City of San Juan Bautista
The “City of History”
www.san-juan-bautista.ca.us
CITY COUNCIL
SPECIAL MEETING
MONDAY, MAY 5, 2025, 5:30 P.M.
HYBRID MEETING
City Hall, Council Chambers
311 Second Street, San Juan Bautista, California
AMENDED AGENDA
ZOOM WEBINAR PARTICIPATION
The meeting can also be accessed by the public in the following methods: Through Zoom (https://zoom.us/join) per the instruction stated below, and on Facebook.
Please note: If all Council Members are present in person, public participation by Zoom or viewing on Facebook is for convenience only and is not required by law. If the Zoom or Facebook feed is lost for any reason the meeting may be paused while a fix is attempted but the meeting may continue at the discretion of the presiding officer.
JOIN ZOOM WEBINAR TO PARTICIPATE LIVE
https://us02web.zoom.us/j/88373320235
To participate telephonically:
call 1 (669) 900-6833
Webinar ID: 883 7332 0235
PUBLIC COMMENT - ADVISEMENT
Public comments are limited to items on this special meeting agenda pursuant to California Government Code section § 54954.3(b). Public comments are generally limited to three (3) minutes per speaker; the Mayor may further limit the time for public comments depending on the agenda schedule.
1. CALL TO ORDER
A. Pledge of Allegiance
B. Roll Call
2. CLOSED SESSION – 5:30 P.M. – 6:30 P.M.
Receive public communications from the audience on Closed session items. The City Council will recess to closed session pursuant to:
a. Public Employee Employment – California Government Code §54957(b)(1)) - City Manager.
b. Conference with Legal Counsel—Existing Litigation – Orozco v. City of San Juan Bautista, et al. (California Government Code section 54956.9(d)(1)) Page | 2 City Council May 5, 2025
3. PROCLAMATION
A. Public Works Week, May 18-24, 2025
4. CONSENT
All matters listed under the San Juan Bautista City Council Consent Agenda may be enacted by one motion unless a member of the City Council or the public requests discussion or a separate vote.
A. Approve the Affidavit of Posting Agenda
B. Waive Reading of Ordinances and Resolutions on the Agenda Beyond Title C. Authorization to Enter into Agreement with MNS Engineers, Inc. for Hazard Mitigation Grant Program (HMGP) Grant Writing Services
Recommendation: Approve a Resolution Authorizing the City Manager to enter into a professional services agreement with MNS Engineers, Inc. to provide grant writing services for the City's Hazard Mitigation Grant Program (HMGP) application, in an amount not to exceed $31,070.
D. Approval of Agreement with Ridgeline Municipal Strategies, LLC for Municipal Advisory Services Related to Water and Wastewater Compliance Projects Recommendation: Approve a Resolution Authorizing the City Manager to enter into an agreement with Ridgeline Municipal Strategies, LLC to provide municipal advisory and consulting services to support the City’s financing strategy for water and wastewater system compliance projects, and authorize the City Manager to execute the agreement in an amount not to exceed $50,000.
E. Approval of Contract with Community Development Consultants for a Citywide Income Survey
Recommendation: Approve a Resolution Authorizing the City Manager to execute a contract with Community Development Consultants (Adams Ashby Group) to conduct a citywide income survey, in an amount not to exceed $35,000.
F. Approve the Special Meeting Minutes of March 25, 2025.
G. Approve the Special Meeting Minutes of April 17, 2025.
H. Approve the Special Meeting Minutes of April 22, 2025.
5. ADJOURNMENT
AGENDA MATERIAL / ADDENDUM
Any addendums will be posted not later than 72 hours before regular meetings or 24 hours of special meetings unless otherwise allowed under the Brown Act. City Council reports may be viewed at the City of San Juan Bautista City Hall at 311 Second Street San Juan Bautista and are posted on the City website www.san-juan-bautista.ca.us subject to Staff’s ability to post the documents before the meeting, or City Clerk Elizabeth Soto at [email protected] or calling (831) 623-4661 during normal business hours.
In compliance with the Americans with Disabilities Act, and Govt. Code 54953(a), the city will make reasonable arrangements to ensure accessibility to this meeting. If you need special assistance to participate in this meeting, please contact the City Clerk, a minimum of 48 hours prior to the meeting at (831) 623-4661.
If you challenge any planning or land use decision made at this meeting in court, you may be limited to raising only those issues you or someone else raised at the public hearing held at this meeting, or in written correspondence delivered to the City Council at, or prior to, the public hearing. Please take notice that the time within which to seek judicial review of any final administrative determination reached at this meeting is governed by Section 1094.6 of the California Code of Civil Procedure.
Page | 3 City Council May 5, 2025
A Closed Session may be called during this meeting pursuant to Government Code §54956.9 (d)(2) if a point has been reached where, in the opinion of the legislative body of the City on the advice of its legal counsel, based on existing facts and circumstances, there is a significant exposure to litigation against the City.
PUBLIC COMMENT PROCEDURES
If you wish to make a public comment and are attending in person, please fill out a speaker card. If you are attending via Zoom, join the Zoom Webinar, and use the "Raise Hand" or if joining by telephone, press *9 on your telephone keypad icon.
SUBMISSION OF PUBLIC COMMENTS
Written comments may be submitted via mail to the City Clerk at City Hall (P.O. Box 1420, San Juan Bautista, CA 95045), or emailed to [email protected] no later than 5:00 p.m. the day before the meeting. Written comments will be read into the record provided that the reading does not exceed three (3) minutes.
PUBLIC NOTIFICATION
This agenda was posted on Friday, May 2, 2025, on the bulletin board at City Hall, 311 Second Street, the bulletin board at the City Library, 801 Second Street, the bulletin board at the entrance to the United States Post Office, 301 The Alameda, and the City’s website. Meetings are streamed live at https://www.facebook.com/cityofsanjuanbautista/.
San Juan Bautista
California
~ National Public Works Week, May 18-24, 2025 ~
WHEREAS, public works professionals focus on infrastructure, facilities and services that are of vital importance to sustainable and resilient communities and to the public health, high quality of life and well-being of the people of San Juan Bautista; and WHEREAS, these infrastructure, facilities and services could not be provided without the dedicated efforts of public works professionals, who are engineers, managers, and employees at all levels of government and the private sector, who are responsible for rebuilding, improving, and protecting our nation’s transportation, water supply, water treatment and solid waste systems, public buildings, and other structures and facilities essential for our residents; and WHEREAS, it is in the public interest for the residents, civic leaders and children in San Juan Bautista to gain knowledge of and to maintain an ongoing interest and understanding of the importance of public works and public works programs in their community; and WHEREAS, the National Public Works Week theme “People, Purpose, Presence" highlights three cornerstone ideals that motivate public works professionals to serve in their communities every day. Meeting the needs of people is what gives public works its sense of purpose. Many times, public works professionals will never meet those whose lives have been impacted because when things are going right, no one knows that public works is there. Yet, with or without fanfare, public works is ever present, working in the background to advance quality of life for all.
NOW, THEREFORE, I, Mayor Jordan, on behalf of the San Juan Bautista City Council, do hereby designate the week MAY 18-24, 2025 as “NATIONAL PUBLIC WORKS WEEK” and urge all residents to join with representatives of the American Public Works Association and government agencies in activities, events, and ceremonies designed to pay tribute to our public works professionals, engineers, managers, and employees and to recognize the substantial contributions they make to protecting our national health, safety, and quality of life. .
Dated this 5th day of May 2025
____________________________
Leslie Q. Jordan, Mayor
AFFIDAVIT OF POSTING
I, Elizabeth Soto, Do Now Declare, Under the Penalties of Perjury That I Am the Acting City Clerk / Administrative Services Manager in the City of San Juan Bautista and That I Posted Three (3) True Copies of the attached City Council Agenda. I Further Declare That I Posted Said Agenda on the 1st day of May 2025, and in the Following Locations in said City of San Juan Bautista, County of San Benito, California.
