event that the Regional Labor Relations Officer
was the deciding official on reconsideration, the
appeal shall be directed to the Director, Office of
Labor Relations (HUD). Any appeal must set forth
the aspects of the decision that are in dispute and
the reasons, including any affirmative defenses,
with respect to the violations. The Regional Labor
Relations Officer shall, within 60 days (unless
otherwise indicated in the decision on
reconsideration) after receipt of a timely appeal,
issue a written decision on the findings. A decision
of the Regional Labor Relations Officer may be
appealed to the Director, Office of Labor Relations,
by letter postmarked within 30 days of the
Regional Labor Relations Officer’s decision. Any
appeal to the Director must set forth the aspects of
the prior decision(s) that are in dispute and the
reasons. The decision of the Director, Office of
Labor Relations, shall be
(ii)
U.S. Department of Labor, ETA; or
(iii) A training/trainee program that has received prior approval by HUD.
(b) Each apprentice or trainee must be paid at not less than the rate specified in the registered or approved program for the apprentice’s/trainee’s level of progress, expressed as a percentage of the journeyman hourly rate specified in the applicable wage determination. Apprentices and trainees shall be paid fringe benefits in accordance with the
provisions of the registered or approved program. If the program does not specify fringe benefits,
apprentices/trainees must be paid the full amount of fringe benefits listed on the wage determination for the applicable (iii) classification.
(c) The allowable ratio of apprentices or trainees to
journeyman on the job site in any craft classification shall not be greater than the ratio permitted to the employer as to the entire work force under the approved program.
(d) Any worker employed at an apprentice or trainee wage rate who is not registered in an approved program, and any
apprentice or trainee performing work on the job site in excess of the ratio permitted under the approved program, shall be paid not less than the applicable wage rate on the wage determination for the classification of work actually performed. final.
(e) In the event OATELS, a state apprenticeship agency (b) Disputes arising out of the labor standards provisions of recognized by OATELS or ETA, or HUD, withdraws
approval of an apprenticeship or trainee program, the
employer will no longer be permitted to utilize
apprentices/trainees at less than the applicable
predetermined rate for the work performed until an
acceptable program is approved.
paragraph 6 shall not be subject to paragraph 5(a) of this form HUD-5370C. Such disputes shall be resolved in
accordance with the procedures of the U.S. Department of Labor set forth in 29 CFR Parts 5, 6 and 7. Disputes within the meaning of this paragraph 5(b) include disputes
between the Contractor (or any of its subcontractors) and the HA, HUD, the U.S. Department of Labor, or the
employees or their representatives. 5. Disputes concerning labor standards (a) Disputes arising out of the labor standards provisions6. Contract Work Hours and Safety Standards Act contained in Section II of this form HUD-5370-C, other than those in Paragraph 6, shall be subject to the following procedures. Disputes within the meaning of this paragraph include disputes between the Contractor (or any of its
subcontractors) and the HA, or HUD, or the employees or their representatives, concerning payment of prevailing wage rates or proper classification. The procedures in this section may be initiated upon HUD’s own motion, upon
referral of the HA, or upon request of the Contractor or The provisions of this paragraph 6 are applicable only where the amount of the prime contract exceeds $100,000. As used in this paragraph, the terms “laborers” and “mechanics” includes watchmen and guards.
(a) Overtime requirements. No Contractor or subcontractor subcontractor(s).
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 40 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
(i) A Contractor and/or subcontractor or other
interested party desiring reconsideration of
findings of violation by the HA or HUD relating to
the payment of straight-time prevailing wages or
classification of work shall request such
reconsideration by letter postmarked within 30
calendar days of the date of notice of findings
issued by the HA or HUD. The request shall set
40 hours in such workweek.
(b) Violation; liability for unpaid wages; liquidated
damages. In the event of any violation of the provisions set forth in paragraph 6(a), the Contractor and any
Section II - Page 2 of 3 form HUD-5370-C (1/2014)
41 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 the 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 provisions set forth in paragraph (a) of this clause, 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 40 hours without payment of the overtime wages required by provisions set forth in
paragraph (a) of this clause.
(c) Withholding for unpaid wages and liquidated damages.
HUD or its designee shall upon its own action or upon
written request of an authorized representative of the U.S.
Department of Labor 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 federal contract with the same prime
Contractor, or any other federally-assisted contract subject to the Contract Work Hours and Safety Standards Act,
which is held by the same prime 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
provisions set forth in paragraph (b) of this clause.
7. Subcontracts
The Contractor or subcontractor shall insert in any
subcontracts all the provisions contained in this Section II and also a clause requiring the subcontractors to include these provisions in any lower tier subcontracts. The prime Contractor shall be responsible for the compliance by any subcontractor or lower tier subcontractor with all the provisions contained in these clauses.
8. Non-Federal Prevailing Wage Rates
Any prevailing wage rate (including basic hourly rate and any fringe benefits), determined under state law to be prevailing, with respect to any employee in any trade or position
employed under the Contract, is inapplicable to the contract and shall not be enforced against the Contractor or any subcontractor, with respect to employees engaged under the contract whenever such non-Federal prevailing wage rate, exclusive of any fringe benefits, exceeds the applicable wage rate determined by the Secretary of HUD to be prevailing in the locality with respect to such trade or position.
Section II - Page 3 of 3 form HUD-5370-C (1/2014)
42 form HUD-5369-C (8/93)
ref. Handbook 7460.8Previous edition is obsolete page 1 of 2
1. Contingent Fee Representation and Agreement
(a) The bidder/offeror represents and certifies as part of its bid/ offer that, except for full-time bona fide employees working solely for the bidder/offeror, the bidder/offeror:
(1) [ ] has, [ ] has not employed or retained any person or company to solicit or obtain this contract; and
(2) [ ] has, [ ] has not paid or agreed to pay to any person or company employed or retained to solicit or obtain this contract any commission, percentage, brokerage, or other fee contingent upon or resulting from the award of this contract.
(b) If the answer to either (a)(1) or (a) (2) above is affirmative, the bidder/offeror shall make an immediate and full written disclosure to the PHA Contracting Officer.
(c) Any misrepresentation by the bidder/offeror shall give the PHA the right to (1) terminate the resultant contract; (2) at its discretion, to deduct from contract payments the amount of any commission, percentage, brokerage, or other contingent fee; or (3) take other remedy pursuant to the contract.
2. Small, Minority, Women-Owned Business Concern Rep-
resentation
The bidder/offeror represents and certifies as part of its bid/ offer that it:
(a) [ ] is, [ ] is not a small business concern. “Small business concern,” as used in this provision, means a concern, includ- ing its affiliates, that is independently owned and operated, not dominant in the field of operation in which it is bidding, and qualified as a small business under the criteria and size standards in 13 CFR 121.
(b) [ ] is, [ ] is not a women-owned small business concern. “Women-owned,” as used in this provision, means a small business that is at least 51 percent owned by a woman or women who are U.S. citizens and who also control and
operate the business.
(c) [ ] is, [ ] is not a minority enterprise which, pursuant to Executive Order 11625, is defined as a business which is at least 51 percent owned by one or more minority group
members or, in the case of a publicly owned business, at least 51 percent of its voting stock is owned by one or more
minority group members, and whose management and daily
operations are controlled by one or more such individuals.
For the purpose of this definition, minority group members are:
(Check the block applicable to you)
[ ] Black Americans [ ] Asian Pacific Americans
[ ] Hispanic Americans [ ] Asian Indian Americans [ ] Native Americans [ ] Hasidic Jewish Americans
3. Certificate of Independent Price Determination
(a) The bidder/offeror certifies that—
(1) The prices in this bid/offer have been arrived at indepen- dently, without, for the purpose of restricting competi- tion, any consultation, communication, or agreement
with any other bidder/offeror or competitor relating to (i) those prices, (ii) the intention to submit a bid/offer, or (iii) the methods or factors used to calculate the prices offered;
(2) The prices in this bid/offer have not been and will not be knowingly disclosed by the bidder/offeror, directly or
indirectly, to any other bidder/offeror or competitor be- fore bid opening (in the case of a sealed bid solicitation) or contract award (in the case of a negotiated solicitation) unless otherwise required by law; and
(3) No attempt has been made or will be made by the bidder/ offeror to induce any other concern to submit or not to submit a bid/offer for the purpose of restricting competition. (b) Each signature on the bid/offer is considered to be a certifi- cation by the signatory that the signatory:
(1) Is the person in the bidder/offeror’s organization respon- sible for determining the prices being offered in this bid or proposal, and that the signatory has not participated and will not participate in any action contrary to subpara- graphs (a)(l) through (a)(3) above; or
(2) (i) Has been authorized, in writing, to act as agent for the following principals in certifying that those principals have not participated, and will not participate in any
action contrary to subparagraphs (a)(l) through (a)(3)
above (insert full name of person(s) in the bidder/offeror’s organization responsible for determining the prices of- fered in this bid or proposal, and the title of his or her position in the bidder/offeror’s organization);
(ii) As an authorized agent, does certify that the princi- pals named in subdivision (b)(2)(i) above have not par- ticipated, and will not participate, in any action contrary to subparagraphs (a)(l) through (a)(3) above; and
U.S. Department of Housing
and Urban Development
Office of Public and Indian Housing
Certifications and
Representations
of Offerors
Non-Construction Contract
Public reporting burden for this collection of information is estimated to average 5 minutes per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information.
This form includes clauses required by OMB’s common rule on bidding/offering procedures, implemented by HUD in 24 CFR 85.36, an d those requirements set forth in Executive Order 11625 for small, minority, women-owned businesses, and certifications for independent price determ ination, and conflict of interest.
The form is required for nonconstruction contracts awarded by Housing Agencies (HAs). The form is used by bidders/offerors to certify to the HA's Contracting Officer for contract compliance. If the form were not used, HAs would be unable to enforce their contracts. Responses to the collection of information are required to obtain a benefit or to retain a benefit. The information requested does not lend itself to confidentiality. 43 form HUD-5369-C (8/93)
ref. Handbook 7460.8Previous edition is obsolete page 2 of 2 (iii) As an agent, has not personally participated, and will not participate in any action contrary to subparagraphs (a)(l) through (a)(3) above.
(c) If the bidder/offeror deletes or modifies subparagraph (a)2 above, the bidder/offeror must furnish with its bid/offer a signed statement setting forth in detail the circumstances of the disclosure.
4. Organizational Conflicts of Interest Certification
(a) The Contractor warrants that to the best of its knowledge and belief and except as otherwise disclosed, it does not have any organizational conflict of interest which is defined as a situation in which the nature of work under a proposed
contract and a prospective contractor’s organizational, fi- nancial, contractual or other interest are such that:
(i) Award of the contract may result in an unfair competi- tive advantage;
(ii) The Contractor’s objectivity in performing the con- tract work may be impaired; or
(iii) That the Contractor has disclosed all relevant infor- mation and requested the HA to make a determination
with respect to this Contract.
(b) The Contractor agrees that if after award he or she discovers an organizational conflict of interest with respect to this contract, he or she shall make an immediate and full disclo- sure in writing to the HA which shall include a description of the action which the Contractor has taken or intends to eliminate or neutralize the conflict. The HA may, however, terminate the Contract for the convenience of HA if it would be in the best interest of HA.
(c) In the event the Contractor was aware of an organizational conflict of interest before the award of this Contract and intentionally did not disclose the conflict to the HA, the HA may terminate the Contract for default.
(d) The Contractor shall require a disclosure or representation from subcontractors and consultants who may be in a posi tion to influence the advice or assistance rendered to the HA and shall include any necessary provisions to eliminate or neutralize conflicts of interest in consultant agreements or subcontracts involving performance or work under this Contract.
5. Authorized Negotiators (RFPs only)
The offeror represents that the following persons are authorized to negotiate on its behalf with the PHA in connection with this request for proposals: (list names, titles, and telephone numbers of the authorized negotiators):
6. Conflict of Interest
In the absence of any actual or apparent conflict, the offeror, by submission of a proposal, hereby warrants that to the best of its knowledge and belief, no actual or apparent conflict of interest exists with regard to my possible performance of this procure- ment, as described in the clause in this solicitation titled “Orga- nizational Conflict of Interest.”
7. Offeror's Signature
The offeror hereby certifies that the information contained in these certifications and representations is accurate, complete, and current.
Signature & Date:
Typed or Printed Name:
Title:
44 The following contract clauses are required in contracts pursuant to 24 CFR 85.36(i) and Section 6002 of the Solid Waste Disposal Act, as amended by the Resource Conservation and Recovery Act. HUD is permitted to require changes, remedies, changed conditions, access and records retention, suspension of work, and other clauses approved by the Office of Federal Procurement Policy. The PHA and contractor is also subject to other Federal laws including the U.S. Housing Act of 1937, as amended, Federal regulations, and state law and regulations.
Examination and Retention of Contractor’s Records. The PHA, HUD, or Comptroller General of the United States, or any of their duly authorized representatives shall, until three years after final payment under this contract, have access to and the right to examine any of the Contractor’s directly pertinent books, documents, papers, or other records involving transactions related to this contract for the purpose of making audit, examination, excerpts, and transcriptions.
Right in Data and Patent Rights (Ownership and Proprietary Interest). The PHA shall have exclusive ownership of, all proprietary interest in, and the right to full and exclusive possession of all information, materials, and documents discovered or produced by Contractor pursuant to the terms of this Contract, including, but not limited to, reports, memoranda or letters concerning the research and reporting tasks of the Contract.
Energy Efficiency. The Contractor shall comply with all mandatory standards and policies relating to energy efficiency which are contained in the energy conservation plan issued in compliance with the Energy Policy and Conservation Act (Pub.L. 94-163) for the State in which the work under this contract is performed.
Procurement of Recovered Materials
(a) In accordance with Section 6002 of the Solid Waste Disposal Act, as amended by the Resource Conservation and Recovery Act, the Contractor shall procure items designated in guidelines of the Environmental Protection Agency (EPA) at 40 CFR Part 247 that contain the highest percentage of recovered materials practicable, consistent with maintaining a satisfactory level of competition. The Contractor shall procure items designated in the EPA guidelines that contain the highest percentage of recovered materials practicable unless the Contractor determines that such items: (1) are not reasonably available in a reasonable period of time; (2) fail to meet reasonable performance standards, which shall be determined on the basis of the guidelines of the National Institute of Standards and Technology, if applicable to the item; or (3) are only available at an unreasonable price. (b) Paragraph (a) of this clause shall apply to items purchased under this contract where: (1) the Contractor purchases in excess of $10,000 of the item under this contract; or (2) during the preceding Federal fiscal year, the Contractor: (i) purchased any amount of the items for use under a contract that was funded with Federal appropriations and was with a Federal agency or a State agency or agency of a political subdivision of a State; and (ii) purchased a total of in excess of $10,000 of the item both under and outside that contract.
Termination for Cause and for Convenience (contracts of $10,000 or more). (a) The PHA may terminate this contract in whole, or from time to time in part, for the PHA’s convenience or the failure of the Contractor to fulfill the contract obligations (cause/default). The PHA shall terminate by delivering to the Contractor a written Notice of Termination specifying the nature, extent, and effective date of the termination. Upon receipt of the notice, the Contractor shall: (1) immediately discontinue all services affected (unless the notice directs otherwise), and (2) deliver to the PHA all information, reports, papers, and other materials accumulated or generated in performing the contract, whether completed or in process.
(b) If the termination is for the convenience of the PHA, the PHA shall be liable only for payment for services rendered before the effective date of the termination.
(c) If the termination is due to the failure of the Contractor to fulfill its obligations under the contract (cause/default), the PHA may (1) require the Contractor to deliver to it, in the manner and to the extent directed by the PHA, any work described in the Notice of Termination; (2) take over the work and prosecute the same to completion by contract of otherwise, and the Contractor shall be liable for any additional cost incurred by the PHA; and (3) withhold any payments to the Contractor, for the purpose of set-off or partial payment, as the case may be, of amounts owned by the PHA by the Contractor. In the event of termination for cause/default, the PHA shall be liable to the Contractor for reasonable costs incurred by the Contractor before the effective date of the termination. Any dispute shall be decided by the Contracting Officer.
45 CITY OF RICHMOND
Sanctuary City Compliance Statement
The undersigned, an authorized agent of (hereafter
"Contractor"), has had an opportunity to review the requirements of City of Richmond Ordinance 12-18 (hereafter "Sanctuary City Contracting Ordinance" or “SCCO”). Contractor understands and agrees that the City may choose with whom it will maintain business relations and may refrain from contracting with any person or entity that provides Data Broker or Extreme Vetting services to the U.S. Immigration and Customs Enforcement Division of the United States Department of Homeland Security (“ICE”). Contractor understands the meaning of the following terms used in the SCCO:
a. "Data Broker” means either of the following:
i. The collection of information, including personal informatio n about consumers, from a wide variety of sources for the purposes of reselling such information to their customers, which include both private-sector business and government agencies;
ii. The aggregation of data that was collected for another purp ose from that for which it is ultimately used.
b. “Extreme Vetting” means data mining, threat modeling, predic tive risk analysis, or other similar services."
Contractor understands that it is not eligible to receive or retain a City contract if at the time the Contract is executed, or at any time during the term of the Contract, it provides Data Broker or Extreme Vetting services to ICE.
Contractor further understands and agrees that Contractor's failure to comply with the SCCO shall constitute a material default of the Contract and the City Manager may terminate the Contract and bar Contractor from bidding on future contracts with the City for five (5) years from the effective date of the contract termination.
By executing this Statement, Contractor certifies that it complies with the requirements of the SCCO and that if at any time during the term of the Contract it ceases to comply, Contractor will promptly notify the City Manager in writing. Any person or entity who knowingly or willingly supplies false information in violation of the SCCO shall be guilty of a misdemeanor and subject to a $1,000 fine.
Based on the foregoing, the undersigned declares under penalty of perjury under the laws of the State of California that the foregoing is true and correct. Executed this day of , 20 , at , Cal ifornia.
Printed Name: Title:
Signed: Date:
Business Entity:
Vendor SCCO Compliance Statement (Augt2020)
46 ___ Exhibit F
___ Section 8
City of Richmond - Insurance Requirements – Type 1:
Consultants and Contractors
Type 1 – Page 1 of 4
Revised: September 2011
In all instances where a CONTRACTOR or its representatives will be conducting business and/or providing services, the City requires the following MINIMUM insurance requirements and limits.
CONTRACTOR shall procure and maintain for the duration of the contract, agreement, or other order for work, services or supplies, insurance against claims for injuries to persons or damages to property which may arise from or in connection with the performance of the work hereunder and the results of that work by the CONTRACTOR, its agents, representatives, employees or subcontractors. Maintenance of proper insurance coverage is a material element of the contract. Failure to maintain or renew coverage or to provide evidence of renewal may be treated by the City as a material breach of contract.
CONTRACTOR agrees that in the event of loss due to any of the perils for which it has agreed to provide Commercial General Liability insurance, CONTRACTOR shall look solely to its insurance for recovery. CONTRACTOR hereby grants to CITY, on behalf of any insurer providing Commercial General Liability insurance to either CONTRACTOR or CITY with respect to the services of CONSULTANT herein, a waiver of any right to subrogation which any such insurer of said CONTRACTOR may acquire against the CITY by virtue of the payment of any loss under such insurance.
Original, signed certificates and original, separate policy endorsements, naming the City as an additional insured for general liability, as well as a waiver of subrogation for Workers’ Compensation insurance, shall be received and approved by the City before any work may begin. However, failure to do so shall not operate as a waiver of these insurance requirements.
City reserves the right to modify or require additional coverages for specific risk exposures depending on scope of CONTRACTORS work.
Minimum coverage is detailed below. The policy limits of coverage shall be made available to the full limits of the policy.
The minimum limits stated herein shall not serve to reduce the policy limits of coverage of CONTRACTOR.
