City Council and Authorities Concurrent
March 22, 2022

City of Santa Clara
Revised Joint Meeting Agenda of the
Council and Authorities Concurrent and
Santa Clara Stadium Authority
Virtual Meeting
3:30 PM Closed Session
7:30 PM Open Session
3:30 PMTuesday, March 22, 2022
Pursuant to Government Code Section 54953(e) and City of Santa Clara Resolution 22-9058, the City Council meeting will be held by teleconference only. No physical location will be available for this meeting; however, the City of Santa Clara continues to have methods for the public to participate remotely:
• Via Zoom:
ohttps://santaclaraca.zoom.us/j/99706759306
Meeting ID: 997-0675-9306 or
o Phone: 1(669) 900-6833
• Via the City’s eComment (now available during the meeting) • Via email to [email protected]
As always, the public may view the meetings on SantaClaraCA.gov, Santa Clara City Television (Comcast cable channel 15 or AT&T U-verse channel 99), or the livestream on the City’s YouTube channel or Facebook page.
3:30 PM CLOSED SESSION
Call to Order
Roll Call

1.A Public Employee Appointment (Gov. Code §§ 54957 , 54954.5, subd. (e).)
Title: Interim City Attorney
22-250

1.B Public Employee Discipline/Dismissal/Release (Government Code § 54957, (b)(1))
22-416

1.C Public Employment Appointment (Government Code §§ 54957, 54954.5, subd. (e))
Title: Acting City Manager
22-417

**REVISION: Updated Item I.D to reflect the listing of name of negotiating party(ies).

Joint Council and Authorities Concurrent &
Stadium Authority Meeting
Revised Meeting Agenda March 22, 2022

1.D 22-377

1.E 22-408

1.F
Conference with Real Property Negotiators (CC)
Pursuant to Gov. Code § 54956.8
Property: Please see below listing for APNs and addresses City/Authority Negotiator: Assistant City Manager, Director of Parks & Recreation
Negotiating Parties: Please see below listing for names of negotiating party(ies)
Under Negotiation: Purchase/Sale/Exchange/Lease of Real Property (provisions, price and terms)
Conference with Legal Counsel-Anticipated Litigation (CC) Pursuant to Gov. Code § 54956.9(a) - Exposure to litigation Number of potential cases: 1
(Facts and Circumstances)
City as potential defendant: Demand letter from Abramson Labor Group, representing Leo Valdez, dated February 22, 2022 Conference with Legal Counsel-Existing Litigation (CC, SARDA) Pursuant to Gov. Code § 54956.9(d)(1)
County of Santa Clara, et al., v. City of San Jose, et al.

Santa Clara County Superior Court Master Case Number
(consolidated) 105CV046005
22-427

Joint Council and Authorities Concurrent &
Stadium Authority Meeting
Revised Meeting Agenda March 22, 2022

1.G Conference with Labor Negotiators (CC)
Pursuant to Gov. Code § 54957.6
City representative: City Manager’s designee
Employee Organization(s):

Unit #1-Santa Clara Firefighters Association, IAFF, Local 1171 Unit #2-Santa Clara Police Officer’s Association
Unit
#3-IBEW Local 1245 (International Brotherhood of
Electrical Workers)
Unit #4-City of Santa Clara Professional Engineers
Units #5, 7 & 8-City of Santa Clara Employees Association Unit #6-AFSCME Local 101 (American Federation of State, County and Municipal Employees)
Unit #9-Miscellaneous Unclassified Management Employees Unit #9A-Unclassified Police Management Employees
Unit #9B-Unclassified Fire Management Employees
Unit #10-PSNSEA (Public Safety Non-Sworn Employees
Association)
22-431
Public Comment
The public may provide comments regarding the Closed Session item(s) just prior to the Council beginning the Closed Session. Closed Sessions are not open to the public.