1. On The Bulletin Board at City Hall, 311 Second Street.
2. On The Bulletin Board at The City Library, 801 Second Street.
3. On The Bulletin Board at The Entrance to The United States Post Office, 301 The Alameda
Signed at San Juan Bautista, County of San Benito, California, on the 1st day of May 2025.
____________________________________________
Elizabeth Soto, CMC, CPMC
City Clerk / Administrative Services Director
WAIVER OF READING
OF ORDINANCES
State law requires that an ordinance be read in its entirety prior to adoption unless the City Council waives reading beyond the title. Reading an entire ordinance at the meeting is extremely time-consuming; reading of the title alone usually gives the audience sufficient understanding of what the Council is considering.
To ensure that this waiver is consistently approved by the Council, Council should make the waiver at each meeting, thus, you should do it at this point on the Consent Agenda. The Council then does not have to worry about making this motion when each ordinance comes up on the agenda.
GC36934
Item No: 4.C
City Council Meeting
May 5, 2025
Page | 1
CITY OF SAN JUAN BAUTISTA
CITY COUNCIL STAFF REPORT
DATE: MAY 5, 2025
DEPARTMENT: CITY MANAGER
FROM: ASHLEY COLLICK, INTERIM CITY MANAGER
TITLE: AUTHORIZATION TO ENTER INTO AGREEMENT WITH MNS
ENGINEERS, INC. FOR HAZARD MITIGATION GRANT
PROGRAM (HMGP) GRANT WRITING SERVICES
RECOMMENDED MOTION:
Approve a Resolution Authorizing the City Manager to enter into a professional services agreement with MNS Engineers, Inc. to provide grant writing services for the City's Hazard Mitigation Grant Program (HMGP) application, in an amount not to exceed $31,070.
BACKGROUND:
The City of San Juan Bautista is pursuing funding through the Federal Emergency Management Agency's (FEMA) Hazard Mitigation Grant Program, administered by the California Governor’s Office of Emergency Services (Cal OES). The proposed project involves constructing a transmission water pipeline from the West Hills Water Treatment Plant to the City. This project would improve potable water access and serve as a critical community lifeline in emergencies.
DISCUSSION:
MNS Engineers will prepare the Notice of Interest (NOI) and a full grant sub-application in accordance with FEMA and Cal OES requirements. The scope of work includes project management, data collection, narrative development, benefit-cost analysis, coordination with Cal OES, and response to Requests for Information (RFIs).
FISCAL IMPACT:
The total cost for services is $31,070. Funding is proposed to come from the City’s infrastructure planning funds. Some administrative costs may be reimbursable upon grant award.
ATTACHMENTS:
• Proposal from MNS Engineers, Inc. (April 2025)
• Resolution
Page | 1
RESOLUTION NO. 2025-XX
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SAN JUAN BAUTISTA
AUTHORIZING THE CITY MANAGER TO ENTER INTO AN AGREEMENT WITH MNS ENGINEERS, INC. FOR GRANT WRITING SERVICES IN AN AMOUNT NOT TO EXCEED $31,070 FOR THE HAZARD MITIGATION GRANT PROGRAM (HMGP) WHEREAS, the City of San Juan Bautista seeks to improve water infrastructure and resilience through a proposed transmission pipeline project; and WHEREAS, the City is pursuing grant funding through the Federal Emergency Management Agency’s Hazard Mitigation Grant Program (HMGP), administered by Cal OES; and
WHEREAS, professional services are required to develop and submit a Notice of Interest and sub-application to meet HMGP requirements; and WHEREAS, MNS Engineers, Inc. has submitted a proposal to provide grant writing services in support of the City’s HMGP funding application for an amount not to exceed $31,070;
NOW, THEREFORE, BE IT RESOLVED that the City Council of the City of San Juan Bautista hereby authorizes the City Manager to execute an agreement with MNS Engineers, Inc. for HMGP grant writing services in an amount not to exceed $31,070.
PASSED AND APPROVED by the San Juan Bautista City Council on this 5th day of May 2025 by the following vote:
AYES:
NOES:
ABSENT:
ABSTAIN:
APPROVED:
___________________
Leslie Q. Jordan, Mayor
ATTEST:
______________________
Elizabeth Soto, City Clerk
100 E. Thousand Oaks Boulevard, Suite 105 | Thousand Oaks, CA 91360 323.484.5737 DIRECT 323.797.1498 CELL
mnsengineers.com
SENT VIA EMAIL
April 15, 2025
City of San Juan Bautista
Attention: Ashley Collick, City Manager
311 2nd Street / P.O. Box 1420
San Juan Bautista, CA 95045
SUBJECT: Fee Proposal–Grant Writing Services. Hazard Mitigation Grant Program-San Juan Bautista Transmission Line Project
Dear Ms. Collick,
Thank you for the opportunity to provide grant writing services in conjunction with the Hazard Mitigation Grant Program (HMGP). MNS Engineers seeks to assist the City of San Juan Bautista (City) with preparation of a HMGP a subapplication to secure funding for the proposed San Juan Bautista Transmission Line Project.
MNS will engage with the California Governor’s Office of Emergency Services (Cal OES) throughout the process of Notice of Interest and subapplication development.
Enclosed is our fee proposal to provide these services for a total fee of $31,070. We look forward to working with the City and helping deliver a successful HMGP subapplication.
Sincerely,
MNS Engineers, Inc.
Greg Jaquez, PE
Principal Project Manager
Government Services Division
323.484.5737 DIRECT
[email protected]
Enclosed: Grant Writing Fee Proposal
GAJ
CITY OF SAN JUAN BAUTISTA
HAZARD MITIGATION GRANT PROGRAM—GRANT WRITING SERVICES
PAGE 2
Project Understanding
MNS Engineers (MNS) understands the City of San Juan Bautista (City) is seeking consultant support to provide grant writing services in preparing a Hazard Mitigation Grant Program (HMGP) Notice of Interest (NOI) and subapplication. MNS understands the City has identified the need to provide its residents and businesses with a new source of potable water to meet current and future demands which can also serve as a community lifeline under emergency conditions. The City has, therefore, proposed the development of a transmission water pipeline from the San Benito County Water District’s (District) West Hills Water Treatment Plant (WHWTP) to the City generally following an alignment parallel and adjacent to State Route 156. The City prepared a Basis of Design Report Update (August 9, 2024) with the assistance of engineering consulting firm HDR which provides the basic pre-design scoping and cost estimation for the project. Since the proposed water transmission pipeline has the potential to mitigate risks posed by natural hazard events such as drought and earthquake, the project is deemed eligible for HMGP funding from the Federal Emergency Management Agency (FEMA). Application for HMGP funding is initially administered by the California Governor’s Office of Emergency Services (Cal OES).
Project Approach/Scope of Work
The MNS approach to grant writing is to establish a mutual understanding between the MNS grant writing team and City staff on committed collaboration in the development of the grant application. The grant pursuit needs to be made a priority among all involved up to the submittal deadline and beyond. A successful, quality grant writing product depends on a team approach between MNS and City staff such that MNS staff acts as an extension of City staff for the duration of the grant application development and subsequent activities related to the grant pursuit.
MNS will work closely and efficiently with City staff and stakeholders to collect and utilize the most up to date and readily available information and date necessary to formulate the application package in order to match it with the Project’s funding requirements. MNS will work closely with City representatives and stakeholders to confirm the basic messaging in the narrative of the grant application.
This grant writing effort will be delivered through completion of a HMGP NOI due to Cal OES by May 29, 2025, and a subapplication due to Cal OES by September 15, 2025.
TASK 1 – PROJECT MANAGEMENT
MNS will act as the coordinating point for the development of the grant application under the direction of City staff. The MNS Project Manager (PM) will maintain a project file in which all project documents including draft and final application materials and atachments will be stored. The MNS PM will be responsible for budget control and overall guidance and supervision of project delivery.The MNS PM will hold a virtual kickoff meeting with City leadership and staff to initiate grant writing project activities and request essential information.
