San Luis Obispo City Council
October 21, 2025

1 Vert, Nicole
From: FEMA GO <[email protected]>
Sent: Wednesday, September 24, 2025 12:29 PM
To: Vert, Nicole
Cc: Daniel, Josh; Vert, Nicole; [email protected]; Blattler, James Subject: Award Notification (Application Number: EMW-2024-FP-00527) Dear Nicole,
Congratulations! Your grant application submitted under the Grant Programs Directorate's Fiscal Year (FY) 2024 Fire Prevention and Safety (FP&S) Grant has been approved for award.

Please use the FEMA GO system at https://go.fema.gov to accept or decline your award. Please note that you will have thirty (30) days from the date of this award notification to either accept or decline the award, and that the award must be accepted or declined by an Authorized Organization Representative (AOR) within the FEMA GO system. Instructions for registering within the system and becoming an AOR are available at https://www.fema.gov/gmm-training-resources.

Once you are in the system and made an AOR for your organization, your home page will be the first screen you see. You will see a section entitled My Grants. In this section, please select the award acceptance link for EMW-2024-FP-00527 under Fiscal Year (FY) 2024 Fire Prevention and Safety (FP&S) Grant. View your award package and indicate your acceptance or declination of award. If you wish to accept your grant, you should do so immediately. When you have finished, we recommend printing your award package for your records.

If you have questions on using the FEMA GO system, please reach out to the FEMA GO Help Desk (1-877- 585-3242). For programmatic questions about your grant, please reach out to the AFG Helpdesk ([email protected] / 1-866-274-0960).

Sincerely,
Grants Management Branch
Fire Prevention and Safety
Department of Homeland Security / FEMA

System for Award Management (SAM.gov) profile
Please identify your organization to be associated with this application.

All organization information in this section will come from the System for Award Management (SAM) profile for that organization.

CITY OF SAN LUIS OBISPO
Information current from SAM.gov as of: 09/07/2025
UEI-EFT: VCUGK243NQ71
DUNS (includes DUNS+4): 098992407
Employer Identification Number (EIN): 956000781
Organization legal name: CITY OF SAN LUIS OBISPO
Organization (doing business as) name: CITY OF SAN LUIS OBISPO Mailing address: 990 PALM ST SAN LUIS OBISPO, CA 93401-3219 Physical address: 990 PALM ST SAN LUIS OBISPO, CA 93401-3219 Is your organization delinquent on any federal debt? N
SAM.gov registration status: Active as of 03/05/2025
 We have reviewed our bank account information on our SAM.gov profile to ensure it is up to date Applicant information
Please provide the following additional information about the applicant.

Applicant name City of San Luis Obispo
Main address of location impacted by this grant
Main address 1 2160 Santa Barbara
Main address 2
City San Luis Obispo
State/territory CA
Zip code 93401
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Zip extension 5240
In what county/parish is your organization physically
located? If you have more than one station, in what
county/parish is your main station located?
San Luis Obispo
Applicant characteristics
The FP&S (Fire Prevention and Safety) program intends to enhance the safety of the public and firefighters with respect to fire and fire-related hazards by assisting fire prevention programs and supporting firefighter health and safety research and development. Grant funds are available in two activities: Fire Prevention and Safety Activity and Research and Development Activity. Please review the Notice of Funding Opportunity for information on available categories within each activity area and for more information on the evaluation process and conditions of award.

Please provide the following additional information about your organization.

Activity: Fire Prevention and Safety (FP&S)
Applicant type: Fire Department/Fire District
What kind of organization do you represent? All Paid/Career Do you currently report to the National Fire Incident
Reporting System (NFIRS)? You will be required to
report to NFIRS for the entire period of the grant.

Yes
Please enter your FDIN/FDID. 40060
Operating budget
What is your organization's operating budget for programs that enhance the safety of the public and firefighters with respect to fire and fire-related hazards (including fire prevention, fire code enforcement, fire/arson investigation, wildfire prevention, and firefighter health and safety research and development)? Please include costs (e.g., personnel, maintenance of apparatus, equipment, facilities, utility costs, purchasing expendable items, etc.) for the current (at the time of application) fiscal year, as well as the previous two fiscal years.

Current fiscal year:
2025
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Please explain the applicant's need for financial assistance to carry out the proposed project(s). Provide detail about the applicant's total operating budget, including a high-level breakdown of the budget. Describe the applicant's inability to address financial needs without federal assistance. Discuss other actions the applicant has taken to meet their needs. Include information on efforts to obtain funding elsewhere and how similar projects have been funded in the past.

The City of San Luis Obispo’s main revenue source is sales tax. Recently the City forecast anticipates expenses out pacing revenue by late 2025 which will force cuts across all departments. During budget development for the next fiscal year no increases were permitted, forcing the department to absorb cost increases in essential operating categories by reducing expenditures in other programmatic functions. Furthermore, in anticipation of the budget shortfall, departments have been asked to reduce budgets by five percent. The City is still in the recovery process from a Presidentially Declared Disaster created by severe 2023 winter storms. The storms had a significant effect on all city services and fiscal impact from the storms is estimated at $45,000,000 severely impacting future spending. In addition to the City’s recovery from the January 2023 storms, the State’s Public Employee Pension Fund (CALPERS) took a substantial hit during the Great Recession which created an unfunded pension liability crisis. To navigate through the crisis, CALPERS reduced its anticipated rate of return on investments and subsequently increased the employer contributions to the fund. Prior to the CALPERS unfunded pension liability crisis, and storm recovery costs the Fire Department was not sufficiently funded to meet public education and awareness programs, training demands, replace critical life safety equipment, including personal protective equipment, medical equipment, and radios communications equipment. The storm recovery has further hampered the department’s ability to fund critical training. The Fire Department’s budget is only 10 percent higher than the department’s budget in fiscal year 2008-2009; this is without any inflation adjustments. If adjusting to inflation the department’s current budget is 4.5 percent lower that the budget in 2008-09. The Department’s emergency response non-staffing budget was reduced, decreasing monies for items such as training, rescue equipment, hose, safety supplies, medical supplies, personal protective equipment, fire apparatus, and training. Other City Departments and programs are similarly positioned. The need far outweighs the available resources.

In cases of demonstrated economic hardship, and upon the request of the grant applicant, the FEMA Administrator may grant an Economic Hardship Waiver. Is it your organization's intent to apply for an Economic Hardship Waiver?
No
Other funding sources
This fiscal year, are you receiving Federal funding from any other grant program for the same purpose for which you are applying for this grant?
No
This fiscal year, are you receiving Federal funding from any other grant program regardless of purpose? Fiscal Year Operating budget
2025 $18,957,780.00
2024 $15,548,424.00
2023 $14,672,304.00
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Yes
Please provide an explanation for other funding sources in the space provided below.

Currently we have two active FEMA grants, EMW-2023-FP-00320 for Personal Protection Equipment, EMW-2022-FG-08062 to train Emergency Medical Technicians to the Paramedic level, with a recent amendment to purchase self-contained breathing apparatus. This is not listed under the percentage of declared operating budget above because the grant related training is not built within the operating budget but incurs unbudgeted costs that are reimbursed through the AFG project.

Community description
Please provide the following additional information about the community your organization serves.

What type of community does your organization serve?
Suburban
What is the permanent resident population of your first due response zone/jurisdiction served? 49757
Please describe your organization and/or community that you serve.

San Luis Obispo City Fire Department is a career fire department with six (6) non-safety prevention staff plus 49 suppression personnel and 4 fire stations that protect a city of some 13.2 square miles in an area that has 4,000 acres of designated open space with 53 miles of trails that make up a green belt with dense vegetation and heavy fuels that surround the City as well as a number of structural challenges. These include an increase in building heights, old un-reinforced masonry buildings (fifth oldest community in California), an ever-increasing mix of commercial, retail, and residential buildings, and a downtown that has been actively under reconstruction for the past several years. We currently protect a population of approximately 49,000 people; however peak-time, business-day population in the City is routinely more than 100,000 as we are the County government operations center and business center. The City is a popular year-round tourist destination with over 1,400,000 visitors annually and has a seasonal increase in population of approximately 20,000 during the academic school year. Our department also provides fire and emergency medical services (EMS) protection for California Polytechnic State University at San Luis Obispo (Cal Poly), which sits just outside the city limits but adds over 22,000 students and staff to our service population, including 8,435 on-campus student residents. The City has not been immune to the unhoused crisis that exists throughout the state. This population takes shelter in places exposed to the elements. In the absence of adequate shelter, individuals experiencing homelessness often resort to makeshift fires for warmth inadvertently increasing the risk of wildfires from being improperly managed. The community of San Luis Obispo is highly engaged in setting priorities for the City of San Luis Obispo. One priority frequently stressed is fiscal sustainability as a major city goal which requires the fire department to operate on limited budgets. Another priority continues to be the preservation and use of open space, which requires the fire department to have to ability to serve community members who encounter emergency situations in remote locations and prepare for and battle wildland fires in the urban interface. We provide all-hazards emergency response to the City and Cal Poly including response to:
all out-of-hospital medical emergencies, structure fires, wildland fires, hazardous material releases, technical rescues, structural collapse, active shooters, and all natural or human caused disasters. The City of San Luis Obispo is the largest community neighboring the Diablo Canyon Nuclear Power Plant (NPP) and is located inside the emergency planning and evacuation zone for the NPP. The department provides mutual aid to the nuclear power plant emergencies. San Luis Obispo is geographically isolated from the mutual aid resources of metropolitan areas such as Los Angeles and San Jose by at 9/25/25, 10:13 AM FEMAGO - Application
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least three hours. Sustained self-reliance is vital to our all-hazards mission in the community and region.

Grant request details
Grand total: $60,240.00
Program area: Fire prevention and safety
Project
WUI Education and Awareness
project questions
Project: WUI Education and
Awareness San Luis Obispo
Wildfire Risk Reduction
Initiative
$60,240.00
Activity: Wildfire Risk Reduction $60,240.00
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
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Please provide the following information about the
project you want funded.
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Project name San Luis Obispo
Wildfire Risk Reduction
Initiative
Is this a national-level
project, with national
impact and national
dissemination?
No
Is this project a regional
request? A regional
request provides a direct
regional and/or local
benefit beyond your
organization. You may
apply for a regional
request on behalf of your
organization and any
number of other
participating eligible
organizations within your
region.

No
Who is the target audience for the planned project?
Geographic Area
What is the estimated
size of the target
audience?
49244
How was this target
audience determined?
Formal Assessment
Please provide a brief
synopsis of the proposed
project and then identify
the specific goals and
objectives of your project.

The project is a
targeted wildfire risk
reduction initiative in
response to the CAL
FIRE’s recently updated
Fire Hazard Severity
Zone (FHSZ) maps.

These reclassifications
bring new defensible
space and hazard
mitigation
requirements under
local code, but
widespread public
awareness and
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compliance remain
limited. The aim is to
increase both
awareness of and
compliance with the
City’s defensible Space
Code through two key
components. The first
is expanded training for
fire inspectors and
enforcement personnel,
to enhance capacity
during high-risk
seasons and improve
consistency in field
assessments. The
second is a citywide
public education
campaign tailored to
both residents and
businesses, providing
actionable guidance on
wildfire preparedness
and defensible space
requirements specific
to their risk zone.

Together, these efforts
are designed to build a
more informed and fireadapted community.

The project’s outcome
an increase in
compliance with
defensible space
requirements.

Please explain your
experience and ability in
developing and
conducting (i.e., timely
and satisfactory project
completion) past fire
prevention and safety
projects. Additionally,
please demonstrate the
experience and expertise
you have in managing
the type of project you
are proposing.

San Luis Obispo City
Fire and Emergency
Services has
successfully managed
several state and
federal grant awards in
the past and is aware of
the administrative work
that is required if
successful. FEMA
conducted a desk
review on grant EMW2022-FG-08062 and
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determined it is
progressing according
to the authorized
statement of work and
follows FEMA
guidelines and federal
regulations for the AFG
program. If this grant
request were to be
awarded, SLOFD would
ensure that all
regulations were
followed, and the
project is implemented
and followed as
intended.

Sustainability: Is it your organization's intent to
deliver this program after the grant performance
period? If so, how will the overall activity be
sustained and what are the long-term benefits?
Examples of sustainable projects can be illustrated
through the long-term benefits derived from the
delivery of the project, the presence of non-federal
partners likely to continue the effort, or the
demonstrated long-term commitment of the applicant.

SLOFD will complete the project prior to the end
of the grant performance period. The department
will develop strategies to ensure the long-term
sustainability and continuity of operations
beyond the grant period. Consider factors such
as budgeting for continuing education, staff
training and succession planning, technology
upgrades, and contingency planning for
emergencies or unforeseen disruptions. The
benefits from the project will continue long after
the close of the grant performance period.

Narrative
The narrative statements must provide all the
information necessary for you to justify your needs
and for FEMA to make an award decision. A panel of
peer reviewers will evaluate the applications by using
the narrative statements below to determine the
worthiness of the request for an award. Please
ensure that your narrative clearly addresses each of
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the following evaluation criteria elements to the best
of your ability with detailed but concise information.

You may either type your narrative statements in the
spaces provided below or create the text in your word
processing system and then copy it into the
appropriate spaces provided below. Please note the
narrative block does not allow for formatting. Do not
type your narrative using only capital letters.

Additionally, do not include tables, special fonts (i.e., quote marks, bullets, etc.), or graphs. Please review
the Notice of Funding Opportunity for additional
narrative details.

Commitment to
Mitigation: Fire
Department applicants
that can demonstrate
their commitment and
proactive posture to
reducing fire risk will
receive higher
consideration. Applicants
must explain their code
adoption and
enforcement (to include
Wildland Urban Interface
and
commercial/residential
sprinkler code adoption
and enforcement) and
mitigation strategies
(including whether or not
the jurisdiction has a
FEMA-approved
mitigation strategy).

Applicants can also
demonstrate their
commitment to reducing
fire risk by applying to
implement fire mitigation
strategies (code adoption
and enforcement) via this
application.

The City of San Luis
Obispo Fire
Department is
committed to reducing
fire risk through
several avenues
including code
adoption and public
outreach. The City’s
local ordinance
requires all new
construction over 1000
square feet to have
sprinklers installed.

The division reviews
plans and construction
sites prior to signing an
occupancy permit to
enforce fire safety
regulations. SLOFD is
mandated by the State
of California to
complete inspections
annually on all public
and private schools,
hotels, motels, lodging
hours, and
apartment/condominium
buildings within the
city. The City is home
the Cal Poly University,
with over 20,000
students enrolled and
only 8,000 of those
students reside on
campus the remainder
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live in the city resulting
in an abundance of
apartment buildings
needing inspections.

The city of San Luis is
a vacation destination
with a large number of
hotels requiring
inspection as well.

SLOFD conducts over
1,100 of these
inspections annually to
ensure safety for all
city residents and
visitors. All public
assemblies are
required to receive a
permit prior to the
event occurring.

SLOFD reviews plans
and sets fire safety
requirements ensuring
well-being of
attendants during the
event. Vacant lots must
be cleared of
flammable vegetation
by June 1 annually. The
Fire Prevention Bureau
conducts inspections
and enforces
compliance with
violations potentially
resulting in
misdemeanor citations.

SLOFD is committed to
public outreach to
educate the citizens
about fire safety.

Annually, the
department hosts an
open house where fire
safety information is
distributed. The
department attends
San Luis County’s
Sheriff’s Day in the
park and Cal Poly Days
at the neighboring
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University to continue
to reach the community
and educate about fire
safety.

Vulnerability
Statement:

The assessment of
fire risk is essential
in the development
of an effective
project goal, as
well as meeting
FEMA’s goal to
reduce risk by
conducting a risk
assessment as a
basis for action.

Vulnerability is a
“weak link,”
demonstrating
high-risk behavior,
living conditions,
or any type of
high-risk situation.

The Vulnerability
Statement should
include a
description of the
steps taken to
determine the
vulnerability and
identify the target
audience. The
methodology for
determination of
vulnerability (i.e.,
how the
vulnerability was
found) should be
discussed in-depth
in the application’s
Narrative
Statement.

The specific
vulnerability that
will be addressed
with the proposed
San Luis Obispo is
increasingly vulnerable
to wildfire due to its
location at the
wildland-urban
interface (WUI) and its
surrounding
geography. In 2024 CAL
FIRE released updated
Fire Hazard Severity
Zone (FHSZ) maps that
identified more than
6,000 parcels within the
city limits as High or
Very High Fire Hazard
Severity Zones which is
a dramatic increase
reflecting growing
exposure. The region’s
geography, combined
with climate-driven
conditions, places
thousands of residents,
the adjacent state
university campus, and
over $12 billion in
assess property value
at risk. The City is
surrounded by steep
hillsides some topping
1,500 feet elevation.

These slopes intensify
fire behavior and there
are critical
neighborhoods directly
at the base and along
the flanks with minimal
buffers. There are over
54,000 acres of
undeveloped open
space inside and
surrounding the city.

These areas are
covered in natural
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project can be
established
through a formal or
informal risk
assessment.

FEMA encourages
the use of local
statistics, rather
than national
statistics, when
discussing the
vulnerability.

In a clear, to-thepoint statement,
the applicant
should summarize
the vulnerability
the project will
address, including
who is at risk, what
the risks are,
where the risks
are, and how the
risks can be
prevented,
reduced, or
mitigated.

For the purpose of
this application,
formal risk
assessments
consist of the use
of software
programs or
recognized expert
analysis that
assess risk trends.

Informal risk
assessments
could include an
in-house review of
available data
(e.g., National Fire
Incident Reporting
System [NFIRS])
to determine fire
loss, burn injuries
or loss of life over
a period of time,
vegetation such as
grass, chaparral and
oak woodlands that
serve as continuous
fire fuels, creating a
high-risk environment
for ignition and fire
spread. Prolonged
drought, hotter and
drier seasons, and
annual wind events
contribute to a yearround wildfire threat.

These wind events,
commonly called the
Santa Ana winds are
dry, warm, offshore
winds originating from
high-pressure systems
of inland deserts of
Nevada, which push air
downslope toward the
coast. These winds are
hot, dry and fast
moving with gust that
can exceed 40 miles
per hour, rapidly
spreading embers over
long distances. These
winds were a major
driver of the
destructive Palisades
Fire and the Prefumo
Canyon Fire in 2024
outside of San Luis
Obispo. Wildfires in
recent years have
burned directly within
city limits and in
adjacent wildland
areas, coming within
close range of homes,
evacuation routes, and
along key
infrastructure. The
Lizzie fire in 2023
ignited in open space
and the surrounding
hillsides. It burned 124
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and the factors
that are the cause
and origin for each
occurrence,
including a lack of
adoption or
enforcement of
certain codes.
acres around the local
High School and
neighborhoods forcing
evacuations as it
burned to the edge of
the residential streets.

These events
demonstrate how
rapidly fire can move
from open space into
densely populated
neighborhoods, posing
immediate danger to
public safety and
property. Given the
City’s topographic and
environmental
exposure, there is an
urgent need for
investment in proactive
wildfire mitigation
strategies. The
includes enhanced
public education, surge
capacity for
inspections during
critical fire inspections
during critical fire
weather, and advanced
training for fire
personnel.

Project Description:

Applicants must describe
in detail not only the
project components but
also how the proposed
project addresses the
identified capability gap,
due to financial need
and/or the vulnerabilities
identified in the
vulnerability statement.

The following information
should be included:

Project
Components
This project is
designed to strengthen
the City of San Luis
Obispo’s wildfire
resilience by increasing
capacity, public
awareness, and code
compliance, in direct
alignment with CAL
FIRE’s updated Fire
Hazard Severity Zone
(FHSZ) designations.

Recognizing the
growing wildfire risk
within the City’s
expanded High and
Very High Fire Hazard
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Review of any
existing programs
or models that
have been
successful.

Detailed
description of how
the proposed
project
components fill the
identified capability
gap
If working with Fire
Service
Partners/Organizations,
identify each
partner/organization
and the role(s)
they will fill in the
successful
completion of the
proposed project.

Severity Zones, the
project adopts a
comprehensive
approach that
integrates staff
training, expanded
inspection efforts,
targeted public
education, and
rigorous evaluation to
achieve lasting impact.

Goal 1: Build Staff
Expertise To equip the
fire inspection team
with advanced
knowledge and skills
necessary for effective
wildfire mitigation, two
Fire Inspectors will be
trained to the NFPA and
International
Association of Fire
Chiefs (IAFC) “Wildfire
Mitigation and Risk
Reduction Planning”
certificate level. This
specialized training,
will enhance their
ability to identify risks,
enforce defensible
space regulations, and
communicate
mitigation strategies
clearly to the
community. Goal 2:

Expand Inspection
Capacity To increase
the City’s ability to
enforce defensible
space requirements,
the project will hire two
paid Fire & Life Safety
Interns. These interns
will support core
functions including
conducting property
inspections, GIS
defensible space
mapping, data
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management, and
community outreach
activities. Their
involvement will enable
the City to inspect a
significantly larger
number of parcels,
ensuring timely
identification and
correction of wildfire
hazards. Goal 3:

Strengthen Public
Preparedness Effective
wildfire mitigation
requires an informed
and engaged
community. To this end,
a citywide Wildland–
Urban Interface (WUI)
Education Campaign
will be launched,
targeting residents and
businesses. The
campaign will utilize a
combination of inperson pop-up events,
Homeowners
Association meetings,
targeted mailers, and
digital education
platforms. Visual aids
and props will be
incorporated into inperson events and
online materials to
facilitate interactive
learning, improve
comprehension, and
make safety messages
more memorable. Key
topics will include
defensible space
maintenance, fire-safe
landscaping
techniques, and
evacuation
preparedness.

Together, these goals
and objectives form a
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cohesive strategy that
addresses wildfire risk
from multiple angles—
building internal
capacity, increasing
enforcement reach,
empowering the
community, and
rigorously measuring
progress. This
integrated approach
supports FEMA’s FY
2024 Fire Prevention &
Safety program
priorities and positions
San Luis Obispo to
reduce the threat of
wildfire-related injury,
loss of life, and
property damage in one
of California’s most
vulnerable urbanwildland interface
communities.

Implementation Plan:

Each project proposal
should include details on
the implementation plan
which discusses the
proposed project’s goals
and objectives. The
following information
should be included to
support the
implementation plan:

Goals and
objectives
Details regarding
the methods and
specific steps that
will be used to
achieve the goals
and objectives
Timelines outlining
the chronological
project steps (this
is critical for
The project will begin
in months one and two
with the launch and
planning phase. During
this time, an internal
project manager will be
assigned, and the
budget will be finalized.

Recruitment and
onboarding of two Fire
& Life Safety Interns,
will also take place.

Simultaneously, the
training schedule for
two Fire Inspectors will
be confirmed, enrolling
them in the NFPA and
IAFC Wildfire Mitigation
& Risk Reduction
Planning certificate
courses. Coordination
with GIS staff will
establish defensible
space mapping
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determining the
likeliness of the
project’s
completion within
the period of
performance)
Where applicable,
examples of
marketing efforts
to promote the
project, who will
deliver the project
(e.g., effective
partnerships), and
the manner in
which materials or
deliverables will be
distributed
Requests for props
(i.e., tools used in
educational or
awareness
demonstrations),
including specific
goals, measurable
results, and details
on the frequency
for which the prop
will be utilized as
part of the
implementation
plan. Applicants
should include
information
describing the
efforts that will be
used to reach the
high-risk audience
and/or the number
of people reached
through the
proposed project
(examples of
props include
safety trailers,
puppets, or
costumes)
Where human
subjects are
protocols and prioritize
parcels for inspections.

Additionally, an
education campaign
plan will be developed,
identifying key
community events,
Homeowners
Association (HOA)
meetings, and partner
organizations to
support outreach
efforts. Months three
through five will focus
on staff training and
inspection preparation.

The Fire Inspectors will
attend and complete
initial wildfire
mitigation training
modules. Meanwhile,
the interns will begin
collecting precampaign defensible
space data and
uploading it into the
City’s GIS system.

Public outreach
materials—including
demonstration props,
flyers, door hangers,
and fire-safe
landscaping guides—
will be finalized,
purchased and printed.

The project website will
be launched alongside
the creation of digital
media content such as
social media posts,
emails, and videos to
support the outreach
campaign. Between
months six and twelve,
the citywide Wildland–
Urban Interface (WUI)
Education Campaign
will be launched and
executed by the
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involved, describe
plans for
submission to the
Institutional
Review Board
(IRB) (for further
guidance and
requirements, see
the Human
Subjects Research
section of the
NOFO)
NOTE: For
applicants
proposing a
complex project
that may require a
24-month Period
of Performance,
please include
significant
justification and
details in the
implementation
plan that justify the
applicant’s need
for a Period of
Performance of
more than 12
months.
inspectors, interns and
other support staff in
the department. This
effort will include
participation in
community pop-up
events, HOA meetings,
and local gatherings.
5,000 handouts will be
distributed, and ten
fire-safe landscaping
demonstrations will be
conducted to engage
residents and
businesses. Digital
outreach, both paid and
organic, will target an
estimated 7,500
residents and 500
businesses.

Concurrently, interns
and inspectors will
begin on-the-ground
property assessments,
inspecting and
documenting
defensible space
conditions on 2,400
parcels, with all
inspection results
uploaded to the GIS
platform in real time. In
months nine through
twelve, follow-up
inspections and
educational visits will
be conducted for
properties found to be
non-compliant. A postcampaign survey will
be administered to
measure changes in
awareness and
compliance behaviors.

Training outcomes will
be evaluated through
pre- and post-test
comparisons, and
inspectors will validate
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a random sample of
parcels to confirm
improvements in
compliance. The final
months eleven and
twelve, will focus on
evaluation and
reporting. Compliance
data will be analyzed to
determine whether the
project achieved its
goal of a 10% increase
in defensible space
compliance.

Performance metrics,
including training
certificates, parcel
inspection data, social
media engagement,
and attendance
analytics, will be
compiled. The final
grant report will be
submitted, complete
with outcomes, photos,
and case studies.

Educational materials
will be archived for
future use, and internal
protocols will be
updated based on the
lessons learned from
the project.

Evaluation Plan:

Projects should include a
plan for evaluation of
effectiveness and identify
measurable goals.

Applicants seeking to
carry out awareness and
educational projects, for
example, should identify
how they intend to
determine that there has
been an increase in
knowledge about fire
hazards, or measure a
change in the safety
To ensure
accountability and
measure success, the
project aims to
document a 10%
increase in compliance
with the San Luis
Obispo Fire Code’s
defensible space
provisions by project
completion. This
outcome will be
evaluated through preand post-campaign
parcel inspections,
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behaviors of the
audience. Applicants
should demonstrate how
they will measure risk at
the outset of the project
in comparison to how
much the risk decreased
after the project is
finished. There are
various ways to measure
the knowledge gained
about fire hazards,
including the use of
surveys, pre- and posttests, or documented
observations. Applicants
are encouraged to attend
training on evaluation
methods, such as the
National Fire Academy’s
“Demonstrating Your Fire
Prevention Program’s
Worth.”
inspector verification
sampling, and analysis
of GIS inspection data.

Additional performance
metrics—including
event attendance
records, digital
engagement analytics
for social media and
website traffic, and a
third-party review
conducted by Cal
Poly’s Natural
Resources faculty—will
be used to quantify
behavior change and
compliance
improvements across
the community. The
evaluation process will
not only demonstrate
the effectiveness of the
combined training,
inspection, and
education strategies,
but also inform future
wildfire mitigation
efforts. Long-term,
trained inspectors will
serve as internal
subject matter experts
(SMEs), while interns
will generate
transferable GIS data
layers and outreach
templates to support
continued risk
reduction. As a legacy
of this project, the San
Luis Obispo Fire
Department will
institutionalize an
annual Wildfire
Preparedness Week
beginning in FY 2027.