Convene to Closed Session
7:30 PM JOINT COUNCIL AND STADIUM AUTHORITY MEETING
*Open Session to begin at 7:30 PM or shortly thereafter Call to Order
Pledge of Allegiance and Statement of Values

REPORTS OF ACTION TAKEN IN CLOSED SESSION MATTERS

CONTINUANCES/EXCEPTIONS/RECONSIDERATIONS

SPECIAL ORDER OF BUSINESS

2.A Proclaim March 2022 as Red Cross Month22-03

2.B Proclaim March 2022 as Youth Arts Month22-279

Joint Council and Authorities Concurrent &
Stadium Authority Meeting
Revised Meeting Agenda March 22, 2022

CONSENT CALENDAR
[Items listed on the CONSENT CALENDAR are considered routine and will be adopted by one motion. There will be no
separate discussion of the items on the CONSENT CALENDAR unless discussion is requested by a member of the Council, staff, or public. If so requested, that item will be removed from the CONSENT CALENDAR and considered under CONSENT ITEMS PULLED FOR DISCUSSION.]

3.A Action on December 14, 2021 Council and Authorities Concurrent & Stadium Authority Meeting and January 5, 2022 Special City Council Meeting Minutes
22-400
Approve the December 14, 2021 Council and
Authorities Concurrent & Stadium Authority Meeting
and January 5, 2022 Special City Council Meeting
minutes.

Recommendation:

3.B Board, Commissions and Committee Minutes22-15
Note and file the Minutes of:

Historical and Landmarks Commission - February 3,
2022
Cultural Commission - February 7, 2022
Youth Commission - February 8, 2022
Audit Committee - November 30, 2021
Recommendation:

3.C Action on Monthly Financial Status and Investment Report for December 2021 and Approve Related Budget Amendments
22-305
Note and file the Monthly Financial Status and
Investment Reports for November 2021 as presented
and Approve Related Budget Amendments in various
funds requiring five affirmative votes and consistent
with City Charter Section 1305, “At any meeting
after the adoption of the budget, the City Council
may amend or supplement the budget by motion
adopted by the affirmative votes of at least five
members so as to authorize the transfer of unused
balances appropriated for one purpose to another
purpose, or to appropriate available revenue not
included in the budget,” as noted for each individual
item in Attachment 3.

Recommendation:

3.D Action on the Single Audit Report for Fiscal Year 2020-2122-306 Note and file the City of Santa Clara Single Audit
Report for the year ended June 30, 2021, as
recommended by the Council Audit Committee.

Recommendation:

Joint Council and Authorities Concurrent &
Stadium Authority Meeting
Revised Meeting Agenda March 22, 2022

3.E Action on the Integrated Goose Management Plan (IGMP) for Central Park
22-356
Recommend that Council approve the Santa Clara
Central Park Integrated Goose Management Plan and
its implementation.

Recommendation:

Joint Council and Authorities Concurrent &
Stadium Authority Meeting
Revised Meeting Agenda March 22, 2022

3.F Action on a Substation Agreement with CoreSite Real Estate SV9,
L.P. for Stender Way Junction Substation, Related Budget Amendment, Addition of 4.0 Full Time Positions and Delegation of Authority to the Office of the City Manager to Negotiate and Execute Substation Agreements for Silicon Valley Power (SVP) with the following customers:

1. 651 Walsh Partners, LLC for Laurelwood Junction
Substation;

2. 1220 Santa Clara Propco, LLC for Memorex Junction
Substation; and

3. C-1 Santa Clara LLC, for Martin Avenue Junction Substation Agreement
22-1704

1. Authorize the Office of the City Manager to execute
the Substation Agreement with CoreSite Real
Estate SV9, L.P. to allow SVP to design, procure
equipment, and construct 60kV facilities to serve
the Stender Way Junction Substation to meet an
ultimate capacity of 49 MVA of permanent electric
service to 2905 Stender Way, subject to the
appropriation of funds;

2. Authorize the Office of the City Manager to
negotiate and execute a Substation Agreement
with 651 Walsh Partners, LLC to allow SVP to
design, procure equipment, and construct 60kV
facilities to serve the Laurelwood Junction
Substation to meet an ultimate capacity of up to 99
MVA of permanent electric service to 651 Walsh
Avenue, subject to the appropriation of funds;

3. Authorize the Office of the City Manager to
negotiate and execute a Substation Agreement
with 1220 Santa Clara Propco, LLC to allow SVP
to design, procure equipment, and construct 60kV
facilities to serve the Memorex Junction Substation
to meet an ultimate capacity of up to 60 MVA of
permanent electric service to 1220 Memorex Drive,
subject to the appropriation of funds;