Additional meetings with City may occur during the process of grant writing. MNS will hold internal progress check-in meetings to ensure progress on task assignments. MNS will interact, as needed, with Cal OES staff to clarify content requirements of the application and convey questions to the Cal OES staff either posed by MNS or City staff.
CITY OF SAN JUAN BAUTISTA
HAZARD MITIGATION GRANT PROGRAM—GRANT WRITING SERVICES
PAGE 3
Deliverables. Agenda, meeting minutes, email reports to City staff on MNS communications with Cal OES staff.
TASK 2 – DATA GATHERING, RESEARCH, AND PROJECT SCOPE DEVELOPMENT MNS will request City staff to provide information relevant to the project that is known to be available and useful in furthering the development of the project scope. The request for information will be prepared as a matrix of items submitted by email to which the City can respond. MNS will independently research information for responding to content requirements of the NOI and subapplication.
Deliverable. Information request matrix.
TASK 3 – MEETINGS AND COMMUNICATIONS WITH CAL OES
Open communications with Cal OES are critical to the development of a subapplication. Interpretations of the quality of hazard mitigation projects in conjunction with Cal OES and FEMA priorities is essential to determining decisions to move forward with the subapplication stage of the HMGP process. MNS will arrange any necessary meetings with Cal OES staff to discuss presently known details and objectives of the project proposal and obtain feedback from Cal OES on additional elements to address in the subapplication.
Deliverable. Notes on meetings with Cal OES.
TASK 4 – NOTICE OF INTEREST
The initial step of the HMGP process is to submit a Notice of Interest (NOI) which provides a brief description of the problem statement, problem solution, anticipated cost, and basis for defining the project as a mitigation activity. Content requirements of the NOI are as follows:
• 4.01 - General Information
• 4.02 - Project / Plan Information
• 4.03 - Problem Statement
• 4.04 - Solution Description
• 4.05 - Benefit-Cost Analysis (as-needed for NOI)
• 4.06 - Activity Costs
• 4.07 - Local Hazard Mitigation Plan Information
Deliverable. Completed NOI.
TASK 5 – SUBAPPLICATION PREPARATION
Information will be drawn from collected documents, project scoping and cost estimation, and continued collaboration to prepare the subapplication. Specific components of the subapplication include the following:
CITY OF SAN JUAN BAUTISTA
HAZARD MITIGATION GRANT PROGRAM—GRANT WRITING SERVICES
PAGE 4
• 5.1 - HMGP Project Subapplication
o 5.01 - General Information
o 5.02 - Location Information
o 5.03 - Project / Plan Information
o 5.04 - Problem Statement
o 5.05 - Project Site(s)
o 5.07 - Solution Description
o 5.08 - Floodplain Related Questions
o 5.09 - Local Hazard Mitigation Plan
o 5.10 - Community Information
o 5.11 - Activity Costs
o 5.12 - Work Schedule
o 5.13 - Benefit Cost Analysis
o 5.14 - Maintenance
o 5.15 - Grant Management Cost Application
o 5.16 - Environmental and Historic Preservation
• Subapplication Supporting Documents
o 5.17 - Scope of Work
o 5.18 - Design Plans (N/A)
o 5.19 - Studies
o 5.20 - Maps
o 5.21 - Photos
o 5.22 - Local Match Commitment Letter
o 5.23 - BCA Methodology
o 5.24 - Project Maintenance Letter
o 5.25 - FEMA Environmental Checklist
o 5.26 - Additional Supporting Documentation
Deliverable. Completed Subapplication.
TASK 6.0 – RESPONSES TO POST-SUBMITTAL RFI'S FROM CAL OES After submittal of the NOI and the subapplication, Cal OES will review each and typically will return a Request for Information (RFI) document to which the subapplicant must respond to revise and improve the submittals.
MNS will respond in writing to RFI’s provided to the subapplicant.
CITY OF SAN JUAN BAUTISTA
HAZARD MITIGATION GRANT PROGRAM—GRANT WRITING SERVICES
PAGE 5
Deliverable. Written responses to RFI’s.
Fee Proposal
The proposed fee to provide the aforementioned grant writing services is $31,070 as shown in the enclosed fee proposal table.
Grant Writing Services for
City of San Juan Bautista
San Juan Bautista Transmission Pipeline
Hazard Mitigation Grant Program
Project ManagerGrant Writer
Task 1 –Project Management
1.01 - Kickoff Meeting, Coordination Meetings, Project Oversight 3.0 3.0 6.0 $1,260
6.0 $1,260
Task 2 – Data Gathering, Research, and Project Scope Development
2.01 – Data Gathering and Research 1.0 4.0 5.0 $900
5.0 $900
Task 3 – Meetings and Communications with Cal OES
3.01 - Meetings and Communications with Cal OES 2.0 2.0 4.0 $840
4.0 $840
Task 4 – Notice of Interest
4.01 - General Information 2.0 2.0 $320
4.02 - Project / Plan Information 4.0 4.0 $1,040
4.03 - Problem Statement 1.0 5.0 6.0 $1,060
4.04 - Solution Description 1.0 5.0 6.0 $1,060
4.05 - Benefit-Cost Analysis (as-needed for NOI) 1.0 3.0 4.0 $740
4.06 - Activity Costs 1.0 1.0 $260
4.07 - Local Hazard Mitigation Plan Information 2.0 2.0 $320
25.0 $4,800
Task 5 – Subapplication
5.01 - General Information 0.5 0.5 $80
5.02 - Location Information 0.5 2.5 3.0 $530
5.03 - Project / Plan Information 4.0 4.0 $1,040
5.04 - Problem Statement 3.0 3.0 $480
5.05 - Project Site(s) 2.0 2.0 $320
5.07 - Solution Description 5.0 5.0 $800
5.08 - Floodplain Related Questions 1.5 1.5 $240
5.09 - Local Hazard Mitigation Plan 2.0 2.0 $320
5.10 - Community Information 4.0 4.0 $640
5.11 - Activity Costs 2.0 2.0 $520
5.12 - Work Schedule 3.0 3.0 $780
5.13 - Benefit Cost Analysis 3.0 24.0 27.0 $4,620
5.14 - Maintenance 3.0 3.0 $780
5.15 - Grant Management Cost Application 4.0 4.0 $1,040
5.16 - Environmental and Historic Preservation 2.0 4.0 6.0 $1,160 HMGP Project Subapplication Supporting Documents
5.17 - Scope of Work 8.0 8.0 $2,080
5.18 - Design Plans (N/A) 0.0 $0
5.19 - Studies 0.5 0.5 $80
5.20 - Maps 4.0 4.0 $640
5.21 - Photos 2.0 2.0 $320
5.22 - Local Match Commitment Letter 2.0 2.0 $320
5.23 - BCA Methodology 10.0 10.0 $1,600
5.24 - Project Maintenance Letter 2.0 2.0 $320
5.25 - FEMA Environmental Checklist 1.5 1.5 $240
5.26 - Additional Supporting Documentation 2.0 2.0 $320 102.0 $19,270
Task 6 – Responses to Post-Submittal RFI's from Cal OES
6.01 - Responses to Post-Submittal RFI's from Cal OES 8.0 12.0 20.0 $4,000
20.0 $4,000
Hours 43.5 98.5 142.0
Cost $11,310 $15,760 $31,070
Hourly
Rate
PROPOSED FEE
MNS
Total MNS HoursTotal MNS Costs
$260 $160
Item No.:4. D
City Council Meeting
May 5, 2025
Page | 1
CITY OF SAN JUAN BAUTISTA
CITY COUNCIL STAFF REPORT
DATE: MAY 5, 2025
DEPARTMENT: CITY MANAGER
FROM: ASHLEY COLLICK, INTERIM CITY MANAGER
TITLE: APPROVAL OF AGREEMENT WITH RIDGELINE MUNICIPAL
STRATEGIES, LLC FOR MUNICIPAL ADVISORY SERVICES
RELATED TO WATER AND WASTEWATER COMPLIANCE
PROJECTS
RECOMMENDED MOTION:
Approve a Resolution Authorizing the City Manager to enter into an agreement with Ridgeline Municipal Strategies, LLC to provide municipal advisory and consulting services to support the City’s financing strategy for water and wastewater system compliance projects, and authorize the City Manager to execute the agreement in an amount not to exceed $50,000.