Cost Benefit: Projects
will be evaluated and
scored by the Peer
This project represents
a high-impact, costeffective investment in
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Review Panelists based
on how well the applicant
addresses the fire
prevention needs of the
department or
organization in an
economic and efficient
manner. The applicant
should show how it will
maximize the level of
funding that goes directly
into the delivery of the
project. The costs
associated with the
project also must be
reasonable for the target
audience that will be
reached, and a
description should be
included of how the
anticipated project
benefit(s) (quantified if
possible) outweighs the
cost(s) of the requested
item(s). The application
should provide
justification for all costs
included in the project in
order to assist the
Technical Evaluation
Panel with their review.
wildfire prevention that
yields significant shortand long-term benefits
for the City of San Luis
Obispo. The project
addresses critical
vulnerabilities in the
city’s Wildland–Urban
Interface (WUI), where
over 6,000 parcels are
now classified as High
or Very High Fire
Hazard Severity Zones.

The direct costs of the
project support
advanced training, the
hiring of two part-time
Fire & Life Safety
Interns, public
education materials,
and defensible space
inspections across
2,400 parcels. In return,
the City significantly
expands its inspection
capacity, improves
compliance with local
fire codes, and
enhances community
awareness—all of
which contribute to
measurable wildfire
risk reduction. The
preservation of human
life is the most critical
return. San Luis Obispo
is home to nearly
50,000 residents, as
well as the 20,000+
students and staff at
Cal Poly. Many
neighborhoods sit
directly adjacent to
steep hillsides and fireprone open space,
where fire can spread
rapidly—especially
under wind-driven
conditions. By
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proactively reducing
fuel loads and
improving evacuation
readiness, this project
helps protect residents,
first responders, and
vulnerable populations
from catastrophic
outcomes. In financial
terms, the average
home in San Luis
Obispo is valued at
over $850,000, and total
assessed property
value within the city
exceeds $12 billion. A
fast-moving wildfire
fueled by winds and
steep terrain, has the
potential to cause tens
of millions of dollars in
damage within hours.

This project directly
mitigates those risks
by increasing
compliance with
defensible space
ordinances, which are
proven to reduce
ignition potential and
fire spread. In addition
to avoided property
loss, the project
reduces reliance on
emergency
suppression resources,
limits air quality
impacts from smoke,
improves evacuation
readiness, and builds
institutional knowledge
and tools (e.g., GIS
mapping, education
templates, trained
inspectors) that will
benefit the City for
years to come. By
institutionalizing an
annual Wildfire
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Cost Items
Item: Education $8,440.00
Preparedness Week
starting in FY 2027, the
City also ensures
continued public
engagement with
minimal ongoing costs.

This project offers a
strong return on
investment by
protecting life,
property, and
infrastructure, while
strengthening the
City’s long-term wildfire
resilience through
education,
enforcement, and
strategic planning.

Additional Comments:

If you have any additional
comments about your
project, please provide
them here.

The San Luis Obispo
Fire Department is
grateful for the
opportunity to apply for
this grant and hopes to
continue our
successful relationship
with FEMA with this
proposed project.

Description
This will cover the training for two inspectors will
include registration fees for classes including travel
related expenses for the classes.

Budget class
Other
Year Quantity Unit price Total
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Item: Wages $37,800.00
Item: Supplies $5,600.00
1 2 $4,220.00 $8,440.00
Year
2 Quantity
0 Unit price
$0.00
Total
$0.00
TOTAL 2 $8,440.00

Description
Wages for two interns
Budget class
Personnel
Year
1 Quantity
900
Unit price
$21.00
Total
$18,900.00
Year
2 Quantity
900
Unit price
$21.00
Total
$18,900.00
TOTAL 1800 $37,800.00

Description
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Item: Promotion $8,400.00
Includes any supplies for inspectors and interns
needed including goggles, gloves and uniforms.

Budget class
Supplies
Year
1 Quantity
4 Unit price
$1,000.00
Total
$4,000.00
Year
2 Quantity
4 Unit price
$400.00
Total
$1,600.00
TOTAL 8 $5,600.00

Description
Supplies for education campaign that will include
media assets, props, kits, print materials, banners,
pop up tents and other event supplies.

Budget class
Supplies
Year
1 Quantity
1 Unit price
$8,400.00
Total
$8,400.00
Year
2 Quantity
0 Unit price
$0.00
Total
$0.00
TOTAL 1 $8,400.00
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Grant request summary
The table or tables below summarize the number of items and total cost within each FP&S activity category you have requested funding for. This table or tables will update as you change the items within your grant request details.

Fire prevention and safety
Is your proposed project limited to one or more of the following activities : Planning and development of policies or processes. Management, administrative, or personnel actions. Classroom-based training.

Acquisition of mobile and portable equipment (not involving installation) on or in a building.

Yes

Activity – Project Number of items Total cost
Wildfire Risk Reduction-WUI
Education and Awareness San
Luis Obispo Wildfire Risk
Reduction Initiative
4 $60,240.00
Total 4 $60,240.00
Budget summary
Budget summary
Object class categories Year 1 Year 2 Total
Personnel $18,900.00 $18,900.00 $37,800.00
Fringe benefits $0.00 $0.00 $0.00
Travel $0.00 $0.00 $0.00
Equipment $0.00 $0.00 $0.00
Supplies $12,400.00 $1,600.00 $14,000.00
Contractual $0.00 $0.00 $0.00
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Object class categories Year 1 Year 2 Total
Construction $0.00 $0.00 $0.00
Other $8,440.00 $0.00 $8,440.00
Total direct charges $39,740.00 $20,500.00 $60,240.00
Indirect charges $0.00 $0.00 $0.00
TOTAL $39,740.00 $20,500.00 $60,240.00
Program income $0.00
Non-federal resources
Applicant $2,868.58
State $0.00
Local $0.00
Other sources $0.00
Remarks
Total Federal and Non-federal resources
Federal resources $37,847.62 $19,523.80 $57,371.42
Non-federal resources $1,892.38 $976.20 $2,868.58
TOTAL $39,740.00 $20,500.00 $60,240.00
Contact information
Did any individual or organization assist with the development, preparation, or review of the application to include drafting or writing the narrative and budget, whether that person, entity, or agent is compensated or not and whether the assistance took place prior to submitting the application? No
Secondary point of contact
Please provide a secondary point of contact for this grant. 9/25/25, 10:13 AM FEMAGO - Application
https://go.fema.gov/grant/EMW-2024-FP-00527# 27/32

The Authorized Organization Representative (AOR) who submits the application will be identified as the primary point of contact for the grant. Please provide one secondary point of contact for this grant below.

The secondary contact can be members of the fire department or organizations applying for the grant that will see the grant through completion, are familiar with the grant application, and have the authority to make decisions on and to act upon this grant application. The secondary point of contact can also be an individual who assisted with the development, preparation, or review of the application.

Josh Daniel
Fire Marshal
[email protected]
Primary phone
8057817184
Work
Additional phones
8055502856
Mobile
Fax
Assurance and certifications
SF-424B: Assurances - Non-Construction Programs
OMB Number: 4040-0007
Expiration Date: 02/28/2025
Certain of these assurances may not be applicable to your project or program. If you have any questions, please contact the awarding agency. Further, certain Federal awarding agencies may require applicants to certify to additional assurances. If such is the case, you will be notified.

As the duly authorized representative of the applicant, I certify that the applicant:

1. Has the legal authority to apply for Federal assistance and the institutional, managerial and financial capability (including funds sufficient to pay the non-Federal share of project cost) to ensure proper planning, management and completion of the project described in this application.

2. Will give the awarding agency, the Comptroller General of the United States and, if appropriate, the State, through any authorized representative, access to and the right to examine all records, books, papers, or documents related to the award; and will establish a proper accounting system in accordance with generally accepted accounting standards or agency directives.

3. Will establish safeguards to prohibit employees from using their positions for a purpose that constitutes or presents the appearance of personal or organizational conflict of interest, or personal gain.

4. Will initiate and complete the work within the applicable time frame after receipt of approval of the awarding agency.

5. Will comply with the Intergovernmental Personnel Act of 1970 (42 U.S.C. 4728-4763) relating to prescribed standards for merit systems for programs funded under one of the 19 statutes or OMB number: 4040-0007, Expiration date: 02/28/2025 View burden statement 9/25/25, 10:13 AM FEMAGO - Application
https://go.fema.gov/grant/EMW-2024-FP-00527# 28/32

regulations specified in Appendix A of OPM's Standards for a Merit System of Personnel Administration (5 C.F.R. 900, Subpart F).

6. Will comply with all Federal statutes relating to nondiscrimination. These include but are not limited to: (a) Title VI of the Civil Rights Act of 1964 (P.L. 88-352) which prohibits discrimination on the basis of race, color or national origin; (b) Title IX of the Education Amendments of 1972, as amended (20 U.S.C.1681-1683, and 1685-1686), which prohibits discrimination on the basis of sex; (c) Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. 794), which prohibits discrimination on the basis of handicaps; (d) the Age Discrimination Act of 1975, as amended (42 U.S.C. 6101-6107), which prohibits discrimination on the basis of age; (e) the Drug Abuse Office and Treatment Act of 1972 (P.L. 92-255), as amended, relating to nondiscrimination on the basis of drug abuse; (f) the Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of 1970 (P.L. 91-616), as amended, relating to nondiscrimination on the basis of alcohol abuse or alcoholism; (g) 523 and 527 of the Public Health Service Act of 1912 (42 U.S.C. 290 dd-3 and 290 ee- 3), as amended, relating to confidentiality of alcohol and drug abuse patient records; (h) Title VIII of the Civil Rights Act of 1968 (42 U.S.C. 3601 et seq.), as amended, relating to nondiscrimination in the sale, rental or financing of housing; any other nondiscrimination provisions in the specific statute(s) under which application for Federal assistance is being made; and, (j) the requirements of any other nondiscrimination statute(s) which may apply to the application.

7. Will comply, or has already complied, with the requirements of Titles II and III of the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (P.L. 91-646) which provide for fair and equitable treatment of persons displaced or whose property is acquired as a result of Federal or federally-assisted programs. These requirements apply to all interests in real property acquired for project purposes regardless of Federal participation in purchases.

8. Will comply, as applicable, with provisions of the Hatch Act (5 U.S.C. 1501-1508 and 7324-7328) which limit the political activities of employees whose principal employment activities are funded in whole or in part with Federal funds.

9. Will comply, as applicable, with the provisions of the Davis-Bacon Act (40 U.S.C. 276a to 276a-7), the Copeland Act (40 U.S.C. 276c and 18 U.S.C. 874), and the Contract Work Hours and Safety Standards Act (40 U.S.C. 327-333), regarding labor standards for federally-assisted construction subagreements.

10. Will comply, if applicable, with flood insurance purchase requirements of Section 102(a) of the Flood Disaster Protection Act of 1973 (P.L. 93-234) which requires recipients in a special flood hazard area to participate in the program and to purchase flood insurance if the total cost of insurable construction and acquisition is $10,000 or more.

11. Will comply with environmental standards which may be prescribed pursuant to the following: (a) institution of environmental quality control measures under the National Environmental Policy Act of 1969 (P.L. 91-190) and Executive Order (EO) 11514; (b) notification of violating facilities pursuant to EO 11738; (c) protection of wetlands pursuant to EO 11990; (d) evaluation of flood hazards in floodplains in accordance with EO 11988; (e) assurance of project consistency with the approved State management program developed under the Coastal Zone Management Act of 1972 (16 U.S.C. 1451 et seq.); (f) conformity of Federal actions to State (Clean Air) Implementation Plans under Section 176(c) of the Clean Air Act of 1955, as amended (42 U.S.C. 7401 et seq.); (g) protection of underground sources of drinking water under the Safe Drinking Water Act of 1974, as amended (P.L. 93-523); and, (h) protection of endangered species under the Endangered Species Act of 1973, as amended (P.L. 93-205).

12. Will comply with the Wild and Scenic Rivers Act of 1968 (16 U.S.C. 1271 et seq.) related to protecting components or potential components of the national wild and scenic rivers system. 9/25/25, 10:13 AM FEMAGO - Application
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13. Will assist the awarding agency in assuring compliance with Section 106 of the National Historic Preservation Act of 1966, as amended (16 U.S.C. 470), EO 11593 (identification and protection of historic properties), and the Archaeological and Historic Preservation Act of 1974 (16 U.S.C. 469a1 et seq.).

14. Will comply with P.L. 93-348 regarding the protection of human subjects involved in research, development, and related activities supported by this award of assistance.

15. Will comply with the Laboratory Animal Welfare Act of 1966 (P.L. 89-544, as amended, 7 U.S.C. 2131 et seq.) pertaining to the care, handling, and treatment of warm blooded animals held for research, teaching, or other activities supported by this award of assistance.

16. Will comply with the Lead-Based Paint Poisoning Prevention Act (42 U.S.C. 4801 et seq.) which prohibits the use of lead-based paint in construction or rehabilitation of residence structures.

17. Will cause to be performed the required financial and compliance audits in accordance with the Single Audit Act Amendments of 1996 and OMB Circular No. A-133, "Audits of States, Local Governments, and Non-Profit Organizations."

18. Will comply with all applicable requirements of all other Federal laws, executive orders, regulations, and policies governing this program.

Certifications regarding lobbying
OMB Number: 4040-0013
Expiration Date: 02/28/2025
Certification for Contracts, Grants, Loans, and Cooperative Agreements The undersigned certifies, to the best of his or her knowledge and belief, that:

1. No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of an agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement.

2. If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, ''Disclosure of Lobbying Activities,'' in accordance with its instructions.

3. The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly.

Statement for Loan Guarantees and Loan Insurance
The undersigned states, to the best of his or her knowledge and belief, that:

If any funds have been paid or will be paid to 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, 9/25/25, 10:13 AM FEMAGO - Application
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or an employee of a Member of Congress in connection with this commitment providing for the United States to insure or guarantee a loan, the undersigned shall complete and submit Standard Form-LLL, ''Disclosure of Lobbying Activities,'' in accordance with its instructions. Submission of this statement is a prerequisite for making or entering into this transaction imposed by section 1352, title 31, U.S. Code. Any person who fails to file the required statement shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure.

SF-LLL: Disclosure of Lobbying Activities
OMB Number: 4040-0013
Expiration Date: 02/28/2025
Complete only if the applicant is required to do so by 44 C.F.R. part 18. Generally disclosure is required when applying for a grant of more than $100,000 and if any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions. Further, the recipient shall file a disclosure form at the end of each calendar quarter in which there occurs any event described in 44 C.F.R. § 18.110(c) that requires disclosure or that materially affects the accuracy of the information contained in any disclosure form previously filed by the applicant.

The applicant is not currently required to submit the SF-LLL.

Notice of funding opportunity
I certify that the applicant organization has consulted the appropriate Notice of Funding Opportunity and that all requested activities are programmatically allowable, technically feasible, and can be completed within the award's Period of Performance (POP).

Accuracy of application
I certify that I represent the organization applying for this grant and have reviewed and confirmed the accuracy of all application information submitted. Regardless of intent, the submission of information that is false or misleading may result in actions by FEMA that include, but are not limited to: the submitted application not being considered for award, enforcement actions taken against an existing award pending investigation or review, or referral to the DHS Office of Inspector General.

Authorized Organizational Representative for the grant
By signing this application, I certify that I understand that inputting my password below signifies that I am the identified Authorized Organization Representative for this grant. Further, I understand that this OMB number: 4040-0013, Expiration date: 02/28/2025 View burden statement 9/25/25, 10:13 AM FEMAGO - Application
https://go.fema.gov/grant/EMW-2024-FP-00527# 31/32

electronic signature shall bind the organization as if the application were physically signed and filed.

Authorization to submit application on behalf of applicant organization
By signing this application, I certify that I am either an employee or official of the applicant organization and am authorized to submit this application on behalf of my organization; or, if I am not an employee or official of the applicant organization, I certify that the applicant organization is aware I am submitting this application on its behalf, that I have written authorization from the applicant organization to submit this application on their behalf, and that I have provided contact information for an employee or official of the applicant organization in addition to my contact information. 9/25/25, 10:13 AM FEMAGO - Application
https://go.fema.gov/grant/EMW-2024-FP-00527# 32/32

City of San Luis Obispo, Council Memorandum
City of San Luis Obispo
Council Agenda Correspondence
DATE: October 21, 2025
TO: Mayor and Council
FROM: Timmi Tway, Community Development Director
Prepared By: Gabriel Munoz-Morris, Supervising Civil Engineer VIA: Whitney McDonald, City Manager
SUBJECT: Item 6i – APPROVAL OF THE FINAL MAP FOR TRACT 3136, BULLOCK RANCH, 3580 BULLOCK LANE (FMAP-0168-2022) - AGENDA

CORRESPONDENCE MEMO
The following memorandum provides City staff responses to questions received regarding the Bullock Ranch Final Map approval. Staff determined it would be helpful to provide this memo to all Council Members and the public. The questions are below with staff’s response shown in italics:

1. There are 7 affordable units planned as part of this development, 5 medium and 2 low income eligible. Are these intended to be for sale units? If so, with the recent difficulty in finding eligible buyers for medium income, for sale units, did we consider changing the proportion of low vs. medium income units? Is that even a possibility?
All affordable housing units in the Bullock Ranch tract will be for-sale units. At this time, it is not possible to amend the affordable housing unit makeup as the affordable housing units were conditioned as part of the project approval. Affordability levels cannot be changed without going back to the City Council to make an amendment to the resolution of approval. That process would be developer-driven and the developer of Bullock Ranch has not indicated that they are interested in requesting this change at this time. The City has also made recent changes to the Below Market Rate Standards to bring pricing for these units in line with what moderate and low-income households can afford, which should assist in efforts to find buyers.

Item 6i – Approval of the Final Map for Tract 3136, Bullock Ranch, 3580 Bullock Lane Page 2

2. On page 198 of the packet, it notes that the developer needs to construct improvements including electric, gas, telephone and cable. Does this include fiber for high speed internet?
The improvement plans on Bullock Lane will include electric, gas, and telephone lines per City Standard 6010, which governs the location of utilities in new streets.

Engineering Standard 6010 includes a requirement for an additional spare conduit for City purposes in the joint trench for power and communications conduits. The City’s Information Technology team plans future fiber extension projects throughout the City utilizing this network of conduits that is extended during new street construction in developments. Engineering Standard 6010 does not also require additional conduits for future fiber lines owned by utility companies.

3. How are the following reimbursement fees/credits determined? a. Parkland Reimbursement Payment is to be paid prior to final map recordation in the amount of $844,800. Refer to Exhibit 2 for details.

The developer of Tract 3063 and Tract 3066 dedicated parkland in excess of the City’s requirement at the time the Final Maps for those tracts were recorded. Due to this, the City and that developer entered into a Parkland Reimbursement Agreement, which identified “benefitting properties” that included the parcels that are now known as Bullock Ranch. The Reimbursement Agreement states that the Bullock Ranch project must pay $4,400 per multi-family unit constructed. The Bullock Ranch project includes 192 units. The $844,800 amount included in the Subdivision Agreement for Bullock Ranch is the fee required to be collected from Bullock Ranch and passed through to the developer of Tracts 3063 and 3066 under the Reimbursement Agreement.

Item 6i – Approval of the Final Map for Tract 3136, Bullock Ranch, 3580 Bullock Lane Page 3 b. Public Infrastructure Reimbursement Payment is to be paid prior to final map recordation in the amount of $121,377 plus 2% per year.

Refer to Exhibit 2 for details.

The developer of Tract 3063 and Tract 3066 installed public infrastructure in greater size and capacity than required concurrent with the construction of the improvements conditioned for those tracts. This was done to avoid future upgrades to recently constructed infrastructure as other tracts in the Orcutt Area Specific Plan area developed. Due to this, the City and that developer entered into a Public Infrastructure Reimbursement Agreement, which identified “benefitting properties” that included the parcels that are now known as Bullock Ranch. The Reimbursement Agreement states that the Bullock Ranch project must pay its fair-share percentage of the cost to construct these facilities. Per the Reimbursement Agreement, the amount due escalates each year from the date of acceptance of the improvements by the City, which occurred in 2019. The $121,377 amount included in the Subdivision Agreement for Bullock Ranch is the fair-share fee estimate for Bullock Ranch at time of acceptance of the improvements. That fee is required to be escalated at 2% per year as detailed in Exhibit 2 of the Subdivision Agreement. The funds are required to be collected from Bullock Ranch and passed through to the developer of Tracts 3063 and 3066 under the Public Infrastructure Reimbursement Agreement.
c. Reimbursement/Credit Agreement Fee is to be paid prior to final map recordation in the amount of $42,793.37. Refer to Exhibit 2 for details.

The developer of Bullock Ranch is eligible for fee credits for construction of improvements which are also included in the City’s fee program. In order to be eligible for this reimbursement, the developer must enter into a Credit Agreement with the City. City staff and the developer previously worked to draft an agreement, which required payment by the developer for City staff time to prepare the agreement. The $42,793.37 amount cited in Exhibit 2 of the Subdivision Agreement represents the amount due from the developer for the preparation of this draft agreement. The fee is due prior to the Final Map recording, the City Council must approve the agreement, and the agreement must be fully executed prior to the issuance of the first building permit to receive any fee credits.

4. How is the “fair share” Bullock Ranch portion of the Bullock bike path being calculated since the improvements are not likely to be constructed until 29/30? The fair-share portion of the improvements that the developer will be responsible for paying will be the amounts identified in the Citywide and Orcutt Subarea Transportation Impact Fee programs. These amounts are determined based on the cost estimate to construct the improvements which is based off the anticipated date of construction. This is consistent with the requirements of the project conditions of approval.

Item 6i
Department: Community Development
Cost Center: 4003
For Agenda of: 10/21/2025
Placement: Consent
Estimated Time: N/A
FROM: Timmi Tway, Community Development Director
Prepared By: Gabriel Munoz-Morris, Supervising Civil Engineer SUBJECT: APPROVAL OF THE FINAL MAP FOR TRACT 3136, BULLOCK RANCH, 3580 BULLOCK LANE (FMAP-0168-2022)

RECOMMENDATION
Adopt a Draft Resolution entitled, “A Resolution of the City Council of the City of San Luis Obispo, California, approving the final map for Tract 3136, Bullock Ranch, and authorizing the Mayor to execute a Subdivision Agreement in a form subject to the approval of the City Attorney (3580 Bullock Lane, FMAP-0168-2022).” (Attachment A)

POLICY CONTEXT
This item supports the development of 192 housing units, which directly advances the “Housing and Neighborhood Livability – Healthy, Safe, and Affordable” Major City Goal by facilitating sustainable growth that aligns with housing goals. City Council approval is required for subdivision final maps pursuant to Government Code 66458(a)1.

DISCUSSION
Tract 3136 Bullock Ranch (FMAP-0168-2022) is located at 3580 Bullock Lane as shown on the Vicinity Map provided as Attachment B.

Background / Previous Council Action
Tract 3136 (FMAP-0168-2022), commonly known as Bullock Ranch, is located at 3580 Bullock Lane (See Vicinity Map - Attachment B) in the Orcutt Area Specific Plan (OASP) area. A vesting tentative tract map for Tract 3136 was approved by the City Council on January 11, 2022, by Resolution No. 11299 (2022 Series). The tentative map (Attachment C) approved a 192-unit mixed use development, including seven live/work units, a 585 square foot commercial unit, on-site parking, and other residential community amenities.

The final map creates a total of 14 lots on the 10.93-acre site.

1 66458(a) The legislative body shall, at the meeting at which it receives the map or, at its next regular meeting after the meeting at which it receives the map, approve the map if it conforms to all the requirements of this chapter and any local subdivision ordinance applicable at the time of approval or conditional approval of the tentative map and any rulings made thereunder. If the map does not conform, the legislative body shall disapprove the map.

Item 6i
The tentative map and project conditions of approval included the finished buildout of Bullock Lane as a public collector street from its existing southerly terminus south of Orcutt Road to the recently constructed roundabout at Tiburon Way/Bullock Lane/Righetti Ranch Road, providing new connectivity between Orcutt Road and the Orcutt Specific Plan Area. The developer was successful in acquiring the necessary right-of-way required for these improvements and is required to complete construction prior to occupancy of the development.

The tentative map and conditions of approval required the developer to design and construct an extension of the Railroad Safety Trail shared-use path between Tiburon Way and Orcutt Road along the west side of Bullock Lane, parallel to the Union Pacific Railroad (UPRR) tracks. However, this condition was contingent on the City acquiring the necessary easements from UPRR needed to construct the improvements. Unfortunately, after nearly two years of coordination and negotiations between UPRR and City staff, UPRR ultimately rejected the City’s request for the easement needed to construct the shared-use path extension. Instead, UPRR has requested that the City first complete a series of improvements to the existing at-grade rail crossing on Orcutt Road, such as the installation of additional flashers, medians, ADA improvements, and other minor improvements related to striping and signage, before they will grant the easements needed for the shared-use path extension. The developer met their obligations per the conditions of approval and has substantially completed the design for the path extension per the project conditions of approval; however, they are no longer obligated to construct the facility due to the City’s inability to secure the required easement from UPRR. Instead, the developer will provide all design materials to the City and pay their fair share financial contribution towards future construction of these improvements by the City through participation in the Citywide and Orcutt Subarea Transportation Impact Fee programs.

In response to the delay associated with acquiring the necessary easements from UPRR, funding was allocated for City staff to initiate preconstruction work for the trail extension and Orcutt Road rail crossing improvements requested by UPRR as part of the City’s 2023-25 Financial Plan. The ongoing difficulties with the project design and permitting required extending this timeline to fully fund the preconstruction and construction work.

The funding was re-programmed in the City’s 2025-27 Financial Plan and is scheduled for pre-construction in 2032-33 and construction in 2034-35.

The Tract 3136 map will create the following units, lots and easements:

1. 12 lots for 192 multi-family condominium units and one commercial unit.

2. Common areas for parking, private streets, and private drive aisles.

3. Easement for vehicular, pedestrian, bicycle access and utilities.

4. 2 lots for shared access.

Phasing
Previously, the applicant had considered phasing the project in two phases. The Phase 1 Final Map for Tract 3136 was approved by the City Council on August 20, 2024 by Resolution 11514 (2024 Series). Ultimately, the applicant chose not to proceed with a

Item 6i
phased map and entered negotiations to sell the property and entitlements to another ownership group. The Phase 1 Final Map for Tract 3136 was not recorded (nor was the Subdivision Agreement executed). Negotiations for the sale began in fall, 2024 and have continued over the last year. The sale terms are now finalized and the new ownership group is interested in pursuing a single, unphased, final map for Tract 3136. City staff have coordinated closely with the prior and new ownership groups to ensure that a single final map approval by the City Council at this time will facilitate completion of the project and construction of the approved 192 housing units.

Subdivision Improvements
The public improvements required for this subdivision consist of street and utility improvements on Bullock Lane and Ranch House Road along the project frontages and to Bullock Lane extending north beyond the project site approximately 300 feet. Access to the subdivision is provided via Bullock Lane on the west side. On the east side of the project, Sponza Drive extends into the project site as a private street from the intersection of Sponza Drive and Ranch House Road. All of the in-tract utilities and streets will be privately owned and maintained.

The scope of the proposed subdivision improvements to be constructed with Tract 3136 at this time is the same as that discussed in detail in the staff report for Tract 3136 approved by the City Council on January 11, 2022, except for one revision. The multi-use path along the western side of Bullock Lane adjacent to UPRR right-of-way has been deferred due to the inability to acquire the needed right-of-way from UPRR, as explained previously in this report.

Affordable Housing
As identified in Condition #18, the City is actively working with the Subdivider to complete the Affordable Housing Agreement. The Agreement outlines the transfer of inclusionary units between the various OASP tracts and identifies the affordable units. The agreement will be recorded prior to issuance of building permits for the market rate housing. Table 1 below outlines the total number of affordable units for the project and their level of affordability.