4. Authorize the Office of the City Manager to
negotiate and execute a substation agreement with
C-1 Santa Clara LLC to allow SVP design, procure
equipment, and construct 60kV facilities to serve
for Martin Avenue Junction Substation to meet an
Recommendation:

Joint Council and Authorities Concurrent &
Stadium Authority Meeting
Revised Meeting Agenda March 22, 2022
ultimate capacity of up to 99 MVA of permanent
electric service to 2600 De La Cruz, subject to the
appropriation of funds;

5. Authorize the Office of the City Manager to make
minor modifications to the substation agreements
and execute any and all associated documents;

6. Delegate authority to the Office of the City Manager to approve long lead time material procurement
agreements and associated purchase orders for
these Substation Agreements;

7. Consistent with City Charter Section 1305, “At any
meeting after the adoption of the budget, the City
Council may amend or supplement the budget by
motion adopted by the affirmative votes of at
least five members so as to authorize the transfer
of unused balances appropriated for one purpose
to another purpose, or to appropriate available
revenue not included in the budget,” approve the
following FY 2021/22 budget amendments:

A. In the Electric Utility Capital Fund, recognize
developer contributions of $885,166, and
increase the Stender Way Junction project
appropriation by $885,166, and recognize
developer contributions of $4,016,000, and
increase the Memorex Junction Substation
project appropriation by $4,016,000 (five
affirmative Council votes required to
appropriate additional revenue); and

8. Approve the addition of two (2) Senior Electric
Utility Engineers, one (1) Senior Instrument and
Controls Technician, and one (1) Electric Water
System Operator in the Electric Utility Department.

Joint Council and Authorities Concurrent &
Stadium Authority Meeting
Revised Meeting Agenda March 22, 2022

3.G Action on an Agreement with Iteris, Inc. for Design Professional Services for
the Great America Parkway and Tasman Drive
Traffic Signal Interconnect Project
22-1748

1. Approve and authorize the City Manager to execute
an agreement for Design Professional Services with
Iteris, Inc. for the Great America Parkway and
Tasman Drive Traffic Signal Interconnect Project in
the amount not-to-exceed $158,000; and

2. Authorize the City Manager to make minor
modifications to the agreement, if needed.

Recommendation:

3.H Action on Agreements with Axon Enterprise, Inc. for the Purchase of
Body Worn Cameras, Conducted Energy
Weapons, and Evidence.com
22-103

1. Authorize the City Manager’s Office to execute an
agreement with Axon Enterprise, Inc. for the
bundled purchase of Body Worn Cameras,
Conducted Energy Weapons and Evidence.com for
the Santa Clara Police Department with a five-year
term starting on April 1, 2022 and ending on March
31, 2027, with maximum compensation
not-to-exceed $2,276,714, and subject to the
appropriation of funds;

2. Authorize the Executive Director’s Office to execute an agreement with Axon Enterprise, Inc. for the
purchase of Body Worn Cameras and
Evidence.com for the Santa Clara Stadium
Authority with a five-year term starting on April 1,
2022 and ending on March 31, 2027, with
maximum compensation not-to-exceed $439,294,
and subject to the appropriation of funds;

3. Authorize staff to purchase additional body worn
cameras, conducted energy weapons and software
services as may be required, subject to the same
terms and conditions and the appropriation of
funds; and

4. Authorize the City Manager and the Executive
Director Offices to extend the agreements for up to
five additional years, at the discretion of the SCPD
and subject to the appropriation of funds.

Recommendation:

Joint Council and Authorities Concurrent &
Stadium Authority Meeting
Revised Meeting Agenda March 22, 2022

3.I Action on an Agreement with R3 Consulting Group, Inc. for Solid Waste Consulting Services
22-112

1. Authorize the City Manager’s Office to execute an
Agreement with R3 Consulting Group, Inc. for solid
waste consulting services, with a five-year term
starting on or around April 1, 2022, and ending on
June 30, 2027, with maximum compensation
not-to-exceed $754,915 subject to the
appropriation of funds;

2. Authorize the City Manager’s Office to execute
amendments to the Agreement for additional solid
waste consulting services that may be required
during the five-year term, subject to the
appropriation of funds; and

3. Authorize the City Manager’s Office to execute up
to two, one-year options to extend the Agreement
through June 30, 2029, subject to the appropriation
of funds.