BACKGROUND:
The City of San Juan Bautista is undertaking significant compliance and infrastructure upgrades to its water and wastewater systems. These projects require strategic financial planning and coordination with state and federal funding agencies.
Ridgeline Municipal Strategies, LLC is a registered municipal advisory firm with experience supporting local government agencies with financial strategy development, grant application review, and capital improvement project coordination.
DISCUSSION:
Under the agreement, Ridgeline will assist with developing and implementing a financing strategy for the City’s compliance-related infrastructure upgrades. Their services include:
• Preparing financial models and calculations
• Reviewing third-party documents
• Managing grant-related coordination and timelines
• Supporting project communications with consultants, regulators, and agencies • Advising on the structuring of financing and funding options Ridgeline will act as the City’s Independent Registered Municipal Advisor (IRMA) for the scope of work detailed in Exhibit A of the agreement. The contract term extends through June 30, 2027 Page | 2
and compensation will be on a time-and-materials basis with a not-to-exceed amount to be defined per task authorizations or amended as needed.
FISCAL IMPACT:
The total cost for services is $50,000. Professional fees will be billed on a time-and-materials basis. Budgetary allocations will be identified in the Enterprise fund and may be offset by external funding received for eligible project costs.
ATTACHMENTS:
• Agreement for Municipal Advisory and Consulting Services with Ridgeline Municipal Strategies, LLC (April 2025)
• Resolution
Page | 1
RESOLUTION NO. 2025-XX
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SAN JUAN BAUTISTA
APPROVING AN AGREEMENT WITH RIDGELINE MUNICIPAL STRATEGIES, LLC
TO PROVIDE MUNICIPAL ADVISORY SERVICES RELATED TO WATER AND
WASTEWATER SYSTEM COMPLIANCE PROJECTS
WHEREAS, the City of San Juan Bautista requires financial and advisory services to support its wastewater and water compliance projects; and WHEREAS, Ridgeline Municipal Strategies, LLC is a registered municipal advisory firm with the qualifications and experience necessary to assist the City in developing and implementing its financial strategies; and
WHEREAS, Ridgeline will serve as the City’s Independent Registered Municipal Advisor (IRMA) for the term and scope specified in the agreement; and WHEREAS, the proposed cost of services shall not exceed $50,000, professional fees will be billed on a time-and-materials basis; and
WHEREAS, the City Manager recommends approval of this agreement to ensure timely and expert assistance for the City’s compliance and infrastructure financing efforts; NOW, THEREFORE, BE IT RESOLVED that the City Council of the City of San Juan Bautista hereby approves the agreement with Ridgeline Municipal Strategies, LLC and authorizes the City Manager to execute the agreement and any future amendments as may be necessary to implement the scope of services described therein.
PASSED AND APPROVED by the San Juan Bautista City Council on this 5th day of May 2025 by the following vote:
AYES:
NOES:
ABSENT:
ABSTAIN:
APPROVED:
______________________
Leslie Q. Jordan, Mayor
Page | 2
ATTEST:
___________________________
Elizabeth Soto, City Clerk
Page | 1
RIDGELINE MUNICIPAL STGRATEGIES, LLC
AGREEMENT FOR MUNICIPAL ADVISORY AND CONSULTING SERVICES THIS AGREEMENT (the “Agreement”), made and entered into this ___ day of April 2025, by and between the City of San Juan Bautista, a California general law city, with its principal place of business at 311 2nd Street, San Juan Bautista, CA 95045 (the “Client”), and Ridgeline Municipal Strategies, LLC, a California Limited Liability Company, with its principal place of business at 2213 Plaza Drive, Rocklin, CA 95765 (“Ridgeline”), sets forth the terms and conditions under which Ridgeline shall provide municipal advisory and consulting services to the Client.
WHEREAS, the Client wishes to obtain the services of a municipal advisor and financial consultant to assist in developing and implementing the financing strategy for the Client’s Wastewater and Water Systems’ compliance projects (the “Project”).
WHEREAS, Ridgeline is duly licensed and has the necessary qualifications, experience, and personnel necessary to properly provide the Scope of Services; WHEREAS, the Client desires to retain Ridgeline to provide the Scope of Services; and WHEREAS, the City Manager is authorized to enter into this Agreement on behalf of the Client; and
NOW, THEREFORE, in consideration of the mutual covenants and conditions contained herein, and intending to be legally bound hereby, the Client and Ridgeline agree as follows:
SECTION I. SCOPE OF SERVICES
A. Ridgeline shall provide the services described in Exhibit A to this Agreement (hereinafter referred to interchangeably as the “Services” or “Scope of Services”). Any material changes in or additions to the Scope of Services described in Exhibit A shall be promptly reflected in a written supplement or amendment to this Agreement. Services provided by Ridgeline which are not specifically referenced in the Scope of Services shall be completed as agreed in writing in advance between the Client and Ridgeline. Upon request of the Client, Ridgeline or an affiliate of Ridgeline may agree to additional services to be provided by Ridgeline or an affiliate of Ridgeline, by a separate agreement between the Client and Ridgeline or its respective affiliate.
B. Ridgeline shall perform all such work with skill and diligence and pursuant to generally accepted standards of practice in effect at the time of performance. Ridgeline shall provide corrective services without charge to the Client for work which fails to meet these standards and which is reported to Ridgeline in writing within sixty (60) days of discovery.
C. The Client shall cooperate with Ridgeline and will furnish all information, data, records, and reports existing and available to the Client to enable Ridgeline to carry out work outlined in the Scope of Services. Ridgeline shall be entitled to reasonably rely on information, data, records, and reports furnished by the Client; however, the Client makes no warranty as to the accuracy or completeness of any such information, data, records, or reports available to it and Page | 2
provided to Ridgeline which were furnished to the Client by a third party. Ridgeline shall have a duty to bring to the Client's attention any deficiency or error it may discover in any information provided to Ridgeline by the Client or a third party.
SECTION II. WORK SCHEDULE
The services of Ridgeline are to commence as soon as practicable after the execution of this Agreement. Ridgeline shall thereafter diligently perform the Services through to completion unless otherwise directed by the Client or unless earlier terminated.
SECTION III. REGISTERED MUNICIPAL ADVISOR; REQUIRED DISCLOSURES A. Ridgeline is a registered municipal advisor with the Securities and Exchange Commission (the “SEC”) and the Municipal Securities Rulemaking Board (the “MSRB”), pursuant to the Securities Exchange Act of 1934 Rule 15Ba1-2. This Agreement designates Ridgeline as the Client’s independent registered municipal advisor (“IRMA”) with regard to the attached Scope of Services for purposes of SEC Rule 15Ba1-1(d)(3)(vi) (the “IRMA Exemption”).
Ridgeline shall not be responsible for, or have any liability in connection with, verifying that Ridgeline is independent from any other party seeking to rely on the IRMA Exemption (as such independent status is required pursuant to the IRMA Exemption, as interpreted from time to time by the SEC). The Client acknowledges and agrees that any reference to Ridgeline, its personnel, and its role as IRMA, including in the written representation of the Client required under SEC Rule 15Ba1-1(d)(3)(vi)(B) shall be subject to prior approval by Ridgeline. The Client further agrees not to represent that Ridgeline is the Client’s IRMA with respect to any aspect of a municipal securities issuance or municipal financial product, outside of the attached Scope of Services or without Ridgeline’s prior written consent.