Minimum Scope of Insurance – the following forms shall be provided and coverage shall be at least as broad as the following:
1. Insurance Services Office Commercial General Liability coverage (ISO Occurrence Form CG 0001) including coverage for bodily and personal injury, property damage, and products and completed operations.
2. Insurance Services Office Automobile Liability coverage (ISO Form CA 0001, Code 1, Any Auto)
3. Original and Separate Additional Insured Endorsements for General Liability (ISO Form CG 20 10 11/85 or its equivalent) with primary and non-contributory language.
4. Workers’ Compensation Insurance as required by the State of California including Employer’s Liability coverage.
5. Original and Separate Waiver of Subrogation for Workers’ Compensation and Builder’s Risk/ Course of Construction Insurance.
6. Builder’s Risk/Course of Construction insurance covering all risks of loss less policy exclusions when the City of Richmond has a financial interest in the property. – (Only required for Construction Contracts involving property)
7. Contractor’s Pollution Liability (if applicable for Construction Contractors)
Required Coverage
Minimum Limits
Workers’ Compensation and
Employers’ Liability
Statutory limits as required by the State of California including $1 million Employers’ Liability per accident, per employee for bodily injury or disease.
If CONTRACTOR
is self-insured, provide a certificate of Permission to Self- Insure, signed by the California Department of Industrial Relations and Self- Insurance. If contractor is a sole proprietor (has no employees) than contractor must sign “Contractor Release of Liability” found at:
http://www.ci.richmond.ca.us/index.aspx?nid=61.
47 ___ Exhibit F
___ Section 8
City of Richmond - Insurance Requirements – Type 1:
Consultants and Contractors
Type 1 – Page 2 of 4
Revised: September 2011
PROJECT COST R EQUIRED LIMIT
$0 - $5 million $2 million p/o
$5 million - $10 million $5 million p/o
Over $10 million $10 million p/o
Fireworks $5 million p/o
General Liability
(primary and excess limits
combined)
Includes coverage for bodily injury, personal injury, property damage and products and completed operations. The policy shall not exclude coverage for XCU perils (explosion, collapse, or damage to underground property).
If the policy includes a general aggregate, either the general aggregate shall apply separately to this project, service or location or the minimum required aggregate limit shall be twice the per occurrence limit ($4 million aggregate limit).
Policy shall be endorsed to name the City of Richmond as an additional insured per the conditions detailed below.
Automobile Liability $1,000,000 per occurrence for bodily injury and property damage.
Builders’ Risk/Course of
Construction – Covers property
under construction, repair or
renovation as well as equipment
and materials to be installed.
(Only required for Construction
Projects involving property and
equipment installation.)
Coverage shall include all risks of direct physical loss, excluding earthquake, for an amount equal to the full completed value of the covered structure or replacement value of alterations or additions, including soft costs and business interruption.
If the project does not involve new or major reconstruction, an Installation Floater may be acceptable. For such projects, a property installation floater shall be obtained that provides for the improvement, remodel, modification, alteration, conversion or adjustment to existing buildings, structures, processes, machinery and equipment. The Property Installation Floater shall provide property damage coverage for any building, structure, machinery or equipment damaged, impaired, broken or destroyed during the performance of the Work, including during transit, installation and testing at the City of Richmond’s site.
The City of Richmond shall be named as loss payee as its interest may appear. The insurer shall waive all rights of subrogation against City.
Contractor’s Pollution Liability (if
applicable)
Protects against:
unexpected/unintended release of
pollution resulting from contractors
covered operations such as:
HVAC, paving, carpentry, pipeline
& tank installation, drillers,
remediation contractors,
maintenance, mechanical,
demolition, excavation, grading,
street/road construction,
residential & commercial builders.
Same limits as General Liability.
Required Policy Conditions
A. M. Best Rating A:VII or Better. If the A.M. Best Rating falls below the required rating, CONTRACTOR must replace coverage immediately and provide notice to City.
Additional Insured Endorsement
Applicable to General Liability Coverage.
The City of Richmond, its officers, officials, employees, agents and volunteers are to be named as additional insureds for all liability arising out of the operations by or on behalf of the named insured, including but not limited to bodily injury, deaths and property damage or destruction arising in any respect directly or indirectly in the performance of this contract.
ISO form CG 20 10 (11/85) or its equivalent is required. The endorsement must not
exclude products and completed operations
coverage. If it does, then CG 20 37 (10/01) is also required. 48 ___ Exhibit F
___ Section 8
City of Richmond - Insurance Requirements – Type 1:
Consultants and Contractors
Type 1 – Page 3 of 4
Revised: September 2011
Additional Insured Endorsement
(continued)
SAMPLE Endorsements can be found at
http://www.ci.richmond.ca.us/index.aspx?nid=61
Primary and Noncontributory The contractor’s insurance coverage must be primary coverage as it pertains to the City, its officers, officials, employees, agents and volunteers. Any insurance or self insurance maintained by the City is wholly separate from the insurance of the contractor and in no way relieves the contractor from its responsibility to provide insurance.
Waiver of Subrogation
Endorsement Form
Contractor’s insurer will provide a Waiver of Subrogation in favor of the City for Workers Compensation and Builder’s Risk/ Course of Construction coverage during the life of this contract.
SAMPLE Endorsements can be found at
http://www.ci.richmond.ca.us/index.aspx?nid=61
Deductibles and Self-Insured
Retentions
Any deductible or self-insured retention must be declared to and approved by the City. At the option of the City either the insurer shall reduce or eliminate such deductibles or self-insured retention as respects the City or the CONTRACTOR shall procure a financial guarantee in an amount equal to the deductible or self-insured retention guaranteeing payment of losses and related investigations, claims administration and defense expenses.
Contractor is responsible for satisfaction of the deductible and/or self-insured retention for each loss.
Loss Payable Endorsement (only
required when Builder’s Risk
and/or Course of Construction
Insurance is required.)
Applicable to Builder’s Risk/Course of Construction naming the City of Richmond as Loss Payee.
SURETY BONDS
(If a Public Works/Engineering
Project)
The Contractor shall provide:
1. A Bid bond
2. A Performance Bond
3. A Payment Bond
Umbrella/Excess Liability Policies
If an Umbrella or Excess Liability Policy is used to meet the liability limits, coverage shall be as broad as specified for underlying coverages and cover those insured in the underlying policies.
Claims-Made Policies
If any insurance policy is written on a claims-made form: 1) the retroactive date must be shown, and must be before the date of the contract or the beginning of contract work. 2) Insurance must be maintained and evidence of insurance must be provided for at least five (5) years after completion of the contract of work. 3) If coverage is canceled or non- renewed, and not replaced with another claims-made policy form with a retroactive date prior to the contract effective date, the Contractor must purchase an extended period coverage for a minimum of five (5) years after completion of contract work.
Subcontractors
CONTRACTOR
shall include all subcontractors as insured under its policies or shall furnish to the City for review and approval, separate certificates and endorsements for each subcontractor. All coverage for subcontractors shall be subject to all of the requirements stated herein.
CONTRACTOR agrees to defend and indemnify the City of Richmond for any damage resulting to it from failure of either CONTRACTOR or any subcontractor to take out or maintain the required insurance policies. The fact that insurance is obtained by CONTRACTOR, and/or CONTRACTOR’s subcontractors, will not be deemed to release or diminish the liability of CONTRACTOR, including, without limitation, liability under the indemnity provisions of this contract. Damages recoverable by CITY from CONTRACTOR or any third party will not be limited by the amount of the required insurance coverage.
49 ___ Exhibit F
___ Section 8
City of Richmond - Insurance Requirements – Type 1:
Consultants and Contractors
Type 1 – Page 4 of 4
Revised: September 2011
Verification of Coverage
All original certificates and endorsements shall be received and approved by the City before work may begin . The City
of Richmond reserves the right to require complete, certified copies of all required insurance policies including endorsements affecting the coverage at any time.
Original insurance certificates and required policy endorsements shall be mailed, or delivered to the Designated Project Manager for the City of Richmond.
Insurance certificates and endorsements may be faxed to the Designated Project Manager. However, Contractor must mail the original certificates and endorsements to Designated Project Manager once faxed.
Continuous Coverage
CONTRACTOR shall maintain the required insurance for the life of the contract. Should the CONTRACTOR cease to have insurance as required during this time, all work by the CONTRACTOR pursuant to this agreement shall cease until insurance acceptable to the City is provided. In the event that CONTRACTOR fails to comply with the City’s insurance requirements, the City may take such action as it deems necessary to protect the City’s interests. Such action may include but is not limited to termination of the contract, withholding of payments, or other actions as the City deems appropriate.
If services or the scope of work extend beyond the expiration dates of the required insurance policies initially approved by the City, CONTRACTOR must provide updated certificates and endorsements indicating that the required coverage, terms and conditions are still in place. Renewal certificates and updated endorsements shall be mailed to the Designated Project Manager.
Cancellation
CONTRACTOR shall ensure that coverage shall not be cancelled, reduced or otherwise materially changed except after thirty (30) days’ prior written notice has been given to the City.
Reporting Requirements
Any failure to comply with reporting or other provisions of the policies including breaches of warranties shall not affect coverage provided to the City, its officers, officials, employees or volunteers.
Consistent with Public Policy
The insuring provisions, insofar as they may be judged to be against public policy shall be void and unenforceable only to the minimum extent necessary so that the remaining terms and provisions herein may be consistent with public policy and thus enforceable.
50 **PLEASE NOTE NEW ADDRESS**
12740 Earhart Ave.
Auburn CA 95602
(510) 223-6597
Contract Invoice
4213217
Project: Billed To:
A service charge of per annum will be charged on all amounts overdue on regular statement dates.
Thank you for your prompt payment!
Non-Taxable Amount:
Taxable Amount:
Sales Tax:
Amount Due
Due Date: Terms:
License:
Nystrom Villages
Richmond Housing Authority
P.O. Box 4046
Richmond CA 94804
City of Richmond Finance Dept.
Accounts Payable
P.O. Box 4046
Richmond CA 94804
944237
Order# 03/03/2025
7,200.00
0.00 0.00
7,200.00
30DY
02/01/2025
Invoice#:
Date:
18.0000 %
Description Amount
LANDSCAPE MAINTENANCE FOR THE MONTH DATED ABOVE 6,400.00 Additional area service request 800.00
Contract/P.O. No. 4707/22001628
51 **PLEASE NOTE NEW ADDRESS**
12740 Earhart Ave.
Auburn CA 95602
(510) 223-6597
Contract Invoice
4213310
Project: Billed To:
A service charge of per annum will be charged on all amounts overdue on regular statement dates.
Thank you for your prompt payment!
Non-Taxable Amount:
Taxable Amount:
Sales Tax:
Amount Due
Due Date: Terms:
License:
Nystrom Villages
Richmond Housing Authority
P.O. Box 4046
Richmond CA 94804
City of Richmond Finance Dept.
Accounts Payable
P.O. Box 4046
Richmond CA 94804
944237
Order# 03/31/2025
7,200.00
0.00 0.00
7,200.00
30DY
03/01/2025
Invoice#:
Date:
18.0000 %
Description Amount
LANDSCAPE MAINTENANCE FOR THE MONTH DATED ABOVE 6,400.00 Additional area service request 800.00
Contract/P.O. No. 4707/22001628
52 **PLEASE NOTE NEW ADDRESS**
12740 Earhart Ave.
Auburn CA 95602
(510) 223-6597
Contract Invoice
4213403
Project: Billed To:
A service charge of per annum will be charged on all amounts overdue on regular statement dates.
Thank you for your prompt payment!
Non-Taxable Amount:
Taxable Amount:
Sales Tax:
Amount Due
Due Date: Terms:
License:
Nystrom Villages
Richmond Housing Authority
P.O. Box 4046
Richmond CA 94804
City of Richmond Finance Dept.
Accounts Payable
P.O. Box 4046
Richmond CA 94804
944237
Order# 05/01/2025
7,200.00
0.00 0.00
7,200.00
30DY
04/01/2025
Invoice#:
Date:
18.0000 %
Description Amount
LANDSCAPE MAINTENANCE FOR THE MONTH DATED ABOVE 6,400.00 Additional area service request 800.00
Contract/P.O. No. 4707/22001628
53 **PLEASE NOTE NEW ADDRESS**
12740 Earhart Ave.
Auburn CA 95602
(510) 223-6597
Contract Invoice
4213496
Project: Billed To:
A service charge of per annum will be charged on all amounts overdue on regular statement dates.
Thank you for your prompt payment!
Non-Taxable Amount:
Taxable Amount:
Sales Tax:
Amount Due
Due Date: Terms:
License:
Nystrom Villages
Richmond Housing Authority
P.O. Box 4046
Richmond CA 94804
City of Richmond Finance Dept.
Accounts Payable
P.O. Box 4046
Richmond CA 94804
944237
Order# 05/31/2025
7,200.00
0.00 0.00
7,200.00
30DY
05/01/2025
Invoice#:
Date:
18.0000 %
Description Amount
LANDSCAPE MAINTENANCE FOR THE MONTH DATED ABOVE 6,400.00 Additional area service request 800.00
Contract/P.O. No. 4707/22001628
54 **PLEASE NOTE NEW ADDRESS**
12740 Earhart Ave.
Auburn CA 95602
(510) 223-6597
Contract Invoice
4213593
Project: Billed To:
A service charge of per annum will be charged on all amounts overdue on regular statement dates.
Thank you for your prompt payment!
Non-Taxable Amount:
Taxable Amount:
Sales Tax:
Amount Due
Due Date: Terms:
License:
Nystrom Villages
Richmond Housing Authority
P.O. Box 4046
Richmond CA 94804
City of Richmond Finance Dept.
Accounts Payable
P.O. Box 4046
Richmond CA 94804
944237
Order# 07/01/2025
7,200.00
0.00 0.00
7,200.00
30DY
06/01/2025
Invoice#:
Date:
18.0000 %
Description Amount
LANDSCAPE MAINTENANCE FOR THE MONTH DATED ABOVE 6,400.00 Additional area service request 800.00
Contract/P.O. No. 4707/22001628
55 Reso. No. ____
RESOLUTION NO. ____
A RESOLUTION TO THE BOARD OF COMMISSIONERS OF THE HOUSING
AUTHORITY OF THE CITY OF RICHMOND, CALIFORNIA, ADOPTING A RESOLUTION APPROVING A CONTRACT IN THE AMOUNT OF $36,000 TO PAY OUTSTANDING INVOICES WITH A CONTRACT TERM ENDING JUNE 30, 2026
WHEREAS, Richmond Housing Authority (RHA) owns and manages 100 units of rental housing; and
WHEREAS, RHA entered into a Public Housing Authority Recovery and Sustainability (PHARS) agreement with the U.S. Department of Housing and Urban Development (HUD); and
WHEREAS, RHA remains obligated and committed to performing all HUD required functions, and providing quality service to local program participants; and
WHEREAS, the Richmond Housing Authority (RHA) previously entered into a landscaping maintenance contract with Desert Parks Landscaping, doing business as Pacific Site Management, to provide routine landscape services at Nystrom Village from May 21, 2019 through June 30, 2025; and
WHEREAS, during the contract term, unforeseen tree failures, storm damage, and hazardous limb conditions required emergency tree removal and mitigation work to protect residents, staff, and RHA property; and
WHEREAS, these emergency services increased total expenditures beyond the original not-to-exceed contract amount, resulting in unpaid invoices totaling $36,000 for services that were performed during the valid contract term.
NOW, THEREFORE, BE IT RESOLVED BY THE COMMISSIONERS OF THE
HOUSING AUTHORITY OF THE CITY OF RICHMOND, COUNTY OF CONTRA COSTA, STATE OF CALIFORNIA THAT the Executive Director is hereby authorized to execute a contract with Pacific Site Management in the amount of $36,000 to pay outstanding invoices for services performed under the previous contract, with the new contract term ending June 30, 2026.
BE IT FURTHER RESOLVED that the Executive Director is hereby authorized to take all actions necessary to implement this resolution.
*****************
The foregoing resolution was passed and adopted by the Commissioners of the Housing Authority of the City of Richmond at a special meeting thereof held on March 3, 2026, by the following vote:
AYES:
NOES:
ABSTENTIONS:
ABSENT:
Chairperson
[SEAL]
56 Reso. No. ____
Attest:
Secretary
Approved as to form:
City Attorney
State of California }
County of Contra Costa : ss.
City of Richmond }
I certify that the foregoing is a true copy of Resolution No. _____ finally passed and adopted at a Special Housing Authority Meeting held on DATE.
____________________________________
CLERK OF THE HOUSING AUTHORITY
57
March 3, 2026
City Attorney's Office
DATE: March 3, 2026
TO: Mayor Martinez and Members of the City Council
FROM:
Shannon Moore, Interim City Attorney
Nickie Mastay, Deputy City Manager- Internal Services
Sharrone Taylor, Director of Human Resources
Subject:
Legal Services Agreement Amendment No. 5 with Ellis
Investigations
FINANCIAL IMPACT: The proposed amendment increases the contract payment limit by $50,000. These services are considered part of the program administration costs and are included within the approved fiscal year 2025-2026 Human
Resources and Risk Management budgets. Because the
services are billed at an hourly rate, the total cost may be lower than estimated (Account Strings: Human
Resources Legal Services 01181016-400206 and Risk
Management Legal Service – Non-General Fund
50182316-400206).
PREVIOUS COUNCIL
ACTION:
January 11, 2022
May 17, 2022
June 25, 2024
STATEMENT OF THE
ISSUE:
The City Council’s approval is needed to approve legal
services agreements for employment attorneys to
conduct confidential personnel investigations.
RECOMMENDED ACTION:
APPROVE the fifth amendment to the legal services
agreement with Ellis Investigations to increase the
payment limit by $50,000, for a total amount not to
exceed $250,000, for confidential personnel investigation services – City Attorney’s Office/Human Resources
Department (Shannon Moore/Nickie Mastay/Sharrone
Taylor 510-620-6600).
AGENDA
REPORT
58
March 3, 2026
DISCUSSION:
The City is responsible for addressing complaints of discrimination, harassment, and retaliation by promptly conducting thorough and unbiased personnel investigations.
Additionally, the City investigates other workplace issues, including employee complaints, when necessary. When an external personnel investigation is required, the City enlists the services of specialized firms which have highly skilled employment law attorneys to conduct personnel investigations, such as the Ellis Investigations.
The City Attorney’s Office and Human Resources Department signed a $10,000 agreement with Ellis Investigations in 2021 after issuing a Request for Proposals to form a pool of qualified investigators for sensitive and confidential cases. The City has since amended the agreement four times to extend its term and increase funding, with the last amendment on June 30, 2025. During this period, Ellis Investigations has successfully handled multiple confidential investigations to the City's satisfaction. The City now seeks a fifth amendment to increase the payment limit and extend the contract. Continuing the working relationship with this firm will ensure ongoing critical investigations are conducted timely and provide stability and consistency in the investigations process.
The City Attorney's Office and the Human Resources Department are requesting approval of a legal services agreement amendment with Ellis Investigations to increase the payment limit by $50,000 for total not to exceed amount of $250,000.
DOCUMENTS ATTACHED:
Attachment 1 – Legal Services Agreement
Attachment 2 – Amendment 1
Attachment 3 – Amendment 2
Attachment 4 – Amendment 3
Attachment 5 – Amendment 4
Attachment 6 – Amendment 5 (Proposed)
59 1
LEGAL SERVICES AGREEMENT
BY AND BETWEEN
THE CITY OF RICHMOND
AND
ELLIS INVESTIGATIONS, L.C.