Recommendation:

Joint Council and Authorities Concurrent &
Stadium Authority Meeting
Revised Meeting Agenda March 22, 2022

3.J Action on Various Agreements for Silicon Valley Power (SVP), Authorizing the Office of the City Manager to:

1. Exercise
options to renew an Enterprise Program Agreement
with OSIsoft, LLC for up to five years and increase funding authorization to include additional services or addition of assets to the existing licenses;

2. Negotiate and Execute Amendment No. 2 to an Agreement for Services with Efficiency Services Group, LLC to administer the Commercial Parking Lot & Exterior Lighting Program to Silicon Valley Power's (SVP) small and mid-sized business customers;

3. Negotiate and execute additional amendments to add or delete services or licenses consistent with the scopes of the subject agreements, and allow future rate adjustments including associated increases to maximum compensation, subject to request and justification by contractor, approval by the City, and the appropriation of funds; and

4. Execute long lead-time material agreements and purchase orders for the South Loop Reconfiguration Project
22-153

1. Authorize the Office of the City Manager to exercise options to renew the Enterprise Program
Agreement with OSIsoft, LLC for up to five years
through April 23, 2027 and increase funding
authorization by $911,930 to include additional
services or addition of assets to the existing
licenses for a total maximum authorization of
$1,400,000, subject to annual appropriation of
funds;

2. Authorize the Office of the City Manager to
negotiate and execute Amendment No. 2 to an
Agreement for Services with Efficiency Services
Group, LLC to administer the Commercial Parking
Lot & Exterior Lighting Program to Silicon Valley
Power's (SVP) small and mid-sized business
customers extending the term through June 30,
2023 and increasing maximum compensation by
$527,000 for a total maximum authorization of
$1,527.000, subject to annual appropriation of
funds;

3. Authorize the Office of the City Manager to
negotiate and execute additional amendments to
add or delete services or licenses consistent with
the scope of the agreements and allow future rate
Recommendation:

Joint Council and Authorities Concurrent &
Stadium Authority Meeting
Revised Meeting Agenda March 22, 2022
adjustments including associated increases in
maximum compensation subject to request and
justification by contractor, approval by the City, and
the appropriation of funds; and

4. Delegation of authority to the Office of the City
Manager to purchase long lead-time materials for
South Loop Reconfiguration Project.

3.K
Action on Agreements with C2R Engineering, Inc. and West Valley Construction Company, Inc. for On Call Emergency Water & Sewer Utility Repairs
22-96
Authorize the City Manager’s Office to execute Master
Agreements with C2R Engineering, Inc. and West
Valley Construction Company for On Call Emergency
Water & Sewer Utility Repairs, for a five-year term
starting on or about April 1, 2022, and ending on or
about March 31, 2027, with a maximum aggregate
compensation not-to-exceed $5,000,000 for the two
Master Agreements.

Recommendation:

3.L Action on a Resolution Acknowledging Receipt by City Council of
a State-Mandated Compliance Report on Required Annual
Fire Inspections of Certain Occupancies
22-119
Adopt a Resolution acknowledging receipt of a report
made by the Fire Chief of the Santa Clara Fire
Department regarding the inspection of certain
occupancies requiring annual inspections in such
occupancies pursuant to sections 13146.2 and
13146.3 of the California Health and Safety Code.

Recommendation:

3.M Accept the 2021 General Plan Annual Progress Report22-262 Accept the General Plan Annual Progress Report as
presented by staff.