B. MSRB Rule G-42 requires that municipal advisors make written disclosures to its Clients of all material conflicts of interest and certain legal or disciplinary events. Such disclosures are provided in Ridgeline’s Disclosure Statement delivered to the Client together with this Agreement as Exhibit C.
SECTION IV. COMPENSATION
A. For the Services provided under this Agreement, Ridgeline’s professional fees shall be paid as provided in Exhibit B to this Agreement. Any services which are not included in the Scope of Services set forth in Exhibit A of this Agreement will be subject to separate, mutually acceptable fee structures.
B. Invoice(s) in a format and on a schedule acceptable to the Client shall be submitted to and be reviewed and verified by the Client. The Client shall notify Ridgeline of exceptions or disputed items and their dollar value within fifteen (15) days of receipt. Payment of the undisputed amount of the invoice will typically be made approximately thirty (30) days after the invoice is received by the Client.
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C. Ridgeline will maintain clearly identifiable, complete and accurate records with respect to all costs incurred under this Agreement on an industry recognized accounting basis.
Ridgeline shall make available to the representative of the Client all such books and records related to this Agreement, and the right to examine, copy and audit the same during regular business hours upon three (3) business days’ notice for a period of two (2) years from the date of final payment under this Agreement.
SECTION V. TERMS AND TERMINATION
A. Unless otherwise provided, the term of this Agreement shall begin on the date of its full execution and shall expire on June 30, 2027, unless extended by amendment or terminated earlier as provided herein.
B. The Client may suspend this Agreement and Ridgeline’s performance of the Services, wholly or in part, for such period as it deems necessary in the Client’s sole discretion.
Ridgeline will be paid for satisfactory services performed through the date of suspension.
C. If Ridgeline at any time refuses or neglects to perform its Services in a timely fashion or in accordance with the schedule identified in Exhibit A, or is declared bankrupt, or commits any act of insolvency, or makes an assignment for the benefit of creditors without Client’s consent, or fails to make prompt payment to persons furnishing labor, equipment, materials or services, or fails in any respect to properly and diligently perform its Services, or otherwise fails to perform fully any and all of the Agreements herein contained, this Agreement shall be terminated.
D. If Ridgeline fails to cure the default within seven (7) days after written notice from the Client, the Client may, at its sole option, demand possession of any documents or other materials (in paper and electronic form) prepared or used by Ridgeline in connection with the provision of Services and (1) provide any such work, labor, materials or services as may be necessary to overcome the default and deduct the cost thereof from any money then due or thereafter to become due to Ridgeline under this Agreement; or (2) terminate this Agreement.
E. This Agreement and all Services to be rendered under it may be terminated upon fifteen (15) days written notice from either party, with or without cause. In the event Client elects to terminate this Agreement, Ridgeline shall be paid for all services rendered, unless the termination is made for cause, in which event compensation, if any, shall be adjusted in the light of the particular facts and circumstances involved in the termination. This continuing right to receive full compensation shall survive the term of this Agreement.
SECTION VI. ASSIGNMENT
Ridgeline shall not assign any interest in this Agreement without the prior written consent of the Client.
SECTION VII. INFORMATION TO BE FURNISHED TO AND BY RIDGELINE Page | 4
A. All information, data, reports, and records (“Data”) in the possession of the Client or any third-party agent to the Client necessary for carrying out any services to be performed under this Agreement shall be furnished to Ridgeline, and the Client shall cause its agent(s) to cooperate with Ridgeline in its conduct of reasonable due diligence in performing the services.
B. Unless otherwise provided for herein, all documents, materials, data, computer data files, basis for calculations, and reports originated and prepared by Ridgeline under this Agreement shall be and remain the property of the Client for its use in any manner it deems appropriate.
Ridgeline agrees that all copyrights which arise from creation of the work pursuant to this Agreement shall be vested in the Client and waives and relinquishes all claims to copyright or intellectual property rights in favor of the Client. Ridgeline shall deliver the work product to the Client in the PDF format electronically. Ridgeline shall use all reasonable efforts to ensure that any electronic files provided to the Client will be compatible with the Client's current computer hardware and software. Ridgeline makes no representation as to long-term compatibility, usability or readability of the format resulting from the use of software application packages, operating systems or computer hardware differing from those in use by the Client at the commencement of this Agreement. Ridgeline shall be permitted to maintain copies of all such data for its files. The Client acknowledges that its use of the work product is limited to the purposes contemplated by the Scope of Services and, should the Client use these products or data in connection with additions to the work required under this Agreement or for new work without consultation with and without additional compensation to Ridgeline, Ridgeline makes no representation as to the suitability of the work product for use in or application to circumstances not contemplated by the Scope of Services and shall have no liability or responsibility whatsoever in connection with such use which shall be at the Client's sole risk. Any and all liability arising out of changes made by the Client to Ridgeline's deliverables is waived against Ridgeline unless the Client has given Ridgeline prior written notice of the changes and has received Ridgeline's written consent to such changes.
C. To the extent the Client requests that Ridgeline provide advice with regard to any recommendation made by a third party, the Client will provide to Ridgeline written direction to do so as well as any Data it has received from such third party relating to its recommendation. The Client acknowledges and agrees that while Ridgeline is relying on the Data in connection with its provision of the services under this Agreement, Ridgeline makes no representation with respect to and shall not be responsible for the accuracy or completeness of such Data.
D. In the course of performing services under this Agreement Ridgeline may obtain, receive, and review confidential or proprietary documents, information or materials that are and shall remain the exclusive property of the Client. Should Ridgeline undertake the work on behalf of other agencies, entities, firms or persons relating to the matters described in the Scope of Services, it is expressly agreed by Ridgeline that any such confidential or proprietary information or materials shall not be provided or disclosed in any manner to any of the Client’s other clients, or to any other third party, without the Client’s prior express written consent.
SECTION VIII. NOTICES
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All notices given under this Agreement shall be in writing, sent by registered United States mail, with return receipt requested, addressed to the party for whom it is intended, at the designated below. The parties designate the following as the respective places for giving notice, to wit:
CITY OF SAN JUAN BAUTISTA
311 2nd Street
San Juan Bautista, CA 95045
Attention: City Manager
RIDGELINE MUNICIPAL STRATEGIES, LLC
2213 Plaza Drive
Rocklin, CA 95765
Attention: Dmitry Semenov
SECTION IX. LIMITATION OF LIABILITY
Except to the extent caused by willful misconduct, bad faith, gross negligence, or reckless disregard of obligations or duties under this Agreement on the part of Ridgeline or any of its associated persons, neither Ridgeline nor any of its associated persons shall have liability to any person for any act or omission in connection with performance of its services hereunder, or for any error of judgment or mistake of law, or for any loss arising out of any issuance of municipal securities, any municipal financial product or any other financial product or investment, or for any financial or other damages resulting from the Client’s election to act or not to act, as the case may be, contrary to or, absent negligence on the part of Ridgeline or any of its associated persons, upon any advice or recommendation provided by Ridgeline to the Client.
SECTION X. INDEPENDENT CONTRACTOR; NO THIRD-PARTY BENEFICIARY Ridgeline, its employees, officers and representatives at all times shall be independent contractors and shall not be deemed to be employees, agents, partners, servants and/or joint venturers of the Client by virtue of this Agreement or any actions or services rendered under this Agreement. Nothing in this Agreement is intended or shall be construed to give any person, other than the Parties hereto, their successors and permitted assigns, any legal or equitable rights, remedy, or claim under or in respect of this Agreement or any provisions contained herein.