Housing
Type
No. of
Bedrooms
No. of Affordable
Bungalow 1 1 Low
Bungalow 3 1 Moderate
Townhouse 1 1 Moderate
Townhouse 1 1 Low, 2 Moderate
Townhouse 2 1 Moderate
Total 7 units (2 Low, 5 Moderate)
Table 1: Number of Affordable Housing Units – Bullock Ranch Parks
Tract 3136 does not propose any new park land and is instead a benefiting property in the Parkland Reimbursement Agreement between the City and Righetti Ranch, L.P. for

Item 6i
the dedication of park land in the OASP with the approvals of Tracts 3063 (Righetti Ranch) and 3066 (Jones Ranch). The developer of Tract 3136 is required to pay parkland reimbursement fees which will be passed through to the developer of Tracts 3063 and 3066 per the fee schedule in the Tract 3136 Subdivision Agreement (Attachment D).

Approving the Final Map
The tentative map has an initial two-year life per Municipal Code Section 16.10.150, therefore, this vesting tentative map originally had an expiration date of January 11, 2024.

The Subdivision Map Act allows for time extensions to be requested by the Subdivider and granted by the city. In addition to the extension process outlined in the Subdivision Map Act, on March 4, 2020, the Governor proclaimed a State of Emergency to exist in California as a result of the threat of COVID-19. On March 17, 2020, the City Council adopted Resolution No. 11099 (2020 Series) proclaiming a local emergency and thereafter affirmed and continued its proclamation of local emergency to extend through the duration of the declared State and/or County proclamations of emergency. On June 16, 2020, Council adopted Resolution No. 11131 (2020 Series) that tolled the expiration of all discretionary approvals from the declaration of the pandemic emergency (beginning March 17, 2020). On July 6, 2021, Council adopted Resolution No. 11264 (2021 Series) that granted various enforcement moratoriums and permit extensions, including planning applications, for the purpose of economic recovery and the protection of the public health, safety, and welfare. In February 2023, Council adopted Resolution No. 11396 (2023 Series) terminating the Declaration of a Local Emergency for the COVID-19 Pandemic, effective February 28, 2023. The termination of the Local Emergency implemented an 18- month time extension for discretionary approvals that expired on August 28, 2024.

On September 27, 2024, the Governor approved Assembly Bill 2729 (California Government Code Section 65914.4) that extends any housing entitlement an additional 18 months for a residential development project that was issued to and was in effect on January 1, 2024, and will expire prior to December 31, 2025. Specifically, Government Code Section 65914.4 states that a “housing entitlement” includes:
 A ministerial approval, permit, or entitlement by a local agency required as a prerequisite to issuance of a building permit for a housing development project.  A tentative map, vesting tentative map, or parcel map for which a tentative map or vesting tentative map, as the case may be, has been approved.

Therefore, effective January 1, 2025, Government Code Section 65914.4 extends the entitlements for the Tentative Map located at 3580 Bullock Lane until June 30, 2027.

The draft final map for Tract 3136 (Attachment E) is ready for review and approval and then recordation. Prior to recordation, the developer must pay all required fees per the Subdivision Agreement (Attachment D). Pursuant to Section 16.14.080 of the Municipal Code, the Public Works Director has determined that the final map is in substantial compliance with the tentative map and approved modifications thereof. Section 66474.1 of the Subdivision Map Act states that “a Legislative body shall not deny approval of a final or parcel map if it has previously approved a tentative map for the proposed subdivision and if it finds that the final or parcel map is in substantial compliance with the

Item 6i
previously approved tentative map.” The approval of a final map is considered a ministerial action.

Appropriate securities will be submitted prior to map recordation to guarantee completion of the required subdivision improvements as shown in the Subdivision Agreement (Attachment D). The resolution approving the final map (Attachment A) also authorizes the Mayor to sign the Subdivision Agreement requiring the Subdivider to complete the subdivision improvements.

Public Engagement
Public notification for the tentative map, environmental document, and underlying entitlements occurred with the Planning Commission public hearing on October 27, 2021 when the Planning Commission recommended approval of the project to the City Council, with conditions, and at the City Council public hearing on January 11, 2022 where the City Council approved the tentative tract map by adopting Resolution No. 11299 (2022 Series). Approval of the final map is considered a ministerial action, so a public hearing for this Final Map is not required.

CONCURRENCE
The Director of Public Works and the Natural Resources Manager concur with the recommended action.

ENVIRONMENTAL REVIEW
The Orcutt Area Specific Plan and an associated Final Environmental Impact Report (FEIR) were approved and certified by City Council on March 2, 2010. The Bullock Ranch Vesting Tentative Tract Map #3136 (VTM) was analyzed in a project-specific Initial Study/Mitigated Negative Declaration (IS/MND), which tiered off the 2010 FEIR. The VTM was approved and the IS/MND was adopted by City Council Resolution 11299 on January 11, 2022. Both the 2010 FEIR and subsequent IS/MND constitute the complete environmental determination for the project.

Approval of the final map is statutorily exempt under the California Environmental Quality Act (CEQA) pursuant to Section 15268(b)(3) Ministerial Projects (approval of final subdivision maps) of Title 14 of the California Code of Regulations (State CEQA Guidelines). Therefore, no further environmental review is required.

FISCAL IMPACT
Budgeted: Yes Budget Year: 2026-Ongoing
Funding Identified: Yes

Item 6i
Fiscal Analysis:

Funding
Sources
Total Budget
Available
Current
Funding
Request
Remaining
Balance
Annual
Ongoing
Cost
General Fund $0 $0 $0 $0
State
Federal
Fees
Other: CFD
Total $0 $0 $0 $0
There are no fiscal impacts directly associated with approval of the final map for Tract 3136.

The City will eventually incur costs upon acceptance of the public improvements by the City, which will occur by separate Council action once the subdivision improvements are deemed complete. The public improvements include the extension of Bullock Lane and the new frontage improvements along Ranch House Road. The interior access roads/drive aisles, on-site utilities, and stormwater improvements are private and will be maintained by a private owners association.

ALTERNATIVES
Deny approval of the final map. Denying approval of the final map is appropriate only if findings are made that the requirements or conditions of the tentative map have not been met or performed (Section 66473 of the Subdivision Map Act) or if findings are made that the final map is not in substantial compliance with the previously approved tentative map (Section 66474.1 of the Subdivision Map Act).

ATTACHMENTS
A - Draft Resolution approving Bullock Ranch Tract 3136 Final Map B - Vicinity Map
C - Tentative Map (Tract 3136)
D - Draft Subdivision Agreement Tract 3136
E - Draft Final Map (Tract 3136)

R _____
RESOLUTION NO. _______ (2025 SERIES)

A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF

SAN LUIS OBISPO, CALIFORNIA, APPROVING THE FINAL MAP FOR TRACT 3136, AND AUTHORIZING THE MAYOR TO EXECUTE A

SUBDIVISION AGREEMENT IN A FORM SUBJECT TO THE APPROVAL OF THE CITY ATTORNEY (3580 BULLOCK LANE, FMAP-0168-2022) WHEREAS, the City Council made certain findings concerning the vesting tentative map for Tract 3136, as prescribed in Resolution No. 11299 (2022 Series); and WHEREAS, the City is actively working with the subdivider on an Affordable Housing Agreement for proposed transfer of affordable housing units; and WHEREAS, all the requirements, conditions and mitigation measures of said Resolution No. 11299 (2022 Series) will be completed or appropriate securities will be in place prior to map recordation to guarantee their completion; and WHEREAS, per Condition of Approval 83(g) of Resolution No. 11299, the Developer is released of the obligation to construct the bike path on Bullock Lane because the City was unsuccessful in acquiring the necessary Right-of-Way from Union Pacific Railroad needed to facilitate the construction of the bike path extension by the Developer; and WHEREAS, Resolution 11514, approved by the City Council on August 20, 2024, contemplated a phased project and map approvals and approved the Phase 1 Final Map for Tract 3136 but the project is now proceeding in an unphased manner and the single Final map is now ready for acceptance; and
WHEREAS, the Orcutt Area Specific Plan and an associated Final Environmental Impact Report (FEIR) were approved and certified in March 2010. The Bullock Ranch Vesting Tentative Tract Map #3136 (VTM) was analyzed in a project-specific Initial Study/Mitigated Negative Declaration (IS/MND), which tiered off the 2010 FEIR. The VTM was approved and the IS/MND was adopted on January 11, 2022. Both the 2010 FEIR and subsequent IS/MND constitute the complete environmental determination for the project; and
WHEREAS, approval of the final map is statutorily exempt under the California Environmental Quality Act (CEQA) pursuant to Section 15268(b)(3) Ministerial Projects (approval of final subdivision maps) of Title 14 of the California Code of Regulations (State CEQA Guidelines), therefore, no further environmental review is required for approval of the Tract 3136 final map.

NOW, THEREFORE, BE IT RESOLVED by the Council of the City of San Luis Obispo as follows:

SECTION 1. The final map for Tract 3136 is found to be in substantial conformance with the tentative map.

Resolution No. (2025 Series) Page 2
R _____
SECTION 2. The final map for Tract 3136 does not create new park land, and developer must pay Orcutt Area Specific Plan (OASP) area Parkland Reimbursement fees prior to recordation of the Final Map.

SECTION 3. The City Clerk is authorized to accept easement offers for street rights-of-way, street tree easements, pedestrian access easements, and public utility easements dedicated on the map upon completion of the improvements to the satisfaction of the City with the signing of the final map.

SECTION 4. The Mayor is authorized to execute a Subdivision Agreement for Tract 3136 in a form subject to approval of the City Attorney.

SECTION 5. Approval of the final map for Tract 3136 is hereby granted with the understanding that minor changes to the final map for technical accuracy and condition compliance may still be needed. The Public Works Director is authorized to approve these changes and submit the map for recordation when it is deemed to be complete and all conditions are mitigation measures are complied with.

SECTION 6. The Mayor and City staff are authorized to take all actions necessary to carry out the intent of this resolution.

SECTION 7. Environmental Review. The 2010 Final Environmental Impact Report for the Orcutt Area Specific Plan and the Initial Study/Mitigated Negative Declaration for Vesting Tentative Tract Map 3136 constitute the complete environmental determination for the project. Approval of a final map is statutorily exempt under the California Environmental Quality Act (CEQA) pursuant to Section 15268(b)(3) Ministerial Projects (approval of final subdivision maps) of Title 14 of the California Code of Regulations (State CEQA Guidelines). Therefore, no further environmental review is required.

Upon motion of Council Member ___________, seconded by Council Member ___________, and on the following roll call vote:

AYES:

NOES:

ABSENT:

The foregoing resolution was adopted this _____ day of _______________ 2025. ___________________________
Mayor Erica A. Stewart
ATTEST:
______________________
Teresa Purrington

Resolution No. (2025 Series) Page 3
R _____
City Clerk
APPROVED AS TO FORM:
______________________
J. Christine Dietrick
City Attorney
IN WITNESS WHEREOF, I have hereunto set my hand and affixed the official seal of the City of San Luis Obispo, California, on ______________________. ___________________________
Teresa Purrington
City Clerk

VICINITY MAP
TRACT 3136 NOT TO SCALE

OH OH OH OH OH OH OH
ARV
APN 053-061-053
225
230
235
223
224
226
227
228
229
231
231
231
232
233
233
233
234
236
237
223
N 32°01'02" W 231.32'
50' 50' 30' 27'
100' 57'

PIPE LINES EASEMENT
2348/OR/112

SLOPE MAINTENANCE EASEMENT
31/OR/409

STREET RIGHT-OF-WAY
DOC #17-24305

PUBLIC ROAD/UTILITY
DOC #90-38260
22' SEWER EASEMENT
DOC #17-24306
(TO BE ABANDONED)

PIPE LINES EASEMENT
2348/OR/112

PUBLIC STREET/UTILITIES
DOC #17-25192

STORM DRAIN EASEMENT
DOC #17-24540

TO BE ABANDONED
F O REFF O' 03

N IOTACI DE D
27' OFFER OF

NOI TACI DE D

53.19' 204.00' 180.00' 182.00' 152.83' 193.42'
240.14' 59.00' 163.47'
225.00' 79.28' 158.33'
224.90' 79.30' 158.34'
222.30' 240.25' (E) PARCEL LINE TO BE DELETED

STREET IMPROVMENTS

PER APPROVED PLANS
TYP

STREET IMPROVMENTS

PER APPROVED PLANS
TYP

PROPOSED AIRSPACE

CONDOMINIUM TYP
PHASE 1
PHASE 2
PHASE 1
PHASE 2
PHASE 1
PHASE 2
3 35,707 SF
2 19,639 SF
9 13,046 SF
8 31,713 SF
4 43,243 SF
5 46,590 SF
11 34,375 SF
10 12,118 SF
12 41,880 SF
13 50,146 SF
14 24,199 SF
6 31,713 SF
7 29,424 SF
1 36,851 SF

PROPOSED AIRSPACE

CONDOMINIUM TYP
8' PRIVATE

DRAINAGE

EASEMENT
6' DRAINAGE EASEMENT TO
BENEFIT APN 076-481-007 PROPOSED AIRSPACE CONDOMINIUM TYP

PROPOSED AIRSPACE

CONDOMINIUM TYP

ZONED 'MIXED USE/NEIGHBORHOOD

COMMERCIAL (SHADED AREA)

SPONZA PL
'B' STREET
'B' STREET
'C' STREET
COURT '1'
COURT '2'
COURT '3'
COURT '4'
COURT '5'
COURT '6'
'C' STREET
COURT '11'
COURT '10'
COURT '9'
COURT '7'
COURT '8'

SPONZA PL
'A' STREET
'A' STREET
Architecture + Planning
17911 Von Karman Ave,
Suite 200
Irvine, CA 92614
949.851.2133
ktgy.com
Bullock Ranch
SAN LUIS OBISPO, CA # 2018-1068
Vesting Tentative Tract 3136
SEPTEMBER 28, 2021
NORTH
40 20 0 40 80
SCALE: 1" = 40'

B U L L O C K L N

U P R R
Proposed Parcel Index
Lot Phase Area (sf) Condominiums
11 36,851 0
2 1 19,639 8
31 34,707 10
4 1 43,243 18
5 1 46,590 16
61 31,713 12
7 1 29,424 12
81 31,843 12
91 13,046 8
10 2 12,118 0
11 2 34,375 30
12 2 41,880 2413 2 50,146 2414 2 24,199 18
OFFERS - 25,161 -
TOTAL - 475,935 192
Existing Parcel Index
Prior APN Gross Net

OWNER PRIOR CURRENT LOT SF ACRE SF ACRE
Anderson 076-481-008 004-705-009 PORTION LOT 133 1/LS/92 237,930 5.46 231,739 5.32 Evans 076-491-008 053-061-053 PORTION LOT 134 1/LS/92 238,005 5.46 219,974 5.05 TOTAL 475,935 10.93 451,713 10.37

SANDPIPER INVESTMENTS (PRATT)
APN 004-705-010

PEPPERTREE PROPERTIES (JONES)
APN 004-709-026, -027, -028
TRACT 3066
PSSH
APN 053-061-057
MUICK
APN 004-705-005
TRACT 3044

SANDPIPER INVESTMENTS (PRATT)
APN 053-061-056
TRACT 3111
BLANKET EASEMENT NOTE:

ALL ON-SITE AREAS EXCEPT BUILDINGS, PRIVATE PATIOS/PORCHES,AND FENCED REAR YARDS ARE RESERVED FOR COMMON USE, PUE, PRIVATE ACCESS, UTILITY, SEWER, WATER, AND DRAINAGE EASEMENTS.

PRIVATE RECIPROCAL

ACCESS EASEMENT

PRIVATE RECIPROCALPEDESTRIAN

ACCESS EASEMENT

TO THE NORTH OF THE OASP CITY OWNS LAND
UNDER WESTERN 30 FEET OF BULLOCK LANE

1 SUBDIVISION AGREEMENT – TRACT 3136
THIS SUBDIVISION AGREEMENT – TRACT 3136 (“Agreement”) is dated this ______ day of ________________2025 by and between OHC BULLOCK RANCH, LLC, a Delaware limited liability company, herein referred to as "Subdivider," and the CITY OF SAN LUIS OBISPO, herein referred to as the "City."

RECITALS
REFERENCE IS HEREBY MADE to that certain proposed subdivision of real property in the City of San Luis Obispo, County of San Luis Obispo, State of California, a description of which is shown on the Final Map of Tract 3136, City of San Luis Obispo, California, as approved by the City Council on the _____ day of ______________, 2025.

The Subdivider desires that said Tract 3136 be accepted and approved as a Final Map pursuant to the Subdivision Regulations of the City of San Luis Obispo (Title 16 of the San Luis Obispo Municipal Code), and
It is a condition of said regulations that the Subdivider agree to install the improvements set forth in this Agreement.

TERMS AND CONDITIONS:

In consideration of the foregoing, the Subdivider, or assignee, does hereby agree to construct and install the following subdivision improvements (collectively, the “Improvements”), in accordance with said subdivision regulations and the approved plans and specifications dated ____________ ______
, 2025 which are on file in the office of the
City Engineer, to wit:

1. CURB, GUTTERS AND SIDEWALKS

2. STREET BASE AND SURFACING

3. WATER MAINS and SEWER MAINS, including sewer laterals to the property line

2 and water services to the curb stop.

4. LANDSCAPING

5. DRAINAGE STRUCTURES

6. STREET LIGHTS

7. ELECTRIC, GAS, TELEPHONE AND CABLE TELEVISION: In addition to the inspection and approval of such facilities by the City, each public utility shall be required to file a letter stating that the Subdivider has properly installed all facilities to be provided by him, and that the said utility is prepared to provide service to residents upon request.

8. ANY & ALL OTHER IMPROVEMENTS shown on plans or required by Resolution Number 11299 approved by the City Council on January 11, 2022 (“Project Approvals”).

All of the Improvements shall be installed per the plans and specifications referenced above and any modifications thereto approved by the City Engineer (the “Approved Plans”).

The lines and grades for all of said Improvements shall be established by the Subdivider in accordance with the Approved Plans.

The Subdivider agrees that the work of installing the Improvements shall begin within Ninety (90) days from the date of recording of the Tract 3136 final map, and that the work shall be completed within Twenty-Four (24) months of said recording date, unless an extension has been granted by the City; the grant of any such extension shall not be unreasonably withheld by the City. Subdivider further agrees to annually renew the securities guaranteeing the Improvements until such time as the Improvements are complete and accepted by the City. It is further provided that if completion of said work is delayed by acts of God or labor disputes resulting in strike action, the Subdivider shall have an additional period of time equivalent to such period of delay in which to complete such work. Any extension of time hereunder shall not operate to release the securities

3 filed with the City pursuant to this Agreement. In this connection, the surety waives the provisions of Section 2819 of the Civil Code of the State of California.

The Subdivider does also agree to comply with the conditions of approval set forth in the Project Approvals. Subdivider has paid the necessary fees as indicated on the attached Exhibits 1 and 2.

The setting of new survey monuments or resetting of disturbed monuments shall be in accordance with Article 5, paragraph 8771 et seq., of the Professional Land Surveyors Act, Chapter 15 of the Business and Professions Code of the State of California.

The Subdivider attaches hereto, as an integral part hereof, and as security for the faithful performance of this Agreement, instrument(s) of credit or bond approved by and in favor of the City of San Luis Obispo, and conditioned upon the faithful performance of this Agreement. As shown in Exhibit 2, said instrument(s) of credit or bond shall be in the amount of $2,967,700 for the public portion of the Improvements and $9,024,834.45 for the private portion of the Improvements.

Completion of the work shall be deemed to have occurred on the date which the City Council shall, by resolution duly passed and adopted, accept said Subdivision Improvements according to the Subdivision Plans and Specifications, and any approved modifications thereto. Neither periodic nor progress inspections or approvals shall bind the City to accept the Improvements or waive any defects in the same or any breach of this Agreement.

Subdivider agrees to remedy any defects in the Improvements arising from faulty workmanship or materials or defective construction of: (a) the public portion of the Improvements occurring within twelve (12) months after Final Acceptance; and, (b) the private portion of the Improvements occurring within twelve (12) months after Final

4 Inspection. In accordance with Sections 66499.7 and 66499.9 of the Government Code of the State of California, upon final completion and acceptance of the work, City will release all but 10% of the improvement security, that amount being deemed sufficient to guarantee faithful performance by the Subdivider of his obligation to remedy any defects in the Improvements arising within a period of one year following the completion and acceptance thereof.

If the Subdivider fails to complete the Improvements within the prescribed time, the Subdivider agrees that City may, at its option, declare any instrument of credit or bond which has been posted by Subdivider to guarantee faithful performance, forfeited and utilize the proceeds to complete the Improvements, or City may complete said Improvements and recover the full cost and expense thereof from the Subdivider or its surety.

The Subdivider has deposited with the City a labor and materials surety or sureties in the amount of 50% of the above-described subdivision improvements ($1,483,850 and $4,512,417.23) in accordance with State law.

Said Subdivider shall pay an inspection fee for City to inspect the installation of said Improvements, and to verify that they have been completed in accordance with the Approved Plans.

If off-site dedication of property is necessary to facilitate the construction of the required Improvements, the Subdivider and City shall adhere to the requirements of the Project Approvals with regards to acquiring said off-site dedication.

Pursuant to Government Code Section 66474.9(b), the Subdivider shall defend, indemnify and hold harmless the City and/or its agents, officers and employees from any claim, action or proceeding against the City and/or its agents, officers or employees to

5 attack, set aside, void or annul, the approval by the City of this subdivision, and all actions relating thereto, including but not limited to environmental review (“Indemnified Claims”).

The City shall promptly notify the Subdivider of any Indemnified Claim upon being presented with the Indemnified Claim and City shall fully cooperate in the defense against an Indemnified Claim.

It is understood and agreed by and between the Subdivider and the City hereto that this Agreement shall bind the heirs, executors, administrators, successors and assigns of the respective parties to this Agreement.
[signatures on following page]

6 IN WITNESS WHEREOF, this Agreement has been executed by:

SUBDIVIDER

OHC BULLOCK RANCH, LLC,
a Delaware limited liability company
By:____________________________
Troy Wahlberg,
Senior Vice President

CITY OF SAN LUIS OBISPO

MAYOR Erica A. Stewart
ATTEST:

CITY CLERK Teresa Purrington
APPROVED AS TO FORM:

CITY ATTORNEY Christine Dietrick

7 EXHIBIT 1
TRACT 3136 PHASE 1

SUBDIVISION AGREEMENT

1. The Subdivider shall deposit a monumentation security in the amount of $12,400 to guarantee the installation of survey monuments in accordance with the approved map and payment for same. Said guarantee will be released once the installation of monuments has been verified and that existing monuments have not been disturbed, and upon receipt by the City of a letter from the Surveyor indicating that they have completed the work and have been paid. Subdivider shall adhere to the requirements of California Business and Professions Code Section 8771 with regards to monument preservation. The monumentation security also guarantees the replacement of any monuments that were disturbed during construction, along with filing of Records of Survey or Corner Records required by said Section 8771.

2. Parkland Reimbursement Payment is to be paid prior to final map recordation in the amount of $844,800. Refer to Exhibit 2 for details.

3. Public Infrastructure Reimbursement Payment is to be paid prior to final map recordation in the amount of $121,377 plus 2% interest per year. Refer to Exhibit 2 for details.

4. Reimbursement/ Credit Agreement Fee is to be paid prior to final map recordation in the amount of $42,793.37. Refer to Exhibit 2 for details.

5. The Subdivider shall pay a roadway maintenance fee to satisfy the roads maintenance requirements of the City, specifically maintenance caused by a surplus of heavy vehicles during the temporary construction activities of the project. The fee of $15,000 was estimated and approved by the City Engineer in accordance with City Engineering Standards and guidelines.

6. The subdivider shall comply with all requirements of City Council Resolution No. 11299 and Council Resolutions related to approval of the tentative map, approving the Orcutt Area Specific Plan, and certifying the Final Environmental Impact Report. (3580/3584 BULLOCK LANE FILE #ARCH-0489-2019, SBDV-0490-2019, EID-0345-2020)

8 EXHIBIT 2
TRACT 3136 - FEE AND BOND LIST,

BULLOCK LANE
Bonds and Guarantees:

Amount Form Date
Received
Bond Release Status
Faithful Performance:

1. OFF-SITE IMPROVEMENTS (PIPs)
(FMAP-0177-2022)
$2,967,700 Bond Based on Engineer’s estimate of
probable cost. To be released upon Final
Acceptance.

2. ON-SITE IMPROVEMENTS
(FMAP-0177-2022)
$9,024,834.45 Bond Based on Engineer’s estimate of
probable cost. To be released upon Final
Inspection.

3. Monument Guarantee $12,400 Bond
or CD
To be released upon verification that
monuments have been set and surveyor
has been paid.

Labor & Materials (50% of cost of each of the
above improvements)

1. OFF-SITE IMPROVEMENTS (PIPs)
(FMAP-0177-2022)
$2,967,700 / 2
= $1,483,850
Bond Based on Engineer’s estimate of
probable cost, divided by two.

2. ON-SITE IMPROVEMENTS
(FMAP-0177-2022)
$9,024,834.45 / 2
= $4,512,417.23
Bond Based on Engineer’s estimate of
probable cost, divided by two.
10% Warranty To be collected prior to release of
Faithful Performance Bonds
To be released one-year after Final
Acceptance or Final Inspection as
applicable, if no defects, and approval of
record drawings.

9 Fees:

Amount Form Date
Received
Status

1. Map Check Fee (Paid) $18,562.00 Check 2022 Paid
(covers original map check)

Additional Map Check Fee (Paid) $11,200.00 Check December 2023
Paid

2. Improvement Plan check Fees
For all on-site and off-site applicable
items from case FMAP-0177-2022
$102,114.55 Check May 2023 PAID IN FULL, MAY 2023
Based on approved construction
estimates
(covers whole Tract 3136 site)
Phase 1 Plan check Fees
(additional fee for splitting into two
phases)
For all on-site and off-site applicable
items from case FMAP-0177-2022
$27,300.00 Check December
2023
PAID IN FULL, December 2023
Based on approved construction
estimates
(covers Phase 1 and future Phase 2, but
for this subdivision agreement the
phases are put together and phases no
longer apply)

3. Planning Fees for ARCH-0489-2019 $10,619.22 Pay prior to map recordation. Invoiced 11/21/23

4. Construction Inspection Fees
For all of on-site and off-site applicable
items from case FMAP-0177-2022
$421,227.24 Based on approved construction
estimates.
(covers whole Tract 3136)

5. Roadway Maintenance Fee $15,000 To be deposited in Acct # 40050300- 90346953 Streets Reconstruction and
Resurfacing Master per Public Works
Director
(covers whole Tract 3136)

6. Reimbursement/Credit Agreement Fee
(Developer is eligible for fee credits for
construction of improvements which are
also included in City’s fee program.

Credit Agreement is required.)
$42,793.37 Pay current fee in effect prior map
recording for Tract 3136.
(Staff previously worked with
developers which resulted in a draft
agreement. Payment of fee for services
already performed is still outstanding.)
NOTE: The fee must be paid, a Credit
Agreement must be approved by City
Council, and the Agreement must be
fully executed prior to the first building
permit issuance to receive any fee
credits.

10 7. Parkland Reimbursement Payment:
(Parkland dedicated by Righetti Ranch,
LP. Bullock Ranch is benefiting property
and required to make “Reimbursement
Payment” to Righetti Ranch, under the
Parkland Reimbursement Agreement
between City and Righetti Ranch, L.P.)
$844,800 $4,400/ unit per updated Table 9 of the
OASP PFFP (R-10850, 2017 Series).

Tract 3136 total unit count is 192.

Amount covers all units in Tract 3136.

Due at time of recording subdivision
map for Tract 3136. City to deposit to
GL 725.9104.44316 and pass-through
funds received to Righetti Ranch, LP.