Recommendation:

Joint Council and Authorities Concurrent &
Stadium Authority Meeting
Revised Meeting Agenda March 22, 2022

3.N Action on Reappointment of Board and Commission Members, Declaring Commissioner
Vacancies, and Setting Dates for
Recruitment and Interviews
22-304

1. Reappoint the six (6) eligible commissioners to serve a four-year term each ending June 30, 2026;

2. Declare five (5) vacancies on the following commissions for four (4) full terms each ending June 30, 2026 and one
partial term ending June 30, 2025:
· Two (2) on the Parks and Recreation Commission
(full terms);
· One (1) on the Planning Commission (full term); and
· Two (2) on the Senior Advisory commission
(one full term and one partial term);

3. Open the recruitment period on March 23, 2022;

4. Set April 27, 2022 by 5:00 p.m. as the application deadline; and

5. Set May 16, 2022 to conduct interviews.

Recommendation:

Joint Council and Authorities Concurrent &
Stadium Authority Meeting
Revised Meeting Agenda March 22, 2022

3.O Action to Waive First Reading and Introduce an Ordinance of the City
of Santa Clara, California, Defining the Composition of the Membership of the Bicycle and Pedestrian Advisory
Committee and the Scope of the Bicycle and Pedestrian
Advisory Committee’s Jurisdiction, Adding a New Section

2.120.170 (“Bicycle and Pedestrian Advisory Committee”) and Amending Section 2.120.010 (Names, Membership,
Qualifications, and Terms of Office”) of Chapter 2.120 (“Boards and Commissions”) of Title 2 (“Administration and Personnel”) of the Santa Clara City Code and Adopt Changes to the Bicycle and Pedestrian Advisory Committee Policy Guidelines
22-1777

1. Waive First Reading and Introduce an Ordinance of the City of Santa Clara, California, Defining the
Composition of the Membership of the Bicycle and
Pedestrian Advisory Committee and the Scope of the
Bicycle and Pedestrian Advisory Committee’s
Jurisdiction, Adding a New Section 2.120.170
(“Bicycle and Pedestrian Advisory Committee”) and
Amending Section 2.120.010 (Names, Membership,
Qualifications, and Terms of Office”)
of Chapter 2.120
(“Boards and Commissions”) of Title 2 (“Administration
and Personnel”) of “The Code of the City of Santa Clara, California”; and

2. Adopt Changes to the Bicycle and Pedestrian
Advisory Committee Policy Guidelines.

Recommendation:

3.P Action to Waive Second Reading and Adopt Ordinance No. 2041 to Amend
Section 18.80.210 of the Zoning Code to
Increase the Permissible Height of Digital Billboards
22-352
Waive Second Reading and Adopt Ordinance No.
2041 to Amend Section 18.80.210 of the Zoning
Code to allow for increased sign height in conjunction
with a Billboard Relocation Agreement.

Recommendation:

3.Q Action to Waive Second Reading and Adopt Ordinance No. 2042 Approving a
Military Equipment Funding, Acquisition and
Use Policy Pursuant to Assembly Bill 481
22-409
Waive Second Reading and Adopt Ordinance No.
2042 Approving a Military Equipment Funding,
Acquisition and Use Policy Pursuant to Assembly Bill
481.

Recommendation:

Joint Council and Authorities Concurrent &
Stadium Authority Meeting
Revised Meeting Agenda March 22, 2022

SANTA CLARA STADIUM AUTHORITY CONSENT CALENDAR

4.A Informational Report on Dates and Purpose of Stadium Authority and Stadium Manager Meetings
and Corresponding Minutes for
the Period of October 1 to December 31, 2021
22-309
Note and file the quarterly report on Stadium Authority and Stadium Manager meetings and corresponding
minutes for the period of October 1 to December 31,
2021.

Recommendation:

4.B Action on Stadium Authority Bills and Claims for the Month of December 2021
22-272
Approve the list of Stadium Authority Bills and Claims
for December 2021.

Recommendation:

4.C Action on Request Submitted by the Stadium Manager to Exercise Option to Extend Term of Agreement with Landmark Event Staffing Services, Inc. for Levi's Stadium Event Security Services

1. Request from the Stadium Manager to Exercise Option to Extend Term of Agreement
with Landmark Event Staffing
Services, Inc. for Levi’s Stadium Event Security Services 22-414

2. 22-415
its option to extend the term of the agreement with
Landmark by one additional two-year period through March 31, 2024, and authorize staff to approve and process the reimbursement of such costs upon receiving final invoices and supporting documentation from the Stadium Manager.