SECTION XI. DISPUTE RESOLUTION
A. If any dispute arises between the parties as to proper interpretation or application of this Agreement, the parties shall first meet and confer in a good faith attempt to resolve the matter between themselves. If the dispute is not resolved by meeting and conferring, the matter shall be submitted for formal mediation to a mediator selected mutually by the parties. The expenses of such mediation shall be shared equally between the parties. If the dispute is not or cannot be resolved by mediation, the parties may mutually agree (but only as to those issues of the matter not resolved by mediation) to submit their dispute to arbitration. Before commencement of the arbitration, the parties may elect to have the arbitration proceed on an informal basis; however, Page | 6
if the parties are unable so to agree, then the arbitration shall be conducted in accordance with the rules of the American Arbitration Association. The decision of the arbitrator shall be binding, unless within thirty (30) days after issuance of the arbitrator’s written decision, any party files an action in court. Venue and jurisdiction for any such action between the parties shall lie in the Superior Court for the County of San Benito.
B. In the event of any controversy, claim or dispute relating to this Agreement, or the breach thereof, the prevailing party shall be entitled to recover from the losing party reasonable expenses, attorney's fees and costs.
SECTION XII. APPLICABLE LAW
This Agreement shall be construed, enforced, and administered according to the laws of the State of California. Ridgeline and the Client agree that, should a disagreement arise as to the terms or enforcement of any provision of this Agreement, each party will in good faith attempt to resolve said disagreement prior to pursuing other action.
SECTION XIII. ENTIRE AGREEMENT; SEVERABILITY
This Agreement represents the entire agreement between the Client and Ridgeline and may not be amended or modified except in writing signed by both parties. The invalidity in whole or in part of any provision of this Agreement shall not void or affect the validity of any other provision.
SECTION XIV. EXECUTION; COUNTERPARTS
Each party to this Agreement represents and warrants that the person or persons signing this Agreement on behalf of such party is authorized and empowered to sign and deliver this Agreement for such party. This Agreement may be signed in any number of counterparts, each of which shall be an original and all of which when taken together shall constitute one and the same document.
[Signature Page to Follow on Next Page]
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IN WITNESS THEREOF, the Client and Ridgeline have executed this Agreement as of the day and year herein above written.
CITY OF SAN JUAN BAUTISTA
By: ______________________________________
Name: Ashley Collick
Title: City Manager
RIDGELINE MUNICIPAL STRATEGIES, LLC
By: ______________________________________
Name: Dmitry Semenov
Title: Principal
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EXHIBIT A
SCOPE OF SERVICES
FINANCING STRATEGY DEVELOPMENT AND IMPLEMENTATION FOR THE
WASTEWATER AND WATER SYSTEM COMPLIANCE PROJECTS
Ridgeline will assist the Client with the development and implementation of the financing strategy for the Client’s Wastewater and Water System Compliance Projects, as follows:
• Prepare financial models and calculations as necessary, if not covered by any other agreement between Ridgeline and the Client;
• Review documents prepared by third parties at the Client’s request; • Assist with the project and process management tasks related to the Project; • Assist with grant application process, if not covered by any other agreement between Ridgeline and the Client;
• Prepare documents and review documents prepared by others related to the Wastewater and Water System Compliance Projects financing;
• Initiate, maintain, and manage communications with third parties, including consultants and government/public agencies, as requested by Client; • Perform other tasks, as requested by Client.
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EXHIBIT B
COMPENSATION FOR SERVICES
For the Services described in Exhibit A, Ridgeline will be compensated on a time and materials basis, not to exceed total budget, as shown below. The invoices will be submitted to the Client on quarterly basis.
If there are material changes to the Scope of Services, a revised budget may be negotiated by a mutual written agreement between Ridgeline and the Client.
Hours [1] Amount @
$325/hr [1]
52 $16,900
100 $32,500
$600
152 $50,000
[1] Time and cost are estimates and will vary. Billings will be done on T&M basis for actual amount of time required, not to exceed total amount shown.
Water Project
TOTAL
Direct Expenses
City of San Juan Bautista
Wastewater and Water Compliance Project
Financing Strategy Development and Implementation
Description
Wastewater Project
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EXHIBIT C
DISCLOSURE OF CONFLICTS OF INTEREST AND OTHER INFORMATION
RIDGELINE MUNICIPAL STRATEGIES, LLC
I. Introduction
Ridgeline Municipal Strategies, LLC (hereinafter, referred to as “Ridgeline”) is a registered municipal advisor with the Securities and Exchange Commission (the “SEC”) and the Municipal Securities Rulemaking Board (the “MSRB”), pursuant to the Securities Exchange Act of 1934 Rule 15Ba1-2.
The MSRB is the primary rulemaking body for the municipal securities industry in general and municipal advisors in particular. Their website can be accessed at www.msrb.org. The website includes, among other things, the municipal advisory client brochure, which describes protections that are provided by the MSRB’s rules and the process for filing complaints with appropriate regulatory authorities. The municipal advisory client brochure can be accessed at:
http://www.msrb.org/~/media/Files/Resources/MSRB-MA-Clients-Brochure.ashx?la=en.
In accordance with MSRB rules, this disclosure statement is provided by us to each client prior to the execution of our advisory agreement with written disclosures of all material conflicts of interests and legal or disciplinary events that are required to be disclosed with respect to providing financial advisory services pursuant to MSRB Rule G-42(b) and (c)(ii). Ridgeline employs a number of resources to identify and subsequently manage actual or potential conflicts of interest in addition to disclosing actual and potential conflicts of interest provided herein.
Fiduciary Duty
Ridgeline has a fiduciary duty to the Client and must provide both a Duty of Care and a Duty of Loyalty that includes the following.
Duty of Care:
• Exercise due care in performing its municipal advisory activities; • Possess the degree of knowledge and expertise needed to provide the Client with informed advice; • Make a reasonable inquiry as to the facts that are relevant to the Client’s determination as to whether to proceed with a course of action or that form the basis for any advice provided to the Client; and, • Undertake a reasonable investigation to determine that we are not providing any recommendations on materially inaccurate or incomplete information.
• We must have a reasonable basis for:
o Any advice provided to or on behalf of the Client;
o Any representations made in a certificate that we sign that will be reasonably foreseeably relied upon by the Client, any other party involved in the municipal securities transaction or municipal financial product, or investors in the Client’s securities; and, o Any information provided to the Client or other parties involved in the municipal securities transaction in connection with the preparation of an official statement.
Duty of Loyalty:
We must deal honestly and with the utmost good faith with the Client and act in the Client’s best interests without regard to the financial or other interests of Ridgeline. We will eliminate or provide full and fair disclosure (included herein) to the Client about each material conflict of interest (as applicable). We will no engage in municipal advisory activities with the Client, as a municipal entity, if we cannot manage or mitigate our conflicts in a manner that permits us to act in the Client’s best interest.
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How We Identify and Manage Conflicts of Interest
Code of Ethics. Ridgeline requires all of its employees to conduct all aspects of our business with the highest standards of integrity, honesty and fair dealing. All employees are required to avoid even the appearance of misconduct or impropriety and avoid actual or apparent conflicts of interest between personal and professional relationships that would or could interfere with an employee’s independent exercise of judgment in performing the obligations and responsibilities owed to a municipal advisor and our clients.
Policies and Procedures. Ridgeline has adopted policies and procedures that include specific rules and standards for conduct. Some of these policies and procedures provide guidance and reporting requirements about matters that allow us to monitor behavior that might give rise to a conflict of interest. These include policies concerning the making of gifts and charitable contributions, entertaining clients, and engaging in outside activities, all of which may involve relationships with clients and others that are important to our analysis of potential conflicts of interest.
Supervisory Structure. Ridgeline has both a compliance and supervisory structure in place that enables us to identify and monitor employees’ activities, both on a transaction and firm-wide basis, to ensure compliance with appropriate standards. Prior to undertaking any engagement with a new client or an additional engagement with an existing client, appropriate municipal advisory personnel will review the possible intersection of the client’s interests, the proposed engagement, our engagement personnel, experience and existing obligations to other clients and related parties. This review, together with employing the resources described above, allows us to evaluate any situations that may be an actual or potential conflict of interest.