PREAMBLE
This legal services agreement (“Agreement”) is made and entered into on this 22ND day of OCTOBER, 2021 (the “Effective Date”) by and between the City of Richmond, California, a chartered California municipal corporation (“City”), with its principal place of business located at 450 Civic Center Plaza, Richmond, California 94804 and ELLIS INVESTIGATIONS, L.C. comprised of attorneys who conduct personnel investigations (“Investigators” or “Special Counsel”) with its principal place of business located at 455 CAPITOL MALL, STE.205, SACRAMENTO, CA 95814. Investigators may be referred to herein individually as a “Party” or collectively as the “Parties” or the “Parties to this Agreement.”
RECITALS
The following recitals are as follows:
A. City desires to secure professional services more fully described in this Agreement; and,
B. Ellis Investigations, L.C. represents that it has the professional qualifications, expertise, necessary licenses and desire to provide legal services of the quality and type, which meet objectives, and requirements of City.
AGREEMENT PROVISIONS
The Parties agree as follows:
The Original Agreement shall be amended and replaced in its entirety to read as follows:
1. RETENTION OF FIRM.
City hereby retains and authorizes Ellis Investigations, L.C. to provide investigatory legal services as may be requested, from time to time in writing by the City Attorney on an as- needed basis.
2. DESCRIPTION OF SERVICES TO BE PROVIDED.
See “Scope of Work” in Exhibit A.
3. TERM OF AGREEMENT.
The services of Ellis Investigations, L.C. are to commence upon OCTOBER 22, 2021 60 2
and shall terminate on JUNE 30, 2023, unless the parties extend the Agreement in writing. The services shall be undertaken and completed in such sequence as to assure their completion as expeditiously as is consistent with professional skill and care.
4. ASSIGNMENT OF DUTIES.
It is contemplated that no other attorney will be assigned from Special Counsel other than LESLIE ELLIS, KATE SVINARICH, TRACY LAW, TANIA SEANPANAH and LUCY LI. It is agreed by and between the Parties that should it be desirable for any attorney other than the attorneys listed above to work under this Agreement, such attorney may be added only with the express written consent of the City Attorney.
5. PUBLIC FUNDING.
Investigators and City mutually recognize that Investigator’s services under this Agreement are being paid for with tax dollars from citizens and taxpayers of the City of Richmond, California, and that, given this fact, a heightened duty of care exists in both Special Counsel and City to ensure that Investigators scrupulously adhere to principles of moderation, frugality and cost consciousness in carrying forth the goals of this Agreement. Special Counsel and each of its attorneys pledge themselves to scrupulously observe a duty of reasonableness and cost-effective representation in all aspects of this Agreement.
6. PAYMENT FOR SERVICE.
In consideration for Ellis Investigations, L.C.’s performance of legal services on behalf of City under the terms of this Agreement, the firm shall be compensated at the preapproved hourly rates and for authorized expenses set forth in the “Scope of Work and Schedule of Fees and Charges” set forth in Exhibit A, attached and incorporated by this reference.
Exhibit A may be amended from time to time by letter agreement duly signed and approved by the City Attorney.
7. BILLING INVOICES.
Ellis Investigations, L.C. shall, within thirty (30) days after the end of each month in which services are performed under this Agreement, submit to the City an itemized bill describing in detail the specific services performed as set forth in this Agreement. Special Counsel shall adhere to the Protocols and Guidelines set forth in Exhibit B, attached and incorporated by this reference. The bill shall be electronically submitted to [email protected]
.
8. BILLING.
Ellis Investigations, L.C. shall scrupulously examine all bills submitted for services rendered under this Agreement to assure that appropriate billing judgment is employed in billing City for service. Ellis Investigations, L.C. shall not use legal professionals for 61 3
secretarial work and under no circumstances shall Investigators have lawyers billing for making copies, scheduling appointments or taking care of matters or work that would otherwise be work performed by an assistant or secretary.
9. TERMINATION.
Either Party may terminate this Agreement by providing written notice to the other. Any termination hereunder shall become effective immediately upon receipt of written notice of termination; provided, however, that Ellis Investigations, L.C. may exercise its right of termination only to the extent and under terms and conditions consistent with the obligations of attorneys under the Rules of Professional Conduct of the State Bar of California; and provided, that in the event of termination, the amount due for services rendered and costs and expenses incurred prior to termination shall remain due and payable. Ellis Investigations, L.C. agrees to turn over to any attorney substituted in its place, the entire file and attorney work product regarding any such matter within seven (7) days of any such termination.
10. CONFLICTS OF INTEREST.
No member of the governing body of the City, and no other officer, employee or agent of the City who exercises any discretion, function or responsibility in connection with the carrying out of any project to which this Agreement pertains, shall have any personal interest, direct or indirect, in this Agreement.
11. ASSIGNMENTS AND SUCCESSORS IN INTEREST.
City and Ellis Investigations, L.C. bind themselves, their partners, successors, assigns, executors and administrators to the terms of this Agreement. Except as otherwise set forth in this Agreement, no interest in this Agreement or any of the work provided for in this Agreement shall be assigned or transferred, either voluntarily or by operation of law, without the prior written approval of the City Attorney.
12. AUDITS, RECORDS, AND DOCUMENTATION.
A. The City and any other federal, State or local governmental agency, and any of their authorized auditors or representatives, including auditors, shall have access to, and the right to audit and reproduce any of Special Counsel's records to the extent the City or such other governmental agency deems necessary to ensure that City is paying only the amounts to which Special Counsel is properly entitled or for other purposes relating to the Agreement.
Special Counsel shall assist the City in responding to any requests from the City’s auditors, and Special Counsel shall not bill the City for any time spent responding to any such audit requests.
B. Ellis Investigations, L.C. shall maintain complete and accurate records of the services provided to City and expenses incurred on behalf of City. Ellis 62 4
Investigations, L.C. shall maintain and preserve all such records for at least three (3) years after termination of the Agreement or until an audit has been completed and accepted in writing by City. Upon written notice by the City, Ellis Investigations, L.C. shall promptly make all such records available to auditors or other representatives of the City or other governmental agencies.
13. NON-DISCRIMINATION.
A. As set forth in Chapter 2.28 of Richmond Municipal Code, no discrimination will be made in the employment of any person under this Agreement because of race, religious creed, sex, sexual orientation, national origin or ancestry.
Investigators agree to meet all requirements of the Richmond Municipal Code pertaining to nondiscrimination in employment.
B. If Ellis Investigations, L.C. is found in violation of the nondiscrimination provisions of the State of California Fair Employment Practices Act or similar provisions of federal law or executive order in the performance of this Agreement, it will be in default of this Agreement. Thereupon, City will have the power to cancel or suspend this Agreement, in whole or in part.
14. INDEMNIFICATION.
Special Counsel agrees to indemnify the City against all damages caused by Special Counsel’s intentional or negligent acts, errors or omissions (including, without limitation, professional negligence) in the performance of professional services. City agrees to indemnify the Special Counsel against all damages caused by the City’s intentional or negligent acts. Neither the Special Counsel nor the City shall be obligated to indemnify the other party in any manner whatsoever for the other party's negligence.
Notwithstanding the foregoing, Special Counsel shall have no obligation to indemnify the City for any actions, claims, complaints, damages or demands, liability, costs, losses and expenses, actual or threatened, brought by an employee, agent or witness arising from the issues under investigation.
15. INSURANCE REQUIREMENTS.
Ellis Investigations, L.C. shall maintain in full force and effect the following insurance policies:
A. Commercial general liability policy (bodily injury and property damage); B. Worker’s compensation/employer’s liability policy;
C. Business automobile liability insurance policy; and, D. Professional liability policy.
Said policies shall be maintained with respect to employees and vehicles assigned to the performance of work under this Agreement with coverage amounts, endorsements, 63 5
certificates of insurance and coverage verifications as defined in Exhibit D, attached to this Agreement and incorporated by this reference.
16. CONFIDENTIALITY AND MEDIA STATEMENTS.
The data, information and reports acquired or prepared by Ellis Investigations, L.C. in connection with matters upon which the City has retained Ellis Investigations, L.C. shall not be shown or distributed to any other public or private person or entity except as authorized in writing by the City Attorney. All information, documents, records, reports, data or other materials furnished by City to Ellis Investigations, L.C. or other such information, documents, records, data or other materials to which the Ellis Investigations, L.C. has access during its performance pursuant to this Agreement are deemed confidential and shall remain the property of City. Ellis Investigations, L.C. shall not make oral or written disclosure of such documents or materials, other than as necessary for its performance under this Agreement, without the prior written approval of the City Attorney. Special Counsel shall not provide any written or oral statements to the media without the prior written authorization of the City Attorney.
17. AMENDMENTS.
This Agreement, including any Exhibits attached to it, represents the entire understanding of the Parties as to those matters contained herein. No prior oral or written understanding shall be of any force or effect with respect to those matters covered hereunder. This Agreement may be modified only by a written amendment duly executed by the Parties to this Agreement.
18. NOTICES.
All notices, pleadings, reports or other communication to the Parties shall be properly sent via electronic mail to [email protected] and to Special
Counsel at its principal place of business listed on page one of this Agreement.
Either Party may change its address for receipt of notices under this Agreement by notice given in the manner provided herein.
19. LAW GOVERNING AGREEMENT.
This Agreement shall be interpreted under the laws of the State of California. All claims or controversies arising out of or related to performance under this Agreement shall be submitted to and resolved in a forum within Contra Costa County.
20. INVALID PROVISIONS.
If any provision of this Agreement is held to be illegal, invalid or unenforceable, in full or in part, then such provision shall be modified to the minimum extent necessary to make the provision legal, valid and enforceable, and the other provisions of this Agreement 64 6
shall not be affected thereby.
21. LICENSE REQUIREMENTS.
Special Counsel shall demonstrate that the attorney(s) who provide legal services to City under this Agreement are licensed to practice law in the State of California and, if not, indicate to the satisfaction of the City Attorney why such license is not required to perform the services required.
22. SANCTUARY CITY CONTRACTING ORDINANCE COMPLIANCE
STATEMENT.
Ellis Investigations, L.C. agrees to comply with the provisions of the Richmond Sanctuary City Contracting Ordinance (SCCO, Ordinance No. 12-18). The firm must submit the Sanctuary City Compliance Statement included herein as Exhibit C along with the bid or proposal prior to execution of the contract.
23. COUNTERPARTS.
This Legal Services Agreement may be executed in counterparts each of which shall be an original and all of which shall constitute one and the same instrument.
65 7
The Parties acknowledge and accept the terms and conditions of this Agreement a s evidenced by the following signatures of their duly authorized representatives. It is the intent of the Parties that this Agreement shall become operative on the Effective Date.
ELLIS INVESTIGATIONS, L.C.
By:
Title
: _______________________________
Dat
e: _______________________________
CITY OF RICHMOND
____________________________
C
ity Manager
Na
me:______________________
_
Date: _______________________
APP
ROVED AS TO FORM:
__________________________
C
ity Attorney
ATTEST:
__________________________
C
ity Clerk
Leslie D. Ellis, Partner
11/8/21
66 Exhibit A
8 SCOPE OF WORK AND SCHEDULE OF FEES & CHARGES
S
cope of work:
E
llis Investigations, L.C. shall conduct confidential personnel investigations.
S
cope of Engagement:
T
he City understands that there are no guarantees as to the outcome of the investigation. As an independent contractor, Special Counsel has the right to determine means, manner and findings related to the investigation. The City agrees to allow Special Counsel full discretion to undertake the investigation and otherwise make findings without influencing or interfering with the outcome. The City understands and acknowledges that Special Counsel will exercise independent judgment to make whatever findings it deems are warranted based on the evidence developed in the investigation, and that this engagement is not dependent on Special Counsel making or failing to make a particular credibility determination, finding of fact or conclusion.
After conducting relevant interviews and reviewing relevant documents and information, Special Counsel will, if requested by the City, prepare a written report summarizing the investigation and findings.
L
egal Services:
I
t is understood that in this engagement, Special Counsel and the City have an attorney-client relationship and that Special Counsel is providing professional legal services based on its professional experience and expertise. Special Counsel has been retained to use its legal skills to assist the City in developing a response to the concerns. Specifically, Special Counsel will use its expertise in employment law to arrive at findings based on its professional evaluation of the evidence. The parties intend that the investigation, including Special Counsel’s communications, work product and final investigation report, will be covered by the attorney-client privilege and attorney work product protections to the extent legally permissible, unless waived by the City.
L
imited Scope Agreement:
T
he scope of this attorney-client representation is limited. Special Counsel will render legal advice to the City on issues limited to the investigation process. Special Counsel will conduct the investigation as an attorney in furtherance of the City seeking legal advice to resolve the underlying issues. The City will seek legal advice, as appropriate, from other counsel regarding what action to take as a result of the investigation. The scope of the investigation does not include rendering any legal conclusions, making recommendations or, in the event of litigation or administrative claim, representation of the City or anyone else involved in the litigation or claim.
S
pecifically, the City expressly agrees that it will look to its regular legal counsel for such services, as well as for advice with respect to issues which may arise relating to the investigation. 67 Exhibit A
9 This includes, without limitation: (1) the admonitions, if any, to be made to employees who are i
nterviewed concerning confidentiality; (2) the consequences of employee failure to cooperate in the investigation; (3) the accessing of electronic and other data; (4) document retention; (5) litigation holds; (6) appropriate interim employment measures pending investigation; (7) compliance with the federal Fair Credit Reporting Act; and (8) compliance with the California Investigative Consumer Reporting Agencies Act. The City agrees it will comply with employer- required notice and consent rules to the extent applicable, including those under Civil Code sections 1786 et seq.
T
he City also agrees it will look to its regular legal counsel for advice with respect to issues of attorney-client privilege, scope of privilege, waiver and work product in connection with Special Counsel’s services.
O
ther Work:
I
f called upon in the future to testify, respond to discovery about the engagement, or defend the confidentiality of the investigation in any proceeding City agrees to pay Firm for work related to such testimony or discovery at then applicable current rates for such work. In the event of a rate increase, Special Counsel will notify the City in writing before any increase becomes effective.
Attorneys’ fees for the investigator’s separate counsel in the event of the need to respond to discovery, prepare for or testify about the investigation.” H
ourly Rates:
LES
LIE ELLIS $435/hour
OTHER ATTORNEY INVESTIGATORS $315-435/hour
LEGAL SUPPORT SPECIALIST $185/hour
COMPENSATION
O
nly those costs and expenses set forth in Section III of Exhibit "B", entitled "Reimbursements" shall be paid to Special Counsel.
T
otal compensation for legal services and reimbursements shall be charged in accordance with Exhibits "A" and "B" and shall not exceed the sum of Ten Thousand Dollars ($10,000).
68 Exhibit B
10 BILLING PROTOCOLS/GUIDELINES
T
he City of Richmond (“City”) has adopted the following protocols for billing, budgeting, and planning for projects involving outside counsel. Special Counsel will be required to comply with this protocol. If you have questions concerning it, please contact the City Attorney for clarification. In the event you wish to negotiate changes due to the internal operation of your firm, please raise them in writing as soon as possible. Any changes to this protocol will need prior, written approval from the City Attorney. In the interest of fairness, all Special Counsel is required to comply with this protocol. This protocol is also to be used in conjunction with any new proposal for services.
T
hese protocols and guidelines are instituted to ensure that Special Counsel conveys the information necessary for the City Attorney to manage outside projects and litigation. Also, because these guidelines are set out in advance, they are designed to minimize any confusion or misunderstanding. Compliance with these guidelines should enhance the attorney-client relationship. If you have any comments or suggestions that could improve this system, please feel free to contact the City Attorney.
I. B
ILLING FORMAT
Unless otherwise agreed, the following information must be provided in monthly bills:
a. A detailed description of work, in time increments of .1 hour (one tenth of an hour) for and by each and every individual billing services. b. Identification of the lawyer who is in charge of the matter. c. Reasonably detailed disbursement breakdowns with backup documentation of any individual charge exceeding $100.00.
d. Each billing item must be separately stated on a separate line identifying the individual performing the services, the time spent and the exact nature of the service rendered.
e. When charges are made for research time, the specific issue being researched and the need for the research should be identified.
f. Each item billed should be coded to a specific litigation budget line item, if applicable.
g. The City Attorney reserves the right to request various levels of detail and specific formats (such as columnar comparisons with established budgets). 69 Exhibit B
11 II. BI LLING GUIDELINES
a. A
ll tasks set forth in Special Counsel’s billing documentation shall be specific and detailed. Overly generalized listings of task descriptions such as “review contract” or “prepare for negotiations” are not acceptable. b. Billings under this Agreement shall not be provided in more than six (6) minute increments and shall represent the devotion of a full six minutes before an increment is billed. Under no circumstances shall Special Counsel use “block billing” procedures, wherein a list or series of activities is done each day with only an aggregate amount of time specified.
c. Special Counsel shall keep the City advised of the identity and billing rates of those people working on the project account.
d. All time shall be billed within 30 days of the end of the month in which services were performed.
e. Counsel shall advise City whenever it anticipates the amount of services necessary to properly execute the task will exceed the amount of the contract.
When accrued billings are equal to eighty percent (80%) of the Payment Limit, written notice shall be given to the City as soon as possible, via e-mail, to the City Attorney’s Office, of this fact. In order to satisfy this notification requirement, Counsel shall monitor its accrued billings on a weekly basis and immediately notify the City Attorney if the eighty percent (80%) threshold is met. Special Counsel acknowledges the fiscal constraints on City funding and therefore Special Counsel assumes risk of non-payment for services rendered in the event the amount of services rendered exceeds the amount of the contract unless prior written authorization is received. Authorization to exceed the amount set forth in Exhibit A may be given only by City Attorney in writing. f. Only those attorneys approved by the City may bill on the case. g. Special Counsel shall not charge for more than one attorney at any hearing, deposition, or meeting of any kind without advance approval of the City Attorney.
h. No more than two paraprofessionals may bill on a par ticular case without the prior approval of the City.
i. The City has retained Special Counsel for its expertise, and therefore expects not to be billed for introductory or background research. City appreciates when Special Counsel has researched an issue previously and uses that research on present cases or projects. Do not charge the City for work Special Counsel has done and billed another client for in the past.
70 Exhibit B
12 j. W ithin thirty (30) days of the E ffective Date of this Agreement, Special Counsel shall provide any manuals or policies describing Special Counsel’s billing practices.
k. The City does not allow “double billing” of any sort. If Special Counsel is working on another client’s matter, do not bill City for that time. This applies to travel time or any other matter.
l. Training time is not billable. Law clerks may be used only with prior approval. m. City will not pay for new attorneys to “get up to speed” on a file unless it has been preapproved.
n. If a matter arises that requires Special Counsel to open a new file, the City Attorney should be informed immediately.
o. City reserves the right to require additional substantiation of any item of claimed expense.
III. REIMBURSEMENTS
a. The City will reimburse Special Counsel for the following expenses, and for no other expenses:
• Actual printing costs;
• Copying costs at $.12 / page (for legal documents and file materials, but not library materials);
• Actual cost of postage (including express mail delivery charges); • Facsimile charges at the rate of $0.25 per page;
• Computer research support services (e.g., Westlaw, LEXIS or computer time or services) at actual cost, but not to exceed 15% of the total fees for all legal services;
• Actual cost of long distance telephone calls;
• Transcription and reporter's fees; and
• Reasonable travel. The City does not pay for meals unless Attorney is required to be away from office for one full day. All meals and/or travel reimbursements will be subject to approval by the City Attorney. Travel expenses are limited to the lesser of actual expenses or expenses that would be authorized for City employee travel pursuant to City policy. b. The City Attorney must approve in advance any single reimbursement item in excess of $250.
c. Any expense other than those listed in section “a.” must be approved by the City Attorney in writing and in advance in an approved budget. d. No compensation shall be allowed for administrative overhead or premiums added to the direct cost of research support or other services. 71 Exhibit B
13 e. C ourt filings shall be prepared in a timely manner so that “rush” or “expedited” messenger fees are not incurred.
f. Messenger and other charges in excess of actual costs are not permitted. City does not allow cost, plus a percentage, for actual outside costs g. City does not pay for secretarial time or secretarial overtime. City does not pay attorneys or paralegals for secretarial tasks or tasks that should not be included in Special Counsel’s overhead. For example, faxing, mailing, arranging for messengers and calendaring are not acceptable charges.
h. City does not pay for billing or discussions of bills, including discussions initiated by the City or City’s requests for additional information about a bill. i. The practice of minimum billing charges is prohibited. Please charge for actual time spent. For example, a minimum of .2 for phone calls or .4 for letters is unreasonable unless it is an accurate measure of time spent. j. Do not charge for file opening or file closing. These are not true legal services, tasks or adequate descriptions of legal activities.