8. Public Infrastructure Reimbursement
Payment:
(Righetti Ranch, LP installed public
infrastructure in greater size and capacity
than required. Bullock Ranch is
benefiting property and required to make
“Infrastructure Reimbursement Payment”
under the Infrastructure Reimbursement
Agreement between City and Righetti
Ranch, L.P.)
$121,377 + 2%
interest per year
Interest calculated from the date City
accepted the public improvements,
10/22/2019, to date developer pays the
fee.
 $2,427.54/ year
 $202.30/ month
 $6.65/ day
Due at time of recording subdivision
map for Tract 3136. City to deposit to
GL 724.9104.44316 and pass-through
funds received to Righetti Ranch, LP.

Impact Fees:

Transportation Impact Fees:
 OASP Base Transportation Impact
Fee (vested after 7/1/2018)
 OASP Subarea Add-on
Transportation Impact Fee (vested
after 7/1/2018)
$TBD/ unit
$TBD/ unit
Pay current fees in effect based on
permit application date at time of
building permit issuance. Applies to
residential and commercial units.

Utility Impact Fees:
 Water Impact Fee
 Wastewater Impact Fee
$TBD/ unit
$TBD/ unit
Pay current fees in effect based on
permit application date at time of
building permit issuance. Applies to
residential and commercial units.

Parkland Impact Fees:
 Parkland Development Impact Fee
Impact (Orcutt Area)
$TBD/ unit
Pay current fees in effect based on
permit application date at time of
building permit issuance. Applies to
residential units only.

Emergency Services Impact Fees:
 Police Impact Fee
 Fire Impact Fee
$TBD/ unit
$TBD/ unit
Pay current fees in effect based on
permit application date at time of
building permit issuance. Applies to
residential and commercial units.

9. Affordable Housing Requirements See Affordable
Housing
Agreement

Item 6j
Department: Human Resources
Cost Center: 3001
For Agenda of: 10/21/2025
Placement: Consent
Estimated Time: N/A
FROM: Nickole Domini, Human Resources Director
Prepared By: Kate Auslen, Risk and Benefits Manager
SUBJECT: AUTHORIZATION TO ADVERTISE REQUEST FOR PROPOSALS (RFP)

FOR A DEFERRED COMPENSATION PLAN CONSULTANT AND
FIDUCIARY INVESTMENT ADVISOR; AUTHORIZATION TO ADVERTISE

A SUBSEQUENT RFP TO CONSOLIDATE RECORDKEEPING

SERVICES

RECOMMENDATION

1. Adopt a Resolution entitled “A Resolution of the City Council of the City of San Luis Obispo, California, Designating the City Manager as Plan Administrator for Deferred Compensation Plans” (Attachment A).

2. Authorize the Director of Human Resources to advertise a Request for Proposals (RFP) for a Deferred Compensation Consultant (Attachment B);

3. Authorize the Director of Human Resources to advertise a RFP for a Deferred Compensation Recordkeeper, via the selected Consultant (Attachment C); and

4. Authorize the City Manager to execute professional services agreements with the selected consultant and selected recordkeeper.

POLICY CONTEXT
The City of San Luis Obispo (“City”) has offered its employees voluntary participation in deferred compensation retirement plans (“Plans”) since 1979 (Resolution No. 3875).

Additional plan options have been added over the years, and the City has provided oversight of the Plans through annual plan reviews. In alignment with the Council adopted Compensation Philosophy (Resolution No. 10248 – 2011 Series), the City is committed to attracting and retaining well qualified employees by offering competitive compensation.

As part of the Human Resources Department’s work plan, enhancements to the City’s benefits program offerings are being pursued.

The City’s Financial Management Manual, Section 202, requires City Council approval for purchases or contracts at or exceeding $150,000. It is unclear, but possible, that this project is subject to the requirements of Section 202 because the total amount paid to the consultant may exceed $150,000 over the course of the five-year term of the agreement, though these costs are paid by employees and not the City directly. Out of caution, this item is being presented for City Council approval.

Item 6j

DISCUSSION
The City’s deferred compensation program allows employees to supplement their retirement savings. Employees may contribute up to the annual maximum amount established by the Internal Revenue Service. The program is administered through four record-keepers, including: (1) MissionSquare, (2) Empower, (3) Nationwide, and (4) John Hancock, with Public Agency Retirement Services (PARS) as its third-party administrator.

These record-keepers manage multiple plan types, including 457(b), 457(b) OBRA, 401(a), and Retiree Health Savings. City employees are offered the option of participating in a ROTH IRA or Traditional IRA, but they are administered as individual plans, rather than City sponsored plans. Beginning in January 2026, the City will also offer a Roth 457(b) plan.

Eligibility and contributions vary by plan type:
 457(b) plan: Available to all regular and limited-term contract employees.

Contributions are made by employees.
 457(b) OBRA plan: Mandatory for temporary employees, as the City does not participate in Social Security and does not offer CalPERS retirement enrollment until a specified annual work-hour threshold is met, or if they have been previously enrolled in CalPERS retirement. Contributions are made by employees.  401(a) plan: Restricted to management employees and appointed officials.

Department heads and appointed officials receive a City contribution to their 401(a) plan. All other contributions to this plan are made by employees.  Retiree Health Savings: No longer available for new contributions.

Recordkeepers hold existing assets until participants are eligible to withdraw funds.
 ROTH IRA: Available to all employees, with contributions made by employees. No longer available for City payroll deduction and not a City sponsored plan, but available to employees through a current recordkeeper.
 Traditional IRA: Available to all employees, with contributions made by employees. Not a City sponsored plan, but available to employees through a current recordkeeper.
 Roth 457(b) plan (effective January 2026): Available to regular and limited-term contract employees, with contributions made by employees.

To enhance the value of this benefit offering, the City partnered with USI Insurance Services in 2022 to negotiate the recordkeeping fees of the plans offered. This resulted in reduced costs for the plan participants. As of September 2025, 72% of the City’s workforce is enrolled in the California Public Employees’ Retirement System (CalPERS) Public Employees’ Pension Reform Act (PEPRA) retirement tier, which provides lower retirement benefits than the City’s first and second CalPERS tiers. In order to maintain the City’s ability to attract and retain highly qualified employees, the Human Resources Department has established a priority of supporting staff in identifying and utilizing effective strategies for retirement savings.

Item 6j
Step 1: Plan Administration
To ensure accountability and provide clear authority over plan operations, staff recommends designating the City Manager as the official Plan Administrator for the City’s Deferred Compensation Plans. This designation includes the authority to delegate administrative duties as necessary and to execute all service agreements and related documents required for the ongoing administration of the Plans and fulfillment of the City’s fiduciary responsibilities (Attachment A).

Specifically, this authorization will allow the City Manager to:
 Carry out administrative responsibilities for the Plans;  Assign or delegate administrative duties to appropriate staff;  Execute professional services agreements with the selected plan consultant and recordkeeper following the RFP process; and
 Execute any other documents necessary to ensure compliance with legal requirements and effective Plan operations.

This structure provides a streamlined and efficient governance model, ensuring that the Plans are administered effectively, fiduciary obligations continue to be met, and the best interests of the current and former Plan participants are consistently served.

Step 2: Plan Consultant and Fiduciary Investment Advisor As the sponsor of the City’s Deferred Compensation Plans, the City has fiduciary duties and responsibilities under both State and Federal law. These duties require that the Plans be managed and operated solely for the benefit of participants and beneficiaries.

Specifically, fiduciary obligations include:
 Prudently investing plan assets;
 Properly administering the Plans; and
 Maintaining a prudent process for all decisions related to plan investments, fees, and services.

While the City retains ultimate fiduciary responsibility, it has the authority to contract with qualified third-party consultants to assist in carrying out these duties. Given the increasing complexity of the investment marketplace, evolving fiduciary requirements, and the need for specialized expertise, staff recommend engaging an experienced plan consultant and fiduciary investment advisor. Such a consultant would:
 Provide guidance on industry trends and fiduciary best practices;  Support compliance with applicable laws and regulations;  Offer recommendations related to plan administration, investments, fees, and services; and
 Assume fiduciary responsibility for oversight of the investment options offered to participants.

Item 6j
Engaging a plan consultant and fiduciary investment advisor will allow the City to strengthen its oversight of the Plans, ensure fiduciary responsibilities are met, and confirm the Plans continue to serve the best interests of participants, both current and former employees who have invested in the Plans.

Therefore, staff requests authorization to advertise a Request for Proposals (RFP) to engage a qualified plan consultant and advisor to assist the City in fulfilling its fiduciary obligations, provide ongoing plan oversight, support compliance with applicable laws and regulations, and lead the recordkeeper consolidation process as described below.

Additional detail is available in the draft Request for Proposals for a deferred compensation consultant (Attachment B).

Following the selection of a plan consultant and recordkeeper, staff further recommend authorizing the City Manager to execute a professional services agreement with the selected consultant to ensure timely engagement and oversight.

Step 3: Record-Keeper Consolidation
As noted above, the City’s Plans currently utilize four record-keepers, which can create inefficiencies in plan administration, oversight, and participant services. Industry best practices increasingly favor consolidating services under a single record-keeper to streamline operations and improve participant outcomes.

A single record-keeper is expected to:
 Simplify administration and reporting for the City;
 Reduce overall plan and participant costs;
 Provide more consistent services and communications to employees; and  Enhance transparency and fiduciary oversight.

Staff is requesting authorization to advertise a Request for Proposals (RFP) for recordkeeping services with the goal of consolidating the Plans under one provider, using the selected plan consultant and advisor to lead the process in consultation with an employee committee. This approach aligns with the City’s fiduciary responsibility to operate the Plans in the best interests of participants and to seek cost-effective, high-quality plan services.

Further details are provided in the draft Request for Proposals for a deferred compensation recordkeeper (Attachment C). This draft serves as a preliminary template, as this RFP process will be led by the selected consultant, and staff will rely on their expertise to finalize the RFP content prior to advertising.

Upon completion of the RFP process and selection of a provider, staff recommend that the City Manager be authorized to execute all necessary service agreements with the selected recordkeeper.

Previous Council or Advisory Body Action

Item 6j

1. Empower (formerly The Hartford and MassMutual): Resolution No 3875 (1979 Series). Authorized the City to purchase insurance and/or annuity contracts with the Hartford to establish plan benefits.

2. MissionSquare (formerly ICMA): Resolution No 5522 (1984 Series). Authorized City Manager to award and renew contracts to establish and maintain employee benefits plans.

3. Nationwide (formerly Great Western Bank) 1993, No record available.

4. PARS: Resolution No. 9053 (2000 Series). Established defined contribution plan with a City contribution for managers (1%) and department heads (2%).

CONCURRENCE
An employee committee comprised of representatives from each of the six bargaining units and Human Resources staff has been assembled to provide input regarding this project. In anticipation that this project will result in reduced costs, and in turn, higher retirement savings, the committee is enthusiastic for this work to begin. Additionally, Human Resources staff has consulted with the Director of Finance and the City Attorney on the approach to completing this work.

ENVIRONMENTAL REVIEW
The California Environmental Quality Act does not apply to the recommended action in this report, because the action does not constitute a “Project” under CEQA Guidelines Sec. 15378.

FISCAL IMPACT
Budgeted: No Budget Year: 2025-26
Funding Identified: N/A
Fiscal Analysis:

Funding
Sources
Total Budget
Available
Current
Funding
Request
Remaining
Balance
Annual
Ongoing
Cost
General Fund
State
Federal
Fees
Other:

Total $0 $0 $0 $0
Issuing the RFPs do not obligate any funds or commit the City to utilize any services of Respondents. Once a consultant and recordkeeper are selected, staff anticipates that the full scope of services will be paid out of participant plan assets rather than the City’s

Item 6j
budget. In the event there is a small upfront City cost for consultant services, staff expect that it will fall under the City Manager’s authority to approve and would be funded through current year salary savings in the Human Resources Department, as it would be a one time expense.

ALTERNATIVES

1. Council could decide not to approve the release of the Request for Proposals for a Deferred Compensation Consultant. Should Council pursue this option, staff would need to proceed without the value of professional expertise and experience, or not proceed with the project at all. This may result in increased liability for the City as regulations around employee benefits are complex and require specialized knowledge and experience to ensure compliance.

2. Council could decide not to approve the release of the Request for Proposals for a Deferred Compensation Recordkeeper. Should Council pursue this option, possible outcomes include:
a) The City could maintain its four existing recordkeepers, rather than consolidating plans to a single recordkeeper. This could result in participants continuing to pay higher than necessary fees on their retirement assets, causes employee confusion about which plan to select, and requires more staff time to administer the plans. It also increases the likelihood that the plans become out of compliance, increasing liability for the City.
b) After a consultant is selected (approximately December 2025) staff could return to Council to request authorization to release the request for proposals for recordkeepers (approximately February 2026). This would create a project delay and lengthen the amount of time employees are paying higher than necessary fees on their retirement assets.

ATTACHMENTS
A - Draft Resolution designating the City Manager as the plan administrator for deferred compensation plans
B - Draft Request for Proposals – Deferred Compensation Consultant C - Draft Request for Proposals – Deferred Compensation Recordkeeper

R ______
RESOLUTION NO. _____ (2025 SERIES)

A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SAN LUIS

OBISPO, CALIFORNIA, DESIGNATING THE CITY MANAGER AS PLAN

ADMINSTRATOR FOR DEFERRED COMPENSATION PLANS
WHEREAS, the City of San Luis Obispo (“CITY”) offers its employees participation in deferred compensation retirement plans, also known as defined contribution plans (“Plan(s)”), qualifying under relevant sections of the Internal Revenue Code and the California Government Code;
WHEREAS, the Plans currently provide that (i) CITY (through the City’s governing body) or (ii) a committee or another person designated by the City will be the administrator and responsible for the administration, assets and investments of the Plans; WHEREAS, currently, the City Council is the administrator and bears the fiduciary responsibilities for the administration, assets, and investments of the Plans; WHEREAS, recent developments in the governmental deferred compensation and defined contribution marketplace have highlighted the importance of clearly identifying oversight and accountability for the City’s retirement plans; and WHEREAS, in order to protect the interests of plan participants, maintain fiduciary standards, and ensure efficient administration, staff recommends that the City Council formally designate a Plan Administrator for the City’s deferred compensation and defined contribution plans;
WHEREAS, the City deems it to be in the best interests of the City and the Plans’ participants to designate the City Manager as administrator of the Plans.

NOW, THEREFORE, BE IT RESOLVED by the Council of the City of San Luis Obispo as follows:

SECTION 1. For any Plans under contract with the CITY, the City Manager, and any City staff they may designate to assist in that role, is designated as the administrator of the Plans (“Plan Administrator”), with responsibility for the administration, assets and investments of the Plans.

SECTION 2. The Plan Administrator is hereby authorized to execute all necessary documents on behalf of the CITY, assign or delegate administrative duties as appropriate and take whatever additional actions are necessary to maintain participation of the CITY in the Plan and comply with relevant regulations.

Upon motion of Council Member ___________, seconded by Council Member ___________, and on the following roll call vote:

Resolution No. _____ (2025 Series) Page 2
R ______
AYES:

NOES:

ABSENT:

The foregoing resolution was adopted this _____ day of _______________ 2025. ___________________________
Mayor Erica A. Stewart
ATTEST:
______________________
Teresa Purrington
City Clerk
APPROVED AS TO FORM:
______________________
J. Christine Dietrick
City Attorney
IN WITNESS WHEREOF, I have hereunto set my hand and affixed the official seal of the City of San Luis Obispo, California, on ______________________. ___________________________
Teresa Purrington
City Clerk

The City of San Luis Obispo is committed to including disabled persons in all of our services, programs and activities.

Telecommunications Device for the Deaf (805) 781-7410.

Notice Requesting Proposals / Qualifications for Retirement Plan Consulting Services The City of San Luis Obispo is requesting sealed proposals for retirement plan consulting services.

All firms interested in receiving further correspondence regarding this Request for Proposals (RFP) will be required to complete a free registration using BidNet Direct (www.bidnetdirect.com/).

All proposals must be received via BidNet Direct by November 14, 2025 at 3 p.m., when they will then be opened electronically via BidNet Direct on the proposal end date and time.

The preferred method for bid submission is electronic via BidNet Direct. However, if you wish to submit a paper copy, please submit it in a sealed envelope plainly marked “Proposal for Retirement Plan Consulting Services,” to the Department of Finance, at 990 Palm Street, San Luis Obispo, CA, 93401, at or before 3pm on November 14, 2025.

Project packages and additional information may be obtained at the City’s BidNet Direct website at www.BidNetDirect.com.

For technical help with BidNet Direct please contact BidNet Direct tech support at 800-835-4603.

Proposals are subject to the California Public Records Act. Proposers should clearly mark trade secret portions; the City will use reasonable efforts to maintain confidentiality but cannot guarantee nondisclosure.

TABLE OF CONTENTS
A. INTRODUCTION......................................................................................................................................... 2 B. SCOPE OF WORK ....................................................................................................................................... 2 C. MINIMUM QUALIFICATIONS..................................................................................................................... 5 D. PROPOSAL CONTENT ............................................................................................................................... 5 E. GENERAL TERMS AND CONDITIONS ......................................................................................................... 7 F. CONTRACT AWARD AND EXECUTION ....................................................................................................... 9 G. SPECIAL TERMS AND CONDITIONS .......................................................................................................... 9 H. FORM OF AGREEMENT .......................................................................................................................... 10 I. PROPOSAL EVALUATION, SELECTION AND AWARD SCHEDULE.............................................................. 10 PROPOSAL FORM: REFERENCES.................................................................................................................. 11 PROPOSAL FORM: STATEMENT OF PAST CONTRACT DISQUALIFICATIONS................................................ 13 EXHIBIT A : FORM OF AGREEMENT............................................................................................................. 14 EXHIBIT B: INSURANCE REQUIREMENTS FOR PROFESSIONAL SERVICES.................................................... 21

-2-
A. INTRODUCTION
The City of San Luis Obispo (“City) is nestled on the Central Coast of California, halfway between Los Angeles and San Francisco. With approximately 490 regular employees, the City’s ten departments serve the public in carrying out the policies and programs prioritized by the City Council, and implementing the City's charter and municipal code. The City’s mission statement explains the organization's focus in carrying its responsibilities. Its organizational values guide and inspire the day to day operations of the City.

The City’s Human Resources department is responsible for administering employee benefits programs, including retirement plans. The City is seeking proposals from highly qualified and experienced consultants to conduct a comprehensive review of its deferred compensation plans, facilitate a Request for Proposals (RFP), oversee plan conversion and consolidation, as well as provide ongoing fiduciary support such as investment advising services related to the City’s elective retirement plans. The City is committed to providing our employees with robust and well-managed retirement savings options, and this assignment will be critical in ensuring our plans remain competitive, compliant, and optimally designed.

The City is specifically looking for a consultant with expertise in governmental 457(b) plans, 401(a) plans, and Retiree Health Savings (RHS) plans including a thorough understanding of their unique regulatory landscape and operational nuances. The City’s goal is to provide retirement plan participants with high quality service, education and investment options at a reasonable cost. City plans are governmental plans and therefore exempt from ERISA Title I; the City nonetheless adopts ERISA-informed best practices by contract. The City is looking for a consultant that can provide ERISA-style §3(38) discretionary fiduciary advisory services.

The following is the current breakdown of participants and assets in the City’s Plans, as of September 5, 2025:

Plan Type Participants with a
Balance Asset Balance
457(b) 462 $51,350,774
401(a) 100 $2,844,245
Retiree Health Savings (RHS) 213 $1,824,394
OBRA-PT (457b) 2418 $1,465,029
Totals 3,193 $57,484,442
The current recordkeepersfor the plans listed above are (in no particular order) Empower, MissionSquare, Nationwide, PARS (serving as a third-party administrator for John Hancock).

Note: Some City employees participate in ROTH IRA or Traditional IRA through a current recordkeeper.

However, they are individual plans, not City sponsored plans.

B. SCOPE OF WORK

-3-
The selected consultant will be asked to provide input and advice in three primary areas: (1) plan investments, (2) recordkeeper services, and (3) plan design and technical issues. The selected consultant must be capable of providing expert review and analysis regarding the topics specified below.

Phase 1 – Recordkeeper Selection and Negotiation
a. Determine services needed to support prudent administration and operation of the plan. b. Issue a Request for Proposal (RFP) in consultation with the City and employee committee for recordkeeping services.
i. Develop the recordkeeper RFP (scope, questionnaires, pricing matrix, service metrics), including, but not limited to:

1. Require proposals to commit to call center service levels, processing timeliness, error rates, cybersecurity controls (SOC 2 Type II), disaster recovery, and conversion milestones.

2. Require proposers to grant the City ownership of plan and participant data, prohibit unrelated marketing, and disclose any rollover/IRA programs offered and associated incentives. ii. Analyze results of the RFP and present to the City, including, but not limited to:

1. Normalize and benchmark all-in costs (admin, recordkeeping, investment vehicle expense ratios, managed account adders).

Provide side-by-side, net-of-revenue-share comparisons. iii. Facilitate informed decision making by the City and employee committee. iv. Coordinate the selection process, along with the employee committee c. Negotiate service agreements and fees.
i. Provide a written review and benchmarking of all plan-related fees, including administrative, recordkeeping, and investment management fees. Provide a clear breakdown of costs and an assessment of their reasonableness relative to industry standards.
ii. Provide a written review of all plan-related documentation, including the plan document, adoption agreement, service agreements, and participant communications, to ensure accuracy, completeness, compliance with all applicable Internal Revenue Code requirements for governmental 457(b), 401(a), OBRA and RHS arrangements and adoption of ERISA-informed best practices where prudent.
iii. Make recommendations that enhance participant outcomes and administrative efficiency.
d. Advise on best practices in plan operation and administration.

Phase 2 – Recordkeeper and Plan Consolidation
a. Coordinate plan consolidation to a single record-keeper, as selected in Phase 1, , or a rationalized structure where analysis demonstrates clear advantages in participant outcomes, service, risk controls, and net cost. Document rationale if any plan (e.g., OBRA or RHS trust) is retained with a specialist provider. b. Attend conversion meetings and other meetings needed to offer insights, address stakeholder concerns and facilitate informed decision making.

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c. Review and advise on plan documents and service agreements. d. Consult and prepare thorough, effective participant communications to minimize disruption to participants and meet plan sponsor obligations. e. Ensure data integrity and legal compliance.

Phase 3 – Ongoing Fiduciary Support and ERISA-style §3(38) Discretionary Fiduciary Advising (5-year contract anticipated)
Fiduciary Acknowledgement (Non-Discretionary, Plan-Level).

The consultant will acknowledge, in writing, a discretionary, plan-level fiduciary duties to the City with respect to the investment menu, IPS maintenance, and vendor selection/monitoring, consistent with governmental plan status and applicable state law; the consultant will accept fiduciary discretion over plan assets. (ERISA-style §3(38) discretionary advisory services.) The consultant will further acknowledge that it is prohibited from acting in a brokerage capacity for purposes of its engagement with the City and will not accept any third party compensation related to its engagement with the City.

1. Plan Design and Technical Guidance
a. Provide a detailed analysis of Deferred Compensation plan documents and alignment with best practices. Make recommendations that enhance participant outcomes and administrative efficiency.
b. Advise on best practice in plan design, plan operation and administration. c. Advise on federal and state laws and regulations affecting the plan, including current and proposed laws.
d. Advise on potential amendments to the 457(b), 401(a) and RHS Plan documents, including discretionary changes, optional changes permitted under the laws governing the plan, and mandatory changes required by governing law. e. Address questions that may arise from time to time in the administration of the plan concerning the interpretation of federal rules and policies and their applicability to the City's plans and a broad range of questions related to retirement, tax-deferred saving concepts, administration, or issues not necessarily directly related to Section 457(b) deferred compensation plan administration.
f. Perform cybersecurity monitoring, including obtaining assurance letters from recordkeeper(s) confirming alignment with EBSA Cybersecurity Best Practices; reviewing SOC 1/2 reports and remediation plans.

2. Plan Investments
a. Draft an investment policy and present to the City. Once adopted, make recommendations consistent with policy during ongoing plan review b. Evaluate performance results and investment fees relative to the appropriate benchmark and peer rankings for each investment fund option on a quarterly basis. i. Provide an in-depth assessment of the plan investment options, focusing on diversification, performance, expense ratios, and overall suitability for our participant base.

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ii. Provide recommendations for enhancements or changes to the investment line-up to ensure compelling and competitive offerings. c. Advise on the prudence of selecting and retaining each investment manager and each investment fund option under the Plan, including recommending watchlist, termination, or other appropriate actions.
d. When necessary, advise on best practices for terminating investments and mapping liquidated funds to one or more other investment options under the Plan.
e. Draft participant communications regarding Plan investments. f. Present Quarterly review of Plan assets, investments, fees and plan activity. g. Meet quarterly, at a minimum, with the city staff to discuss retirement plan details and any issues.
h. Meet with plan participants in group and individual settings as needed to provide education related to the plans and investments.

C. MINIMUM QUALIFICATIONS
Proposals will be considered from bidders that meet the following requirements:

1. Have at least ten (10) years of experience under a legally registered business name in providing services of similar type and scope as described in the Scope of Services (“Services”).

2. Have not filed for bankruptcy under any business name over the past ten (10) years.

3. Not currently and has not been under investigation over the past ten (10) years by any state or federal regulatory agency.

4. Must have a minimum of twenty (20) public sector clients with 457(b) Deferred Compensation Plans with average assets of $50 million per client for which it provides discretionary fiduciary investment advisory services (i.e. 3(38) advisory services as if the plan were subject to ERISA).

5. Must be able to provide discretionary fiduciary investment advisory services (i.e. 3(38) advisory services as if the plan were subject to ERISA) and plan consulting services, including plan document review and plan design recommendations for governmental 401(a) defined contribution plans.

6. Must have a minimum of ten (10) public sector participant directed Health Reimbursement Account / Retirement Healthcare Savings Account Plans (Section 115 or VEBA) with average assets of $1.5 million per client for which it provides discretionary fiduciary investment advisory services (i.e. 3(38) advisory services as if the plan were subject to ERISA).

7. Must have issued on behalf of a City a minimum of three (3) RFPs for plan services in the past year.

8. A representative of the firm must be available, at minimum, for quarterly meetings on-site at the city during Phase 1 and Phase 2, and at least annually during Phase 3. Some meetings may be offered virtually.

9. It is strongly preferred that the firm have its Home Office/Main Office domiciled in the state of California.

D. PROPOSAL CONTENT
Proposals must include the following information:

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Submittal Forms

1. Cover letter
a. Submit a letter on your company letterhead that includes a list of all forms submitted.

The letter should be signed by an officer authorized to bind the proposer to all content in the proposal, and shall include the name, address, phone number and e-mail address of the person(s) to contact who will be authorized to represent the proposal.

2. Consultant Profile
a. Please provide a consultant profile, including:
i. Firm name, address, and contact information. (Please designate a single point of contact for purposes of interactions involving this RFP.) ii. Type of firm: individual, partnership, corporation, or other entity. iii. History of the firm, including number of years in existence, number of years providing investment advisory services to public agencies, location of offices, and total number of employees in each office.
iv. List of the names and titles of the members, partners, officers, management, and staff of the firm.
v. Resumes of key individuals to be a s s i g n e d t o t h i s p r o j e c t , those individuals’ certifications and licenses and a description of their anticipated role in this project.
vi. If subconsultant(s) will be used, please include resume and qualifications of the subconsultant.
vii. Investment Advisor Status. Please answer the following questions:
a. Are you or your firm registered as an investment adviser under the Investment Advisers Act of 1940 (the “Advisers Act”)?
b. Are you or your firm registered as a broker?
c. Are you or your firm affiliated with a broker-dealer? d. Does your firm offer proprietary mutual funds or separately managed accounts?
e. Do you or your firm receive any third-party compensation for recommending particular investments?
f. Will you promptly notify the City of San Luis Obispo should you or your firm’s status change regarding items a through e?
viii. What is your philosophy when it comes to investing? ix. Please describe the ongoing fiduciary services that you are willing to provide for the City of San Luis Obispo.