Disclosures. Ridgeline will disclose to clients those situations that it believes would create a material conflict of interest, such as:
1) any advice, service or product that any affiliate may provide to a client that is directly related to the municipal advisory work of Ridgeline;
2) any payment made to obtain or retain a municipal advisory engagement with a client; 3) any fee-splitting arrangement with any provider of an investment or services to a client; 4) any conflict that may arise from the type of compensation arrangement we may have with a client; and 5) any other actual or potential situation that Ridgeline is or becomes aware of that might constitute a material conflict of interest that could reasonably be expected to impair our ability to provide advice to or on behalf of clients consistent with regulatory requirements.
If Ridgeline identifies such situations or circumstances, we will prepare meaningful disclosure describing the implications of the situation and how we intend to manage the situation. Ridgeline will also disclose any legal or disciplinary events that are material to a client’s evaluation or the integrity of our management or advisory personnel.
Ridgeline will provide this disclosure (or a means to access this information) in writing prior to starting our proposed engagement, and will provide such additional information or clarification as the client may request. Ridgeline will also advise clients in writing of any subsequent material conflict of interest that may arise, as well as the related implications, its plan to manage that situation, and any additional information such client may require.
II. General Conflict of Interest Disclosures
Disclosure of Conflicts Concerning the Firm’s Affiliates Ridgeline does not have any affiliates that provide any advice, service, or product to or on behalf of the Client that is directly or indirectly related to the municipal advisory activities to be performed by Ridgeline.
Disclosure of Conflicts Related to the Firm’s Compensation Ridgeline has not made any payments directly or indirectly to obtain or retain the Client’s municipal advisory business.
Ridgeline has not received any payments from third parties to enlist Ridgeline’s recommendation to the Client of its services, any municipal securities transaction or any municipal finance product.
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Ridgeline has not engaged in any fee-splitting arrangements involving Ridgeline and any provider of investments or services to the Client.
From time to time, Ridgeline may be compensated by a municipal advisory fee that is or will be set forth in an agreement with the client to be, or that has been, negotiated and entered into in connection with a municipal advisory service. Payment of such fee may be contingent on the closing of the transaction and the amount of the fee may be based, in whole or in part, on a percentage of the principal or par amount of municipal securities or municipal financial product. While this form of compensation is customary in the municipal securities market, it may be deemed to present a conflict of interest since we may appear to have an incentive to recommend to the client a transaction that is larger in size than is necessary. Further, Ridgeline may also receive compensation in the form of a fixed fee arrangement.
While this form of compensation is customary, it may also present a potential conflict of interest if the transaction ultimately requires less work than contemplated and we are perceived as recommending a more economically friendly pay arrangement. Finally, Ridgeline may contract with clients on an hourly fee basis. If Ridgeline and the client do not agree on a maximum amount of hours at the outset of the engagement, this arrangement may pose a conflict of interest as we would not have a financial incentive to recommend an alternative that would result in fewer hours.
Ridgeline manages and mitigates all of these types of conflicts by disclosing the fee structure to the client, and by requiring that there be a review of the municipal securities transaction or municipal financial product to ensure that it is suitable for the client in light of various factors, after reasonable inquiry, including the client’s needs, objectives, and financial circumstances.
Disclosure Concerning Provision of Services to State and Local Government, and Non-Profit Clients Ridgeline regularly provides financial advisory services to state and local governments, their agencies, and instrumentalities, and non-profit clients. While our clients have expressed that this experience in providing services to a wide variety of clients generally provides great benefit for all of our clients, there may be or may have been clients with interests that are different from (and adverse to) other clients. If for some reason any client sees our engagement with any other particular client as a conflict, we will mitigate this conflict by engaging in a broad range of conduct, if and as applicable. Such conduct may include one or any combination of the following: 1) disclosing the conflict to the client; 2) requiring that there be a review of the municipal securities transaction or municipal financial product to ensure that it is suitable for the client in light of various factors, including the client’s needs, objectives and financial circumstances; 3) implementing procedures that establishes a “firewall” that creates physical, technological and procedural barriers and/or separations to ensure that non-public information is isolated to particular area such that certain governmental transaction team members and supporting functions operate separately during the course of work performed; and 4) in the rare event that a conflict cannot be resolved, we will withdraw from the engagement.
Disclosure Related to Legal and Disciplinary Events
As registered municipal advisors with the SEC and the MSRB, pursuant to the Securities Exchange Act of 1934 Rule 15Ba1-2, our legal, disciplinary and judicial events are required to be disclosed on our forms MA and MA-I filed with the SEC, in ‘Item 9 Disclosure Information’ of form MA, ‘Item 6 Disclosure Information’ of form MA-I, and if applicable, the corresponding disclosure reporting page(s). To review the foregoing disclosure items and material change(s) or amendment(s), if any, clients may electronically access Ridgeline filed forms MA and MA-I on the SEC’s Electronic Data Gathering, Analysis, and Retrieval system, listed by date of filing starting with the most recently filed at
www.sec.gov/edgar/searchedgar/companysearch.html.
Ridgeline does not have any legal or disciplinary events or disciplinary history on its Form MA and Form(s) MA-I, which includes information about any criminal actions, regulatory actions, investigations, terminations, judgements, liens, civil judicial actions, customer complaints, arbitrations, and civil litigation. There have been no material changes to a legal or disciplinary event disclosure on any form MA or Form MA-I filed with the SEC.
Disclosure Related to Recommendations
If Ridgeline makes a recommendation of a municipal securities transaction or municipal financial product or it the review of a recommendation of another party is requested in writing by the Client and is within the scope of the engagement, Ridgeline will determine, based on the information obtained through reasonable diligence of Ridgeline Page | C-4
whether a municipal securities transaction or municipal financial product is suitable for the Client. In addition, Ridgeline will inform the Client of:
• the evaluation of the material risks, potential benefits, structure, and other characteristics of the recommendation;
• the basis upon which Ridgeline reasonably believes that the recommended municipal securities transaction or municipal financial product is, or is not, suitable for the Client; and, • whether Ridgeline has investigated or considered other reasonably feasible alternatives to the recommendation that might also or alternatively serve the Client’s objectives.
If the Client elects a course of action that is independent of or contrary to the advice provided by Ridgeline, Ridgeline is not required on that basis to disengage from providing services to the Client.
Disclosure Related to Record Retention
Pursuant to the SEC record retention regulations, Ridgeline is required to maintain in writing, all communications and created documents between Ridgeline and the Client for five (5) years.
III. Specific Conflicts of Interest Disclosures – Client To our knowledge, following reasonable inquiry, as of the commencement of the Scope of Services, we are not aware of any actual or potential conflict of interest that could reasonably be anticipated to impair our ability to provide advice to or on behalf of the Client in accordance with applicable standards of conduct of MSRB Rule G-42. If we become aware of any potential conflict of interest that arises after this disclosure, we will disclose the detailed information in writing to the Client in a timely manner.
Ridgeline does not act as principal in any of the transactions related to its role / work on the Scope of Services.
Ridgeline does not have any other engagements or relationships that might impair Ridgeline’s ability to either render unbiased and competent advice to or on behalf of the Client, or to fulfill our fiduciary duty to the Client, as applicable.
Item No.: 4.E
City Council Meeting
May 5, 2025
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CITY OF SAN JUAN BAUTISTA
CITY COUNCIL STAFF REPORT
DATE: MARCH 25, 2025
DEPARTMENT: CITY MANAGER
FROM: ASHLEY COLLICK, INTERIM CITY MANAGER
TITLE: APPROVAL OF CONTRACT WITH COMMUNITY
DEVELOPMENT CONSULTANTS FOR A CITYWIDE INCOME
SURVEY
RECOMMENDED MOTION:
Approve a Resolution Authorizing the City Manager to execute a contract with Community Development Consultants (Adams Ashby Group) to conduct a citywide income survey, in an amount not to exceed $35,000.