72 Exhibit C
14 SANCTUARY CITY COMPLIANCE STATEMENT
The undersigned, an authorized agent of Ellis Investigations, L.C. (hereafter "Contractor"), has had an opportunity to review the requirements of City of Richmond Ordinance 12-18 (hereafter "Sanctuary City Contracting Ordinance" or “SCCO”). Contractor understands and agrees that the City may choose with whom it will maintain business relations and may refrain from contracting with any person or entity that provides Data Broker or Extreme Vetting services to the U.S. Immigration and Customs Enforcement Division of the United States Department of Homeland Security (“ICE”). Contra ctor understands the meaning of the following terms used in the SCCO:
a. "Dat
a Broker” means either of the following:
i. The
collection of information, including personal information about consumers, from a wide variety of sources for the purposes of reselling such information to their customers, which include both private-sector business and government agencies;
ii. The
aggregation of data that was collected for another purpose from that for which it is ultimately used.
b.
“Extreme Vetting” means data mining, threat modeling, predictive risk analysis, or other similar services."
Con
tractor understands that it is not eligible to receive or retain a City contract if at the time the Contract is executed, or at any time during the term of the Contract, it provides Data Broker or Extreme Vetting services to ICE.
Con
tractor further understands and agrees that Contractor's failure to comply with the SCCO shall constitute a material default of the Contract and the City Manager may terminate the Contract and bar Contractor from bidding on future contracts with the City for five (5) years from the effective date of the contract termination.
By
executing this Statement, Contractor certifies that it complies with the requirements of the SCCO and that if at any time during the term of the Contract it ceases to comply, Contractor will promptly notify the City Manager in writing.
Based on the foregoing, the undersigned declares under penalty of perjury under the laws of the State of California that the foregoing is true and correct. Executed this _______ day of _____________, 202__, at ____________________, California.
Printed Name: ___ Title:
Signed: Date:
Business Entity:
Ve
ndor SCCO Compliance Statement (Augt2020)
Leslie D. Ellis Partner 11/8/21
Ellis Investigations Law Corporation
eighth November 1
Sacramento
73 Exhibit D
15 City of Richmond - Insurance Requirements - Type 2:
Professional Services
In all instances where CONTRACTOR or its representatives will provide professional services (architects, engineers, construction management, counselors, medical professionals, hospitals, clinics, attorneys, consultants, accountants, etc.) to the City of Richmond (City), the City requires the following MINIMUM insurance requirements and limits.
CONTRACTOR shall procure and maintain for the duration of the contract, agreement, or other order for work, services or supplies, insurance against claims for injuries to persons or damages to property which may arise from or in connection with the performance of the work hereunder and the results of that work by the CONTRACTOR, its agents, representatives, employees or subcontractors. Maintenance of proper insurance coverage is a material element of the contract. Failure to maintain or renew coverage or to provide evidence of renewal may be treated by the City as a material breach of contract.
CONTRACTOR agrees that in the event of loss due to any of the perils for which it has agreed to provide Commercial General Liability insurance, CONTRACTOR shall look solely to its insurance for recovery.
CONTRACTOR hereby grants to CITY, on behalf of any insurer providing Commercial General Liability insurance to either CONTRACTOR or CITY with respect to the services of CONSULTANT herein, a waiver of any right to subrogation which any such insurer of said CONTRACTOR may acquire against the CITY by virtue of the payment of any loss under such insurance.
Original, signed certificates and original, separate policy endorsements, naming the City as an additional insured for general liability coverage, as well as a waiver of subrogation for Workers’ Compensation insurance, shall be received and approved by the City before any work may begin. However, failure to do so shall not operate as a waiver of these insurance requirements.
City reserves the right to modify or require additional coverages for specific risk exposures depending on scope of CONTRACTORS work.
Minimum coverage is detailed below. The policy limits of coverage shall be made available to the full limits of the policy. The minimum limits stated herein shall not serve to reduce the policy limits of coverage of CONTRACTOR.
Minimum Scope of Insurance – the following forms shall be provided and coverage shall be at least as broad as the following:
1. Insurance Services Office Commercial General Liability coverage (ISO Occurrence Form CG 0001), and including coverage for bodily and personal injury, property damage, and products and completed operations (if applicable).
2. Insurance Services Office Automobile Liability coverage (ISO Form CA 0001, Code 1, Any Auto).
3. Original and Separate Additional Insured Endorsement for General Liability (ISO Form CG 20 10 11/85 or its equivalent) with primary and non-contributory language.
4. Workers’ Compensation Insurance as required by the State of California including Employer’s Liability coverage.
5. Original and Separate Waiver of Subrogation for Workers’ Compensation insurance.
6. Professional Liability or Errors & Omissions Liability Insurance appropriate to the CONTRACTOR’s profession (if required.)
Required Coverage Minimum Limits
Workers’ Compensation and
Employers’ Liability
Statutory limits as required by the State of California including $1 million Employers’ Liability per accident, per employee for bodily injury or disease. If CONTRACTOR is self-insured, provide a certificate of Permission to Self- Insure, signed by the California Department of Industrial Relations and Self- Insurance. If contractor is a sole proprietor (has no employees) than contractor must sign “Contractor Release of Liability” found at:
http://www.ci.richmond.ca.us/index.aspx?nid=61.
General Liability
(primary and excess limits
combined)
$2,000,000 per occurrence for bodily injury, personal injury and property damage. If the policy includes a general aggregate, either the general aggregate shall apply separately to this project, service or location or the minimum required aggregate limit shall be twice the per occurrence limit ($4 million aggregate limit).
Policy shall be endorsed to name the City of Richmond as an additional insured per the conditions detailed below.
74 Exhibit D
16 City of Richmond - Insurance Requirements - Type 2:
Professional Services
A
utomobile Liability $1,000,000 per occurrence for bodily injury and property damage.
Professional Liability or Errors &
Omissions Liability –
Required for all professionals
including architects, engineers,
consultants, construction
management, counselors, medical
professionals, hospitals, clinics,
attorneys and accountants, & other
consultants as may be required by
the City.
PROJECT COST
$0 - $1 million
$1 million - $5 million
Over $5 million
REQUIRED LIMIT
$1 million p/o
$2 million p/o
$5 million p/o
R
equired Policy Conditions
Additional Insured Endorsement Applicable to General Liability coverage.
The City of Richmond, its officers, officials, employees, agents and volunteers are to be named as additional insureds for all liability arising out of the operations by or on behalf of the named insured including bodily injury, deaths and property damage or destruction arising in any respect directly or indirectly in the performance of this contract.
ISO form CG 20 10 (11/85) or its equivalent is required. If the Contractor is supplying their product or providing a service then the endorsement must not exclude products and completed operations coverage. If it does, then CG 20 37 (10/01) is also required.
SAMPLE Endorsements can be found at
http://www.ci.richmond.ca.us/index.aspx?nid=61.
Primary and Noncontributory The contractor’s insurance coverage must be primary coverage as it pertains to the City, its officers, officials, employees, agents and volunteers. Any insurance or self insurance maintained by the City is wholly separate from the insurance of the contractor and in no way relieves the contractor from its responsibility to provide insurance.
Waiver of Subrogation
Endorsement Form
Contractor’s insurer will provide a Waiver of Subrogation in favor of the City for Workers’ Compensation Insurance during the life of this contract.
SAMPLE Endorsements can be found at
http://www.ci.richmond.ca.us/index.aspx?nid=61.
Deductibles and Self-Insured
Retentions
Any deductible or self-insured retention must be declared to and approved by the City. At the option of the City either the insurer shall reduce or eliminate such deductibles or self-insured retention as respects the City or the CONTRACTOR shall procure a financial guarantee in an amount equal to the deductible or self-insured retention guaranteeing payment of losses and related investigations, claims administration and defense expenses.
Contractor is responsible for satisfaction of the deductible and/or self-insured retention for each loss.
A. M. Best Rating A :VII or Better. If the A.M. Best Rating falls below the required rating, CONTRACTOR must replace coverage immediately and provide notice to City.
U
mbrella/Excess Liability Policies
If an Umbrella or Excess Liability Policy is used to meet the liability limits, coverage shall be as broad as specified for underlying coverage’s and cover those insured in the underlying policies. 75 Exhibit D
17 City of Richmond - Insurance Requirements - Type 2:
Professional Services
Claims-Made Policies
If any insurance policy is written on a claims-made form: 1) the retroactive date must be shown, and must be before the date of the contract or the beginning of contract work. 2) Insurance must be maintained and evidence of insurance must be provided for at least five (5) years after completion of the contract of work. 3) If coverage is canceled or non-renewed, and not replaced with another claims- made policy form with a retroactive date prior to the contract effective date, the Contractor must purchase an extended period coverage for a minimum of five (5) years after completion of contract work.
Subcontractors
CONTRACTOR shall include all subcontractors as insured under its policies or shall furnish to the City for review and approval, separate certificates and endorsements for each subcontractor. All coverage for subcontractors shall be subject to all of the requirements stated herein.
CONTRACTOR agrees to defend and indemnify the City of Richmond for any damage resulting to it from failure of either CONTRACTOR or any subcontractor to take out or maintain the required insurance policies. The fact that insurance is obtained by CONTRACTOR, and/or CONTRACTOR’s subcontractors, will not be deemed to release or diminish the liability of CONTRACTOR, including, without limitation, liability under the indemnity provisions of this contract. Damages recoverable by CITY from CONTRACTOR or any third party will not be limited by the amount of the required insurance coverage.
Verification of Coverage
All original certificates and endorsements shall be received and approved by the City before work may begin. The City of Richmond reserves the right to require complete, certified copies of all required insurance policies including endorsements affecting the coverage at any time.
Original insurance certificates and required policy endorsements shall be mailed or delivered to the Designated Project Manager for the City of Richmond.
Insurance certificates and endorsements may be faxed to the Designated Project Manager. However, CONTRACTOR must mail the original certificates and endorsements to Designated Project Manager once faxed.
Continuous Coverage
CONTRACTOR shall maintain the required insurance for the life of the contract. Should the CONTRACTOR cease to have insurance as required during this time, all work by the CONTRACTOR pursuant to this agreement shall cease until insurance acceptable to the City is provided. In the event that CONTRACTOR fails to comply with the City’s insurance requirements, the City may take such action as it deems necessary to protect the City’s interests. Such action may include but is not limited to termination of the contract, withholding of payments, or other actions as the City deems appropriate.
If services or the scope of work extend beyond the expiration dates of the required insurance policies initially approved by the City, CONTRACTOR must provide updated certificates and endorsements indicating that the required coverage, terms and conditions are still in place.
Renewal certificates and updated endorsements shall be mailed to the Designated Project Manager.
Cancellation
CONTRACTOR shall ensure that coverage shall not be cancelled, reduced or otherwise materially changed except after thirty (30) days’ prior written notice has been given to the City.
Reporting Requirements
Any failure to comply with reporting or other provisions of the policies including breaches of warranties shall not affect coverage provided to the City, its officers, officials, employees or volunteers.
Consistent with Public Policy
The insuring provisions, insofar as they may be judged to be against public policy shall be void and unenforceable only to the minimum extent necessary so that the remaining terms and provisions herein may be consistent with public policy and thus enforceable
76 77
78 79
80 81
82 83
Third Amendment to Agreement for Legal Services
DocID #27370v1
A-1
THIRD AMENDMENT TO AGREEMENT FOR LEGAL SERVICES
BETWEEN
THE CITY OF RICHMOND
AND
ELLIS INVESTIGATIONS, L.C.
This Third Amendment to the Agreement for Legal Services between the City of Richmond (“City”) and Ellis Investigations, L.C. (“Special Counsel ”) (the " Third Amendment") is entered into as of July 1, 202 3, by and between the City and Special Counsel with reference to the following facts:
RECITALS
WHEREAS, the City and Special Counsel entered into that certain Legal Services Agreement (“Original Agreement”) to conduct confidential personnel investigations on October 22, 2021 for an amount not to exceed $10,000 and term ending June 30, 2023; and
WHEREAS, the City and Special Counsel entered into the First Amendment to the Original Agreement to increase the compensation by $90,000 on December 21, 2021; and
WHEREAS, the City and Special Counsel entered into a Second Amendment of the Original Agreement to increase the compensation by $50,000 on April 5, 2022; and
WHEREAS, the City now desires for Special Counsel to continue its representation of the City and increase the compensation and extend the time; and
WHEREAS, the City now desires for Special Counsel to continue its representation of the City and to increase the compensation by $50,000.00 and extend the term to June 30, 2025; and
WHEREAS, the City and Special Counsel desire to further amend the Original Agreement pursuant to this Third Amendment.
NOW, THEREFORE, in consideration of the recitals hereof, and other mutual covenants and promises contained herein and for other valuable consideration, the receipt and sufficiency of which are hereby acknowledged, the City and Special Counsel agree as follows:
1. Amendment. Exhibit A of the Original Agreement, “Scope of Work and Schedule of Fees & Charges,” is hereby amended to read as shown in Attachment 1 to this Third Amendment.
2. Effect of Third Amendment. Except as provided in this Third Amendment, all other terms of the Original Agreement shall remain in full force and effect, and this Third Amendment increases the compensation limit by $50,000.00 and extend the term from thru June 30, 2025.
3. Counterparts. This Third Amendment may be executed in counterparts each of which shall be an original and all of which shall constitute one and the same instrument.
Docusign Envelope ID: 2D345EC1-537B-419F-B0B3-2ABCD133962D 84 Third Amendment to Agreement for Legal Services
DocID #27370v1
A-2
IN WITNESS WHEREOF, the City and Special Counsel have caused this Third Amendment to be effective as of the last date written above.
CITY OF RICHMOND ELLIS INVESTIGATIONS, L.C.
________________________ By __________________________ Mayor
Title _________________________
Attest:
By: _____________________
City Clerk
Approved as to form:
By: _____________________
City Attorney
Docusign Envelope ID: 2D345EC1-537B-419F-B0B3-2ABCD133962D Partner
85 Third Amendment to Agreement for Legal Services
DocID #27370v1
A-3
Attachment 1
SCOPE OF WORK AND SCHEDULE OF FEES & CHARGES
Scope of work:
Special Counsel shall conduct confidential personnel investigations.
City of Richmond Contact Attorney: Shannon L. Moore, Chief Assistant City Attorney
Schedule of Fees & Charges:
2023 Hourly Rates
Leslie Ellis $435hour
Other Attorney Investigators $315 to $435/hour
Legal Support Specialist $185/hour
Rates Effective January 1, 2024
Leslie Ellis $525/hour
Other Attorney Investigators $355 to $445/hour
Legal Support Specialist $235/hour
Compensation:
Only those costs and expenses set forth in Section III of Exhibit "B", entitled "Reimbursements" shall be paid to Special Counsel.
Total compensation for legal services and reimbursements shall be charged in accordance with Exhibits "A" and "B" and shall not exceed Two Hundred Thousand Dollars ($200,000) for attorneys’ fees and reimbursements.
Docusign Envelope ID: 2D345EC1-537B-419F-B0B3-2ABCD133962D 86 Ellis Investigations, L.C.- Fourth Amendment to LSA
DocID #47113v1
A-1
FOURTH AMENDMENT TO AGREEMENT FOR LEGAL SERVICES
BETWEEN
THE CITY OF RICHMOND
AND
ELLIS INVESTIGATIONS, L.C.
This Fourth Amendment to the Agreement for Legal Services between the City of Richmond (“City”) and ELLIS INVESTIGATIONS, L.C. (“Special Counsel ”) (the "Fourth Amendment") is entered into as of June 18, 2025, by and between the City and Special Counsel with reference to the following facts:
RECITALS
WHEREAS, the City and Special Counsel entered into that certain Legal Services Agreement (“Original Agreement”) to conduct confidential personnel investigations on October 22, 2021 for an amount not to exceed $10,000 and term ending on June 30, 2023; and
WHEREAS, the City and Special Counsel entered into the First Amendment to the Original Agreement to increase the compensation by $90,000 on December 21, 2021; and
WHEREAS, the City and Special Counsel entered into a Second Amendment of the Original Agreement to increase the compensation by $50,000 on April 5, 2022; and
WHEREAS, the City and Special Counsel entered into a Third Amendment of the Original Agreement on July 1, 2023, to increase the compensation by $50,000 and extend the term to June 30, 2025; and
WHEREAS, the City now desires for Special Counsel to continue its representation of the City and extend the term to June 30, 2026; and
WHEREAS, the City and Special Counsel desire to further amend the Original Agreement pursuant to this Fourth Amendment.
NOW, THEREFORE, in consideration of the recitals hereof, and other mutual covenants and promises contained herein and for other valuable consideration, the receipt and sufficiency of which are hereby acknowledged, the City and Special Counsel agree as follows:
1. Amendment. Exhibit A of the Original Agreement, “Scope of Work and Schedule of Fees & Charges,” is hereby amended to read as shown in Attachment 1 to this Fourth Amendment.
2. Effect of Fourth Amendment. Except as provided in this Fourth Amendment, all other terms of the Original Agreement shall remain in full force and effect, and this Fourth Amendment extends the term to June 30, 2026.
Docusign Envelope ID: 021EE166-BF14-4A20-8BD8-72FF29EB5C05 87 Ellis Investigations, L.C.- Fourth Amendment to LSA
DocID #47113v1
A-2
3. Counterparts. This Fourth Amendment may be executed in counterparts each of which shall be an original and all of which shall constitute one and the same instrument.
[Signatures on following page]
Docusign Envelope ID: 021EE166-BF14-4A20-8BD8-72FF29EB5C05 88 Ellis Investigations, L.C.- Fourth Amendment to LSA
DocID #47113v1
A-3
IN WITNESS WHEREOF , the City and Special Counsel have caused this Fourth Amendment to be effective as of the last date written above.
CITY OF RICHMOND ELLIS INVESTIGATIONS, L.C.
________________________ By __________________________ City Manager
Title _________________________
Attest:
By: _____________________
City Clerk
Approved as to form:
By: _____________________
City Attorney
Docusign Envelope ID: 021EE166-BF14-4A20-8BD8-72FF29EB5C05 Partner
89 Ellis Investigations, L.C.- Fourth Amendment to LSA
DocID #47113v1
A-4
Attachment 1
SCOPE OF WORK AND SCHEDULE OF FEES & CHARGES
Scope of work:
Special Counsel shall conduct confidential personnel investigations.
Special Counsel’s point(s) of contact in the City of Richmond City Attorney’s office is/are:
Shannon Moore, Chief Assistant City Attorney
Schedule of Fees & Charges:
Leslie Ellis $545/hour
Other Attorney Investigators $355 to $445/hour
Legal Support Specialist $235/hour
Compensation:
Only those costs and expenses set forth in Section III of Exhibit "B", entitled "Reimbursements", shall be paid to Special Counsel.
Total compensation for legal services and reimbursements shall be charged in accordance with Exhibits "A" and "B" and shall not exceed Two Hundred Thousand Dollars ($200,000) for attorneys’ fees and reimbursements.