3. Qualification and Experience Summary
a. Please provide an explanation of how you meet each of the minimum qualifications set forth in Section C: Minimum Qualifications. Please describe examples of your work and results on similar projects as described in the scope of work.

4. Work Plan / Timeline
a. Provide a work plan that incorporates the items in Section B. Scope of Work outlined above. The work plan should identify the expected duration of each task and reflect the associated personnel and other resources required for all tasks to be performed. This should include a schedule for all deliverables and a clear explanation of consultant’s and City responsibilities.

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i. Detailed description of your approach to completing the work. ii. Detailed schedule by task and sub-task for completing the work. iii. Estimated hours for your staff in performing each phase and task of the work, including sub-consultants, so we can clearly see who will be doing what work, and how much time it will take.
iv. Services or data to be provided by the City.
v. Services and deliverables provided by the Consultant(s). vi. Description of assumptions critical to development of the response which may impact cost or scope.
vii. Pricing Information. Please explain how you or your firm charge(s) for services.

Please provide either standard hourly billing rates for the assigned staff, including any sub-consultants, or a package fee for different phases of the project, clearly explaining what is included in the fee for each phase of the project. viii. Any other information that would assist us in making this contract award decision.

5. Certificate of insurance.
a. Please provide a certificate of insurance meeting the requirements set forth in the sample Professional Services Agreement in Exhibit B.
i. The insurance carrier and its A.M. Best rating.
ii. Scope of coverage and limits.
iii. Deductibles and self-insured retention.

The purpose of this submittal is to generally assess the adequacy of the bidder’s insurance coverage during proposal evaluation; as discussed under paragraph 12 below, endorsements are not required until contract award.

6. References from at least three public agencies, preferably California cities that are comparable to the City of San Luis Obispo, for whom you have provided similar services as specified in the RFP.

7. Statement and explanation of any instances where your firm or sub-consultant has been removed from a project or disqualified from proposing on a project.

E. GENERAL TERMS AND CONDITIONS

PROPOSAL REQUIREMENTS

1. Requirement to Meet All Provisions. Each individual or firm submitting a proposal (bidder) shall meet all the terms, and conditions of the Request for Proposals (RFP) project package. By virtue of its proposal submittal, the bidder acknowledges agreement with and acceptance of all provisions of the RFP specifications.

2. Proposal Submittal. Each proposal must be submitted on the form(s) provided in the specifications and accompanied by any other required submittals or supplemental materials. Proposal documents shall be submitted electronically via BidNet. However, if you can’t submit electronically in BidNet., please email a copy to the contacts listed in the RFP package, if you can’t email it, please send a copy in a sealed envelope to the Department of Finance, City of San Luis Obispo, 990 Palm Street, San Luis Obispo, CA, 93401. To guard against premature opening, the proposal should be clearly labeled with

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the proposal title, project number, name of bidder, and date and time of proposal opening. No fax submittals will be accepted.

3. Proposal Length. Proposal length should only be as long as required to be responsive to the RFP, including attachments and supplemental materials.3.

4. Submittal of One Proposal Only. No individual or business entity of any kind shall be allowed to make or file, or to be interested as the primary submitter in more than one proposal, except an alternative proposal when specifically requested; however, an individual or business entity that has submitted a sub-proposal to a bidder submitting a proposal, or who has quoted prices on materials to such bidder, is not thereby disqualified from submitting a sub-proposal or from quoting prices to other bidders submitting proposals.

5. Communications. All requests for information submitted in writing before the submission deadline will receive a written response from the City within five (5) business days. Telephone communications with City staff are not encouraged but will be permitted. However, any such oral communication shall not be binding on the City.

6. Ownership of Materials. All original drawings, plan documents and other materials prepared by or in possession of the Contractor as part of the work or services under these specifications shall become the permanent property of the City and shall be delivered to the City upon demand.

7. Release of Reports and Information. Any reports, information, data, or other material given to, prepared by or assembled by the Contractor as part of the work or services under these specifications shall be the property of the City and shall not be made available to any individual or organization by the Contractor without the prior written approval of the City.

8. Copies of Reports and Information. If the City requests additional copies of reports, drawings, specifications, or any other material in addition to what the Contractor is required to furnish in limited quantities as part of the work or services under these specifications, the Contractor shall provide such additional copies as are requested, and City shall compensate the Contractor for the costs of duplicating of such copies at the Contractor's direct expense.

9. Required Deliverable Products. The Contractor will be required to provide:
a. One electronic submission - digital-ready original .pdf of all final documents. If you wish to file a paper copy, please submit in sealed envelope to the address provided in the RFP. b. Corresponding computer files compatible with the following programs whenever possible unless otherwise directed by the project manager:
i. Word Processing: MS Word
ii. Spreadsheets: MS Excel
c. City staff will review any documents or materials provided by the Contractor and, where necessary, the Contractor will be required to respond to staff comments and make such changes as deemed appropriate.

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F. CONTRACT AWARD AND EXECUTION

1. Proposal Retention and Award. The City reserves the right to retain all proposals for a period of 60 days for examination and comparison. The City also reserves the right to waive non-substantial irregularities in any proposal, to reject any or all proposals, to reject or delete one part of a proposal and accept the other, except to the extent that proposals are qualified by specific limitations. See the “special terms and conditions” in Section C of these specifications for proposal evaluation and contract award criteria.

2. Competency and Responsibility of Bidder. The City reserves full discretion to determine the competence and responsibility, professionally and/or financially, of bidders. Bidders will provide, in a timely manner, all information that the City deems necessary to make such a decision.

3. Contract Requirement. The bidder to whom award is made (Contractor) shall execute a written contract with the City within thirty (30) calendar days after notice of the award. The contract shall be made in the form adopted by the City and incorporated in these specifications.

4. Contract terms and conditions. The City’s contract terms and conditions that Consultant will be expected to execute and be bound by are attached hereto as Exhibit A.

G. SPECIAL TERMS AND CONDITIONS

1. Contract Award. The contract will be awarded to the most qualified bidder that, in the City’s sole discretion in accordance with the Proposal Evaluation and Selection criteria set forth herein (if applicable), provides the best proposal.

2. Labor Actions. In the event that the successful proposer is experiencing a labor action at the time of contract award (or if its suppliers or subcontractors are experiencing such a labor action), the City reserves the right to declare said proposer is no longer the most qualified, responsive proposer and to accept the next acceptable proposal from a proposer that is not experiencing a labor action, and to declare it to be the most qualified, responsive proposer.

3. Failure to Accept Contract. The following will occur if the proposer to whom the award is made (Contractor) fails to enter into the contract: the award will be annulled; any bid security will be forfeited in accordance with the special terms and conditions if a proposer's bond or security is required; and an award may be made to the next lowest responsible, responsive proposer who shall fulfill every stipulation as if it were the party to whom the first award was made.

4. Contract Term. The supplies or services identified in this specification will be used by the City for five years. The prices quoted for these items must be valid for the entire period indicated above unless otherwise conditioned by the proposer in its proposal.

5. Contract Extension. The term of the contract may be extended by mutual consent for an additional one-year.

6. Start of Work. Work on this project shall begin immediately after contract execution, unless otherwise negotiated with City by mutual agreement.

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7. Submittal of References. Each proposer shall submit a statement of qualifications and references on the form provided in the RFP package.

8. Statement of Contract Disqualifications. Each proposer shall submit a statement regarding any past governmental agency bidding or contract disqualifications on the form provided in the RFP package.

9. Compensation and Conflicts. The proposer shall:
a. Operate on a fee-only or fully fee-transparent basis; disclose all direct/indirect compensation; and rebate/offset any revenue sharing to the Plan.
b. Receive no compensation or incentives from recordkeepers, fund managers, or managed-account providers related to City decisions.
c. Disclose and manage any actual or potential conflicts (e.g., sub-adviser relationships, proprietary products, referral arrangements).
d. Agree not to use plan or participant data for unrelated marketing, cross-selling, or rollovers without written City authorization.

H. FORM OF AGREEMENT
Please see Exhibit A for a sample agreement. with the City’s general procurement provisions. Provisions specific to the provider’s services that are the subject of this RFP will be negotiated by the parties.

The City desires to begin work soon after selecting the preferred consultant and expects the consultant to execute the City’s contract and all of the terms therein, as set forth in Exhibit A. To expedite the contracting process, each submittal shall include requested redlined changes to terms and conditions, if necessary. Please be advised that consultant’s requested changes to the City’s terms and conditions will be considered by City staff when scoring and determining the competency and responsibility of the proposer.

I. PROPOSAL EVALUATION, SELECTION AND AWARD SCHEDULE

1. Proposal Evaluation and Selection. Proposals will be evaluated by a review committee and evaluated on the following criteria:
a. Understanding of the work required by the City.
b. Quality, clarity, and responsiveness of the proposal. c. Demonstrated competence and professional qualifications necessary for successfully performing the work required by the City.
d. Recent experience in successfully performing similar services. e. Background and experience of the specific individuals managing and assigned to this project.
f. Value.
g. Potential conflicts of interest.
h. References.

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As reflected above, contract award will not be based solely on price, but on a combination of factors as determined to be in the best interest of the City. After evaluating the proposals and discussing them further with the finalists or the tentatively selected contractor, the City reserves the right to further negotiate the proposed work and/or method and amount of compensation.

2. Proposal Review and Award Schedule. The following is an outline of the anticipated schedule for proposal review and contract award:
a. Issue RFP 10/22/25
b. Proposal deadline 11/14/25
c. Evaluate proposals 11/20/25 - 12/05/25
d. Finalize recommendation and notify respondents By 12/12/25 e. Execute contract Approx. 12/19/25
f. Start work Approx. 01/05/26
PROPOSAL FORM: REFERENCES
Provide detailed descriptions of three comparable public agencies your firm has worked with. For each, identify the services performed, how they align with the scope outlined in this RFP, the results you achieved, and how the experience demonstrates your firm’s ability to successfully deliver similar services for the City of San Luis Obispo. Attach additional pages if required. The City reserves the right to contact each of the references listed for additional information regarding your firm's qualifications.

Reference No. 1:

Agency Name
Contact Name
Telephone & Email
Street Address
City, State, Zip Code
Description of services provided
including contract amount, when
provided and project outcome

Reference No. 2:

Agency Name
Contact Name
Telephone & Email
Street Address
City, State, Zip Code

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Description of services provided
including contract amount, when
provided and project outcome

Reference No. 3
Agency Name
Contact Name
Telephone & Email
Street Address
City, State, Zip Code
Description of services provided
including contract amount, when
provided and project outcome

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PROPOSAL FORM: STATEMENT OF PAST CONTRACT DISQUALIFICATIONS The proposer shall state whether it or any of its officers or employees who have a proprietary interest in it, has ever been disqualified, removed, or otherwise prevented from bidding on, or completing a federal, state, or local government project because of the violation of law, a safety regulation, or for any other reason, including but not limited to financial difficulties, project delays, or disputes regarding work or product quality, and if so to explain the circumstances.  Do you have any disqualification as described in the above paragraph to declare? Yes No
 If yes, explain the circumstances.

Executed on at _______________________________________ under penalty of perjury of the laws of the State of California, that the foregoing is true and correct. ______________________________________
Signature of Authorized Proposer Representative

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EXHIBIT A : FORM OF AGREEMENT

CITY OF SAN LUIS OBISPO

PROFESSIONAL SERVICES AGREEMENT
This agreement (Agreement) is made and entered into in the City of San Luis Obispo on [DATE], by and between the City of San Luis Obispo, a municipal corporation and charter city (City) and _____________ hereinafter referred to as Contractor (collectively referred to as the “Parties”).

WITNESSETH:

WHEREAS, on ________, City requested proposals for Retirement Plan Consulting Services (the “Project”); and
WHEREAS, the City wants to enhance its deferred compensation retirement plans and receive ongoing fiduciary and investment advising services (the “Services”); and WHEREAS, Contractor is qualified to perform this type of Services and has submitted a written proposal to do so, which has been accepted by City; and NOW, THEREFORE, in consideration of their mutual promises, obligations, and covenants hereinafter contained, the Parties hereto agree as follows:

1. TERM. The term of this Agreement shall be from the date this Agreement is made and entered, as first written above, until ______, or upon acceptance and completion of said Services, whichever occurs sooner.

2. INCORPORATION BY REFERENCE. City Request for Proposals for Retirement Plan Consulting Services and Contractor's proposal dated ______ are hereby incorporated in and made a part of this Agreement, attached as Exhibit A. The City’s insurance requirements are hereby incorporated in and made part of this Agreement, attached as Exhibit B. To the extent that there are any conflicts between the Contractor’s fees and scope of work and the City’s terms and conditions as stated herein, the City’s terms and conditions shall prevail unless specifically agreed otherwise in writing signed by both Parties.

3. CITY’S OBLIGATIONS. For providing services as specified in this Agreement, and upon receipt of an invoice, City will pay and Contractor shall receive compensation as set forth in Contractor’s proposal and pursuant to the Payment Terms set forth in Exhibit B.

4. CONTRACTOR’S OBLIGATIONS. For and in consideration of the payments and agreements herein before mentioned to be made and performed by City, Contractor agrees with City to do everything required by this Agreement including that work as set forth in Exhibit A.

5. PAYMENT OF TAXES. The contract prices shall include full compensation for all taxes that Contractor is required to pay.

6. LICENSES AND PERMITS. At all times during the term of this Agreement, Contractor shall have in full force and effect, all licenses required of it by law for the performance of the Services described

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in this Agreement. The Contractor shall procure all permits and licenses, pay all charges and fees, and give all notices necessary under this Agreement.

7. COMPLIANCE WITH LAW. The Contractor shall keep itself informed of and shall observe and comply with all applicable State and Federal laws and regulations, and county and City of San Luis Obispo ordinances, regulations and adopted codes, which in any manner affect those employed by Contractor or in any way affect the performance of the Services pursuant to this Agreement.

The City, and its officers and employees, shall not be liable at law or in equity occasioned by failure of the Contractor to comply with this Section. Failure to comply with local ordinances may result in monetary fines and cancellation of this Agreement.

8. COMPLIANCE WITH INDUSTRY STANDARD. Contractor shall provide services acceptable to City in strict conformance with the Agreement. Contractor shall also provide in accordance with the standards customarily called for under this Agreement using the degree of care and skill ordinarily exercised by reputable providers of such services. Where approval by the City, the City Manager, the Mayor, or other representative of City is required, it is understood to be general approval only and does not relieve Contractor of responsibility for complying with all applicable laws, codes, policies, regulations, and good business practices.

9. INDEPENDENT CONTRACTOR.
a. Contractor is and shall at all times remain as to the City a wholly independent contractor.

The personnel performing the Services under this Agreement on behalf of Contractor shall at all times be under Contractor's exclusive direction and control. Neither City nor any of its officers, employees, or agents shall have control over the conduct of Contractor or any of Contractor's officers, employees, or agents, except as set forth in this Agreement.

Contractor shall not at any time or in any manner represent that it or any of its officers, employees, or agents are in any manner officers, employees, or agents of the City.

Contractor shall not incur or have the power to incur any debt, obligation, or liability whatsoever against City, or bind City in any manner.
b. No employee benefits shall be available to Contractor in connection with the performance of this Agreement. Except for the fees paid to Contractor as provided in the Agreement, City shall not pay salaries, wages, or other compensation to Contractor for performing the Services hereunder for City. City shall not be liable for compensation or indemnification to Contractor for injury or sickness arising out of performing services hereunder. c. Contractor/Contractor’s duties and services under this agreement shall not include preparing or assisting the public entity with any portion of the public entity’s preparation of a request for proposals, request for qualifications, or any other solicitation regarding a subsequent or additional contract with the public entity. Notwithstanding the foregoing, Contractor is specifically engaged to assist the City with the Recordkeeper RFP, evaluation, selection, contract negotiation, conversion support, and ongoing vendor monitoring. The City retains final procurement authority; Contractor shall ensure that all bidders have equal access to the same information and shall adhere to City purchasing rules.

10. PRESERVATION OF CITY PROPERTY. The Contractor shall provide and install suitable safeguards, approved by the City, to protect City property from injury or damage. If City property is injured or

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damaged resulting from Contractor’s operations, it shall be replaced or restored at Contractor’s expense. The City’s facilities shall be replaced or restored to a condition as good as when the Contractor began the work.

11. IMMIGRATION ACT OF 1986. The Contractor warrants on behalf of itself and all subcontractors engaged for the performance of the Services that only persons authorized to work in the United States pursuant to the Immigration Reform and Control Act of 1986 and other applicable laws shall be employed in the performance of the Services hereunder.

12. NON-DISCRIMINATION. In the performance of the Services, the Contractor agrees that it will not engage in, nor permit such subcontractors as it may employ, to engage in discrimination in employment of persons because of age, race, color, sex, national origin or ancestry, sexual orientation, or religion of such persons.

13. PAYMENT TERMS. The City’s payment terms are 30 days from the receipt of an original invoice and acceptance by the City of the materials, supplies, equipment, or services provided by the Contractor (Net 30). Contractor will submit invoices monthly for actual services performed.

Invoices shall be submitted on or about the first business day of each month, or as soon thereafter as practical, for services provided in the previous month. Final June invoices shall be received no later than the 5th business day of July to meet City fiscal year-end deadlines. Payment shall be made within thirty (30) days of receipt of each invoice as to all non-disputed fees. If the City disputes any of Contractor's fees it shall give written notice to Contractor within thirty (30) days of receipt of an invoice of any disputed fees set forth on the invoice. Any final payment under this Agreement shall be made within forty-five (45) days of receipt of an invoice, therefore.

14. INSPECTION. City shall at all times have the right to inspect the work being done under this Agreement and Contractor shall furnish City with every reasonable opportunity and assistance required for City to ascertain that the Services of the Contractor are being performed in accordance with the requirements and intentions of this Agreement. All work done, and all materials furnished, if any, shall be subject to the City’s inspection and approval. The inspection of such work shall not relieve Contractor of any of its obligations under the Agreement.

15. RELEASE OF INFORMATION.
a. All information gained by Contractor in performance of this Agreement shall be considered confidential and shall not be released by Contractor without City's prior written authorization. Contractor, its officers, employees, agents, or subcontractors, shall not, without written authorization from the City Manager or unless requested by the City Attorney, voluntarily provide declarations, letters of support, testimony at depositions, response to interrogatories, or other information concerning the work performed under this Agreement. Response to a subpoena or court order shall not be considered "voluntary" provided Contractor gives City notice of such court order or subpoena. b. Contractor shall promptly notify City should Contractor, its officers, employees, agents, or subcontractors be served with any summons, complaint, subpoena, notice of deposition, request for documents, interrogatories, request for admissions, or other discovery request (“Discovery”), court order, or subpoena from any person or party regarding this Agreement, unless the City is a party to any lawsuit, arbitration, or administrative proceeding connected to such Discovery, or unless Contractor is prohibited by law from informing the City of such Discovery. City retains the right, but has

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no obligation, to represent Contractor and/or be present at any deposition, hearing, or similar proceeding as allowed by law. Unless City is a party to the lawsuit, arbitration, or administrative proceeding and is averse to Contractor in such proceeding, Contractor agrees to cooperate fully with City and to provide the opportunity to review any response to Discovery requests provided by Contractor. However, City's right to review any such response does not imply or mean the right by City to control, direct, or rewrite said response.

16. OWNERSHIP OF DOCUMENTS.
a. Contractor shall maintain complete and accurate records with respect to sales, costs, expenses, receipts, and other such information required by City that relate to the performance of the Services under this Agreement. Contractor shall maintain adequate records of services provided in sufficient detail to permit an evaluation of services. All such records shall be maintained in accordance with generally accepted accounting principles and shall be clearly identified and readily accessible. Contractor shall provide free access to the representatives of City or its designees at reasonable times to such books and records; shall give City the right to examine and audit said books and records; shall permit City to make transcripts or copies therefrom as necessary; and shall allow inspection of all work, data, documents, proceedings, and activities related to this Agreement. Such records, together with supporting documents, shall be maintained for a period of three (3) years after receipt of final payment. b. Upon completion of, or in the event of termination or suspension of this Agreement, all original documents, designs, drawings, maps, models, computer files, surveys, notes, and other documents prepared in the course of providing the Services under this Agreement shall become the sole property of the City and may be used, reused, or otherwise disposed of by the City without the permission of the Contractor. With respect to computer files, Contractor shall make available to the City, at the Contractor's office and upon reasonable written request by the City, the necessary computer software and hardware for purposes of accessing, compiling, transferring, copying and/or printing computer files. Contractor hereby grants to City all right, title, and interest, including any copyright, in and to the documents, designs, drawings, maps, models, computer files, surveys, notes, and other documents prepared by Contractor in the course of providing the Services under this Agreement.

17. INDEMNIFICATION AND DEFENSE. To the fullest extent permitted by law (including, but not limited to California Civil Code Sections 2782 and 2782.8), Contractor shall indemnify, defend, and hold harmless the City, and its elected officials, officers, employees, volunteers, and agents (“City Indemnitees”), from and against any and all causes of action, claims, liabilities, obligations, judgments, or damages, including reasonable legal counsels’ fees and costs of litigation (“claims”), arising out of the Contractor’s performance or Contractor’s failure to perform its obligations under this Agreement or out of the operations conducted by Contractor, including the City’s passive negligence, except for such loss or damage arising from the sole or active negligence or willful misconduct of the City. In the event the City Indemnitees are made a party to any action, lawsuit, or other adversarial proceeding arising from Contractor’s performance of this Agreement, the Contractor shall provide a defense to the City Indemnitees or at the City’s option, reimburse the City Indemnitees the ir costs of defense, including

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reasonable legal fees, incurred in defense of such claims. The review, acceptance or approval of the Contractor’s work or work product by any indemnified party shall not affect, relieve or reduce the Contractor’s indemnification or defense obligations. This Section survives the completion of the services or the termination of this contract. The provisions of this section are not limited by and do not affect the provisions of this contract relating to insurance.

Contractor’s indemnification obligations under this section extend to any claims arising out of or related to the negligence, recklessness, or willful misconduct of any sub-Contractors/ subcontractors.

18. SUSPENSION OR TERMINATION OF AGREEMENT WITHOUT CAUSE. a. The City may at any time, for any reason, with or without cause, suspend or terminate this Agreement, or any portion hereof, by serving upon the Contractor at least thirty (30) days prior written notice. Upon receipt of said notice, the Contractor shall immediately cease all work under this Agreement, unless the notice provides otherwise. If the City suspends or terminates a portion of this Agreement such suspension or termination shall not make void or invalidate the remainder of this Agreement.
b. In the event this Agreement is terminated pursuant to this Section, the City shall pay to Contractor the actual value of the work performed up to the time of termination, provided that the work performed is of value to the City. Upon termination of the Agreement pursuant to this Section, the Contractor will submit an invoice to the City pursuant to Section 14.

19. TERMINATION FOR CAUSE. If, during the term of the Agreement, the City determines the Contractor is not faithfully abiding by any term or condition contained herein, the City may notify the Contractor in writing of such defect or failure to perform. This notice must give the Contractor a ten (10) calendar day notice of time thereafter in which to perform said work or cure the deficiency.
a. If the Contractor has not performed the work or cured the deficiency within the ten (10) days specified in the notice, such shall constitute a breach of the Agreement and the City may terminate the Agreement immediately by written notice to the Contractor to said effect (“Notice of Termination”). Thereafter, neither party shall have any further duties, obligations, responsibilities, or rights under the Agreement except to comply with the obligations upon termination.
b. In said event, the Contractor shall be entitled to the reasonable value of its services performed from the beginning date in which the breach occurs up to the day it received the City’s Notice of Termination, minus any offset from such payment representing the City’s damages from such breach. “Reasonable value” includes fees or charges for goods or services as of the last milestone or task satisfactorily delivered or completed by the Contractor as may be set forth in the Agreement payment schedule; compensation for any other work or services performed or provided by the Contractor shall be based solely on the City’s assessment of the value of the work-in-progress in completing the overall scope.
c. The City reserves the right to delay such payment until completion or confirmed abandonment of the project, as may be determined in the City’s sole discretion, so as to permit a full and complete accounting of costs. In no event, however, shall the Contractor be entitled to receive in excess of the not to exceed amount shown in this Agreement.

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20. INSURANCE. Contractor shall maintain prior to the beginning of and for the duration of this Agreement insurance coverage as specified in Exhibit B attached to and made part of this Agreement.

21. BUSINESS LICENSE & TAX. The Contractor must have a valid City of San Luis Obispo business license & tax certificate before execution of the contract. Additional information regarding the City’s business tax program may be obtained by calling (805) 781-7134.

22. SAFETY PROVISIONS. The Contractor shall conform to the rules and regulations pertaining to safety established by OSHA and the California Division of Industrial Safety.

23. UNDUE INFLUENCE. Contractor declares and warrants that no undue influence or pressure was used against or in concert with any officer or employee of the City in connection with the award, terms or implementation of this Agreement, including any method of coercion, confidential financial arrangement, or financial inducement. No officer or employee of the City has or will receive compensation, directly or indirectly, from Contractor, or from any officer, employee or agent of Contractor, in connection with the award of this Agreement or any work to be conducted as a result of this Agreement. Violation of this Section shall be a material breach of this Agreement entitling the City to any and all remedies at law or in equity.

24. ASSIGNMENT. The Contractor shall not assign, transfer, convey or otherwise dispose of the contract, or its right, title or interest, or its power to execute such a contract to any individual or business entity of any kind without the previous written consent of the City. a. As required above, before retaining or contracting with any subcontractor for any services under this Agreement, City must consent to such assignment of performance in writing. For City to evaluate such proposed assignment, Contractor shall provide City with the identity of the proposed subcontractor, a copy of the proposed written contract between Contractor and such subcontractor, which shall include an indemnity provision similar to the one provided herein and identifying City as an indemnified party, or an incorporation of the indemnity provision provided herein, and proof that such proposed subcontractor carries insurance at least equal to that required by this Agreement or obtain a written waiver from City for such insurance.

25. AMENDMENT. Any amendment, modification, or variation from the terms of this Agreement shall be in writing and shall be effective only upon approval by the appropriate review authority according to the City’s Financial Management Manual. Contractor shall not be compensated for any services rendered in connection with its performance of this Agreement which are in addition to those set forth herein, unless such additional services are authorized by the City in advance and in writing.

26. COMPLETE AGREEMENT. This written Agreement, including all writings specifically incorporated herein by reference, shall constitute the complete Agreement between the Parties hereto. No oral agreement, understanding, or representation not reduced to writing and specifically incorporated herein shall be of any force or effect, nor shall any such oral Agreement, understanding, or representation be binding upon the Parties hereto. Each party is entering into this Agreement based solely upon the representations set forth herein and upon each party's own independent investigation of any and all facts such party deems material.

27. NOTICE. All notices to the Parties hereto under this Agreement shall be in writing and shall be sent either by (i) personal service, (ii) delivery by a reputable document delivery service, such as, but not limited to, Federal Express, which provides a receipt showing date and time of delivery, or (iii) United

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States Mail, certified, postage prepaid, return receipt requested. All such notices shall be delivered to the addressee or addressed as set forth below:

To City: City of San Luis Obispo
990 Palm St, San Luis Obispo, CA 93401
Attention: Human Resources
To Contractor: [Name]
[Mailing Address]

28. GOVERNING LAW. Any action arising out of this Agreement shall be brought in the Superior Court of San Luis Obispo County, California, regardless of where else venue may lie. The validity, interpretation, construction and performance of this Agreement, and all acts and transactions pursuant hereto and the rights and obligations of the Parties hereto shall be governed, construed and interpreted in accordance with the laws of the State of California, without giving effect to principles of conflicts of law.

29. AUTHORITY TO EXECUTE AGREEMENT. Both City and Contractor do covenant that each individual executing this Agreement on behalf of each party is a person duly authorized and empowered to execute Agreements for such party.