Report from Stadium Authority for Action on the Stadium Manager’
s Request to Exercise Option to Extend Term of
Agreement with Landmark Event Staffing Services, Inc. for Levi’s Stadium Event Security Services
Recommendation: Approve the Stadium Manager’s request to exercise

PUBLIC PRESENTATIONS
[This item is reserved for persons to address the Council or authorities on any matter not on the agenda that is within the subject matter
jurisdiction of the City or Authorities. The law does not permit action on, or extended discussion of, any item not on the agenda except under special circumstances. The governing body, or staff, may briefly respond to statements made or questions posed, and appropriate body may request staff to report back at a subsequent meeting. Although not required, please submit to the City Clerk your name and subject matter on the speaker card available in the Council Chambers.]

Joint Council and Authorities Concurrent &
Stadium Authority Meeting
Revised Meeting Agenda March 22, 2022

CONSENT ITEMS PULLED FOR DISCUSSION

PUBLIC HEARING/GENERAL BUSINESS

5. Report and Presentation from the Independent Redistricting Commission on
the 2020 Census Redistricting Process and its
Adoption of a Final Map; Action on the Introduction of an Ordinance Adopting the New Council District Map - TO BE HEARD AT 8:00 PM or SHORTLY THEREAFTER
22-358
Approval of the introduction of an ordinance adopting
a new City Council District map describing the district boundaries for the City of Santa Clara’s By-District
elections.

Recommendation:

6. Public Hearing: Adoption of a Resolution Ordering the Abatement of
a Nuisance Consisting of Growing Weeds in
Association with the County Weed Abatement Program for
2021-2022
22-1757
Adopt a Resolution ordering the abatement of a
nuisance consisting of growing weeds in the City.

Recommendation:

Joint Council and Authorities Concurrent &
Stadium Authority Meeting
Revised Meeting Agenda March 22, 2022

7. Action on the Patrick Henry Drive Specific Plan Including:

Determination
of the Adequacy of the Environmental Impact
Report (EIR) and Adoption of a Statement of Overriding
Considerations and an Associated Mitigation Monitoring and Reporting Program (MMRP); Adoption of the Patrick Henry Drive Specific Plan; Adoption of General Plan Amendments to Create New General Plan Land Use Designations and Change the General Plan Land Use Diagram from Light Industrial to Various Residential Designations; Waive First Reading and Introduce an Ordinance to Add a New Chapter 18.27 to the Zoning Code to Create Zoning Regulations for the Patrick Henry Drive Area Specific Plan and Rezoning of the Patrick Henry Drive Specific Plan Area
22-69
Alternatives 1-4:

1. Adopt a resolution approving and certifying the
Final EIR prepared for the Patrick Henry Drive
Specific Plan (SCH # 2019120515), including
CEQA Findings and a statement of overriding
considerations;

2. Adopt a resolution approving the PHD Specific
Plan, a specific plan consistent with Government
Code Sections 65450-65457 that incorporates text
in the Alternate Circulation Diagram (4.6.2-ALT:

CIRCULATION) “Subject to the Approval of the
Mission College Board of Trustees”; and
incorporates affordable housing language as
follows: 15% affordable units split equally between
three affordability levels of 50%, 80%, and 120%
AMI;

3. Adopt a resolution approving General Plan text
amendments creating the following land use
designations: Village Residential (60-149 DU/AC),
Urban Village (100-149 DU/AC), Urban Center
(120-250 DU/AC), and High Density Flex (60-149
DU/AC, or up to 2.0 FAR), updating the Climate
Action Plan to recognize those Land Use
Designations, and amending the General Plan
Land Use diagrams for Phases II and III to reflect
the land use designations in the Patrick Henry Drive
Specific Plan; and

4. Waive first reading and introduce an ordinance
amending the Zoning Code to create a new
Chapter 18.27 of the Zoning Code, Regulations for
Recommendation:

Joint Council and Authorities Concurrent &
Stadium Authority Meeting
Revised Meeting Agenda March 22, 2022
the Patrick Henry Drive Area (PHD) Zoning
Districts, including development standards, allowed
uses and parking requirements for the following
zoning districts: R5 - Very High Density Residential,
VR - Village Residential, UV - Urban Village, UC -
Urban Center, and HD Flex - High Density Flex, and
rezoning the Project Site using the new districts as
indicated in the Patrick Henry Drive zoning map,
incorporating affordable housing language as
follows: 15% affordable units split equally between
three affordability levels of 50%, 80%, and 120%
AMI.