Docusign Envelope ID: 021EE166-BF14-4A20-8BD8-72FF29EB5C05 90 Ellis Investigations, L.C.--Fifth Amendment to LSA
DocID #63414v1
A-1
FIFTH AMENDMENT TO AGREEMENT FOR LEGAL SERVICES
BETWEEN
THE CITY OF RICHMOND
AND
ELLIS INVESTIGATIONS, L.C.
This Fifth Amendment to the Agreement for Legal Services between the City of Richmond (“City”) and ELLIS INVESTIGATIONS, L.C. (“Special Counsel”) (the "Fifth Amendment") is entered into as of February 17, 2026, by and between the City and Special Counsel with reference to the following facts:
RECITALS
WHEREAS, the City and Special Counsel entered into that certain Legal Services Agreement (“Original Agreement”) to conduct confidential personnel investigations on October 22, 2021 for an amount not to exceed $10,000 and term ending on June 30, 2023; and
WHEREAS, the City and Special Counsel entered into the First Amendment to the Original Agreement to increase the compensation by $90,000 on December 21, 2021; and
WHEREAS, the City and Special Counsel entered into a Second Amendment of the Original Agreement to increase the compensation by $50,000 on April 5, 2022; and
WHEREAS, the City and Special Counsel entered into a Third Amendment of the Original Agreement on July 1, 2023, to increase the compensation by $50,000 and extend the term to June 30, 2025; and
WHEREAS, the City and Special Counsel entered into a Fourth Amendment of the Original Agreement on June 18, 2025, to extend the term to June 30, 2026; and
WHEREAS, the City now desires for Special Counsel to continue its representation of the City and to increase the compensation by $50,000.00; and
WHEREAS, the City and Special Counsel desire to amend the Original Agreement pursuant to this Fifth Amendment.
NOW, THEREFORE, in consideration of the recitals hereof, and other mutual covenants and promises contained herein and for other valuable consideration, the receipt and sufficiency of which are hereby acknowledged, the City and Special Counsel agree as follows:
1. Amendment. Exhibit A of the Original Agreement, “Scope of Work and Schedule of Fees & Charges,” is hereby amended to read as shown in Attachment 1 to this Fifth Amendment.
2. Effect of Fifth Amendment. Except as provided in this Fifth Amendment, all other terms of the Original Agreement shall remain in full force and effect, and this Fifth Amendment increases the compensation by $50,000.
91 Ellis Investigations, L.C.--Fifth Amendment to LSA
DocID #63414v1
A-2
3. Counterparts. This Fifth Amendment may be executed in counterparts each of which shall be an original and all of which shall constitute one and the same instrument.
IN WITNESS WHEREOF, the City and Special Counsel have caused this Fifth Amendment to be effective as of the last date written above.
CITY OF RICHMOND ELLIS INVESTIGATIONS, L.C.
________________________ By __________________________ Mayor
Title _________________________
Attest:
By: _____________________
City Clerk
Approved as to form:
By: _____________________
City Attorney
92 Ellis Investigations, L.C.--Fifth Amendment to LSA
DocID #63414v1
A-3
Attachment 1
SCOPE OF WORK AND SCHEDULE OF FEES & CHARGES
Scope of work:
Special Counsel shall conduct confidential personnel investigations.
Special Counsel’s point(s) of contact in the City of Richmond City Attorney’s office is/are:
Shannon Moore, Interim City Attorney
Dallae Chin, Senior Assistant City Attorney
Schedule of Fees & Charges:
Leslie Ellis $545/hour
Other Attorney Investigators $355 to $445/hour
Legal Support Specialist $235/hour
Compensation:
Only those costs and expenses set forth in Section III of Exhibit "B", entitled "Reimbursements", shall be paid to Special Counsel.
Total compensation for legal services and reimbursements shall be charged in accordance with Exhibits "A" and "B" and shall not exceed Two Hundred Fifty Thousand Dollars ($250,000) for attorneys’ fees and reimbursements.
93
March 3, 2026
Community Development
DATE: March 3, 2026
TO: Mayor Martinez and Members of the City Council
FROM:
Lina Velasco, Director of Community Development
George Kabaivanov, PE, Building Official
Subject:
Ordinance Adopting the 2025 California Building
Standards Code
FINANCIAL IMPACT: Adopting this ordinance will have no fiscal impact.
PREVIOUS COUNCIL
ACTION:
None.
STATEMENT OF THE
ISSUE:
State law mandates that all local jurisdictions enforce the California Building Standards Code (California Code of
Regulations Title 24) in the construction and
maintenance of all buildings and structures. These
standards are updated triennially. The State recently
published the 2025 California Building Standards Code.
RECOMMENDED ACTION:
ADOPT an ordinance (second reading) amending
Richmond Municipal Code (RMC) Article VI, Building
Regulations, Chapter 6.02 by adopting the 2025
California Building Standards Code with noted local
amendments – Community Development Department
(Lina Velasco/George Kabaivanov 510-620-5519).
DISCUSSION:
Under California State law, various State agencies have statutory authority to develop building standards, also known as building codes.
California Building Standards Code (California Code of Regulations, Title 24) AGENDA
REPORT
94
March 3, 2026
California Building Standards Code (CBSC) is a compilation of three types of building standards from three different origins:
1. Building standards that have been adopted by state agencies without change from building standards contained in national model codes;
2. Building standards that have been adopted and adapted from national model codes to address California’s ever-changing conditions; and
3. Building standards, authorized by the California legislature, that constitute amendments not covered by national model codes, that have been created and adopted to address particular California concerns.
All occupancies in California are subject to national model codes adopted into Title 24, and occupancies are further subject to amendments adopted by state agencies and ordinances implemented by local jurisdictions’ governing bodies.
These building standards are updated every 3 years and are adopted into Title 24 of the California Code of Regulations by the California Building Standards Commission. The 2025 California Building Standards Code is based primarily on model codes developed by national code development organizations known as the International Code Council (Building, Fire, and Residential Codes), the National Fire Protection Association (Electrical Code) and the International Association of Plumbing and Mechanical Officials (Plumbing and Mechanical Codes). The exceptions are the following building codes developed entirely in California: California Administrative Code, California Energy Code, California Green Building Standards Code, and the California Referenced Standards Code.
Both the model codes and state standards are developed with extensive local government input. The City of Richmond participates in these efforts via our membership and involvement in organizations such as the California Building Officials (CALBO) and its Local Chapters, as well as the International Code Council (ICC).
Code by Default
A local government may adopt Title 24 by reference in its jurisdiction’s ordinances. Even if a local government does not adopt Title 24 by ordinance, Title 24 becomes the applicable code for all building occupancies by default. This is made clear in HSC Sections 17950,17958, and 18938(b), and in California Building Code, Chapter 1, Division 1, Section 1.1.3.
Amendment by Local Ordinance
Local ordinances that amend Title 24 building standards are subject to the requirements of California law and must be ratified and filed for each triennial edition of Title 24.
Generally, local ordinances may only implement standards that are more restrictive than the building standards approved/adopted by the CBSC and provided that the local 95
March 3, 2026
jurisdiction makes express findings that such changes are reasonably necessary because of local geological, climatic, or topographic conditions.
Per Health and Safety Code Section 18909(c), “Building standard” includes a regulation or rule relating to the implementation or enforcement of a building standard not otherwise governed by statute, but does not include the adoption of procedural ordinances by a city or other public agency relating to civil, administrative, or criminal procedures and remedies available for enforcing code violations.
Local ordinances and regulations necessary to carry out procedures by a city, county, or city and county relating to civil, administrative, or criminal procedures, and remedies available for carrying out and enforcing building standards, and that do not establish building standards, may be enacted without meeting the requirements of the state laws governing Title 24 building standards amendments.
Local modifications to the building standards shall comply with Health and Safety Code Section 18941.5 for Building Standards Law, Health and Safety Code Section 17958 for State Housing Law, or Health and Safety Code Section 13869.7 for Fire Protection Districts.
The proposed ordinance amends Richmond Municipal Code (RMC) Article VI, Building Regulations, Chapter 6.02 by formally adopting the 2025 California Building Standards Code, some of the appendix chapters contained therein, along with the noted local amendments (Attachment 1). Several of the local amendments are administrative, and the others establish minimum fire and life safety measures that were previously adopted and filed with the California Building Standards Commission. Local modifications to the code are specific to each edition of the code. Therefore, local modifications must be readopted and filed with CBSC for each subsequent triennial edition of the code to remain in effect.
ENVIRONMENTAL REVIEW
The adoption of this ordinance is exempt from the California Environmental Quality Act (CEQA) per the State CEQA Guidelines Section 15061(b)(3), in that it can be seen with certainty that there is no possibility that the activity in question may have a significant effect on the environment. The proposed ordinance will not have an impact on the environment because they do not directly facilitate new development or changes in the type and intensity of land use.
DISCUSSION AND RECOMMENDATION
The proposed recommended action aligns with the following strategic goals:
Strategic Goal Area No. 1: Improve Quantity and Quality of Housing, Especially Low-Income Housing, and Reduce Homelessness
Goal No. 1.1: Increase housing access - especially infill development (avoid the shoreline)
96
March 3, 2026
Goal No. 1.2: Reduce homelessness
Goal No. 1.3: Increase housing quality
Strategic Goal Area No. 3: Improve the Quality of Life and Community Health Goal No. 3.1: Improve maintenance of the built environment
By aligning the proposed changes with these strategic goals, the adoption of the 2025 Building Standards Code will not only enhance the physical infrastructure of our community but also support broader social objectives such as reducing homelessness, increasing access to quality housing, and improving overall community health.
DOCUMENTS ATTACHED:
Attachment 1 – Draft Ordinance Adopting 2025 CBC
Attachment 2 - Notice for Public Hearing - 2025 CA Building Code Adoption (CC Feb. 24, 2026)
97 DocID #61744v1
Attachment 1
ORDINANCE NO. ___
AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF RICHMOND AMENDING CHAPTER
6.02 OF RICHMOND MUNICIPAL CODE ARTICLE VI, BUILDING REGULATIONS TO ADOPT THE 2025 EDITION OF THE CALIFORNIA BUILDING STANDARDS CODE WITH NOTED AMENDMENTS.
WHEREAS, the California Building Standards Codes are published every three years by the Building Standards Commission;
WHEREAS, the California Building Standards Commission has published the 2025 California Building Standards Code amending Title 24 of the California Code of Regulations, effective January 1, 2026; WHEREAS, California Health and Safety Code Section 17958, et. seq., provides that the 2025 California Building Standards Code may be adopted by reference, provided that prior to such adoption by reference a noticed public hearing has been held;
WHEREAS, this ordinance is exempt from the California Environmental Quality Act (CEQA) per the State CEQA Guidelines Section 15061(b)(3), in that it can be seen with certainty that there is no possibility that the activity in question may have a significant effect on the environment. The proposed Ordinance will not have an impact on the environment because they do not directly facilitate new development, or changes in the type and intensity of land use; WHEREAS, a noticed public hearing was held on ___________, 2026 by the City Council at which time all interested persons had the opportunity to appear and be heard on the matter, adopting by reference the 2025 Building Standards Code with noted local amendments; WHEREAS, Health and Safety Code Section 18941.5, with reference to Section 17958.7, allows for more restrictive local amendments to the Building Code that are reasonably necessary because of local climatic, geological, or topographical conditions; and
WHEREAS, a copy of the 2025 Building Standards Code is on file with the Building Official; NOW, THEREFORE, THE CITY COUNCIL OF THE CITY OF RICHMOND does ordain as follows based on the following findings and determinations:
SECTION I. Findings and Determinations.
A. The following local climatic conditions justify modifications to the California Building Standards Code.
1. Climatic: The City is located in Climate Zone 3 as established in the 2025 California Energy Code.
Climate Zone 3 encompasses primarily coastal communities, extending from Marin County to southern Monterey County, including San Francisco. The City experiences an average annual precipitation of 23 inches per year. Ninety percent of precipitation falls during November through April, leaving a dry period of approximately six months each year. Relative humidity remains moderate most of the time. In addition, local surface winds frequently transport moisture-laden air from the surface of the Bay waters into the City. Larger-scale prevailing weather patterns and winds created by the jet stream from the west also transport highly humid air and storms across the Pacific Oc ean through the strait between the San Francisco Peninsula and the Marin Headlands, straddled by the Golden Gate Bridge, and into the City. The moderating effect of the Bay waters on local temperatures tends to reduce local temperature extremes, even durin g periods of high inland temperatures. The combination of moist air from adjacent waters and the associated mild temperatures means that local weather conditions often hover near the dew point. This can result in the formation of fog associated with local and regional 98 DocID #61744v1
marine weather layers, which commonly cover the City for hours or even days at a time with an average morning relative humidity of 81 percent in November. Much of Northern California is considered to possess a predominantly Mediterranean climate. At times, Richmond does experience periods of high temperature and/or low humidity, particularly between mid -July and mid-October, when the danger of hillside fires is greatest. Temperatures in September, the warmest month, average around 74 degrees Fahrenheit, and in January, the coolest month, average around 58 degrees Fahrenheit. The amendments cited herein would provide a framework to create shelters that more adequately protect the unhoused population from rain, cold , and heat. Most adults who rece ived homeless services from the Contra Costa County Department of Health and Human Services continuum of care self -reported having a disability, and many reported having a chronic health condition. Exposure to the elements puts unhoused people at greater risk.
2. Geologic: The City of Richmond is in a region of high seismic activity and is traversed by the Hayward fault. It has the San Andreas earthquake fault to the west and the Calaveras earthquake fault to the east. All three faults are known to be active as evidenced by the damaging earthquakes they have produced in the last 100 years and can, therefore, be expected to do the same in the future. Of primary concern to Richmond is the Hayward Fault, which has been estimated to be capable of earthquakes exceeding a magnitude of 7.0 on the Richter scale. It extends through many residential areas including East Richmond and Hilltop and passes through schools and business districts. A large number of underground utilities cross the fault, including major water supply and natura l gas lines. Intensified damage during an earthquake may be expected in those areas of poorer ground along the Bay, west of Interstate 80 and in known slide areas, as well as hillside areas (occupied mainly by dwellings) located within or near the fault zo ne; some areas are steep and have been subjected to slides. The waterfront areas and areas in the Richmond flatlands immediately adjacent to creeks and water streams present a major potential for soil liquefaction hazard. Thus, because the City is within a seismic area which includes these earthquake faults, the modifications and changes cited herein are designed to better limit property damage as a result of seismic activity and to establish criteria for repair of damaged properties following a local emergency.
3. Topographic: The City of Richmond is contiguous with the San Francisco Bay, resulting in a natural receptor for storm and wastewater run -off. Also, the City is located in an area that is relatively high liquefaction potential given its proximity to the Bay. The surface condition near the Bay consists stiff to hard silty clays and clayey silts with variable amounts of gravel, which are moderately expansive. The City of Richmond has many homes built in higher elevation regions, such as in Point Richm ond, that are reached by narrow and often winding paved streets which hamper access for fire apparatus and escape routes for residents. A number of developments in these areas are of wood frame construction and are several stories in height from grade leve l. The fire potential is moderately high due to building congestion and heights. Fires can be expected to involve large groups of buildings in these areas. The local topographical conditions increase the magnitude, exposure and accessibility problems associated with the fire hazards which arise within the City. The modifications and changes cited herein are designed to better ensure life safety and appropriate Emergency Services access and response in the event of a fire emergency.
B. The City Council find s, pursuant to Title 14, Chapter 3 of the of the California Code of Regulations(CEQA Guidelines), that this ordinance is exempt from CEQA under 15061(b)(3) on the grounds that these standards are more stringent than the State code standards, and there is n o possibility that the activity in question may have a significant effect on the environment.
99 DocID #61744v1
SECTION II. Amendment of Code. Chapter 6.02 of Article VI of the Richmond Municipal Code is hereby amended as follows:
Chapter 6.02 BUILDING CODE OF THE CITY OF RICHMOND
Sections:
6.02.010 Adoption by reference.
6.02.020 Copies on file.
6.02.030 Amendments, additions and deletions.
6.02.010 - Adoption by reference.
A. The Building Code of the City of Richmond is the 2025 California Building Standards Code (California Code of Regulations, Title 24), adopted by reference and incorporated herein as follows:
PART 1 – CALIFORNIA ADMINISTRATIVE CODE
PART 2 – CALIFORNIA BUILDING CODE — Volumes 1 & 2, as amended in Section 6.02.030 and including the following appendices:
Appendix G Flood-Resistant Construction
Appendix I Patio Covers
Appendix J Grading
Appendix N Replicable Buildings
Appendix Q Emergency Housing
PART 2.5 – CALIFORNIA RESIDENTIAL CODE, including the following appendices:
Appendix CI Swimming Pool Safety Act
PART 3 – CALIFORNIA ELECTRICAL CODE
PART 4 – CALIFORNIA MECHANICAL CODE
PART 5 – CALIFORNIA PLUMBING CODE
PART 6 – CALIFORNIA ENERGY CODE
PART 7 – CALIFORNIA WILDLAND-URBAN INTERFACE CODE
PART 8 – CALIFORNIA HISTORICAL BUILDING CODE
PART 9 – CALIFORNIA FIRE CODE, as adopted by RMC Section 8.16.010.
PART 10 – CALIFORNIA EXISTING BUILDING CODE
PART 11 – CALIFORNIA GREEN BUILDING STANDARDS CODE, CALGreen PART 12 – CALIFORNIA REFERENCED STANDARDS CODE
6.02.020 Copies on file.
At least one copy of the Building Code of the City of Richmond shall be kept on file in the office of the Building Official for inspection by the public.
6.02.030 Amendments, additions, and deletions.
(a) Amendments, additions, and deletions to 2025 California Building Code Chapter 1 Division II Scope and Administration:
100
DocID #61744v1
1. Section 103.1 is amended as follows:
103.1 Creation of enforcement agency. The Building Division of the Community Development Department is hereby created, and the official in charge thereof shall be known as the Building Official. The function of the agency shall be the implementation, administration, and enforcement of the provisions of this code.
2. New Section 105.3.2.1 is added as follows:
105.3.2.1 Expiration of Plan Review. Abandoned applications or applications for which no permit is issued within 180 days following the date of plan review approval notification will expire by limitation, and the Building Official may thereafter destroy plans and other data submitted for review.
3. New Section 105.5.2 is added as follows:
105.5.2 Completion of work after permit expiration. Before work on an expired permit can be recommenced, a new permit shall first be obtained and the fee for such new permit shall be one- half the amount required for a new permit for such work, provided no changes have been made or will be made in the original plans and specifications for such work; and provided further that such suspension or abandonment has not exceeded one year. Any suspension or abandonment in excess of one year shall be treated as a new permit and subject to all the provisions thereof.
4. New Section 109.4.1 is added as follows:
109.4.1 Investigation fee for work without permit. Whenever any work for which a permit is required has been commenced without first obtaining said permit, an investigation shall be made before a permit may be issued for such work. An investigation fee, in addition to the permit fee, shall be collected whether or not a permit is then or subsequently issued. The investigation fee s hall be equal to three times the permit fee as set forth in the City’s adopted fee schedule. The payment of such investigation fee shall not exempt any person from compliance with all other provisions of either this code nor from any penalty prescribed by law. The permit fee is defined as the total fee a permit applicant would pay to obtain a building permit for a similar scope of construction, alteration, or repair.