BACKGROUND:
To pursue grants through CDBG, USDA, and the State Water Board, the City must demonstrate income eligibility through current and statistically valid data. The income survey will provide data required to qualify for these programs.
DISCUSSION:
The income survey will include sample size determination, survey design, public outreach, data collection, and final reporting. Community Development Consultants will oversee all phases of the project, ensuring compliance with HUD, USDA, and SWRCB standards. The survey targets 775 occupied housing units with a 95% confidence level and ±7% margin of error.
FISCAL IMPACT:
The total contract amount is $35,000, payable in five milestone-based installments. Funds will be allocated from the City’s planning or general fund budget. Survey results may support future reimbursements under applicable grant programs.
ATTACHMENTS:
• Income Survey Proposal from Community Development Consultants (April 2025) • Resolution
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RESOLUTION NO. 2025-XX
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SAN JUAN BAUTISTA
APPROVING A CONTRACT WITH COMMUNITY DEVELOPMENT CONSULTANTS
TO CONDUCT A CITYWIDE INCOME SURVEY IN AN AMOUNT NOT TO EXCEED $35,000
WHEREAS, the City of San Juan Bautista intends to pursue state and federal grant funding opportunities through programs including the Community Development Block Grant (CDBG), USDA Rural Development, and the California State Water Resources Control Board (SWRCB); and
WHEREAS, eligibility for these programs requires validated income data obtained through a statistically valid community survey; and
WHEREAS, Community Development Consultants (Adams Ashby Group) has proposed to conduct a citywide income survey in accordance with state and federal agency requirements; and
WHEREAS, the proposed cost of services shall not exceed $35,000, with payment tied to project milestones;
NOW, THEREFORE, BE IT RESOLVED that the City Council of the City of San Juan Bautista hereby approves the contract with Community Development Consultants in an amount not to exceed $35,000 to conduct a citywide income survey to support future grant applications.
PASSED AND APPROVED by the San Juan Bautista City Council on this 5th day of May 2025 by the following vote:
AYES:
NOES:
ABSENT:
ABSTAIN:
APPROVED:
_____________________
Leslie Q. Jordan, Mayor
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ATTEST:
______________________
Elizabeth Soto, City Clerk
Community Development Consultants
CITY OF SAN JUAN BAUTISTA
INCOME SURVEY
FOR STATE & FEDERALLY FUNDED PROGRAMS
APRIL
2025
1000 Lincoln Road H-212
Yuba City, CA 95991
916.449.3944
www.adamsashbygroup.com
SCOPE OF WORK
CITY OF SAN JUAN BAUTISTA – INCOME SURVEY SAMPLE SIZE ANALYSIS To determine eligibility for federal and state funding programs such as HUD’s CDBG, USDA Rural Development, and the California State Water Resources Control Board (SWRCB), the City of San Juan Bautista must conduct an income survey that meets established statistical standards. The following sample size analysis has been developed to ensure a 95% confidence level with a ±7% margin of error, which is the typical requirement for validating income eligibility data.
SURVEY PARAMETERS
- Total Occupied Housing Units: 775 (estimated)
- Desired Confidence Level: 95%
- Allowable Margin of Error: ±7%
- Statistical Validity: Required by HUD, USDA, and SWRCB
SAMPLE SIZE REQUIREMENT
Total Occupied
Housing Units
Required Number of
Responses
Confidence Level Margin of Error
775 171 95% ±7%
The sample size identified above ensures that the results of the income survey will be reliable and acceptable to funding agencies for establishing eligibility based on Low-Moderate Income (LMI) or Median Household Income (MHI). A slightly larger sample is encouraged to offset potential non-responses.
PHASE 1: PROJECT PLANNING AND PREPARATION
1. Define Purpose and Funding Alignment
o Identify which grant program(s) the survey will support (e.g., CDBG PI, State Water Board, USDA RD).
o Confirm agency-specific eligibility criteria (e.g., HUD’s LMI = 51%+, SWRCB = MHI ≤ 80% of state MHI).
2. Identify Target Survey Area
o Use local planning maps, fire mapping, utility billing records, and/or housing element data to define the survey boundaries.
o The area must match the service area for the proposed project (not necessarily citywide). This can be determined in our planning meeting.
3. Confirm Housing Unit Data
o Verify total number of occupied housing units (not total population). o Remove vacant and commercial properties from the count. o This will define your survey universe (analysis assumes 1859)
4. Calculate Required Sample Size
o Apply the appropriate confidence level (95%) and margin of error (typically ±7%).
o Determine minimum number of valid responses needed (e.g., 775 for San Juan Bautista at 95% CL, ±7% + an additional 20 % for substitution).
5. Develop Methodology
o Select survey method: Random sample
o Outline:
Contact methods (mail, phone, door-to-door)
Language accessibility
Confidentiality and anonymity protections
6. Submit Survey Plan for Pre-Approval (as required by agency) o HUD/CDBG: submit to HCD for approval
o SWRCB/USDA: follow any agency-specific pre-review process PHASE 2: SURVEY DESIGN AND OUTREACH
7. Prepare Survey Materials
o Design income survey form (clear, easy to complete)
o Include cover letter explaining the purpose, confidentiality, and contact info o Ensure compliance with agency formats (USDA requires total household income by size; CDBG may use income brackets)
o Set up QR codes for electronic submittals.
8. Develop Outreach Strategy
o Multilingual outreach (per LCP)
o Community notices, flyers, press releases
o Leverage local partners (e.g., nonprofits, churches, schools)
9. Print and Mail Surveys
o Initial mailing with cover letter and return envelope (prepaid postage) o Include instructions and due date
o Track returned surveys and undeliverable surveys
o Plan on-site meetings and raffles
PHASE 3: FOLLOW-UP AND FIELD WORK
10. Manage Survey Returns
o Enter responses into secure database
o Ensure anonymity
o Monitor progress toward response targets
11. Second and Third Mailings
o Send reminder postcards and reissue undelivered surveys o Maintain detailed records of outreach attempts
12. Door-to-Door or Phone Follow-Up
o Conduct field interviews as needed to reach minimum response threshold o Secure permission if entering gated communities or senior housing PHASE 4: ANALYSIS AND REPORTING
13. Validate Data
o Review for completeness, internal consistency, and eligibility o Separate ineligible responses (e.g., incomplete or non-residents)
14. Calculate Results
o Determine final Low-Mod Income % (CDBG) or Median Household Income (MHI) for SWRCB/USDA
o Compare with program eligibility thresholds
15. Prepare Final Report
o Include:
Survey methodology
Outreach log and response rate
Sample size calculations
Maps and demographic data
Analysis results and conclusion
o Attach copies of forms, letters, and outreach samples
16. Submit to Agencies for Approval
o HCD: Submit to HCD for CDBG projects
o SWRCB: Use DAC determination form and attach survey
o USDA: Submit with funding application package
PHASE 5: CLOSEOUT AND FILE RETENTION
17. Archive Documentation
o Retain copies of:
All survey forms (de-identified if necessary)
Methodology approvals
Outreach materials and response logs
Final report and agency approvals
18. Use Survey Results in Applications
o Reference validated income data in CDBG, USDA, or SWRCB grant applications o Update community profile and capital improvement plans, if needed
COST PROPOSAL
CITY OF SAN JUAN BAUTISTA – INCOME SURVEY
$35,000 flat fee for the services to prepare and submit an approved CDBG Income Survey for the city limits of the City of San Juan Bautista.
Payment will be made as follows:
i. Payment 1: $7,500 for methodology approval by CDBG and other agencies ii. Payment 2: $7,500 at marketing and outreach kick off iii. Payment 3: $7,500 at 50% data collection
iv. Payment 4: $7,500 at 100% data collection
v. Payment 5: $5,000 at final approval of report by CDBG
4. CONSENT
F. Approve the Special Meeting Minutes of March 25, 2025.
G. Approve the Special Meeting Minutes of April 17, 2025.
H. Approve the Special Meeting Minutes of April 22, 2025.