Joint Council and Authorities Concurrent &
Stadium Authority Meeting
Revised Meeting Agenda March 22, 2022

8. Public Hearing: Action to Waive First Reading and Introduce an Ordinance Amending
Chapter 17.15 “Property Developments”
of Title 17 “Development” of the Santa Clara City Code to Add Section 17.15.360 “Patrick Henry Drive Infrastructure
Improvement Fee”; and Approve a Resolution Approving the Findings from the Patrick Henry Drive Specific Plan
Infrastructure Impact Fee Nexus Study, Adopting the Nexus Study, Setting the Rates for the Infrastructure Impact Fee, and Establishing the Patrick Henry Drive Infrastructure Improvement Fund
22-90
Alternatives 1, 2, 3, and 4:

1. Waive First Reading and Approve the Introduction
of an Ordinance Amending Chapter 17.15
“Property Development” of Title 17 “Development”
of the Santa Clara City Code to Add Section

17.15.360 “Patrick Henry Drive Infrastructure
Improvement Fee”;

2. Adopt a Resolution Approving the Findings from the
Patrick Henry Drive Specific Plan Infrastructure
Impact Fee Nexus Study, Adopting the Nexus
Study, and Setting the Rates for the Infrastructure
Impact Fee;

3. Approve the Patrick Henry Drive Specific Plan
Infrastructure Impact Fee; and adjust fees annually
in line with the latest Construction Cost Index for
San Francisco, as published by Engineering News
Record or equivalent, to keep up with construction
costs and inflation; and

4. Approve the establishment of the Patrick Henry
Drive Infrastructure Improvement Fund (Fund 542)
to account for the impact fee revenues and project
expenditures.

Recommendation:

REPORTS OF MEMBERS AND SPECIAL COMMITTEES

CITY MANAGER/EXECUTIVE DIRECTOR REPORT
Update on City Council and Stadium Authority Staff Referrals22-419

ADJOURNMENT
The next regular scheduled meeting is on Tuesday, April 5, 2022.

Joint Council and Authorities Concurrent &
Stadium Authority Meeting
Revised Meeting Agenda March 22, 2022

MEETING DISCLOSURES
The time limit within which to commence any lawsuit or legal challenge to any quasi-adjudicative decision made by the City is governed by Section 1094.6 of the Code of Civil Procedure, unless a shorter limitation period is specified by any other provision. Under Section 1094.6, any lawsuit or legal challenge to any quasi-adjudicative decision made by the City must be filed no later than the 90th day following the date on which such decision becomes final. Any lawsuit or legal challenge, which is not filed within that 90-day period, will be barred. If a person wishes to challenge the nature of the above section in court, they may be limited to raising only those issues they or someone else raised at the meeting described in this notice, or in written correspondence delivered to the City of Santa Clara, at or prior to the meeting. In addition, judicial challenge may be limited or barred where the interested party has not sought and exhausted all available administrative remedies.

AB23 ANNOUNCEMENT: Members of the Santa Clara Stadium Authority, Sports and Open Space Authority and Housing Authority are entitled to receive $30 for each attended meeting.

Note: The City Council and its associated Authorities meet as separate agencies but in a concurrent manner. Actions taken should be considered actions of only the identified policy body.

LEGEND: City Council (CC); Stadium Authority (SA); Sports and Open Space Authority (SOSA); Housing Authority (HA); Successor Agency to the City of Santa Clara Redevelopment Agency (SARDA); Bayshore North Project Enhancement Authority (BNPEA); Public Facilities Financing Corporation (PFFC) Public contact was made by posting the Council agenda on the City’s official-notice bulletin board outside City Hall Council Chambers. A complete agenda packet is available on the City’s website and in the City Clerk’s Office at least 72 hours prior to a Regular Meeting and 24 hours prior to a Special Meeting. A hard copy of any agenda report may be requested by contacting the City Clerk’s Office at (408) 615-2220, email [email protected] <mailto:[email protected]> or at the public information desk at any City of Santa Clara public library.