Exemption: Dwellings legalized under section 109.4.2
5. New Section 109.4.2 with subsections is added as follows:
109.4.2 Legalization Program for Accessory Dwelling Units and residential additions and remodels
109.4.2.1 Purpose and intent. Pursuant to Government Code Section 66332, Section 17980.12 of the Health and Safety Code, and the Shelter Crisis Declaration under Resolution 79 -18, the City enacts the following dwelling unit legalization amnesty program, aiming to eliminate substandard living conditions of the existing built environment within the City to the maximum extent possible. 109.4.2.2 Scope . The legalization procedure applies to residential projects constructed without a finalized building permit and built before the enactment of this program. 109.4.2.3 Compliance procedure:
109.4.2.3.1 Code Compliance Permit The applicant must first obtain a Code Compliance Permit for legalization from the Building Division, allowing a contractor and designer to investigate and map the existing conditions. As pa rt of the investigation, the applicant may request the available building records for the property from the City Clerk’s office and may request an inspection from a Building Inspector. 109.4.2.3.2 Planning Application . Before submitting a building permit application, the applicant must discuss the project’s feasibility with the Planning Division, and if changes are necessary for planning approval, those must be included with the permit application drawings.
101
DocID #61744v1
109.4.2.3.3 Building Permit Application. The project applicant must apply for a building permit and present construction drawings and documents identifying the existing legally constructed portion and presenting the illegally constructed items as proposed for approval. 109.4.2.3.4 Licensed engineer required. Construction drawings for the building permit application must be prepared by a licensed engineer and demonstrate that the project, upon completion, will comply with the life and safety provisions of the California Building Standards. The permit drawings must indicate which edition of the California Building Standards Code was used in the preparation of the construction documents and demonstrate coherent compliance.
109.4.2.3.4.1 Drawings Format. Drawings must be prepared in substantially the same format as for new construction, graphically disting uishing the existing legally constructed items and the illegally constructed items proposed for legalization. Drawings must include a Title Sheet presenting the permit scope, an Index of Sheets, Floor Plans, Elevations, and Sections, as well as Energy Code Compliance Forms. 109.4.2.3.4.2 Structural analysis and drawings . Structural drawings and analysis must be included. Structural drawings must include a graphical representation of the following items:
Structural components observed and verified by the engineer. Questionable structural members and components that need to be verified. If questionable items exist, the construction documents must outline the verification and acceptance procedures prescribed by the engineer.
If the analysis identifies structural deficiencies, the construction drawings must specify the new members, components, and connections that must be installed and inspected under this permit.
109.4.2.3.4.3 Structural Observation . Compliance with the minimum structural safety provisions of the code and conforman ce to the structural alterations (if any) must be ascertained in writing by the engineer of record and uploaded to the permit prior to scheduling final inspection. A note in that regard must be present on the drawings. 109.4.2.4 Effective date. This chapter shall become effective on the day adopted by the City Council. The program is not retroactive and does not allow the Building Official to refund the investigation fee collected under Section 109.4.1.
109.4.2.5 Program expiration. The program will expire on December 31 st, 2031.
6. Section 109.6 is amended to read as follows:
109.6 Refunds. The Building Official shall not authorize the refunding of any fee paid except upon written application filed by the original permittee not later than 180 days after the date of fee payment.
The Building Official may authorize the refunding of any fee paid hereunder that was erroneously paid or collected.
The Building Official may authorize the refunding of not more than 80 percent of the permit fee paid when no work has been done under a permit issued in accordance with this chapter.
The Building Official may authorize the refunding of not more than 80 percent of the plan review fee paid when an application for a permit for which a plan review fee has been paid is withdrawn or canceled before any plan checking is done.
7. New Section 109.7 is added as follows:
109.7 Reinspection fee. A reinspection fee may be assessed for each inspection or reinspection when such portion of work for which inspection is called is not complete or when corrections called for are not made.
102
DocID #61744v1
This section does not require reinspection fees the first time a job is rejected for failure to comply with the requirements of the codes. Subsequent inspections or the practice of calling for inspections before the job is ready for such inspection or reinspection may be subject to reinspection fees.
To obtain a reinspection, the applicant shall file an application therefor in writing upon a form furnished for that purpose and pay the reinspection fee in accordance with the f ee schedule adopted by the City.
In instances where reinspection fees have been assessed, no additional inspection of the work will be performed until the required fees have been paid.
8. New Section 113.3.1 is added as follows:
113.3.1 Appointment and Number of Members Appointed. The City Manager or their designee is authorized by the governing body to appoint the Board of Appeals. The Board shall consist of 5 members with a quorum of 3 to conduct business.
9. New Section 103.4.1 is added to Appendix Q, Emergency Housing as follows:
Q103.4.1 Fire & Life Safety Systems. Whenever any existing buildings have any existing fire protection and life safety systems, i.e. fire sprinkler and/or fire alarm system, these sy stems are required to be maintained in operation or made to conform to the provisions of these regulations to the extent that reasonable and adequate life safety against the hazards of fire, panic , and explosion is substantially provided. Additional means of egress may be required to provide reasonable and adequate safety.
10. New Section 103.4.2 is added to Appendix Q, Emergency Housing as follows:
Q103.4.2 Emergency Responder Radio Coverage in Existing Buildings. Existing Buildings that do not have approved radio coverage for emergency responders, as required for new buildings under Section 510.1 of the Fire Code, shall be equipped with such coverage before permitting the facility as emergency housing.
Exception: When the fire code official determines that the building satisfies one or more of the exempt provisions of Section 510.1 of the Fire Code.
11. New Section 104.10 is added to Appendix Q as follows:
Q104.10 Portable Fire Extinguishers. Portable Fire extinguisher shall be selected, installed and maintained in accordance with California Fire Code Section 906.2 (General requirements) and California Code of Regulations, title 19, Division 1, Chapter 3 in any emergency housing and emergency housing facility.
12. New Section 109.3 is added to Appendix Q as follows:
Q109.3 Emergency Vehicle Access. Emergency vehicle access shall be maintained for any emergency housing facilities. The fire code official shall approve any temporary emergency vehicle access routes for any emergency housing facility.
13. New Section 111 with subsections is added to Appendix Q as follows:
Q111 Fire Safety and Emergency Evacuation Plan.
Q111.1 Evacuation Diagram. A diagram depicting two evacuation routes shall be posted on or immediately adjacent to every required egress door from each of the emergency housing facility.
Q111.2 Fire Safety and Emergency Evacuation Plan. Where the fire code official determines that an emergency housing facility has an adverse impact on public safety through diminished access to buildings, structures, fire hydrants and fire apparatus access roads or where such facility adversely affect public safety services of any kind, the fire code official shall have the authority to order the development of or prescribe fire safety and emergency evacuation plan that provides an approved level of public safety and addresses the following items:
103
DocID #61744v1
Fire Safety and Emergency Evacuation Plan shall include the following:
1. Emergency egress or escape routes and whether evacuation of the building is to be completed by selected floors or areas only or with a defend-in-place response.
2. Procedures for the use of elevators to evacuate the building where occupant evacuation elevators complying with Section 3008 of the California Building Code are provided.
3. Procedures for assisted rescu e for persons unable to use the general means of egress unassisted.
4. Procedures for accounting for employees and occupants after evacuation have been completed.
5. The preferred and any alternative means of reporting fires and other emergencies to the fire department or designated emergency response organization.
6. Identification and assignment of personnel who can be contacted for further information or explanation of duties under the plan.
7. A description of the emergency voice/alarm communication system alert tone and preprogrammed voice messages, where provided.
8. Procedures for notifying occupants, including areas with a private mode alarm system.
9. Procedures for evacuating occupants, including those who need evacuation assistance.
10. The occupant assembly point(s).
11. The location of fire hydrants.
12. The normal routes of fire department vehicle access.
14. New Section 111.3 is added to Appendix Q as follows:
Q111.3 Emergency Housing Facility Floor Plan. Floor plans shall identify the locations of the following:
1. Exits
2. Primary evacuation routes
3. Secondary evacuation routes.
4. Accessible egress routes.
5. Areas of refuge.
6. Exterior areas for assisted rescue.
7. Refuge areas associated with smoke barriers and horizontal exits.
8. Manual fire alarm boxes.
9. Portable fire extinguishers
10. Fire alarm annunciators and control(s), if applicable.
11. Fire department connections and sprinkler riser location(s), if applicable.
SECTION III. Any provisions of the Richmond Municipal Code, or appendices thereto, or any other ordinances of the City inconsistent herewith, to the extent of such inconsistencies and no further, are hereby repealed. References to the Building Code of the City of Richmond are also hereby updated.
SECTION IV. Severability. If any section, subsection, paragraph, sentence, clause or phrase of this Ordinance is for any reason held by a court of competent jurisdiction to be unconstitutional or invalid, the remaining portions of this Ordinance shall remain in full force and effect. The City Council hereby declares that it would have passed each section, subsection, paragraph, sentence, clause or phrase of this Ordinance irrespective of the unconstitutionality or invalidity of any section, subsection, paragraph, sentence, clause or phrase.
104
DocID #61744v1
SECTION V. Effective Date . All building permit applications filed after the effective date of this Ordinance shall be subject to this Ordinance. This Ordinance becomes effective thirty (30) days after its final passage and adoption, however, no sooner than January 1, 2026, as mandated by the State. ____________
First introduced at a regular meeting of the City Council of the City of Richmond held ____________________, 2026. Passed and adopted on ________________ by the following vote:
AYES:
NOES:
ABSTENTIONS:
ABSENT:
_____________________________
CLERK OF THE CITY OF RICHMOND
(SEAL)
Approved:
______________________
Mayor
Approved as to form:
______________________
City Attorney
105
CITY OF RICHMOND
NOTICE OF PUBLIC HEARING
NOTICE IS HEREBY GIVEN that on Tuesday, February 24, 2026, at the hour of 6:00 p.m., or as soon as thereafter as the matter may be heard, the Richmond City Council will conduct a public hearing in person at 440 Civic Center Plaza, and via Zoom video conference to consider the following item:
ADOPT an Ordinance amending the City’s Building Code (Richmond Municipal Code Chapter
6.02) to adopt the 2025 California Building Standards Code with local amendments.
Agenda materials are posted online at http://www.ci.richmond.ca.us/151/Council-Agenda-Documents.
For questions, contact George Kabaivanov, City of Richmond Building Official, Community Development Department (510) 620-5519.
All persons interested are invited to give public comment in person, by mail, eComment, email and/or Zoom video conference in the manner that follows, provided that no member of the public may submit more than one verbal comment per agenda item:
In Person: Meeting location, 440 Civic Center Plaza, Council Chambers, Richmond CA 94804.
Via mail: received by 1:00 p.m. the day of the meeting, sent to 450 Civic Center Plaza, 3rd Floor, Office of the Clerk, Richmond, CA 94804.
Via eComments : eComments are available once an agenda is published. Locate the meeting in "upcoming meetings" and click the comment bubble icon. Click on the item you wish to comment on.
Email your comment to [email protected] should you have difficulty submitting an eComment during a meeting.
Via email: to [email protected] by 1:00 p.m . the day of the meeting. Email MUST contain in the subject line 1) public comments – Agenda Item #. All such email with correctly labeled subject lines will be posted on-line and emailed to the City Council before the meeting is called to order.
Email received after 1:00 p.m. will be posted on-line following the meeting as part of the supplemental materials attached to the meeting minutes.
Via Zoom: https://zoom.us/j/99312205643?pwd=MDdqNnRmS2k4ZkRTOWhIUIdQOUF1Zz09 Meeting ID: 99312205643
Passcode: ccmeeting
By Order of the Richmond City Council:
Pamela Christian
City Clerk
Dated: February 6, 2026 Published: February 14, 2026, and February 21, 2026
AVISO: Para obtener ayuda interpretative con esta noticia, por favor llame a la oficina de la Secretaria Municipal, al (510) 620-6513.
106
March 3, 2026
Community Development
DATE: March 3, 2026
TO: Mayor Martinez and Members of the City Council
FROM:
Lina Velasco, Director of Community Development
Avery Stark, Planning Manager
Eva Mann, Code Enforcement Manager
Subject:
Tobacco Retailer License Amendments
FINANCIAL IMPACT: The proposed ordinance will not result in an impact on the General Fund. Tobacco Retailer Licenses issued by
the City have an associated fee to recover the staff time necessary to process the application and complete
inspections of such retailers to ensure compliance with specified standards.
PREVIOUS COUNCIL
ACTION:
April 16, 2024
May 21, 2024
April 1, 2025
July 1, 2025
STATEMENT OF THE
ISSUE:
Due to the proliferation of unlicensed tobacco retailers within the City of Richmond, the City Council passed an Urgency Ordinance on April 16, 2024, placing a
moratorium on permitting new tobacco retailers until the City could develop measures to address the negative
impacts of the increase in unpermitted tobacco retailers and establishing operating standards necessary to
reasonably regulate tobacco operations. The City Council voted on April 1, 2025, to extend the moratorium until
April 15, 2026. City staff is recommending amendments
to Richmond Municipal Code Chapter 7.106 to ensure
compliance with State law relating to the statewide
prohibition on the sale of flavored tobacco products. City staff engaged a consultant to assist in the development AGENDA
REPORT
107
March 3, 2026
of enhanced regulations. The proposed ordinance
amends Chapter 7.106 and repeals Chapter 7.107.
RECOMMENDED ACTION:
ADOPT an ordinance (second reading) amending
Chapter 7.106 entitled “Tobacco Retailer License” and
repealing Richmond Municipal Code Chapter 7.107 to
comply with updates to State law relating to the sale of flavored tobacco products, establish a cap of 50 licenses that can be issued at any one time to protect against
overconcentration, and to add operational prerequisites and enhanced regulations for enforcement of violations
(including retailing without a tobacco retail license, sales to minors, and sales of illegal and hazardous
substances), which shall aim to protect vulnerable
demographics, streamline compliance standards, and
enhance available enforcement tools – Community
Development Department (Lina Velasco/Avery Stark/Eva
Mann 510-621-1283).
DISCUSSION
Background
The City Council of the City of Richmond has a well-documented record of regulating the activity of tobacco retailing in the City to protect the public health, safety, and welfare of its residents, and most importantly its youth.
On July 17, 2018, the City Council adopted Ordinance No. 20-18 N.S., which, among other things, amended Richmond Municipal Code (“RMC”) Chapter 7.106, prohibiting the sale of menthol and other flavored tobacco products, establishing a minimum pack size for little cigars and traditional cigars, and imposing location requirements on new tobacco retailers from youth populated areas and other licensed retailers. In passing this ordinance, the City Council adopted explicit and extensive findings highlighting how the sale of tobacco, particularly to youth, presents an imminent threat to the public health, safety, and welfare of the residents of the City of Richmond.
On September 10, 2019, the City Council adopted Ordinance No. 14-19 N.S. amending Richmond Municipal Code Chapter 7.106 - Tobacco Retailer License - to prohibit the sale of electronic cigarettes.
In 2021, the oversight of the Tobacco Retailer License program was transferred from the Richmond Police Department’s Regulatory Unit to the Code Enforcement Division of the Community Development Department.
In late 2023, the City noticed an increase in the establishment of new tobacco retailers that failed to obtain proper licensing, which in part was likely the result of other neighboring cities strengthening regulations and enforcement tools, placing the City in a 108
March 3, 2026
position to be an attractive market for unlicensed tobacco retailers. Following these complaints regarding the proliferation of unlicensed tobacco retailers, locations of tobacco retailer businesses, and the harmful effects of tobacco on the health, safety and welfare of City residents, especially the youth population, on April 15, 2024, the City Council adopted Urgency Ordinance No. 03-24 N.S., which imposed a temporary 45- day moratorium on the issuance of any new permits, licenses, or entitlements for new tobacco retailers within the City.
On May 21, 2024, the City Council adopted Urgency Ordinance No. 05-24 N.S. extending the temporary moratorium to April 15, 2025, to provide staff sufficient time to study the issue and propose amendments to the Municipal Code. During this study period, regulatory inspections were conducted at several tobacco retailers, which revealed that the issues relating to tobacco retailers were much broader and more serious than initially believed. Specifically, the inspections found that unlicensed tobacco retailing was only one of many violations, which also included the use of underage employees, the marketing and sale of unlawful cannabis, illicit drugs, and drug paraphernalia, and the stocking of large quantities of flavored tobacco products at multiple locations. As such, on April 1, 2025, the City Council adopted Ordinance No. 09-25, which extended the moratorium for another one year until April 15, 2026 to provide additional time to study and develop viable solutions to address the myriad public health, welfare, and safety issues identified. Further, in July 2025, the City Council amended the moratorium to provide for a pathway for certain unlicensed tobacco retailers to obtain a City tobacco retailer license during the moratorium and ultimately come into compliance with City regulations.
Notice of the February 24, 2026 public hearing was posted on the City’s Tobacco Retailers webpage: https://www.ci.richmond.ca.us/4662/Tobacco-Retailers-License and was sent via the ‘Notify Me’ notification to all subscribers. In addition, the public hearing notice was published in the newspaper on February 14 and February 21 and also posted outside of the 440 Building next to City Hall.
PROPOSED ORDINANCE AMENDMENTS
The proposed ordinance amendments clarify licensing requirements, ensure compliance with State law relating to sales of flavored tobacco products/enhancers, strengthen the City’s operating requirements and enforcement tools for tobacco retailers, and establish clear processes for inspections and compliance. These amendments aim to protect public health, safety, and welfare, reduce youth access to tobacco and nicotine products, and ensure the City is not a safe haven for nefarious business operations. In particular, the amendments maintain existing location buffer requirements while establishing a City-wide cap of 50 (fifty) Tobacco Retailer Licenses to prevent overconcentration and limit future growth of tobacco retailing. The ordinance also clarifies product restrictions, including limits on flavored tobacco products/enhancers and illicit drugs/hazardous substances, and provides for stricter and more narrowly tailored operational standards related to age verification, product display, 109
March 3, 2026
and retailer accountability. The proposed streamlined licensing process and establishment of a clear enforcement framework will improve compliance and provide the City with effective tools to monitor tobacco sales and prohibit unlawful operations.
Together, these updates modernize the City’s tobacco retail regulations, align local policy with best practices in youth tobacco prevention and community health, and ensure compliance with State law.
Density and Location Controls
City Ordinance No. 20-18 N.S. established minimum distance requirements between tobacco retailers and sensitive uses, including schools, parks, and libraries, and required new retailers to be located at least 500 feet from another licensed tobacco retailer and 1,000 feet from youth-populated areas. Retailers operating prior to the 2018 ordinance were allowed to continue as legal nonconforming businesses, provided their licenses were renewed annually without lapse.
Today, nearly all the City’s licensed tobacco retailers are legacy businesses established before 2018 or more recently as part of the ‘Pathway to Compliance’ program adopted by Council in July 2025. Due to the existing buffer requirements, very few current licensed locations in the City would meet the buffer requirements. Because these location standards are already highly restrictive, City staff are not proposing changes to the buffer distances.
Instead, the proposed amendments would establish a City-wide cap of 50 Tobacco Retailer Licenses. This approach allows existing, compliant businesses to continue operating while also placing reasonable limitations on the number of new retailers City- wide. A numerical cap is also straightforward to administer and can be adjusted by the City Council in the future if desired. At full buildout, the cap would equate to approximately one tobacco retailer per 2,250 residents, which is comparable but more restrictive than the limits placed by neighboring jurisdictions based on density population.
City Density Policy Ratio
San Francisco Cap on licenses 1 per 1,634 residents
San Jose None 1 per 1,663 residents
Alameda Limited by
population 1 per 2,500 residents
Berkeley None 1 per 1,433 residents
Petaluma Limited by
population 1 per 2,000 residents
Richmond
(Proposed) Cap on licenses 1 per 2,250 residents
Land Use Approach
110
March 3, 2026
City staff proposes strengthening the Tobacco Retailer License application and operating standards rather than adding a separate land use permit. The City considered requiring an Administrative Use Permit (AUP) for new tobacco retailers in addition to a Tobacco Retailer License. An AUP is a discretionary land use approval issued by City staff—rather than by the Richmond City Council or the planning commission—that allows a proposed use to proceed if it meets specific criteria set forth in the City’s zoning ordinance. While an AUP could provide additional land use oversight, it would create complications because land use permits typically run with the property rather than the operator. Based on these considerations and public input, City staff instead proposes strengthening the Tobacco Retailer License application and operating standards rather than adding a separate land use permit. This approach is consistent with neighboring jurisdictions.