IN WITNESS WHEREOF, the Parties hereto have caused this instrument to be executed the day and year first above written.

CITY CONTRACTOR
_______________________________
By: [Name]
Its: [Title of City Manager or Department Head]
_______________________________
By: [Name]
Its: [Title]
APPROVED AS TO FORM:
_______________________________
By: J. Christine Dietrick, City Attorney

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EXHIBIT B: INSURANCE REQUIREMENTS FOR PROFESSIONAL SERVICES Without limiting CONSULTANT’s indemnification of CITY, and prior to commencement of Work, CONSULTANT shall obtain, provide and maintain at its own expense during the term of this AGREEMENT, policies of insurance of the type and amounts described below, and in a form satisfactory to CITY.

General liability insurance. CONSULTANT shall maintain commercial general liability insurance with coverage at least as broad as Insurance Services Office form CG 00 01, in an amount not less than $1,000,000 per occurrence, $2,000,000 general aggregate, for bodily injury, personal injury, and property damage. The policy must include contractual liability that has not been amended. Any endorsement restricting standard ISO “insured contract” language will not be accepted.

Professional liability (errors & omissions) insurance. CONSULTANT shall maintain professional liability insurance that covers the Services to be performed in connection with this AGREEMENT, in the minimum amount of $1,000,000 per claim and in the aggregate. Any policy inception date, continuity date, or retroactive date must be before the effective date of this AGREEMENT and CONSULTANT agrees to maintain continuous coverage through a period no less than three (3) years after completion of the services required by this AGREEMENT.

Workers’ compensation insurance. CONSULTANT shall maintain Workers’ Compensation Insurance (Statutory Limits) and Employer’s Liability Insurance (with limits of at least $1,000,000). CONSULTANT shall submit to CITY, along with the certificate of insurance, a Waiver of Subrogation endorsement in favor of CITY, its officers, agents, employees, and volunteers.

Proof of insurance. CONSULTANT shall provide certificates of insurance to CITY as evidence of the insurance coverage required herein, along with a waiver of subrogation endorsement for workers’ compensation. Insurance certificates and endorsements must be approved by CITY’s Risk Manager prior to commencement of performance. Current certification of insurance shall be kept on file with CITY at all times during the term of this contract. CITY reserves the right to require complete, certified copies of all required insurance policies, at any time.

Duration of coverage. CONSULTANT shall procure and maintain for the duration of the contract 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 by CONSULTANT, his agents, representatives, employees or subconsultants.

Primary/noncontributing. Coverage provided by CONSULTANT shall be primary and any insurance or selfinsurance procured or maintained by CITY shall not be required to contribute with it. The limits of insurance required herein may be satisfied by a combination of primary and umbrella or excess insurance.

Any umbrella or excess insurance shall contain or be endorsed to contain a provision that such coverage shall also apply on a primary and non-contributory basis for the benefit of CITY before the CITY’s own insurance or self-insurance shall be called upon to protect it as a named insured.

CITY’s rights of enforcement. In the event any policy of insurance required under this AGREEMENT does not comply with these specifications or is canceled and not replaced, CITY has the right but not the duty to obtain the insurance it deems necessary, and any premium paid by CITY will be promptly reimbursed by CONSULTANT or CITY will withhold amounts sufficient to pay premium from CONSULTANT payments.

In the alternative, CITY may cancel this AGREEMENT.

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Acceptable insurers. All insurance policies shall be issued by an insurance company currently authorized by the Insurance Commissioner to transact business of insurance or is on the List of Approved Surplus Line Insurers in the State of California, with an assigned policyholders’ Rating of A- (or higher) and Financial Size Category Class VII (or larger) in accordance with the latest edition of Best’s Key Rating Guide, unless otherwise approved by the CITY’s Risk Manager.

Waiver of subrogation. All insurance coverage maintained or procured pursuant to this AGREEMENT shall be endorsed to waive subrogation against CITY, its elected or appointed officers, agents, officials, employees and volunteers or shall specifically allow CONSULTANT or others providing insurance evidence in compliance with these specifications to waive their right of recovery prior to a loss. CONSULTANT hereby waives its own right of recovery against CITY and shall require similar written express waivers and insurance clauses from each of its subconsultants.

Enforcement of contract provisions (non estoppel). CONSULTANT acknowledges and agrees that any actual or alleged failure on the part of the CITY to inform CONSULTANT of non-compliance with any requirement imposes no additional obligations on the CITY nor does it waive any rights hereunder.

Requirements not limiting. Requirements of specific coverage features or limits contained in this Section are not intended as a limitation on coverage, limits or other requirements, or a waiver of any coverage normally provided by any insurance. Specific reference to a given coverage feature is for purposes of clarification only as it pertains to a given issue and is not intended by any party or insured to be all inclusive, or to the exclusion of other coverage, or a waiver of any type. If the CONSULTANT maintains higher limits than the minimums shown above, the CITY requires and shall be entitled to coverage for the higher limits maintained by the CONSULTANT. Any available insurance proceeds in excess of the specified minimum limits of insurance and coverage shall be available to the CITY.

Notice of cancellation. CONSULTANT agrees to oblige its insurance agent or broker and insurers to provide to CITY with a thirty (30) day notice of cancellation (except for nonpayment for which a ten (10) day notice is required) or nonrenewal of coverage for each required coverage.

Additional insured status. General liability policies shall provide or be endorsed to provide that CITY and its officers, officials, employees, and agents, and volunteers shall be additional insureds under such policies. This provision shall also apply to any excess/umbrella liability policies.

Prohibition of undisclosed coverage limitations. None of the coverages required herein will be in compliance with these requirements if they include any limiting endorsement of any kind that has not been first submitted to CITY and approved of in writing.

Separation of insureds. A severability of interests provision must apply for all additional insureds ensuring that CONSULTANT’s insurance shall apply separately to each insured against whom claim is made or suit is brought, except with respect to the insurer’s limits of liability. The policy(ies) shall not contain any cross-liability exclusions.

Pass through clause. CONSULTANT agrees to ensure that its subconsultants, subcontractors, and any other party involved with the project who is brought onto or involved in the project by CONSULTANT, provide the same minimum insurance coverage and endorsements required of CONSULTANT.

CONSULTANT agrees to monitor and review all such coverage and assumes all responsibility for ensuring that such coverage is provided in conformity with the requirements of this section. CONSULTANT agrees that upon request, all agreements with consultants, subcontractors, and others engaged in the project will be submitted to CITY for review.

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CITY’s right to revise specifications. The CITY reserves the right at any time during the term of the contract to change the amounts and types of insurance required by giving the CONSULTANT ninety (90) days advance written notice of such change. If such change results in substantial additional cost to the CONSULTANT, the CITY and CONSULTANT may renegotiate CONSULTANT’s compensation.

Self-insured retentions. Any self-insured retentions must be declared to and approved by CITY. CITY reserves the right to require that self-insured retentions be eliminated, lowered, or replaced by a deductible. Self-insurance will not be considered to comply with these specifications unless approved by CITY.

Timely notice of claims. CONSULTANT shall give CITY prompt and timely notice of claims made or suits instituted that arise out of or result from CONSULTANT’s performance under this AGREEMENT, and that involve or may involve coverage under any of the required liability policies.

Additional insurance. CONSULTANT shall also procure and maintain, at its own cost and expense, any additional kinds of insurance, which in its own judgment may be necessary for its proper protection and prosecution of the work.

Verification of Coverage. Contractor shall furnish the City with a certificate of insurance showing maintenance of the required insurance coverage, as well as endorsements effecting general liability coverage.. All endorsements are to be received and approved by the City before work commences.

The City of San Luis Obispo is committed to including disabled persons in all of our services, programs and activities.

Telecommunications Device for the Deaf (805) 781-7410.

Notice Requesting Proposals / Qualifications for Retirement Plan Consulting Services The City of San Luis Obispo is requesting sealed proposals for retirement plan consulting services.

All firms interested in receiving further correspondence regarding this Request for Proposals (RFP) will be required to complete a free registration using BidNet Direct (www.bidnetdirect.com/).

All proposals must be received via BidNet Direct by [DATE TBD] at 3 p.m., when they will then be opened electronically via BidNet Direct on the proposal end date and time.

The preferred method for bid submission is electronic via BidNet Direct. However, if you wish to submit a paper copy, please submit it in a sealed envelope plainly marked “Proposal for Technology Consulting Services,” to the Department of Finance, at 990 Palm Street, San Luis Obispo, CA, 93401, at or before 3pm on [DATE TBD]
Project packages and additional information may be obtained at the City’s BidNet Direct website at www.BidNetDirect.com.

For technical help with BidNet Direct please contact BidNet Direct tech support at 800-835-4603.

TABLE OF CONTENTS
A. INTRODUCTION......................................................................................................................................... 2 B. SCOPE OF SERVICES .................................................................................................................................. 3 C. MINIMUM REQUIREMENTS...................................................................................................................... 3 D. PROPOSAL CONTENT ............................................................................................................................... 5 E. GENERAL TERMS AND CONDITIONS ......................................................................................................... 8 F. CONTRACT AWARD AND EXECUTION ....................................................................................................... 9 G. SPECIAL TERMS AND CONDITIONS ........................................................................................................ 10 H. FORM OF AGREEMENT .......................................................................................................................... 10 I. PROPOSAL EVALUATION, SELECTION AND AWARD SCHEDULE.............................................................. 12 PROPOSAL FORM: REFERENCES.................................................................................................................. 14 PROPOSAL FORM: STATEMENT OF PAST CONTRACT DISQUALIFICATIONS................................................ 16 PROPOSAL FORM: PRICING REQUEST......................................................................................................... 17 EXHIBIT A: FORM OF AGREEMENT.............................................................................................................. 20 EXHIBIT B: INSURANCE REQUIREMENTS FOR PROFESSIONAL SERVICES.................................................... 27

A. INTRODUCTION
Objective
The City of San Luis Obispo (hereinafter “City” or “Plan Sponsor”) is soliciting proposals from qualified Recordkeepers (hereinafter “Firm(s)” or “Respondent(s)”) to provide retirement plan administration, record keeping, education, communications, and related services for the plan types listed below (hereinafter “Plan(s)”). The City’s goal is to provide retirement plan participants with high quality service, education and investment options at a reasonable cost. The City will use the results of this RFP to award a service agreement that will include consolidation of all transferable Plan assets beginning on or about July 1, 2026.

The primary goals of this Request for Proposal (hereinafter “RFP”) process include the following:
- Enhancing participant retirement outcomes;
- Improving participant education and communication;
- Improvement in operational efficiencies and automation of the Plan, including routine participant and/or beneficiary requests;
- Reducing participant and Plan expenses through high value, low-cost, transparent fee structures; - A dedicated and proactive service team who can resolve issues quickly; - Robust and easy-to-use participant and plan sponsor websites, including state-of-the-art educational, savings analysis, and data reporting tools; - Open architecture investment platform without any proprietary fund requirements.

Proposals and selection will be completed the City’s Deferred Compensation Employee Committee, which consists of members from each of the City’s six (6) bargaining units in consultation with the City’s Plan Consultant and Fiduciary Investment Advisor (hereinafter “City’s Consultant”).

Plan Sponsor Overview
The City of San Luis Obispo (hereinafter “City” or “Plan Sponsor”) is nestled on the Central Coast of California, halfway between Los Angeles and San Francisco. With approximately 490 regular employees, the City’s ten departments serve the public in carrying out the policies and programs prioritized by the City Council, and implementing the City's charter and municipal code. The City’s mission statement explains the organization's focus in carrying its responsibilities. Its organizational values guide and inspire the day to day operations of the City.

The City’s Human Resources department is responsible for administering employee benefits programs, including retirement plans. The City currently has four recordkeepers for its deferred compensation plans, and intends to consolidate all assets to a single recordkeeper. Once a recordkeeper is selected, the plan conversion and consolidation process will begin. The City will utilize a consultant to assist in that process, as well as provide ongoing fiduciary support. The City is committed to providing our employees with robust and well-managed retirement savings options, and this assignment will be critical in ensuring our plans remain competitive, compliant, and optimally designed.

Plan Sponsor, Service Provider and Payroll information
Service Providers
Current Recordkeepers Empower, MissionSquare, Nationwide, PARS (serving as a third-party administrator for John Hancock).

Plan Consultant and Fiduciary
Investment Advisor
TBD – TO BE COMPLETED ONCE CONSULTANT SELECTED
Payroll Information
Payroll and HRIS System Oracle Cloud
Payroll data processing City payroll staff generates a file that is uploaded to the Recordkeeper portal bi-weekly. HR processes new
enrollments and address/beneficiary changes directly with the Recordkeeper via portal or e-mail.

Plan statistics and additional information
[TO BE REVISED PRIOR TO RFP ISSUANCE]
The following is the current breakdown of participants and assets in the City’s Plans, as of September 5, 2025:

Plan Type Participants with a
Balance Asset Balance
457(b) 462 $51,350,774
401(a) 100 $2,844,245
Retiree Health Savings (RHS) 213 $1,824,394
457(b) PT-OBRA 2418 $1,465,029
Totals 3,193 $57,484,442
Note: Some City employees participate in ROTH IRA or Traditional IRA through a current recordkeeper.

However, they are individual plans, not City sponsored plans.

B. SCOPE OF SERVICES
Respondents should be able to provide industry-leading retirement plan administration, record keeping, education, and related services for the City’s deferred compensation plans. Further detail is provided in the Plan Statistics and Additional information section.

C. MINIMUM REQUIREMENTS
[TO BE REVISED PRIOR TO RFP ISSUANCE]
Plan Sponsor has the following expectations for the successful respondent.

1. Respondents must have a minimum of ten (10) years of experience administering governmental Section 457 deferred compensation plans and must currently provide sole-provider administration to a minimum of twenty (20) Section 457 deferred compensation retirement plans

with average assets of at least $50 million each.

2. Any contract or service agreement must stipulate that there will be no front-end charges and/or no back-end charges. In addition, there will be no restrictions or penalties associated with any Plan- or participant-initiated transfers or withdrawals (including contract termination), with the exception of capital preservation (stable value and/or Fixed or General Account) equity wash and/or put provisions, and/or mutual fund specific short-term trading fees.

3. The Proposing Firm must accurately and fully disclose all fund expense and revenue sharing arrangements associated with all funds being offered within the Plans. Fixed or General Account products will not be excluded from this requirement. Proposing Firms offering such products must provide an accurate assessment of product expenses and revenue remitted to the Proposing Firm.

4. The Proposing Firm must accurately and fully disclose all expenses and revenue associated with any service made available under the Plans. This includes services such as managed accounts, investment advice, financial planning and/or self-directed brokerage accounts.

5. The Proposing Firm must agree, under contract, not to sell and/or promote products not directly affiliated with the Plan(s) unless given specific, written authorization by the Committee to do so.

6. Respondents must commit to providing at least four (4) full days of onsite one-on-one sessions, with the ability to provide additional virtual and one-on-one sessions upon plan sponsor request.

7. Upon award of the contract, the selected Proposing Firm must be duly qualified to do business in the State of California.

8. The Proposing Firm must be able to transition and continue administration of existing Plan loans.

9. The organization must be able to offer a self-directed brokerage option.

10. The Proposing Firm must be able to accommodate the joint administration of the Plans as applicable and must be able to facilitate appropriate payroll processing, applicable account transfers, and separate recordkeeping for each of the Plans.

11. The Proposing Firm must be willing to have representatives attend Committee meetings in person as required (no more than quarterly).

12. The Proposing Firm must have knowledge of and comply with all applicable County, State of California and federal regulations regarding governmental retirement plans and investment options. All applicable laws of the City and the State of California, whether substantive or procedural, shall apply to this contract, and all statutory, charter, and ordinance provisions that are applicable to City contracts shall be followed with respect to this contract.

It is assumed that, by submitting a response to this RFP, your organization will conform to the Minimum Qualifications and specifications (unless specifically adjusted/waived per written addendum). Proposing Firms must clearly indicate any requests for additions, modifications or deletions as part of this process.

The City will respond to such submittals but does not guarantee any waiving of these minimum requirements.

D. PROPOSAL CONTENT
[TO BE REVISED PRIOR TO RFP ISSUANCE]
Proposals must include the following information:

Submittal Forms

1. Cover letter
a. Submit a letter on your company letterhead that includes a list of all forms submitted.

The letter should be signed by an officer authorized to bind the proposer to all content in the proposal, and shall include the name, address, phone number and e-mail address of the person(s) to contact who will be authorized to represent the proposal.

2. Recordkeeper Profile
a. Please provide a record-keeper profile, including:
i. Firm name, address, and contact information. (Please designate a single point of contact for purposes of interactions involving this RFP.) ii. Type of firm: individual, partnership, corporation, or other entity. iii. History of the firm, including number of years in existence, number of years providing record-keeping services to public agencies, location of offices, etc.

3. Qualification and Experience Summary
a. Please provide an explanation of how you meet each of the minimum qualifications set forth in Section C: Minimum Qualifications.
b. Please describe examples of your experience as a recordkeeper for the plan types listed above, and how many years have you been providing recordkeeping services for each plan type.
c. Please describe why you believe your firm would be a good fit as the City’s Recordkeeper. d. How many transitions has your firm completed from the City’s current recordkeepers in the last 24 months?
e. Please acknowledge whether your proposed services can satisfy each of the following:
i. No front or back-end fees
ii. Certified Financial Planning (CFP) services
iii. Quarterly onsite in-person visits by a local representative of the recordkeeper iv. Compliance with all County, State and Federal regulations v. No selling or promoting other record-keeper products unless previously approved by City
vi. Fee transparency and disclosure
vii. Ability to provide open architecture platforms, websites, phone apps, and service representatives
viii. Ability to manage small and large plans
f. Sample login
i. Please provide demonstration logins for both the Plan Sponsor website and Participant website.

4. Work Plan
a. Plan Sponsor Service team
i. Describe how the client service team will be structured for this engagement.

ii. Will the client service team be dedicated or pooled? iii. Provide a brief biography for the core team, including role on the service team, role in the firm, industry experience, firm experience, location, and other relevant experience and current and at-capacity caseloads for each member. b. Information or data to be provided by the City.
a. Example: When and what type of payroll and HRIS test data be required? c. Information or data to be provided by the Recordkeeper. d. Description of assumptions critical to development of the response which may impact cost or scope.
e. Any other information that would assist us in making this contract award decision.

5. Pricing Request Form
a. Please complete the pricing request form in its entirety and attach a narrative that clearly identifies the services including in the pricing, well as disclosure of any and all other services/transactions with additional ER or EE fees clearly identified. b. Please provide pricing based on a bundled, open architecture platform and without an advisor fee. Please do not provide any suggested line-ups other than the options requested below for the stable value/fixed. If a fund in the menu generates institutional revenue to your company there should be no change in the plan asset charge if the client makes a fund change in the future.
c. It is required that there is no determined contract/agreement period with the record keeper. All contracts/agreements must be open-ended with the ability of the City to terminate the contract/agreement.
d. If there are implementation fees, please specify.
e. If there are customization fees, please specify.
f. Fee terms. Please provide detail regarding any terms and conditions related to the proposed pricing.
i. How long will the quoted fees remain in effect after the initial contract date? ii. How often does your firm typically adjust fees? What is the basis for the adjustment? iii. What contract termination provisions do you typically require? iv. Are there fees associated with converting to another recordkeeper? v. Under what conditions would the quoted fees change (i.e. if there was a significant change to plan design, asset size, etc)?
g. Important Notes to be Reviewed Before Completing Pricing Proposals i. The pricing/fee and credited rates (products) are to be the same for both the 457(b) and 401(a) Plans.It is optional to provide a solution for the HRA/RHS and 457 PT-OBRA plans. If you are providing a proposal, the product, fees and credit can be different from what is provided for the 457(b) & 401(a) Plans. Please include an affirmative statement as to whether you are providing a proposal for the HRA/RHS and PT-OBRA plans as part of your response.
ii. For all Asset charges with your managed account solution, assume voluntary participant usage only. There can be no default or QDIA for managed accounts.
iii. Current Credited Rates provided must be net of management fees and any record keeping revenue retained by you, and gross of your Asset Charge.

iv. A Fixed Product Data sheet is included with this RFP to be provided for any stable value/fixed product proposed. If it is not provided or not complete in our opinion, your proposal may not be considered.
v. Note that Target Date conversions will not be accepted. f. Additional Fees and Services
Please verify your firm can provide all of the following services and whether they are covered by the quoted fees or if there are any additional fees per service.

Recordkeeping and Administration
- Eligibility Tracking
- Enrollment Processing
- Vesting Tracking
- Hardship Processing
- In-service Processing
- RMD Processing and Communication
- Termination distributions (lump sum)
- Termination distributions (installment)
- Mandatory de minimis distributions
- Address maintenance for terminated employees
- Beneficiary maintenance
- DRO qualification
- DRO processing
- 1099-Rs
Compliance
- Plan document restatement at transition
- Plan document restatement project outside of transition - Required plan document amendments
- Plan Sponsor requested plan document amendments
- Summary Plan Description
- Limits monitoring
- Required employee notifications
Participant Support
- Participant statements
- Core communication materials
- Targeted messaging
- Education meetings (beyond required)
- Participant advice (for non-managed accounts)
Plan Sponsor Support
- Plan sponsor meeting(s)
- Annual plan review meetings
Other
- Trust / custody services
- Fulfillment, postage and handling

6. Certificate of insurance.

a. Please provide a certificate of insurance meeting the requirements set forth in the sample Professional Services Agreement in Exhibit B.
i. The insurance carrier and its A.M. Best rating.
ii. Scope of coverage and limits.
iii. Deductibles and self-insured retention.

The purpose of this submittal is to generally assess the adequacy of the bidder’s insurance coverage during proposal evaluation; as discussed under paragraph 12 below, endorsements are not required until contract award.

7. References from at least three public agencies, preferably California cities that are comparable to the City of San Luis Obispo, for whom you have provided similar services as specified in the RFP.

8. Statement and explanation of any instances where your firm or sub-consultant has been removed from a project or disqualified from proposing on a project.

E. GENERAL TERMS AND CONDITIONS

PROPOSAL REQUIREMENTS

1. Requirement to Meet All Provisions. Each individual or firm submitting a proposal (bidder) shall meet all the terms, and conditions of the Request for Proposals (RFP) project package. By virtue of its proposal submittal, the bidder acknowledges agreement with and acceptance of all provisions of the RFP specifications.

2. Proposal Submittal. Each proposal must be submitted on the form(s) provided in the specifications and accompanied by any other required submittals or supplemental materials.

Proposal documents shall be submitted electronically via BidNet. However, if you can’t submit electronically in BidNet., please email a copy to the contacts listed in the RFP package, if you can’t email it, please send a copy in a sealed envelope to the Department of Finance, City of San Luis Obispo, 990 Palm Street, San Luis Obispo, CA, 93401. To guard against premature opening, the proposal should be clearly labeled with the proposal title, project number, name of bidder, and date and time of proposal opening. No fax submittals will be accepted.

3. Proposal Length. Proposal length should only be as long as required to be responsive to the RFP, including attachments and supplemental materials.3.

4. Submittal of One Proposal Only. No individual or business entity of any kind shall be allowed to make or file, or to be interested as the primary submitter in more than one proposal, except an alternative proposal when specifically requested; however, an individual or business entity that has submitted a sub-proposal to a bidder submitting a proposal, or who has quoted prices on materials to such bidder, is not thereby disqualified from submitting a sub-proposal or from quoting prices to other bidders submitting proposals.

5. Communications. All requests for information submitted in writing before the submission deadline will receive a written response from the City within five (5) business days. Telephone

communications with City staff are not encouraged but will be permitted. However, any such oral communication shall not be binding on the City.

6. Ownership of Materials. All original drawings, plan documents and other materials prepared by or in possession of the Contractor as part of the work or services under these specifications shall become the permanent property of the City and shall be delivered to the City upon demand.

7. Release of Reports and Information. Any reports, information, data, or other material given to, prepared by or assembled by the Contractor as part of the work or services under these specifications shall be the property of the City and shall not be made available to any individual or organization by the Contractor without the prior written approval of the City.

8. Copies of Reports and Information. If the City requests additional copies of reports, drawings, specifications, or any other material in addition to what the Contractor is required to furnish in limited quantities as part of the work or services under these specifications, the Contractor shall provide such additional copies as are requested, and City shall compensate the Contractor for the costs of duplicating of such copies at the Contractor's direct expense.

9. Required Deliverable Products. The Contractor will be required to provide:
a. One electronic submission - digital-ready original .pdf of all final documents. If you wish to file a paper copy, please submit in sealed envelope to the address provided in the RFP. b. Corresponding computer files compatible with the following programs whenever possible unless otherwise directed by the project manager:
i. Word Processing: MS Word
ii. Spreadsheets: MS Excel
c. City staff will review any documents or materials provided by the Contractor and, where necessary, the Contractor will be required to respond to staff comments and make such changes as deemed appropriate.

F. CONTRACT AWARD AND EXECUTION

1. Proposal Retention and Award. The City reserves the right to retain all proposals for a period of 60 days for examination and comparison. The City also reserves the right to waive non-substantial irregularities in any proposal, to reject any or all proposals, to reject or delete one part of a proposal and accept the other, except to the extent that proposals are qualified by specific limitations. See the “special terms and conditions” in Section C of these specifications for proposal evaluation and contract award criteria.

2. Competency and Responsibility of Bidder. The City reserves full discretion to determine the competence and responsibility, professionally and/or financially, of bidders. Bidders will provide, in a timely manner, all information that the City deems necessary to make such a decision.

3. Contract Requirement. The bidder to whom award is made (Contractor) shall execute a written contract with the City within thirty (30) calendar days after notice of the award. The contract shall be made in the form adopted by the City and incorporated in these specifications.

4. Contract terms and conditions. The City’s contract terms and conditions that Consultant will be expected to execute and be bound by are attached hereto as Exhibit A.

G. SPECIAL TERMS AND CONDITIONS

1. Contract Award. The contract will be awarded to the most qualified bidder that, in the City’s sole discretion in accordance with the Proposal Evaluation and Selection criteria set forth herein (if applicable), provides the best proposal.

2. Labor Actions. In the event that the successful proposer is experiencing a labor action at the time of contract award (or if its suppliers or subcontractors are experiencing such a labor action), the City reserves the right to declare said proposer is no longer the most qualified, responsive proposer and to accept the next acceptable proposal from a proposer that is not experiencing a labor action, and to declare it to be the most qualified, responsive proposer.

3. Failure to Accept Contract. The following will occur if the proposer to whom the award is made (Contractor) fails to enter into the contract: the award will be annulled; any bid security will be forfeited in accordance with the special terms and conditions if a proposer's bond or security is required; and an award may be made to the next lowest responsible, responsive proposer who shall fulfill every stipulation as if it were the party to whom the first award was made.

4. Contract Term. The supplies or services identified in this specification will be used by the City for five years. The prices quoted for these items must be valid for the entire period indicated above unless otherwise conditioned by the proposer in its proposal.

5. Contract Extension. The term of the contract may be extended by mutual consent for an additional one-year.

6. Start of Work. Work on this project shall begin immediately after contract execution, unless otherwise negotiated with City by mutual agreement.

7. Submittal of References. Each proposer shall submit a statement of qualifications and references on the form provided in the RFP package.

8. Statement of Contract Disqualifications. Each proposer shall submit a statement regarding any past governmental agency bidding or contract disqualifications on the form provided in the RFP package.

H. FORM OF AGREEMENT
[TO BE REVISED PRIOR TO RFP ISSUANCE]
The City desires to begin work soon after selecting the preferred respondent. The City’s standard contract terms are set forth in Exhibit A. Respondents should include a copy of their proposed service agreement with their submission, and include the following provisions. Please be advised that consultant’s requested changes to the City’s terms and conditions will be considered by City staff when scoring and determining

the competency and responsibility of the proposer.