KEY ELEMENTS OF THE PROPOSED TOBACCO RETAILER ORDINANCE
Purpose and Intent
The ordinance establishes a comprehensive local framework to regulate tobacco retailers, with the goals of protecting public health, reducing youth access to tobacco and nicotine products, addressing community impacts of tobacco sales, and ensures compliance with State law.
Tobacco Retailer License Requirement
All businesses selling tobacco products or electronic smoking devices must obtain and maintain a valid Tobacco Retailer License. Licenses are location-specific, generally non-transferable, and required at all times to operate.
Product Restrictions
The ordinance prohibits the sale of certain tobacco products that are known to appeal to youth, including flavored tobacco products and flavored electronic smoking devices, subject to any exceptions specified in the code. This approach is consistent with State laws, which explicitly prohibits any sale of flavored tobacco products and tobacco flavor enhancers.
Operational Standards
Licensed retailers must comply with clear operating requirements designed to reduce youth access, comply with State law, provide clarity to retailers, and improve accountability. Key operating requirements include:
No self-service displays or mobile sales;
Tobacco products must be kept behind the counter or in locked cases; Clerks must be at least 21 years old to engage in tobacco sales; Mandatory age verification and full compliance with State and federal sales laws; Required posting of age-of-sale and health warning signage; Limits on the display area for tobacco products and paraphernalia, which includes twenty percent sale display limits on new tobacco retailers not licensed prior to the effective date of the ordinance;
Cooperation with City inspections during business hours; 111
March 3, 2026
Prohibition on sales of hazardous substances such as illicit drugs, nitrous oxide, synthetic cannabinoids, and Kratom;
Prohibition of on-site use and consumption;
Prohibition on sales of flavored tobacco products;
Prohibition on sales of cannabis; and,
Clarity in safety, design, and marketing requirements.
License Term, Fees, and Renewal
Licenses are issued for a one-year term and must be renewed annually. Fees are established to recover the City’s costs for administration, education, compliance monitoring, and enforcement.
Enforcement, Suspension, and Appeals
Violations may result in administrative citations, fines, and suspension or revocation of the license, with escalating penalties for sales of flavored tobacco products or repeat violations as provided by State law. Additionally, to comply with State law, confiscation procedures and processes relating to flavored tobacco products are established. The ordinance includes notice, hearing, and appeal procedures to ensure transparency for retailers and due process protections.
Nonconforming Retailers
Retailers that do not meet current location standards may continue operating as legal nonconforming businesses, provided they remain in compliance with all operational requirements, including maintaining their tobacco retailer license without lapse.
Tobacco Retailer License Application Requirements
The ordinance amendments standardize the application process to ensure the City can verify eligibility and compliance before issuing a license. Applicants must provide information on the following:
(1) Business and Ownership Information
Legal business name, doing business as (DBA), address, and contact information
Names and contact information for all owners and operators Identification of a local managing agent, if applicable
(2) Disclosure and Accountability
Identification of all persons with an ownership interest Disclosure of prior tobacco-related violations or license actions, if required Signed acknowledgment of responsibility for complying with all tobacco laws
(3) Site and Operations Information
Description of the type of retail business
Site or floor plan showing tobacco product display areas Confirmation that the location complies with zoning and buffer requirements
112
March 3, 2026
(4) Product and Regulatory Information
Identification of the categories of tobacco and electronic smoking products to be sold
Acknowledgment of compliance with local product restrictions Proof of a valid California Department of Tax and Fee Administration tobacco retailer license
(5) Compliance Agreements
Agreement to post required signage
Consent to City inspections
Certification that employees will be informed of tobacco sales laws
(6) Fees and Certification
Payment of the required license fee
Signature under penalty of perjury that the application is complete and accurate
Ongoing Operational Compliance
As a condition of licensure, retailers must continuously comply with local, State, and federal tobacco laws. Owners are responsible for employee conduct related to tobacco sales, and violations may result in citations, fines, or suspension or revocation of the Tobacco Retailer License.
SYNERGISTRIC POLICIES:
The ordinance amendments are consistent with both the General Plan Land Use Element policy 1.4 and Health and Wellness Element policy 8.2, which seeks to improve the sense of safety for residents and visitors by restricting or prohibiting uses that are incompatible with community needs and priorities, including but not limited to liquor stores and smoke shops.
ENVIRONMENTAL REVIEW:
The ordinance 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)).
COMMUNITY OUTREACH AND ENGAGEMENT:
Good City Company (Good City) was contracted by the City in November of 2024 to assist City staff in updating the City’s tobacco retailer regulations and permitting process. In that time, Good City, with the support of City staff, developed an existing conditions report outlining the concerning trends in tobacco consumption, current City regulations, the number of licensed and unlicensed tobacco retailers, as well as the 113
March 3, 2026
number and type of violations seen by the tobacco task force enforcement team. The existing conditions report, potential regulations, and enforcement mechanisms were presented to the community at a workshop on February 11, 2025.
Following the community meeting, City staff and Good City presented to the Richmond Neighborhood Coordinating Council on March 10, 2025, and hosted a virtual stakeholder roundtable on March 27, 2025 with thirteen participating local tobacco retailers. Based on additional feedback from community groups, Good City and City staff drafted updates to the tobacco retail license application and renewal process.
A second community meeting was held on April 9, 2025, where the proposed ordinance changes were presented to the community for questions and feedback. Community members had the opportunity to participate in person and virtually. Eleven people participated virtually, and 29 people attended the meeting in person.
CONCLUSION:
Adoption of the amended Tobacco Retailer regulations will strengthen the City’s ability to protect public health, particularly by reducing youth access to tobacco and nicotine products, while providing clear, enforceable standards for retailers. The ordinance establishes a consistent local licensing framework, clarifies operational expectations, and aligns product restrictions and enforcement tools with current best practices in tobacco control. By addressing retailer location, product availability, and day-to-day sales practices, the regulations help curb youth initiation, support compliance with State and federal law, and ensure a level playing field for responsible businesses. Overall, these amendments provide a balanced approach that promotes community health, improves accountability, and equips the City with practical mechanisms to monitor and enforce tobacco retail activities.
DOCUMENTS ATTACHED:
Attachment 1 – Ordinance
Attachment 2 – Redline Version of the Ordinance
114
ORDINANCE NO. ___
ORDINANCE REPEALING CHAPTER 7.107 AND AMENDING CHAPTER 7.106 OF
THE RICHMOND MUNICIPAL CODE TO COMPLY WITH STATE LAWS
RELATING TO TOBACCO, IMPROVE CITY ENFORCEMENT OF TOBACCO-
RELATED MUNICIPAL CODE VIOLATIONS, AND TO ENHANCE PUBLIC SAFETY,
HEALTH AND WELFARE
WHEREAS, the City of Richmond (“ City”) is authorized by California Constitution, Article XI, Section 7 to make and enforce within its limits all local, police, sanitary and other ordinances and regulations not in conflict with general laws and that serve and protect the health, safety or welfare of the public;
WHEREAS, Government Code section 38771 authorizes the City to declare what constitutes a public nuisance;
WHEREAS, the State of California has long recognized that tobacco use is a leading cause of preventable disease, disability, and death, and that protecting the public—particularly youth— from tobacco addiction is a matter of statewide concern; WHEREAS, the California Legislature recently enacted Assembly Bill 3218 (AB 3218) and Senate Bill 1230 (SB 1230) to strengthen and clarify the statewide flavored tobacco prohibitions, including requiring the Attorney General to establish and maintain an Unflavored Tobacco List by December 31, 2025 , expanding seizure and destruction authority, clarifying enforcement authority, enhancing penalties and penalties procedures, and addressing online sales and delivery;
WHEREAS, the City Council finds and declares that tobacco use remains the leading cause of preventable death in the United States, killing more than 480,000 people each year. It causes or contributes to many forms of cancer, as well as heart disease and respiratory diseases, among other health disorders. 1 Tobacco use remains a public health crisis of the first order, in terms of the human suffering and loss of life it causes, the financial costs it imposes on society, and the burdens it places on our health care system;
WHEREAS, the City Council finds and declares that each day, about 2,500 children in the United States try their first cigarette; and another 400 children under 18 years of age become new regular, daily smokers.2 81% of youth who have ever used a tobacco product report that the first
1 U.S. Department of Health and Human Services. The Health Consequences of Smoking: 50 Years of Progress. A Report of the Surgeon General. Atlanta, GA: U.S. Department of Health and Human Services, Centers for Disease Control and Prevention, National Center for Chronic Disease Prevention and Health Promotion, Office on Smoking and Health. 2014. Available at:
https://www.ncbi.nlm.nih.gov/books/NBK179276/pdf/Bookshelf_NBK179276.pdf. 2 Substance Abuse and Mental Health Services Administration. 2015 National Survey on Drug Use and Health: Detailed Tables. 2016.
115
tobacco product they used was flavored 3. Flavored tobacco products promote youth initiation of tobacco use and help young occasional smokers to become daily smokers by reducing or masking the natural harshness and taste of tobacco smoke and thereby increasing the appeal of tobacco products. As tobacco companies well know, menthol, in particular, cools and numbs the throat to reduce throat irritation and make the smoke feel smoother, making menthol cigarettes an appealing option for youth who are initiating tobacco use. Tobacco companies have used flavorings such as mint and wintergreen in smokeless tobacco products as part of a “graduation strategy” to encourage new users to start with tobacco products with lower levels of nicotine and progress to products with higher levels of nicotine. It is therefore unsurprising that young people are much more likely to use menthol-, candy- and fruit-flavored tobacco products, including not just cigarettes but also cigars, cigarillos, and hookah tobacco, than adults. Data from t he 2011 National Youth Tobacco Survey indicate that more than two -fifths of U.S. middle school and high school smokers report using flavored little cigars or flavored cigarettes. Further, the Centers for Disease Control and Prevention has reported a more t han 800% increase in electronic cigarette use among middle school and high school students between 2011 and 2015. Nicotine solutions, which are consumed via electronic smoking devices such as electronic cigarettes, are sold in thousands of flavors that appeal to youth, such as cotton candy and bubble gum;
WHEREAS, the City Council finds and declares that young people and certain minority groups disproportionately use flavored tobacco products including menthol cigarettes ., In one survey, the percentage of Black or African-American adults 18-34 years old who currently smoked cigarettes used menthol cigarettes, compared to 39% of white adults in the same age group. .4 People who identify as LGBT and young adults with mental health conditions also struggle wit h disproportionately high rates of menthol cigarette use. The disproportionate use of menthol cigarettes among targeted groups, especially the extremely high use among African-Americans, is troubling because of the long-term adverse health impacts on those groups. The significant use of menthol cigarettes is an immediate hazard due to the short and long -term adverse health impacts on those groups and communities as a whole5;
WHEREAS, the City Council finds and declares that between 2004 and 2014 overall smoking prevalence decreased, but use of menthol cigarettes increased among both young adults
3 Ambrose BK, Day HR, Rostron B, et al. Flavored Tobacco Product Use Among US Youth Aged 12-17 Years, 2013-2014. Jama. 2015;314(17):1871-1873. 4 Watkins SL, Pieper F, Chaffee BW, et al. Flavored tobacco product use among young adults by race and ethnicity: evidence from the Population Assessment of Tobacco and Health Study. J Adolesc Health. 2022;71(2):226–232.
5 California Tobacco Control Program. California Tobacco Facts and Figures 2019. Sacramento, CA: California Department
of Public Health. 2019. Available at:
https://www.cdph.ca.gov/Programs/CCDPHP/DCDIC/CTCB/CDPH%20Document%20Library/ ResearchandEvaluation/FactsandFigures/CATobaccoFactsandFigures2019.pdf. 116
(ages 18-25) and other adults (ages 26+). 6 Specifically, studies report that among adult smokers, menthol use rose to approximately 43% in 2020, with highest rates among younger adults aged 18-34. These statistics are consistent with the finding that smoking menthol cigarettes reduces the likelihood of successfully quitting smoking. Scientific modeling has projected that a national ban on flavored tobacco products including menthol cigarettes could save between 300,000 and 600,000 lives by 20507;
WHEREAS, the City Council finds it necessary to amend and clarify restrictions , enforcement tools, and licensing requirements for tobacco retailers to promote public safety and the general welfare of its residents. As part of the City’s efforts to study and improve licensing and enforcement tools for regulating unlicensed tobacco retailers and sales of prohibited tobacco products throughout the City, regulatory inspections were conducted at several tobacco retailers.
These inspections revealed serious issues including a large number of retailers operating without necessary State and local licenses, retailers being operated by underaged employees, marketing and sales of unlawful cannabis, illicit drugs, and paraphernalia including to minors, and mass quantities of flavored tobacco products available. These discoveries are particularly troublesome given the widespread availability and ease of access for the City’s youth; WHEREAS, the City Council finds it necessary and appropriate to prohibit the sale of flavored tobacco products within its limits to protect minors, reduce youth and young -adult initiation, promote cessation among current users, advance health equity (given disproportionate marketing of menthol and flavored products to historically marginalized groups), and thereby promote the general welfare of its residents;
WHEREAS, changes in State and federal statutes and case law require updates to the Municipal Code in order to comply with changes in the law; WHEREAS, the City desires to continue improving its processes to provide for effective, fair and efficient enforcement of the Municipal Code to enhance public health, safety and welfare, and to preserve the community;
WHEREAS, on February 24, 2026, the City Council held a duly noticed public hearing and introduced the Ordinance for first reading;
WHEREAS, all other legal prerequisites to the adoption of this Ordinance have occurred; and,
6 Villanti AC, Mowery PD, Delnevo CD, Niaura RS, Abrams DB, Giovino GA. Changes in the prevalence and correlates
of menthol cigarette use in the USA, 2004-2014. Tob Control. 2016;25(Suppl 2):ii14-ii20. doi:
10.1136/tobaccocontrol-2016-053329.
7 Levy DT, Pearson JL, Villanti AC, et al. Modeling the future effects of a menthol ban on smoking prevalence and smoking-attributable deaths in the United States. Am J Public Health. 2011;101(7):1236-1240. doi:10.2105/AJPH.2011.300179
117
WHEREAS, the City Council has considered the application of the California Environmental Quality Act (CEQA) Ordinance amending the Municipal Code to provide regulations for the retail sale of tobacco products.
NOW, THEREFORE, THE CITY COUNCIL OF THE CITY OF RICHMOND, CALIFORNIA, DOES HEREBY ORDAIN AS FOLLOWS:
SECTION 1: The recitals above are true and correct and incorporated herein by this reference.
SECTION 2: Chapter 7.106 of the Richmond Municipal Code is amended to read as follows:
Chapter 7.106 – TOBACCO RETAILER LICENSE
7.106.010 - Purpose.
7.106.020 - Definitions.
7.106.030 - Applicability.
7.106.040 - Operating Prerequisites.
7.106.050 - Tobacco Retailer License - Application Procedures.
7.106.060 - Tobacco Retailer License - Issuance, Denial, and Appeals.
7.106.070 - Tobacco Retailer License - Fees.
7.106.080 - Tobacco Retailer License - Expiration and Renewal.
7.106.090 - Tobacco Retailer License - Denial, Suspension, and Revocation Procedures and Effects.
7.106.100 - Operating Requirements and Prohibitions.
7.106.110 - Compliance Monitoring and Inspections.
7.106.120 - Enforcement and Penalties.
7.106.010 - Purpose.
The purpose of this Chapter is to impose a licensing requirement on tobacco retailers and set forth clear operational standards for licensed retailers.
7.106.020 - Definitions.
For purposes of this Chapter, the following words, terms and phrases shall have the meanings given below:
“Arm’s length transaction” means a bona fide sale or transfer conducted in good faith and for valuable consideration that reflects fair market value in the open market, between independent, 118
unrelated, and unaffiliated parties, each acting in its own self-interest and without any compulsion, control, influence, o r common economic interest. “Independent, unrelated, and unaffiliated parties” means parties that, at the time of the transaction, do not: share common ownership, beneficial ownership, or voting control, whether direct or indirect; have overlapping directors, officers, managers, trustees, or key decision -makers; have a familial, par tnership, joint venture, fiduciary, or contractual relationship that permits one party to influence or direct the business, management, or operations of the other; or, act pursuant to any agreement, understanding, or coordinated plan, whether written or unwritten. “Control” means the ability, whether exercised or not, to directly or indirectly direct or materially influence the management, operations, or policies of an entity, including through ownership of voting interests, contractual rights, economic dependence, or other means of effective influence. For greater certainty, an arm’s length transaction does not include any sale or transfer:
(1) Between first -degree relatives, partners, joint venturers, affiliates, or entities under common control or common beneficial ownership;
(2) That results in any direct or indirect change in control, management, operational authority, or economic benefit to a rel ated or affiliated person or entity, including through restructuring, amalgamation, assignment, trust arrangement, option, nominee arrangement, or similar device; or,
(3) In which a material purpose, assessed on an objective basis having regard to the timing, structure, consideration, and surrounding circumstances of the transaction, is to avoid, circumvent, or mitigate the application or effect of any violation of this Chapter.
The burden of demonstrating that a transaction qualifies as an arm’s length transaction rests with the party asserting such qualification.
"Characterizing flavor" means and shall include the definition set forth in California Health and Safety Code Section 104559.5, as may be amended from time to time. "Cigar" means any roll of tobacco other than a cigarette wrapped entirely or in part in tobacco or any substance containing tobacco. "Cigarette" means: (1) any roll of tobacco wrapped in paper or in any substance not containing tobacco; and (2) any roll of tobacco wrapped in any substance containing tobacco which, because of its appearance, the type of tobacco used in the filler, or its packaging and labeling, is likely to be offered to, or purchased by, consumers as a cigarette described herein. “Clerk” means any person present at the toba cco retailer who facilitates, attempts to facilitate, or has been tasked with facilitating the operations of the tobacco retailer regardless of title, status of employment, or scope of duties.
"Consumer" means any person who purchases a tobacco product for consumption rather than for sale to another.
"Department" means the Richmond Community Development Department , Planning Division.
119
"Drug paraphernalia" means and shall include the definition set forth in California Health and Safety Code Section 11014.5, as that section may be amended from time to time, and any other equipment, product, or materials of any kind which are intended or designed for drug use including common items that may otherwise not typically relate to drug use. Enforcement officers shall have authority to determine whether a specific product is intended for drug use and shall use their expertise to make this determination taking into account the context, placement of products, similar occurrences, and any other factor providing insight into the intent. Specifically, given the prevalence of abuse of nitrous oxide throughout the City, there shall be a presumption that nitrous oxide is drug par aphernalia absent mitigating circumstances or context as determined by the enforcement officer.
"Drug store" means any business or other commercial enterprise that is (1) licensed as a pharmacy by the State of California pursuant to the California Business and Professions Code, and (2) identified as a Drug Store with the California Board of Equalization, or with the Richmond Finance Department, or is otherwise commonly known as a drugstore. “Electronic cigarette” means the definition set forth in Section 3 0121 of the California Revenue and Taxation Code, as may be amended from time to time. “Enforcement officer” means the Richmond Community Development Department, Code Enforcement Division and any designees or agents, which are vested with authority to enforce this Chapter.
“Entire premise” means all areas within or appurtenant to a building, structure, or site used, occupied, or controlled by a tobacco retailer, including but not limited t o all sales areas, storage rooms, offices, display areas, employee quarters, restrooms, hallways, loading areas, outdoor areas, and vehicles used for business purposes, regardless of whether such areas are open to the public or separately secured.