Service Agreement

1. Standard of Care
a. Recordkeeping agreement should set forth a standard of care for non-fiduciary services that meets or exceeds industry standards
b. Recordkeeper will comply with all applicable laws regarding the services, and maintain any registrations required of the recordkeeper

2. Limitations of Liability / Indemnities
a. No dollar amount for limitation of liability
b. Indemnity from third party claims applies in the event of recordkeeper’s breach of agreement, negligence, gross negligence, or willful misconduct
c. Recordkeeper provides a full indemnity to IP infringement claims relating to recordkeeper’s services

3. Cybersecurity / Data Protection
a. Prompt notification will be provided of any security incident involving the plan (in no event later than 72 hours) and recordkeeper will provide appropriate remediation for any cybersecurity incident, such as credit monitoring services at its own costs b. Recordkeeper will notify the city of any security incident or data breach affecting its operations or services regardless of the impact on the city. Timely notification should be provided no later than 30 days with regular status updates until the situation is resolved. c. Vendors hired by recordkeeper are subject to the same cybersecurity/data protection standards as the recordkeeper.
d. Participant data will not be sold or used for non-plan purposes (e.g., cross-selling) except to the extent specifically authorized by the agreement or by the employer. e. All Personally Identifiable Information pertaining to data subjects shall be maintained according to the legally required notice provided when the data was collected. Any deviation from this notice requires formal disclosure to and consent from affected data subjects prior to any additional processing of Personally Identifiable Information. f. Representation that recordkeeper is fully compliant with US Department of Labor cybersecurity guidance
g. Representation that the services provided will comply with the California Consumer Privacy Rights Act (CPRA)
h. Provide Systems and Organization Controls (SOC 2 Type 2) report at least every two years

4. Error Correction
a. Recordkeeper will take appropriate steps to correct any errors relating to services in accordance with any applicable IRS, DOL and State of California rules. b. Recordkeeper will notify plan sponsor of any errors that may result in a qualification failure or prohibited transaction and consult with the plan sponsor on correction.

5. Termination
a. Termination upon 180 days’ notice by recordkeeper
b. Recordkeeper will provide agreed upon services to transition to successor recordkeeper upon termination of the agreement.

6. Notification of Legal Proceedings and Investigations a. Recordkeeper will notify plan sponsor of any litigation or non-routine governmental investigations that may affect the services.

7. Fees

a. Any indirect compensation received by Recordkeeper will be credited back to the plan.

8. Insurance
a. See exhibit B for minimum insurance requirements provider must be able to meet

9. Other
a. Recordkeeper shall not use artificial intelligence to support any automated decisionmaking related to services or benefits provided to data subjects.

Please be advised that requested changes to the City’s terms and conditions will be considered by City staff when scoring and determining the competency and responsibility of the proposer.

I. PROPOSAL EVALUATION, SELECTION AND AWARD SCHEDULE

1. Proposal Evaluation and Selection. Proposals will be evaluated by a review committee and evaluated on the following criteria:
a. Understanding of the work required by the City.
b. Quality, clarity, and responsiveness of the proposal. c. Demonstrated competence and professional qualifications necessary for successfully performing the work required by the City.
d. Recent experience in successfully performing similar services. e. Background and experience of the specific individuals managing and assigned to this project.
f. Value.
g. Potential conflicts of interest.
h. References.

As reflected above, contract award will not be based solely on price, but on a combination of factors as determined to be in the best interest of the City. After evaluating the proposals and discussing them further with the finalists or the tentatively selected recordkeeper, the City reserves the right to further negotiate the proposed work and/or method and amount of compensation.

2. Proposal Review and Award Schedule. The following is an outline of the anticipated schedule for proposal review and contract award:
[TO BE REVISED PRIOR TO RFP ISSUANCE]
a. Issue RFP Approx. 02/01/26
b. Proposal deadline Approx. 03/01/26
c. Evaluate proposals Approx. 03/02/26 – 03/31/26
d. Finalize recommendation and notify applicants Approx. 04/15/26 e. Execute contract Approx. 05/15/26
f. Start work Approx. 07/01/26

PROPOSAL FORM: REFERENCES
Provide detailed descriptions of three comparable public agencies your firm has worked with. For each, identify the services performed, how they align with the scope outlined in this RFP, the results you achieved, and how the experience demonstrates your firm’s ability to successfully deliver similar services for the City of San Luis Obispo. Attach additional pages if required. The City reserves the right to contact each of the references listed for additional information regarding your firm's qualifications.

Reference No. 1:

Agency Name
Contact Name
Telephone & Email
Street Address
City, State, Zip Code
Description of services provided
including contract amount, when
provided and project outcome

Reference No. 2:

Agency Name
Contact Name
Telephone & Email
Street Address
City, State, Zip Code
Description of services provided
including contract amount, when
provided and project outcome

Reference No. 3
Agency Name
Contact Name
Telephone & Email
Street Address
City, State, Zip Code

Description of services provided
including contract amount, when
provided and project outcome

PROPOSAL FORM: STATEMENT OF PAST CONTRACT DISQUALIFICATIONS The proposer shall state whether it or any of its officers or employees who have a proprietary interest in it, has ever been disqualified, removed, or otherwise prevented from bidding on, or completing a federal, state, or local government project because of the violation of law, a safety regulation, or for any other reason, including but not limited to financial difficulties, project delays, or disputes regarding work or product quality, and if so to explain the circumstances.  Do you have any disqualification as described in the above paragraph to declare? Yes No
 If yes, explain the circumstances.

Executed on at _______________________________________ under penalty of perjury of the laws of the State of California, that the foregoing is true and correct. ______________________________________
Signature of Authorized Proposer Representative

PROPOSAL FORM: PRICING REQUEST
[TO BE REVISED PRIOR TO RFP ISSUANCE]
Pricing Request
457(b) & 401(a) Pricing Request
#1:

Proprietary Stable Value/Fixed
with Shadow Accounting or
Blending for fixed assets subject
to 5-year spread pay - PLEASE

DESCRIBE SOLUTION PROVIDED
Please provide the Asset Charge required for an open architecture platform assuming the use of your proprietary stable value or fixed/general account (if applicable). You may provide as many proprietary solutions as you choose.

Explicit Asset
Charge with
Managed
Accounts
Record
Keeping
Revenue
Generated
Current Net
Crediting Rate Guarantee Period for Rate
Name of stable Value/Fixed
Name of stable Value/Fixed
457(b) & 401(a) Pricing Request
#2:

Non-Proprietary Stable
Value/Fixed with Shadow
Accounting or Blending for fixed
assets subject to 5-year spread
pay - PLEASE DESCRIBE

SOLUTION PROVIDED
Please provide the Asset Charge required for an open architecture platform assuming the use of a third party stable value or fixed/general account (if applicable).

Asset Charge
with
Managed
Accounts
Record
Keeping
Revenue
Generated
Current Net
Crediting Rate Guarantee Period for Rate
Name of stable Value/Fixed
HRA/RHS Plan Proposal:

Please provide description, of
proposal
Asset Charge
with
Managed
Accounts
Record
Keeping
Revenue
Generated
Current
Crediting Rate Guarantee Period for Rate
Name of stable Value/Fixed
OBRA/Part-Time Plan Proposal:

Please provide description, of
proposal

Asset Charge
with
Managed
Accounts
Record
Keeping
Revenue
Generated
Current
Crediting Rate Guarantee Period for Rate
Name of stable Value/Fixed
Stable Value / Fixed Account
Guaranteed Interest
Please provide the following for each proprietary stable value/fixed option proposed:

1. Current proposed gross interest rate

2. Fund management fees

3. Revenue sharing

4. Net credited rate after ALL fees and revenue sharing

5. Guaranteed Minimum Interest Rates

6. Full disclosure of ALL participant and plan sponsor transfer and termination provisions clearly identified, including the specific definition of a "competing fund" if applicable.

ATTACHED IS A SPREADSHEET "FIXED PRODUCT DATA" - PLEASE COMPLETE FOR ALL PRODUCTS PROPOSED.

Please note for the following to
use $0 Fee if the service is
included in the Asset Charge
proposed
Transactional Fees Fee Explanation / Description / Details of Service Provided if Needed
Sep from Svc Withdrawals $0
Hardship/Unforeseeable
Emergency Withdrawals $0
In-Service Withdrawals $0
Periodic Distributions:

Set up $0
Annual $0
RMD Distributions $0
Are RMDs automatically
generated? Yes/No
Are sponsors notified when
dist? Yes/No
Loans:

Initiation $0
Annual $0
QDRO Determination $0
Plan Termination Fees $0
Termination Test File Charge $0
Other Fees
Expedited Checks $0
ACH/Wire $0

Stop Pay / Reissue and Special
Handling $0
Plan Document Fees
Initial Restatement 0
Plan Doc Regulatory Amendment $0
Plan Doc Non-Regulatory
Amendment $0
Participant Educ. at Conversion and Ongoing
Education and Enrollment at
Conversion (web or on-site?) $0
Additional Education
Days/Ongoing $0
Call Center Days and Hours
Call Center Multi-Lingual
Capabilities
Participant Advisory Services
Managed Accounts/Personal
Advice Fee Schedule

0.00%

0.00%

0.00%

0.00%
On-Line Advise $0
participant experience in detail
In Person Individual Advise $0
One-Time Financial Planning $0
Comprehensive Financial
Planning $0
Technical Capabilities
Is the participant website mobile
device capable? Yes/No
Do you provide a mobile app to
parts? Yes/No
Can ALL functions available on
the website be completed on the
app? If not, provide what is
available.

Yes/No
Is your participant website
available in languages other than
English?
Yes/No
Is your mobile app available in
languages other than English? Yes/No
Plan Sponsor Services - Please detail mailing fees if applicable Sep from Svc Withdrawals $0

Hardship Withdrawal
Determination/Approval $0
In-Service Withdrawals $0
Loan Determination/Approval $0
QDRO Qualifying Services $0
Delivery of enrollment materials $0
EXHIBIT A: FORM OF AGREEMENT

CITY OF SAN LUIS OBISPO

PROFESSIONAL SERVICES AGREEMENT
This agreement (Agreement) is made and entered into in the City of San Luis Obispo on [DATE], by and between the City of San Luis Obispo, a municipal corporation and charter city (City) and _____________ hereinafter referred to as Contractor (collectively referred to as the “Parties”).

WITNESSETH:

WHEREAS, on ________, City requested proposals for Retirement Plan Recordkeeping Services (the “Project”); and
WHEREAS, the City wants to consolidate its deferred compensation plans to a single recordkeeper (the “Services”); and
WHEREAS, Contractor is qualified to perform this type of Services and has submitted a written proposal to do so, which has been accepted by City; and NOW, THEREFORE, in consideration of their mutual promises, obligations, and covenants hereinafter contained, the Parties hereto agree as follows:

1. TERM. The term of this Agreement shall be from the date this Agreement is made and entered, as first written above, until ______, or upon acceptance and completion of said Services, whichever occurs sooner.

2. INCORPORATION BY REFERENCE. City Request for Proposals for Retirement Plan Consulting Services and Contractor's proposal dated ______ are hereby incorporated in and made a part of this Agreement, attached as Exhibit A. The City’s insurance requirements are hereby incorporated in and made part of this Agreement, attached as Exhibit B. To the extent that there are any conflicts between the Contractor’s fees and scope of work and the City’s terms and conditions as stated herein, the City’s terms and conditions shall prevail unless specifically agreed otherwise in writing signed by both Parties.

3. CITY’S OBLIGATIONS. For providing services as specified in this Agreement, and upon receipt of an invoice, City will pay and Contractor shall receive compensation as set forth in Contractor’s proposal and pursuant to the Payment Terms set forth in Exhibit B.

4. CONTRACTOR’S OBLIGATIONS. For and in consideration of the payments and agreements herein before mentioned to be made and performed by City, Contractor agrees with City to do everything required by this Agreement including that work as set forth in Exhibit A.

5. PAYMENT OF TAXES. The contract prices shall include full compensation for all taxes that Contractor is required to pay.

6. LICENSES AND PERMITS. At all times during the term of this Agreement, Contractor shall have in full force and effect, all licenses required of it by law for the performance of the Services described in this Agreement. The Contractor shall procure all permits and licenses, pay all charges and fees, and give all notices necessary under this Agreement.

7. COMPLIANCE WITH LAW. The Contractor shall keep itself informed of and shall observe and comply with all applicable State and Federal laws and regulations, and county and City of San Luis Obispo ordinances, regulations and adopted codes, which in any manner affect those employed by Contractor or in any way affect the performance of the Services pursuant to this Agreement.

The City, and its officers and employees, shall not be liable at law or in equity occasioned by failure of the Contractor to comply with this Section. Failure to comply with local ordinances may result in monetary fines and cancellation of this Agreement.

8. COMPLIANCE WITH INDUSTRY STANDARD. Contractor shall provide services acceptable to City in strict conformance with the Agreement. Contractor shall also provide in accordance with the standards customarily called for under this Agreement using the degree of care and skill ordinarily exercised by reputable providers of such services. Where approval by the City, the City Manager, the Mayor, or other representative of City is required, it is understood to be general approval only and does not relieve Contractor of responsibility for complying with all applicable laws, codes, policies, regulations, and good business practices.

9. INDEPENDENT CONTRACTOR.
a. Contractor is and shall at all times remain as to the City a wholly independent contractor.

The personnel performing the Services under this Agreement on behalf of Contractor shall at all times be under Contractor's exclusive direction and control. Neither City nor any of its officers, employees, or agents shall have control over the conduct of Contractor or any of Contractor's officers, employees, or agents, except as set forth in this Agreement.

Contractor shall not at any time or in any manner represent that it or any of its officers, employees, or agents are in any manner officers, employees, or agents of the City.

Contractor shall not incur or have the power to incur any debt, obligation, or liability whatsoever against City, or bind City in any manner.
b. No employee benefits shall be available to Contractor in connection with the performance of this Agreement. Except for the fees paid to Contractor as provided in the Agreement, City shall not pay salaries, wages, or other compensation to Contractor for performing the Services hereunder for City. City shall not be liable for compensation or indemnification to Contractor for injury or sickness arising out of performing services hereunder. c. Contractor/Contractor’s duties and services under this agreement shall not include preparing or assisting the public entity with any portion of the public entity’s preparation of a request for proposals, request for qualifications, or any other solicitation regarding a subsequent or additional contract with the public entity. The public entity entering this agreement shall at all times retain responsibility for public contracting, including with

respect to any subsequent phase of this project. Contractor/Contractor’s participation in the planning, discussions, or drawing of project plans or specifications shall be limited to conceptual, preliminary, or initial plans or specifications. Contractor/Contractor shall cooperate with the public entity to ensure that all bidders for a subsequent contract on any subsequent phase of this project have access to the same information, including all conceptual, preliminary, or initial plans or specifications prepared by contractor pursuant to this agreement.”

10. PRESERVATION OF CITY PROPERTY. The Contractor shall provide and install suitable safeguards, approved by the City, to protect City property from injury or damage. If City property is injured or damaged resulting from Contractor’s operations, it shall be replaced or restored at Contractor’s expense. The City’s facilities shall be replaced or restored to a condition as good as when the Contractor began the work.

11. IMMIGRATION ACT OF 1986. The Contractor warrants on behalf of itself and all subcontractors engaged for the performance of the Services that only persons authorized to work in the United States pursuant to the Immigration Reform and Control Act of 1986 and other applicable laws shall be employed in the performance of the Services hereunder.

12. NON-DISCRIMINATION. In the performance of the Services, the Contractor agrees that it will not engage in, nor permit such subcontractors as it may employ, to engage in discrimination in employment of persons because of age, race, color, sex, national origin or ancestry, sexual orientation, or religion of such persons.

13. INSPECTION. City shall at all times have the right to inspect the work being done under this Agreement and Contractor shall furnish City with every reasonable opportunity and assistance required for City to ascertain that the Services of the Contractor are being performed in accordance with the requirements and intentions of this Agreement. All work done, and all materials furnished, if any, shall be subject to the City’s inspection and approval. The inspection of such work shall not relieve Contractor of any of its obligations under the Agreement.

14. RELEASE OF INFORMATION.
a. All information gained by Contractor in performance of this Agreement shall be considered confidential and shall not be released by Contractor without City's prior written authorization. Contractor, its officers, employees, agents, or subcontractors, shall not, without written authorization from the City Manager or unless requested by the City Attorney, voluntarily provide declarations, letters of support, testimony at depositions, response to interrogatories, or other information concerning the work performed under this Agreement. Response to a subpoena or court order shall not be considered "voluntary" provided Contractor gives City notice of such court order or subpoena. b. Contractor shall promptly notify City should Contractor, its officers, employees, agents, or subcontractors be served with any summons, complaint, subpoena, notice of deposition, request for documents, interrogatories, request for admissions, or other discovery request (“Discovery”), court order, or subpoena from any person or party regarding this Agreement, unless the City is a party to any lawsuit, arbitration, or administrative proceeding connected to such Discovery, or unless Contractor is prohibited by law from informing the City of such Discovery. City retains the right, but has no obligation, to represent Contractor and/or be present at any deposition, hearing, or

similar proceeding as allowed by law. Unless City is a party to the lawsuit, arbitration, or administrative proceeding and is averse to Contractor in such proceeding, Contractor agrees to cooperate fully with City and to provide the opportunity to review any response to Discovery requests provided by Contractor. However, City's right to review any such response does not imply or mean the right by City to control, direct, or rewrite said response.

15. OWNERSHIP OF DOCUMENTS.
a. Contractor shall maintain complete and accurate records with respect to sales, costs, expenses, receipts, and other such information required by City that relate to the performance of the Services under this Agreement. Contractor shall maintain adequate records of services provided in sufficient detail to permit an evaluation of services. All such records shall be maintained in accordance with generally accepted accounting principles and shall be clearly identified and readily accessible. Contractor shall provide free access to the representatives of City or its designees at reasonable times to such books and records; shall give City the right to examine and audit said books and records; shall permit City to make transcripts or copies therefrom as necessary; and shall allow inspection of all work, data, documents, proceedings, and activities related to this Agreement. Such records, together with supporting documents, shall be maintained for a period of three (3) years after receipt of final payment. b. Upon completion of, or in the event of termination or suspension of this Agreement, all original documents, designs, drawings, maps, models, computer files, surveys, notes, and other documents prepared in the course of providing the Services under this Agreement shall become the sole property of the City and may be used, reused, or otherwise disposed of by the City without the permission of the Contractor. With respect to computer files, Contractor shall make available to the City, at the Contractor's office and upon reasonable written request by the City, the necessary computer software and hardware for purposes of accessing, compiling, transferring, copying and/or printing computer files. Contractor hereby grants to City all right, title, and interest, including any copyright, in and to the documents, designs, drawings, maps, models, computer files, surveys, notes, and other documents prepared by Contractor in the course of providing the Services under this Agreement.

16. INDEMNIFICATION AND DEFENSE. To the fullest extent permitted by law (including, but not limited to California Civil Code Sections 2782 and 2782.8), Contractor shall indemnify, defend, and hold harmless the City, and its elected officials, officers, employees, volunteers, and agents (“City Indemnitees”), from and against any and all causes of action, claims, liabilities, obligations, judgments, or damages, including reasonable legal counsels’ fees and costs of litigation (“claims”), arising out of the Contractor’s performance or Contractor’s failure to perform its obligations under this Agreement or out of the operations conducted by Contractor, including the City’s passive negligence, except for such loss or damage arising from the sole or active negligence or willful misconduct of the City. In the event the City Indemnitees are made a party to any action, lawsuit, or other adversarial proceeding arising from Contractor’s performance of this Agreement, the Contractor shall provide a defense to the City Indemnitees or at the City’s option, reimburse the City Indemnitees the ir costs of defense, including reasonable legal fees, incurred in defense of such claims. The review, acceptance or approval of

the Contractor’s work or work product by any indemnified party shall not affect, relieve or reduce the Contractor’s indemnification or defense obligations. This Section survives the completion of the services or the termination of this contract. The provisions of this section are not limited by and do not affect the provisions of this contract relating to insurance.

Contractor’s indemnification obligations under this section extend to any claims arising out of or related to the negligence, recklessness, or willful misconduct of any sub-Contractors/ subcontractors.

17. SUSPENSION OR TERMINATION OF AGREEMENT WITHOUT CAUSE. a. The City may at any time, for any reason, with or without cause, suspend or terminate this Agreement, or any portion hereof, by serving upon the Contractor at least thirty (30) days prior written notice. Upon receipt of said notice, the Contractor shall immediately cease all work under this Agreement, unless the notice provides otherwise. If the City suspends or terminates a portion of this Agreement such suspension or termination shall not make void or invalidate the remainder of this Agreement.
b. In the event this Agreement is terminated pursuant to this Section, the City shall pay to Contractor the actual value of the work performed up to the time of termination, provided that the work performed is of value to the City. Upon termination of the Agreement pursuant to this Section, the Contractor will submit an invoice to the City pursuant to Section 14.

18. TERMINATION FOR CAUSE. If, during the term of the Agreement, the City determines the Contractor is not faithfully abiding by any term or condition contained herein, the City may notify the Contractor in writing of such defect or failure to perform. This notice must give the Contractor a ten (10) calendar day notice of time thereafter in which to perform said work or cure the deficiency.
a. If the Contractor has not performed the work or cured the deficiency within the ten (10) days specified in the notice, such shall constitute a breach of the Agreement and the City may terminate the Agreement immediately by written notice to the Contractor to said effect (“Notice of Termination”). Thereafter, neither party shall have any further duties, obligations, responsibilities, or rights under the Agreement except to comply with the obligations upon termination.
b. In said event, the Contractor shall be entitled to the reasonable value of its services performed from the beginning date in which the breach occurs up to the day it received the City’s Notice of Termination, minus any offset from such payment representing the City’s damages from such breach. “Reasonable value” includes fees or charges for goods or services as of the last milestone or task satisfactorily delivered or completed by the Contractor as may be set forth in the Agreement payment schedule; compensation for any other work or services performed or provided by the Contractor shall be based solely on the City’s assessment of the value of the work-in-progress in completing the overall scope.
c. The City reserves the right to delay such payment until completion or confirmed abandonment of the project, as may be determined in the City’s sole discretion, so as to permit a full and complete accounting of costs. In no event, however, shall the Contractor be entitled to receive in excess of the not to exceed amount shown in this Agreement.

19. INSURANCE. Contractor shall maintain prior to the beginning of and for the duration of this Agreement insurance coverage as specified in Exhibit B attached to and made part of this Agreement.

20. BUSINESS LICENSE & TAX. The Contractor must have a valid City of San Luis Obispo business license & tax certificate before execution of the contract. Additional information regarding the City’s business tax program may be obtained by calling (805) 781-7134.

21. SAFETY PROVISIONS. The Contractor shall conform to the rules and regulations pertaining to safety established by OSHA and the California Division of Industrial Safety.

22. UNDUE INFLUENCE. Contractor declares and warrants that no undue influence or pressure was used against or in concert with any officer or employee of the City in connection with the award, terms or implementation of this Agreement, including any method of coercion, confidential financial arrangement, or financial inducement. No officer or employee of the City has or will receive compensation, directly or indirectly, from Contractor, or from any officer, employee or agent of Contractor, in connection with the award of this Agreement or any work to be conducted as a result of this Agreement. Violation of this Section shall be a material breach of this Agreement entitling the City to any and all remedies at law or in equity.

23. ASSIGNMENT. The Contractor shall not assign, transfer, convey or otherwise dispose of the contract, or its right, title or interest, or its power to execute such a contract to any individual or business entity of any kind without the previous written consent of the City. a. As required above, before retaining or contracting with any subcontractor for any services under this Agreement, City must consent to such assignment of performance in writing. For City to evaluate such proposed assignment, Contractor shall provide City with the identity of the proposed subcontractor, a copy of the proposed written contract between Contractor and such subcontractor, which shall include an indemnity provision similar to the one provided herein and identifying City as an indemnified party, or an incorporation of the indemnity provision provided herein, and proof that such proposed subcontractor carries insurance at least equal to that required by this Agreement or obtain a written waiver from City for such insurance.

24. AMENDMENT. Any amendment, modification, or variation from the terms of this Agreement shall be in writing and shall be effective only upon approval by the appropriate review authority according to the City’s Financial Management Manual. Contractor shall not be compensated for any services rendered in connection with its performance of this Agreement which are in addition to those set forth herein, unless such additional services are authorized by the City in advance and in writing.

25. COMPLETE AGREEMENT. This written Agreement, including all writings specifically incorporated herein by reference, shall constitute the complete Agreement between the Parties hereto. No oral agreement, understanding, or representation not reduced to writing and specifically incorporated herein shall be of any force or effect, nor shall any such oral Agreement, understanding, or representation be binding upon the Parties hereto. Each party is entering into this Agreement based solely upon the representations set forth herein and upon each party's own independent investigation of any and all facts such party deems material.

26. NOTICE. All notices to the Parties hereto under this Agreement shall be in writing and shall be sent either by (i) personal service, (ii) delivery by a reputable document delivery service, such as, but not limited to, Federal Express, which provides a receipt showing date and time of delivery, or (iii) United

States Mail, certified, postage prepaid, return receipt requested. All such notices shall be delivered to the addressee or addressed as set forth below:

To City: City of San Luis Obispo
990 Palm St, San Luis Obispo, CA 93401
Attention: Human Resources
To Contractor: [Name]
[Mailing Address]

27. GOVERNING LAW. Any action arising out of this Agreement shall be brought in the Superior Court of San Luis Obispo County, California, regardless of where else venue may lie. The validity, interpretation, construction and performance of this Agreement, and all acts and transactions pursuant hereto and the rights and obligations of the Parties hereto shall be governed, construed and interpreted in accordance with the laws of the State of California, without giving effect to principles of conflicts of law.

28. AUTHORITY TO EXECUTE AGREEMENT. Both City and Contractor do covenant that each individual executing this Agreement on behalf of each party is a person duly authorized and empowered to execute Agreements for such party.

IN WITNESS WHEREOF, the Parties hereto have caused this instrument to be executed the day and year first above written.

CITY CONTRACTOR
_______________________________
By: [Name]
Its: [Title of City Manager or Department Head]
_______________________________
By: [Name]
Its: [Title]
APPROVED AS TO FORM:
_______________________________
By: J. Christine Dietrick, City Attorney

EXHIBIT B: INSURANCE REQUIREMENTS FOR PROFESSIONAL SERVICES Without limiting CONSULTANT’s indemnification of CITY, and prior to commencement of Work, CONSULTANT shall obtain, provide and maintain at its own expense during the term of this AGREEMENT, policies of insurance of the type and amounts described below, and in a form satisfactory to CITY.

General liability insurance. CONSULTANT shall maintain commercial general liability insurance with coverage at least as broad as Insurance Services Office form CG 00 01, in an amount not less than $1,000,000 per occurrence, $2,000,000 general aggregate, for bodily injury, personal injury, and property damage. The policy must include contractual liability that has not been amended. Any endorsement restricting standard ISO “insured contract” language will not be accepted.

Professional liability (errors & omissions) insurance. CONSULTANT shall maintain professional liability insurance that covers the Services to be performed in connection with this AGREEMENT, in the minimum amount of $1,000,000 per claim and in the aggregate. Any policy inception date, continuity date, or retroactive date must be before the effective date of this AGREEMENT and CONSULTANT agrees to maintain continuous coverage through a period no less than three (3) years after completion of the services required by this AGREEMENT.

Workers’ compensation insurance. CONSULTANT shall maintain Workers’ Compensation Insurance (Statutory Limits) and Employer’s Liability Insurance (with limits of at least $1,000,000). CONSULTANT shall submit to CITY, along with the certificate of insurance, a Waiver of Subrogation endorsement in favor of CITY, its officers, agents, employees, and volunteers.

Proof of insurance. CONSULTANT shall provide certificates of insurance to CITY as evidence of the insurance coverage required herein, along with a waiver of subrogation endorsement for workers’ compensation. Insurance certificates and endorsements must be approved by CITY’s Risk Manager prior to commencement of performance. Current certification of insurance shall be kept on file with CITY at all times during the term of this contract. CITY reserves the right to require complete, certified copies of all required insurance policies, at any time.

Duration of coverage. CONSULTANT shall procure and maintain for the duration of the contract 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 by CONSULTANT, his agents, representatives, employees or subconsultants.

Primary/noncontributing. Coverage provided by CONSULTANT shall be primary and any insurance or selfinsurance procured or maintained by CITY shall not be required to contribute with it. The limits of insurance required herein may be satisfied by a combination of primary and umbrella or excess insurance.

Any umbrella or excess insurance shall contain or be endorsed to contain a provision that such coverage shall also apply on a primary and non-contributory basis for the benefit of CITY before the CITY’s own insurance or self-insurance shall be called upon to protect it as a named insured.

CITY’s rights of enforcement. In the event any policy of insurance required under this AGREEMENT does not comply with these specifications or is canceled and not replaced, CITY has the right but not the duty to obtain the insurance it deems necessary, and any premium paid by CITY will be promptly reimbursed by CONSULTANT or CITY will withhold amounts sufficient to pay premium from CONSULTANT payments.

In the alternative, CITY may cancel this AGREEMENT.

Acceptable insurers. All insurance policies shall be issued by an insurance company currently authorized by the Insurance Commissioner to transact business of insurance or is on the List of Approved Surplus Line Insurers in the State of California, with an assigned policyholders’ Rating of A- (or higher) and Financial Size Category Class VII (or larger) in accordance with the latest edition of Best’s Key Rating Guide, unless otherwise approved by the CITY’s Risk Manager.

Waiver of subrogation. All insurance coverage maintained or procured pursuant to this AGREEMENT shall be endorsed to waive subrogation against CITY, its elected or appointed officers, agents, officials, employees and volunteers or shall specifically allow CONSULTANT or others providing insurance evidence in compliance with these specifications to waive their right of recovery prior to a loss. CONSULTANT hereby waives its own right of recovery against CITY and shall require similar written express waivers and insurance clauses from each of its subconsultants.

Enforcement of contract provisions (non estoppel). CONSULTANT acknowledges and agrees that any actual or alleged failure on the part of the CITY to inform CONSULTANT of non-compliance with any requirement imposes no additional obligations on the CITY nor does it waive any rights hereunder.

Requirements not limiting. Requirements of specific coverage features or limits contained in this Section are not intended as a limitation on coverage, limits or other requirements, or a waiver of any coverage normally provided by any insurance. Specific reference to a given coverage feature is for purposes of clarification only as it pertains to a given issue and is not intended by any party or insured to be all inclusive, or to the exclusion of other coverage, or a waiver of any type. If the CONSULTANT maintains higher limits than the minimums shown above, the CITY requires and shall be entitled to coverage for the higher limits maintained by the CONSULTANT. Any available insurance proceeds in excess of the specified minimum limits of insurance and coverage shall be available to the CITY.

Notice of cancellation. CONSULTANT agrees to oblige its insurance agent or broker and insurers to provide to CITY with a thirty (30) day notice of cancellation (except for nonpayment for which a ten (10) day notice is required) or nonrenewal of coverage for each required coverage.

Additional insured status. General liability policies shall provide or be endorsed to provide that CITY and its officers, officials, employees, and agents, and volunteers shall be additional insureds under such policies. This provision shall also apply to any excess/umbrella liability policies.

Prohibition of undisclosed coverage limitations. None of the coverages required herein will be in compliance with these requirements if they include any limiting endorsement of any kind that has not been first submitted to CITY and approved of in writing.

Separation of insureds. A severability of interests provision must apply for all additional insureds ensuring that CONSULTANT’s insurance shall apply separately to each insured against whom claim is made or suit is brought, except with respect to the insurer’s limits of liability. The policy(ies) shall not contain any cross-liability exclusions.

Pass through clause. CONSULTANT agrees to ensure that its subconsultants, subcontractors, and any other party involved with the project who is brought onto or involved in the project by CONSULTANT, provide the same minimum insurance coverage and endorsements required of CONSULTANT.

CONSULTANT agrees to monitor and review all such coverage and assumes all responsibility for ensuring that such coverage is provided in conformity with the requirements of this section. CONSULTANT agrees that upon request, all agreements with consultants, subcontractors, and others engaged in the project will be submitted to CITY for review.

CITY’s right to revise specifications. The CITY reserves the right at any time during the term of the contract to change the amounts and types of insurance required by giving the CONSULTANT ninety (90) days advance written notice of such change. If such change results in substantial additional cost to the CONSULTANT, the CITY and CONSULTANT may renegotiate CONSULTANT’s compensation.

Self-insured retentions. Any self-insured retentions must be declared to and approved by CITY. CITY reserves the right to require that self-insured retentions be eliminated, lowered, or replaced by a deductible. Self-insurance will not be considered to comply with these specifications unless approved by CITY.

Timely notice of claims. CONSULTANT shall give CITY prompt and timely notice of claims made or suits instituted that arise out of or result from CONSULTANT’s performance under this AGREEMENT, and that involve or may involve coverage under any of the required liability policies.

Additional insurance. CONSULTANT shall also procure and maintain, at its own cost and expense, any additional kinds of insurance, which in its own judgment may be necessary for its proper protection and prosecution of the work.

Verification of Coverage. Contractor shall furnish the City with a certificate of insurance showing maintenance of the required insurance coverage, as well as endorsements effecting general liability coverage.. All endorsements are to be received and approved by the City before work commences.

Item 7a
Department: Community Development
Cost Center: 4006
For Agenda of: 10/21/2025
Placement: Public Hearing
Estimated Time: 10 Minutes
FROM: Timmi Tway, Community Development Director
Prepared By: Vanessa Nichols, Building Permit Services Supervisor SUBJECT: AUTHORIZATION TO HIRE A CALPERS RETIRED ANNUITANT FOR A

TEMPORARY PERIOD DUE TO AN APPROVED LEAVE OF ABSENCE

RECOMMENDATION
Adopt a Resolution entitled, A Resolution of the City Council of the City of San Luis Obispo, California, Appointing Donald Wright To Provide Specialized Building Plan Review Services During The Temporary Absence Of A Plans Examiner Pursuant To Government Code Section 21221(G).”

POLICY CONTEXT
When employing retired annuitants to temporarily fill positions for permanent employees on a leave of absence, the City of San Luis Obispo must ensure compliance with the Public Employees’ Retirement Law (PERL) and the Public Employees’ Pension Reform Act of 2013 (PEPRA).

Pursuant to Government Code Section 21221(g), CalPERS permits the temporary appointment of a retired annuitant to a vacant position requiring specialized skills during a regular employee's approved leave of absence, under specific conditions. This allows public agencies to maintain essential services while respecting the limits imposed on post-retirement employment. Appointments made under this section must be approved by the City Council in an open session and adopted by resolution. CalPERS then requires the resolution be submitted to CalPERS before the appointment of the retired annuitant begins.

DISCUSSION
The regular incumbent in the Plans Examiner position in the Community Development Department will be on an approved leave of absence, which is expected to last between mid November 2025 to early February 2026. To continue meeting operational needs, staff recommends appointing Donald Wright, a CalPERS retired annuitant with specialized skills in building plan review, to temporarily fill this position during the absence.

Item 7a
This appointment will comply with all CalPERS post-retirement employment requirements, including:
 The position is vacant due to an approved leave of absence.  The position requires specialized skills possessed by the retired annuitant.  The employment is limited to the duration of the leave and shall not exceed one year.
 The annuitant will not receive any additional benefits, compensation in lieu of benefits, or bonuses beyond an hourly wage comparable to that paid to others for similar duties.
 The appointment will not exceed 960 hours in a fiscal year.  A resolution is presented in open session.
 The retired annuitant satisfies the 180-day break-in-service requirement.

The retired annuitant’s employment with the City will be terminated at the end of the leave of absence, not to exceed one year, as required by Gov. Code section 21221(g).

Need for Retired Annuitant
The need for basic building plan review and coverage at the front counter is ongoing and an essential part of Community Development operations and services provided to the public. During the leave of the Plans Examiner, the need to provide these services continues as customers require assistance and timely review of submittals. State law also requires timely review of housing projects. Having a retired annuitant provide coverage in these areas during the leave allows staff to maintain good customer service to the public, avoid backlogs, and keep all development projects, including housing projects moving forward. The experience of conducting building plan reviews, extensive knowledge of building codes, including local regulations, and understanding the operations of a Building Department are necessary for an individual to possess in order to be effective in filling this position. The retired annuitant has all of these specialized skills as their career was spent working in Building & Safety Departments holding positions from plans examiner and inspector to Building Official. The temporary hiring of a retired annuitant is preferable to the use of a consultant because the retired annuitant is already familiar with City of San Luis Obispo local regulations, policies, and practices. Hiring a consultant would be more costly and would require training to bring that individual up-to-speed. Due to the limited duration of the leave and the time it would take to train the consultant, it is not feasible.

CONCURRENCE
The Community Development Department and Human Resources Department are in concurrence on this item.

ENVIRONMENTAL REVIEW
The California Environmental Quality Act does not apply to the recommended action in this report, because the action does not constitute a “project” under CEQA Guidelines 15378.

Item 7a

FISCAL IMPACT
Budgeted: Yes Budget Year: 2025-26
Funding Identified: Yes
Fiscal Analysis:

Hiring a retired annuitant to provide temporary plans check part-time support for an estimated 8–12 week period will result in a limited fiscal impact to the Community Development Department. This approach remains significantly more cost-effective than contracting with a private consulting firm for the same services. Based on an hourly rate of  $60, working approximately 20 hours per week, the estimated cost for the retired annuitant is as follows:

Staffing Option Hourly Rate Estimated Cost (8–12 Weeks) Parttime (20 Hours) Retired Annuitant $60 $9,600 - $14,400
Consultant (Private Firm) $130 $20,800 - $31,200
The cost of the retired annuitant will be covered using salary savings from a currently vacant position in Building & Safety that has remained unfilled since the start of the fiscal year. This approach allows the department to maintain service levels, minimize additional financial impact, and avoid adjustments to the consultant services budget by utilizing existing, unused staffing funds.

Funding
Sources
Total Budget
Available
Current Funding
Request
Remaining
Balance
Annual
Ongoing Cost
General Fund $36,451.35
(Salary Savings)
$15,000 $21,451.35 $0
State
Federal
Fees
Other:

Total $36,451.35 $15,000 $21,451.35 $0

ALTERNATIVES
Do not adopt the resolution authorizing Employment of a CALPERS retired annuitant. Council could decide not to adopt the attached resolution, which would prohibit the Community Development Department from hiring the retired annuitant for the temporary period of time. This would result in impacts to customer service, mainly at the permit counter, and would impact the ability for the Department to address plan checks and revisions in a timely manner during the time period of the planned absence of the plan reviewer.

Item 7a

ATTACHMENTS
A - Draft Resolution appointing Donald Wright to provide specialized building plan review services during the temporary absence of a plans examiner pursuant to Government Code Section 21221(G)

R ______
RESOLUTION NO. _____ (2025 SERIES)

A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SAN LUIS

OBISPO, CALIFORNIA, APPOINTING DONALD WRIGHT TO PROVIDE

SPECIALIZED BUILDING PLAN REVIEW SERVICES DURING THE

TEMPORARY ABSENCE OF A PLANS EXAMINER PURSUANT TO
GOVERNMENT CODE SECTION 21221(G)
WHEREAS, Government (“Gov.”) Code Section 2122(g) of the Public Employee’s Retirement Law permits the governing board to appoint a CalPERS retired annuitant to a position that is found by the governing body, by resolution, to require specialized skills and to be available because of a leave of absence granted to a person on payroll status; and
WHEREAS, Gov. Code Section 21221(g) further requires that the appointment last for a temporary period not to exceed one year or at the end of the incumbent employee’s leave of absence, whichever is earlier; and
WHEREAS, Gov. Code Section 21221 provides that such appointment will not subject the retired annuitant to reinstatement from retirement or loss of benefits so long as it does not exceed 960 hours in a fiscal year; and
WHEREAS, the City Council finds that Donald Wright, a retired annuitant, possesses the specialized skills to perform the building plan review duties of a Plans Examiner during the temporary absence of the City’s Plans Examiner and desires to appoint Donald Wright for a temporary period as Plans Examiner for the City of San Luis Obispo, under Gov. Code Section 21122(g) and 21224, effective approximately November 6, 2025, or when the incumbent otherwise begins their leave of absence; and WHEREAS, the compensation paid to retirees cannot be less than the minimum nor exceed the maximum monthly base salary paid to other employees performing comparable duties, divided by 173.333 to equal the hourly rate; and WHEREAS, Donald Wright will not receive any additional benefits, compensation in lieu of benefits, or any other compensation beyond an hourly wage comparable to that paid to others for similar duties. As such, he will be paid an hourly rate of $48.6625 and the hourly salary range for this position is $39.625 to $48.6625; and WHEREAS, the appointment will cease when the leave of absence ends, but in no case will the appointment exceed one year.

NOW, THEREFORE, BE IT RESOLVED by the Council of the City of San Luis Obispo as follows:

SECTION 1. The City Council hereby certifies the nature of employment of Donald Wright as described herein and that this appointment is necessary to perform the duties

Resolution No. _____ (2025 Series) Page 2
R ______
of the critically needed position of Plans Examiner for the City of San Luis Obispo and that Donald Wright has the specialized skills necessary to perform the duties.

SECTION 2. The City Council determines that each of the findings set forth above is true and correct, and by this reference incorporates those findings as an integral part of this Resolution.

SECTION 3. The City Council authorizes approval of this Resolution.

SECTION 4. This Resolution shall become effective immediately following passage and adoption thereof.

Upon motion of Council Member ___________, seconded by Council Member ___________, and on the following roll call vote:

AYES:

NOES:

ABSENT:

The foregoing resolution was adopted this 21st day of October 2025. ___________________________
Mayor Erica A. Stewart
ATTEST:
______________________
Teresa Purrington
City Clerk
APPROVED AS TO FORM:
______________________
J. Christine Dietrick
City Attorney
IN WITNESS WHEREOF, I have hereunto set my hand and affixed the official seal of the City of San Luis Obispo, California, on ______________________. ___________________________
Teresa Purrington
City Clerk

Item 7b
Department: Public Works
Cost Center: 5006
For Agenda of: 10/21/2025
Placement: Public Hearing
Estimated Time: 30 Minutes
FROM: Aaron Floyd, Interim Public Works Director
Prepared By: Greg Cruce, Deputy Director – Maintenance Operations SUBJECT: RECEIVE A REPORT BY THE PUBLIC WORKS DEPARTMENT

CONFIRMING THE COST, WORK COMPLETED, PARCEL

DESCRIPTION, AND PARCEL ASSESSMENT FOR CITY-COMPLETED

FRONTAGE (SIDEWALK) IMPROVEMENTS REQUIRED BY A FORMAL

NOTICE TO CORRECT ISSUED TO PROPERTY OWNERS

RECOMMENDATION

1. Adopt a Resolution (Attachment A) confirming the Work Completion Report (Attachment B) describing the work completed, cost, real property description, and parcel assessment for City-completed frontage improvements as required by Formal Notices to Correct issued to property owners; and

2. Authorize staff to file a special assessment lien (Attachment C) with the County Recorder’s Office in the event a property owner fails to pay the assessment within five (5) days of Council’s confirmation; and

3. Authorize staff to negotiate alternative methods of collection, including collection of the assessment in installment payments on the tax roll pursuant to Streets and Highways Code §5628.1, if requested by the property owner within five (5) days of notice of Council’s confirmation.

POLICY CONTEXT
Section 12.16.020 of the San Luis Obispo Municipal Code (SLO M.C.) adopts and incorporates Division 7, Part 3, Chapter 22 of the California Streets and Highways Code (SHC) for sidewalk maintenance. Under this authority, property owners whose lots front a public street or place, or abut a park or parking strip, are responsible for maintaining the adjacent sidewalks in a safe condition. This obligation applies except where another party, acting under legal authorization granted by the City, has created or maintained the condition of the sidewalk.

SHC § 5611 – 5615 establish the City’s procedures for issuing Notices to Correct (NOCs) damaged sidewalks and completing the work if the property owner does not act within prescribed timelines. Additional requirements (SHC § 5616-5618) govern the Public Hearing process required to enable the City to complete the necessary improvements

Item 7b
and recover the costs of doing so if necessary, including notice of the work which has been completed, associated costs, real property descriptions, and assessment against the parcel.

SHC § 5625 – 5629 authorize the City to assess confirmed costs against the property (in the case that the City performs the work on behalf of the property owner). If a property owner does not pay the confirmed costs within five (5) days after Council confirmation, the assessment constitutes a special assessment and lien, continuing until fully paid or discharged.

SHC §5628-5628.1 provides that Council may authorize alternative collection methods, including installment payments for assessments of one hundred dollars $100 or more.

DISCUSSION
Background
The Streets Maintenance Program manages the City’s Sidewalk Inspection Program, which includes proactive inspections across all pavement zones. Staff documents any damage found to sidewalks and identifies responsibility for repairs. If the damage is caused by a City street tree, staff performs a temporary repair to reduce the hazard, and a permanent fix is planned. If the damage is not caused by a City street tree, Streets Maintenance will, when feasible, perform temporary repairs to reduce the hazard and send an Informal NOC to the adjacent property owner to ensure that a permanent repair is completed.

If the adjacent property owner does not act within the 120-day period specified in the first Informal NOC, a second Informal NOC will be sent with a revised timeline of at least 90 days to complete the work. Should the property owner fail to comply with second Informal NOC, staff will seek authorization from the City Council to issue a Formal NOC. Once a Formal NOC is issued by the City, the property owner must start the work within 14 days and proceed without delay, per the requirements of the SHC. Failure by the property owner to complete the work may result in the City performing the work and recovering the expenses through the above noted process in SHC §5615.

On May 20, 2025, Council authorized the Public Works Department to issue Formal NOCs to five properties that had previously received Informal NOCs. On July 7, 2025, staff issued the Formal NOCs (Attachment E) via mail, certified mail, on-site postings, and hand-delivered copies to property owners or tenants when available. Three of the five properties completed the required repairs independently. Two property owners or their representative acknowledged the requirement but were unable to complete the work due to financial constraints or contractor scheduling conflicts and requested the work to be completed by the City. The property owner of the property of the Islay address specifically requested the City to assign a contractor and place a lien on the property for the final cost of the required work.

The City’s contractor completed the frontage improvements at these two properties on

Item 7b
August 12, 2025. On September 23, 2025, the City received a full reimbursement check for the work completed at one of the two properties. A Work Completion Report, including the scope, cost, and property descriptions, for the one remaining property has been prepared for Council review (Attachment B).

Pursuant to SHC § 5616-5618, Council must hold a Public Hearing to confirm the Work Completion Report by the Public Works Department, together with any objections or protests which may be raised by any of the property owners liable to be assessed and any other interested persons, which can be found in Attachment B. On September 9, 2025, the property owner was sent a Notice of Public Hearing to take place on October 21, 2025, which included a Work Completion Report, a description of the work completed, cost of the completed work, and a description of the real property (Attachment D).

Next Steps
If Council confirms the Work Completion Report for the remaining unpaid property, either as presented by staff or as modified by Council, the approved assessment will become due and payable by the property owner in the amount of $17,166.59.

If the assessment is not paid within required five (5) days timeline, a special assessment lien (Attachment C) will be filed with the County Recorder’s Office (SHC § 5625-5626.), and shall be a lien on the property for the amount thereof which lien shall continue until the assessment and all interest thereon is paid, or until it is discharged of record. The five (5) day period for collection is required by SHC § 5625, and the City will not impose the timeline until after the property owner has been updated on Council’s action.

Staff has recommended imposing an interest rate on unpaid balances of ten percent (10%) annually until the assessment is paid. SLO M.C. Chapter 12.16 does not specify an interest rate. However, SLO M.C. Chapter 12.12, which establishes an alternate procedure for performing this work, and sets an interest rate of 10% annually, which is the basis of staff’s recommendation. Council has discretion to set the percentage rate of 0 to 12% (SHC § 5625-5626.)
Council may also authorize alternative collection methods under SHC §5628.1, including installment payments for assessments of one hundred dollars $100 or more. Property owners may request this option within five (5) days of Council confirmation, prior to lien filing.

The Draft Resolution (Attachment A) confirms the assessments, authorizes filing a lien (Attachment C) if unpaid, and allows staff to implement alternative collection methods if requested by property owners.

Item 7b
Previous Council or Advisory Body Action
On May 20, 2025, the City Council approved the Public Works Department’s process of issuing Informal and Formal Notices to Correct and authorized City staff to initiate Formal Notices to Correct for properties that failed to replace the required frontage improvements as requested by the Informal Notices to Correct. At that time, the Council and property owners were informed of the subsequent Public Hearing requirement for staff to report on the work completed, the cost of the work, real property descriptions, and to confirm the final cost of the assessment if the required work was completed by the City.

Public Engagement
The impacted property owner has been sent multiple notices via standard and certified mail, email, and, met with City staff on-site. The property was also posted in accordance with the SHC upon issuance of the first Formal Notice to Correct.

After the City completed the required repairs, the property owner received a Notice of Public Hearing and Work Completion Report (Attachment D), summarizing the work done, the costs, and the upcoming City Council meeting where the assessment will be confirmed.

CONCURRENCE
The City Attorney’s Office and Finance Department have been consulted and concur with the recommendations within this report.

ENVIRONMENTAL REVIEW
The California Environmental Quality Act (CEQA) does not apply to the recommended action in this report, because the action does not constitute a “Project” under CEQA Guidelines Section 15378.

FISCAL IMPACT
Budgeted: N/A Budget Year: 2025-26
Funding Identified: N/A
Fiscal Analysis:

Funding
Sources
Total Budget
Available
Current
Funding
Request
Remaining
Balance
Annual
Ongoing
Cost
General Fund $0 $ $ $0
State
Federal
Fees
Other:

Total $0 $ $ $0

Item 7b
The City Council previously authorized the use of CIP reserve funding in the amount of $178,102 to complete this work. Since three of the five property owners completed the required work privately, $35,980.27 was used to fund the work completed for the remaining two properties by the City’s contractor, and $18,813.68 has since been reimbursed to the City by one of these properties. The unused and reimbursed funding will be returned to the CIP reserve account. Additionally, the final costs confirmed by Council, recommended at $17,166.59, will also be returned to the CIP reserve account as it becomes available through the collection process.

ALTERNATIVES

1. Council could decide to not confirm the assessment. Council could choose not to confirm the assessment for the required work. In this case, the costs of the work, borne by the City, could not be assessed against the property and collected from the property owner. Issuing Notices to Correct for deficient frontage improvements is a component of the Sidewalk Inspection Program within the Streets Maintenance Program, and this action may be considered precedent setting by other community members when future Notices to Correct for similar circumstances are issued.

2. Council could decide to revise, correct, or modify the assessment and interest rate. The total cost to replace the frontage improvements has been provided in the Work Completion Reports, which do not include staff time to manage the NOC process or work. Revising the assessment to a lower amount would result in the City funding a portion of the repairs. Revising the interest rate to a lesser amount, including not imposing interest (0% rate), would not still allow the City to recuperate all cost for completing the required work.

3. Council could decline to authorize staff to negotiate alternative methods of collection in the form of annual installment payments by the property owner.

The alternative payment method of annual installments (not to exceed five) is expressly authorized by Streets & Highways Code 5628.1, if Council so authorizes by Resolution. If this authority is not delegated to staff, the cost of the repairs would be recorded as a lien against the property pursuant to Streets & Highways Code §5625- 5627.

ATTACHMENTS
A - Draft Resolution Confirming the Cost and Work Completed of Frontage Improvements Required by Formal Notices to Correct
B - Work Completion Report – 878 Islay Street
C - Draft Notice of Lien – 878 Islay Street
D - Public Hearing Notice – 878 Islay Street
E - Formal Notice to Correct – 878 Islay Street

R ______
RESOLUTION NO. _____ (2025 SERIES)

A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SAN LUIS

OBISPO, CALIFORNIA, CONFIRMING THE REPORT ON THE COST OF

REPAIRS AND ASSESSING THE COST OF REPAIRS AGAINST THE
PROPERTY AT 878 ISLAY FOR THE REPLACEMENT OF

DETERIORATED FRONTAGE IMPROVEMENTS THAT WERE

COMPLETED BY THE CITY AS REQUIRED BY FORMAL NOTICES TO

CORRECT, PURSUANT TO SAN LUIS OBISPO MUNICIPAL CODE

12.12.020
WHEREAS, Municipal Code Section 12.16.020, by adoption of the procedures set forth in the Streets and Highways Code Division 7, Chapter 22, requires that a property owner maintain and, when necessary, replace the sidewalk adjacent to their property so that the sidewalk will not endanger persons or property or interfere with the public convenience in the use of such sidewalk; and
WHEREAS, on May 22, 2024, City Public Works staff identified that the sidewalk adjacent to the property located at 878 Islay Street adjacent was deteriorated and needed to be replaced; and
WHEREAS, beginning on August 19, 2024, the owner of the property at 878 Islay Street was provided with Informal and Formal Notices to Correct informing them the sidewalk was deteriorated and needed to be replaced in conformance with the City of San Luis Obispo Standard Specifications and Engineering Standards, that the repairs were to commence within the specified timeframes in conformance with the California Streets and Highways Code, and that if repairs were not commenced by the date specified or if the repairs were commenced but were not diligently and without interruption prosecuted to completion, the Public Works Department for the City of San Luis Obispo would make the required repairs and that the cost incurred by the City in making the repairs would become an assessment against the adjacent properties; and
WHEREAS, the property owner did not commence the repairs by the date specified in the formal Notice to Correct issued pursuant to Streets & Highways Code §5611-5614 and requested that the City or its contractor complete the repairs; and WHEREAS, the Public Works Department undertook the required repairs as indicated in the Work Completion Report (Exhibit A) and completed such repairs on August 12, 2025, and
WHEREAS, the property owner was provided with written notice of the completed repairs and of the public hearing on the costs of the repairs, in accordance with Streets & Highways Code §5616-5617; and
WHEREAS, on October 21, 2025, the City Council held a public hearing pursuant to Streets & Highways Code §5618 to hear and pass upon the report of costs by City

Resolution No. _____ (2025 Series) Page 2
R ______
Public Works Staff along with any objections or protests made by the property owner and other interested parties;
WHEREAS, the City Council has considered all evidence, including staff presentation and any requested testimony of the property owner and interested parties.

NOW, THEREFORE, BE IT RESOLVED by the Council of the City of San Luis Obispo that:

SECTION 1. Findings. The above statements are true and constitute the findings of the City Council.

SECTION 2. Action. The City Council confirms staff’s report of costs for the repair work completed adjacent to 878 Islay Street as described in Exhibit A, and such costs are assessed against that parcel. If the assessment is not paid by the property owner within five days of notification of Councils’ confirmation, staff is authorized to file a special assessment in the form of a lien as described in Exhibit B with the San Luis Obispo County Recorder’s Office in accordance with the requirements set forth in Streets & Highways Code §5625-5628 . The lien shall continue until the assessment at an interest rate of 10%. Staff is authorized to negotiate alternative methods of collection in accordance with Streets & Highways Code §5628.1, if requested by the property owners within the fiveday period after notification of the confirmed assessment.

Upon motion of Council Member ___________, seconded by Council Member ___________, and on the following roll call vote:

AYES:

NOES:

ABSENT:

The foregoing resolution was adopted this _____ day of _______________ 2025. ___________________________
Mayor Erica A. Stewart
ATTEST:
______________________
Teresa Purrington
City Clerk
APPROVED AS TO FORM:
______________________
J. Christine Dietrick

Resolution No. _____ (2025 Series) Page 3
R ______
City Attorney
IN WITNESS WHEREOF, I have hereunto set my hand and affixed the official seal of the City of San Luis Obispo, California, on ______________________. ___________________________
Teresa Purrington, City Clerk