"Flavored tobacco product" means any tobacco product that imparts a Characterizing Flavor and includes any tobacco product or tobacco flavor en hancer that is not listed on the Unflavored Tobacco List established and maintained by the Attorney General pursu ant to California Health and Safety Code Section 104559.1 as may be updated from time to time. There is a rebuttable presumption that a tobacco product is a flavored tobacco product if a manufacturer or any of the manufacturer’s agents or employees, in the course of their agency or employment, has made a statement or claim directed to consumers or to the public that the tobacco product has or produces a characterizing flavor, including, but not limited to, text, color, images, or all, on the product’s label ing or packaging that are used to explicitly or implicitly communicate that the tobacco product has a characterizing flavor.
“Hazardous substance” means any product, compound, mixture, or material, whether natural or synthetic, the use, ingestion, inhalati on, or absorption of which is determined to be particularly detrimental to the health, safety, or welfare of an individual including but not limited to the following: (1) Any plant or derivative commonly known as Kratom ( Mitragyna speciosa) or any product containing its active alkaloids mitragynine or 7 -hydroxymitragynine; (2) nitrous oxide; (3) synthetic cannabinoids (K2, Spice, etc.); and, (4) salvia divinorum. 120
"Little cigar" means any roll of tobacco other than a cigarette wrapped entire ly or in part in tobacco or any substance containing tobacco and weighing no more than three pounds per thousand and includes, but is not limited to, any tobacco product known or labeled as "small cigar" or "little cigar" or “cigarillo”.
“Looseleaf tobacco” means any product that consists of cut or shredded pipe tobacco, which is usually sold in pouches.
"Manufacturer" means any person, including any repacker or relabeler, who manufactures, fabricates, assembles, processes, or labels a tobacco product; or imports a finished tobacco product for sale or distribution into the United States.
“New tobacco product” means the definition set forth in 21 U.S.C Section 387j(a)(1), as may be amended from time to time.
“Nitrous oxide” means any of the following substances: N2O2 dinitrogen monoxide, dinitrogen oxide, nitrogen oxide, or laughing gas, as defined in California Penal Code Section 381c(a) as may be amended from time to time. Nitrous oxide is a colorless nonflammable gas sometimes informally o r colloquially referred to as "nitro," "NOX," "galaxy gas," "whippits," amongst other names.
"Package" or "packaging" means a pack, box, carton, or container or any kind or, if no other container, any wrapping (including cellophane) in which a tobacco product is sold or offered for sale to a consumer.
"Person" means any natural person, partnership, cooperative association, corporation, personal representative, receiver, trustee, assignee, or any other legal entity. "Proprietor" means a person with an owners hip or managerial interest in a business. An ownership interest shall be deemed to exist when a person has a ten percent (10%) or greater interest in the stock, assets, or income of a business other than the sole interest of security for debt.
A managerial interest shall be deemed to exist when a person can or does have or share ultimate control over the day-to-day operations of a business.
"Sale" or "sell" means any transfer, exchange, barter, gift, offer for sale, or distribution for commercial purpose, in any manner or by any means whatsoever. “Sale display area” means the total area of shelving, counters, racks, cabinets, cases, or other fixtures located within the tobacco retailer that contain products accessible to customers and used to display goods o ffered for sale, whether for self -service or clerk -assisted purchase. For clarity, the following provisions apply:
(1) “Sale display area” shall include: all horizontal and vertical shelf space used to present products to customers ; endcaps, freestanding display units, countertop displays, and wall-mounted display systems; and, locked or behind-the-counter display cases that visibly present products to customers. (2) “Sale display area” shall not include: s torage areas not visible to customers ; back-of-retailer inventory space; and, areas where customers have no access. 121
"Self-service display" means the open display or storage of tobacco products or tobacco paraphernalia in a manner that is physically accessible in any way to the general public without the assi stance of the retailer or employee of the retailer and a direct person -to-person transfer between the purchaser and the retailer or employee of the retailer. A vending machine is a form of self-service display.
“Shisha tobacco product” means a tobacco product smoked or intended to be smoked in a hookah and includes, and may be referred to as, hookah tobacco, waterpipe tobacco, maassel, narghile, and argileh. “Shisha tobacco product” does not include any electronic devices, such as an electronic hookah, electronic cigarette, or electronic tobacco product. "Tobacco product" means:
(1) Any product containing, made, or derived from tobacco or nicotine that is intended for human consumption, whether smoked, heated, chewed, absorbed, dissolved, inhaled, snorted, sniffed, or ingested by any other means, including, but not limited to cigarettes, cigars, little cigars, chewing tobacco, pipe tobacco, looseleaf tobacco, and snuff.
(2) Any electronic device that delivers nicotine or other vaporized liquids to the person inhaling from the device, including, but not limited to an electronic cigarette, cigar, pipe, or hookah.
(3) Notwithstanding any provision of subsections (1) and (2) to the contrary, "tobacco product" includes any component, part, or accessory intended or reasonably expected to be used with a tobacco product, whether or not sold separately.
(4) Tobacco paraphernalia.
(5) Exemptions. The term "tobacco product" does not include:
i. Drugs, devices, or combination products authorized for sale by the United States Food and Drug Administration (FDA), as those terms are defined in the Federal Food, Drug and Cosmetic Act; or,
ii. Nicotine replacement therapy products that are approved or authorized by the FDA for over -the-counter or prescription sale for the purpose of delivering nicotine to a user without combustion, without tobacco leaf, and without inhalation of smoke or aerosol, and that is intended to assist in the treatment of nicotine dependence or the cessation of tobacco use including the following: nicotine gum, lozenges, transdermal patches, nasal sprays, and oral inhalers, provided that such products: (1) deliver nicotine at a controlled, standardized, and measurable dosage in accordance with FDA approval; and, (2) are marketed, labeled, and sold primarily for smoking cessation or nicotine dependence treatment, and not for recreational use. "Tobacco paraphernalia" means any item designed or marketed for the consumption, use, or preparation of tobacco products includes any instrument or paraphernalia that is designed for the smoking or ingestion of lawful tobacco products including without limitation cigarette papers, cigarette wrappers, cigar wrappers, blunt wraps, pipes, holders, clips, and cigarette rolling 122
machines. “Tobacco paraphernalia” excludes items classified as “drug paraphernalia” per Health and Safety Code Section 11364.5(d), as may be amended from time to time. “Tobacco product flavor enhancer” means a product designed, manufactured, produced, marketed, or sold to produce a characterizing flavor when added to a tobacco product. "Tobacco retailer" means any person or entity who sells, offers for sale, or does or offers to exchange for any form of consideration, tobacco, tobacco products, or tobacco paraphernalia. "Tobacco retailing" shall mean the doing of any of these things. This definition is without regard to the quantity of tobacco, tobacc o products, or tobacco paraphernalia sold, offered for sale, exchanged, or offered for exchange.
"Youth-populated area" means a parcel that is occupied by any of the following:
(1) Public or private school that facilitates instruction to minors (K -12, preschools, daycares);
(2) Playground open to the public regardless of ownership or access; (3) Park open to the public or to all the residents of a private community or open to the public or to all the residents of a private community; or, (4) Library that has any hours open to the public.
7.106.030 - Applicability.
The standards set forth in this Chapter shall apply to all tobacco retail sales and tobacco retailers including the operation of existing businesses, new businesses, and the conversion or expansion of an existing business to include the sale of tobacco, tobacco products, or tobacco paraphernalia, as defined herein. The provisions of this Chapter shall take effect and be in full force and operation thirty (30) days after its final passage and adoption.
7.106.040 - Operating Prerequisites.
Tobacco retailers must comply with all of the following operating prerequisites prior to engaging in any tobacco retailing operations or attempted sales of tobacco products:
(A) Tobacco Retailer License Required. It shall be unlawful for any person or entity to operate as a tobacco retailer in the City without first obtaining and maintaining a valid tobacco retailer license pursuant to this Chapter for each location at which tobacco retailing is to occur. Tobacco retailing without a valid tobacco retailer license is a nuisance as a matter of law and a violation of this Code.
(B) Lawful Business Operation. It shall be unlawful for any person or entity to operate as a tobacco retailer in the City without first obtaining and maintaining both: (1) a valid State tobacco retailer license and seller’s permit issued and obtained from the California Department of Tax and Fee Administration ; and, (2) a business tax certificate obtained pursuant to Chapter 7.04 of this Code, which shall be applied for and a complete application shall be on file with the City prior to applying for a tobacco retailer license. Upon issuance of the tobacco retailer license, the City will process and issue a business tax certificate. 123
The issuance of any license, permit, or certificate shall not eliminate compliance with any other requirements, including the requirement for another permit, certificate, or clearance, imposed by any other local, State, or federal rule, regulation, or law. (C) Location Requirements. All location al requirements must be met including the following:
(1) Fixed Location Required. No license may be issued to authorize tobacco retailing at any location other than a fixed location. For example, tobacco retailing by persons on foot or from vehicles is prohibited.
(2) Drug Store Operations Prohibited. No drug store shall engage in tobacco retailing or otherwise sell or distribute tobacco products.
(3) Convenience Market Operations Limited. Convenience markets shall adhere to the sale limitations and operational requirements set forth in Section 15.04.610.150(F) of this Code.
(4) Concurrent Sales of Cannabis Prohibited. No sales of cannabis products shall take place at any tobacco retailer.
(5) Undue Concentration Prohibited. Except as provided in Section 7.106.040(D) below, no tobacco retailing may take place, no license may be issued, and no existing license may be renewed, to authorize tobacco retailing if the proposed tobacco retailer is located within 500 feet of any parcel occupied by any existing licensed tobacco retailer or pending applic ation for tobacco retailer . For purposes of this Section, distance is measured by the shortest line connecting any point on the property line of the parcel on which tobacco retailing business will be established or maintained to any point on the property line of the other parcel.
(6) Proximity To Youth P opulation Prohibited. Except as provided in Section
7.106.040(D) below, no tobacco retailing may take place, no license may be issued, and no existing license may be renewed, to authorize tobacco retailing if the proposed tobacco retailer is located within 1,000 feet of any parcel occupied by a youth - populated area. For purposes of this section, distance is measured by the shortest line connecting any point on the property lin e of the parcel on which tobacco retailing business will be established or maintained to any point on the property line of the other parcel.
(D) Exemption For Existing Licensed Tobacco Retailers . Existing licensed tobacco retailers operating in substantial compliance prior to the effective date of this ordinance shall be exempt from certain prerequisite location requirements, set forth in Section 7.106.040(C) above, so long as the retailer’s tobacco license does not lapse, State requirements are met, and operations are brought into compliance with all provisions of this Chapter no more than one hundred and twenty ( 120) days after the date this ordinance is adopted. Failure to bring operations into compliance within this period shall be grounds for suspension or revocation of such tobacco retailer license.
(E) Limitation on Number of Tobacco Retailers. Operation Subject to Availability of Licenses. Regardless of compliance with the requirements set forth in Section 7.106.040, the City has determined that the number of tobacco retailers operating within the City at any one 124
time shall be limited to prevent undue concentration within the City. All operations regardless of compliance with this Chapter are subject to the following limitations:
(1) The total number of tobacco retailer licenses issued by the City at any given time shall not exceed fifty (50) licenses.
(2) In the event that the number of active tobacco retailer licenses reaches the maximum amount of fifty (50) licenses, no additional tobacco retailer licenses shall be issued until such time that the total number of active tobacco licenses falls below the maximum limit.
7.106.050 - Tobacco Retailer License – Application Procedures.
All new and existing tobacco retailers must obtain an annual tobacco retailer license and comply with all operating prerequisites and standards as set forth in this Chapter. An application for a tobacco retailer license shall be submitted on a form supplied by the Department and shall contain, at a minimum, the following information:
(A) Proprietor Information.
(1) An application for a tobacco retailer license shall be submitted in the name of each proprietor proposing to conduct retail tobacco sales and shall be signed by each proprietor or an authorized agent thereof.
(2) Each proprietor of the business that is seeking to operate under a tobacco retailer license must provide the following information:
i. The name, address, telephone number, driver's license or similar identification, including date of birth, of each proprietor of the tobacco retailer that is applying for a license;
ii. The title and function(s) that each proprietor will serve in the operations of the tobacco retailer;
iii. Information on whether the proprietor has operated a tobacco retailer previously within the City including the business name of the tobacco retailer, the names of the operators, and the dates of operation; iv. A summary of criminal history ("LiveScan") for each proprietor prepared by the Richmond Police Department not more than thirty (30) days prior to the date the application is submitted;
v. Whether or not the proprietor or any agent of the proprietor has admitted violating, or has been found to have violated, the City’s tobacco regulations and, if so, the dates and locations of all such violations within the previous past five years;
vi. A statement signed by each proprietor attesting that no flavored tobacco products, drug paraphernalia , illegal drugs, hazardous substances, or cannabis is or will be sold at the tobacco retailer at any time; vii. A statement signed by the property owner of record attesting to their understanding of the provisions set forth in this Chapter and agreement to ensure tenant compliance with such provisions including the prohibition of 125
sales of flavored tobacco products, drug paraphernalia, illegal drugs, hazardous substances, and cannabis;
viii. A statement signed by each proprietor attesting to compliance with the operating prerequisites set forth in Section 7.106.040 or a statement explaining that the exemption in Section 7.106.040(D) applies and if so, that the criteria for the exemption has been complied with;
ix. A statement signed by each proprietor that they provide unconditional consent to all enforcement officer s, the Department, and any agents to inspect the tobacco retailer pursuant to the provisions of this Chapter including unannounced inspections of the entire premise without prior notice. As part of this statement, each proprietor agrees and acknowledges that failure to comply is a violation of this Chapter and grounds for immediate revocation of such tobacco retailer license; and, x. If the proprietor is not a natural person, the proprietor shall provide additional information on the entity including the following: (1) documents demonstrating entity own ership and control including : the articles of incorporation, articles of organization, certificate of formation, operating agreement, most recent statement of information, board of directors resolutions, manager resolutions, and bylaws; (2) documents demonstrating management structure including the names of all mana gers and members; and, (3) a disclosure identify all direct and indirect beneficial owners. A statement signed by an authorized officer or manager confirming the accuracy and completeness of information provided shall be provided. (3) If the proprietor is not a natural person, the information requested in Section
7.106.050(A) shall be provided by an officer or manager with authorized authority to bind the entity.
(4) It is the responsibility of each proprietor to be informed regarding all laws applicable to tobacco retailing, including those laws affecting the issuance of a tobacco retailer license. No proprietor may rely on the issuance of a license as a determination by the City that the proprietor has complied with all laws applicable to tobacco retailers. A license issued contrary to this Chapter, contrary to any other law, or on the basis of false or misleading information supplied by a proprietor shall be revoked pursuant to Section 7.106.090. Nothing in this Chapter shall be construed to vest in any person obtaining and maintaining a tobacco retailer license any status or right to act as a tobacco retailer in contravention of any provision of law. (B) Prerequisite Com pliance. The following information regarding compliance with prerequisite operating requirements shall be provided:
(1) Proof that the location for which a tobacco retailer license is sought has been issued a valid state tobacco retailer license and seller’s permit by the California Department of Tax and Fee Administration. Providing a copy of the valid state license and California reseller number shall be sufficient proof.
(2) Proof that a complete application for a business tax certificate pursuant to Chapter
7.04 of this Code has been applied for and submitted pursuant to the procedures in 126
Chapter 7.04 of this Code . Providing a copy of the notice of submission of the business tax certificate shall be sufficient proof.
(3) Proof of compliance with the operating prerequisites set forth in Section 7.106.040 or proof that the exemption in Section 7.106.040(D) applies and the criteria for the exemption has been met.
(C) Operating Information. The following information regarding operating procedures shall be provided:
(1) The address of the property where the proposed tobacco retailer will operate. (2) A preferred service address to receive all notices and documents from the City relating to compliance and enforcement with this Chapter. (3) Proposed hours of operation.
(4) List of proposed tobacco products and paraphernalia for sale. (5) A site plan with fully dimensioned interior and exterior floor plans, including security cameras, lighting, identification of where tobacco products will be display ed, and disabled access compliance pursuant to Title 24 of the State of California Code of Regulations and the federal Americans with Disabilities Act. (6) If the site is being rented, leased or is being purchased under contract, a copy of such lease or contract.
(7) If the site is being rented or leased, written proof that the property owner and landlord, if applicable, were given notice that the property will be used as a tobacco retail er, and that the property owner and landlord, if applicable, agree(s) to said operations. If the retail facility is to be a subtenant, then "landlord" shall mean the primary tenant. (D) Additional Information. Such other information as the Department deems necessary to process the tobacco retailer license or otherwise necessary for the administration of this Chapter. If the Department requests additional information, the applicant must supply the information within thirty (30) days and such application shall be on hold until such additional information is provided. If an applicant fails to correct any specified deficiency or provide the requested information within thirty (30) days, the application will be deemed expired for inaction. After the expiration of an application, the submittal of a new, complete application is required.
(E) Material Change. All information required by the Department to apply for a tobacco retailer license shall be updated with the Department whenever the information changes.
A tobacco retailer shall provide the Department with any updates within ten (10) days of a change.
(F) Fee. Payment of fee as described in Section 7.106.070 shall be provided with the application for the tobacco retailer license.
7.106.060 – Tobacco Retailer License – Issuance, Denial, and Appeals. (A) Issuance. Upon the Department’s receipt of both a complete application for a tobacco retailer license and the license fee as required by this Chapter, the Department may make 127
the determination to issue a tobacco retailer license unless evidence demonstrates that one or more of the following bases for denial exists:
(1) The information presented in the application is incomplete, inaccurate, or false.
Intentionally supplying inaccurate or false information shall be a violation o f this Chapter;
(2) The application seeks authorization for tobacco retailing for a proprietor to whom this Chapter prohibits a license to be issued;
(3) The application seeks authorization for tobacco retailing at a location for which this Chapter prohibits a license to be issued;
(4) The application seeks authorization for tobacco retailing that is prohibited pursuant to this Chapter (e.g., mobile vending), that is unlawful pursuant to this Code, or that is unlawful pursuant to any other law;
(5) The applicant, or any officer, agent or owner of the applicant, if an entity, or proposed manager of the tobacco retailer has been found in violation of this Chapter, has had a prior tobacco retailer license revoked within the last year , been issued an administrative citation for operating without a tobacco retailer license within the last two years, or has had other licenses or operational approvals relating to business operations within the City revoked within the last year; (6) The applicant, or any officer, agent or owner of the applicant, if an entity, or proposed manager of the tobacco retailer has an outstanding amount of fines or fees owed to the City and are delinquent on payment;
(7) The applicant or any officer, agent or owner of the applicant, if an entity, or proposed manager of the tobacco retailer has been found in violation of any State law relevant to such license application and/or has any relevant State license that has been revoked or currently suspended;
(8) The City has assessed the impact that issuance of the tobacco retailer license will have on the public and has determined, based on substantial evidence from various City or public records and research including code-enforcement, nuisance, or law - enforcement data, that the impact on the public raises credible health, safety, and welfare concerns that outweigh the applicant’s interest in operating. Such concerns may include, but are not limited to: documented increases in traffic or pedestrian congestion attributable to simil ar uses in the vicinity; proximity to schools, youth - serving facilities, or areas where minors regularly congregate, and the potential for increased youth access to tobacco products; the existing concentration of tobacco retailers within the surrounding ar ea and the cumulative impact on vulnerable or disproportionately affected populations; documented crime statistics, police reports, or enforcement data demonstrating an association between tobacco retail activity and public safety impacts at or near the pr oposed location; the applicant’s prior compliance history, including any violations of tobacco, business licensing, or related regulations at the proposed location or other locations operated by the applicant; and, the site’s historical pattern of complain ts, enforcement actions, or adverse impacts related to similar historical uses;
128