If a member of the public submits a speaker card for any agenda items, their name will appear in the Minutes. If no speaker card is submitted, the Minutes will reflect "Public Speaker." In accordance with the requirements of Title II of the Americans with Disabilities Act of 1990 ("ADA"), the City of Santa Clara will not discriminate against qualified individuals with disabilities on the basis of disability in its services, programs, or activities, and will ensure that all existing facilities will be made accessible to the maximum extent feasible. The City of Santa Clara will generally, upon request, provide appropriate aids and services leading to effective communication for qualified persons with disabilities including those with speech, hearing, or vision impairments so they can participate equally in the City’s programs, services, and activities. The City of Santa Clara will make all reasonable modifications to policies and programs to ensure that people with disabilities have an equal opportunity to enjoy all of its programs, services, and activities.

Agendas and other written materials distributed during a public meeting that are public record will be made available by the City in an appropriate alternative format. Contact the City Clerk’s Office at 1 408-615-2220 with your request for an alternative format copy of the agenda or other written materials.

Individuals who require an auxiliary aid or service for effective communication, or any other disability-related modification of policies or procedures, or other accommodation, in order to participate in a program, service, or activity of the City of Santa Clara, should contact the City’s ADA Coordinator at 408-615-3000 as soon as possible but no later than 48 hours before the scheduled event.

City of Santa Clara
Agenda Report
1500 Warburton Avenue
Santa Clara, CA 95050
santaclaraca.gov
@SantaClaraCity
22-250 Agenda Date: 3/22/2022

REPORT TO COUNCIL

SUBJECT
Public Employee Appointment (Gov. Code §§ 54957, 54954.5, subd. (e).) Title: Interim City Attorney
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City of Santa Clara
Agenda Report
1500 Warburton Avenue
Santa Clara, CA 95050
santaclaraca.gov
@SantaClaraCity
22-416 Agenda Date: 3/22/2022

REPORT TO COUNCIL

SUBJECT
Public Employee Discipline/Dismissal/Release (Government Code § 54957, (b)(1)) City of Santa Clara Printed on 3/18/2022Page 1 of 1
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City of Santa Clara
Agenda Report
1500 Warburton Avenue
Santa Clara, CA 95050
santaclaraca.gov
@SantaClaraCity
22-417 Agenda Date: 3/22/2022

REPORT TO COUNCIL

SUBJECT
Public Employment Appointment (Government Code §§ 54957, 54954.5, subd. (e)) Title: Acting City Manager
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City of Santa Clara
Agenda Report
1500 Warburton Avenue
Santa Clara, CA 95050
santaclaraca.gov
@SantaClaraCity
22-377 Agenda Date: 3/22/2022

SUBJECT
Conference with Real Property Negotiators (CC)
Pursuant to Gov. Code § 54956.8
Property: Please see below listing for APNs and addresses City/Authority Negotiator: Assistant City Manager, Director of Parks & Recreation Negotiating Parties: Please see below listing for names of negotiating party(ies) Under Negotiation: Purchase/Sale/Exchange/Lease of Real Property (provisions, price and terms) City of Santa Clara Printed on 3/18/2022Page 1 of 1
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APN Property Address Property Owne r
(Name ) ✓ Neoot i atinqi Partv
1 216-05-009 Youth Activ ity Center, Teen Santa Clara Unified School Center, Skate Park DistricVStella M Kemp, PhD
2450 Cab:rillo Avenue , Santa Superintendent
Clara CA 9S051
City of Santa Clara
Agenda Report
1500 Warburton Avenue
Santa Clara, CA 95050
santaclaraca.gov
@SantaClaraCity
22-408 Agenda Date: 3/22/2022

SUBJECT
Conference with Legal Counsel-Anticipated Litigation (CC) Pursuant to Gov. Code § 54956.9(a) - Exposure to litigation Number of potential cases: 1
(Facts and Circumstances)
City as potential defendant: Demand letter from Abramson Labor Group, representing Leo Valdez, dated February 22, 2022
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3580 Wilshire Boulevard, Suite 1260
Los Angeles, California 90010

t | 213.493.6300
f | 213.336.3704

[email protected]
www.AbramsonLaborGroup.com

February 22, 2022

Via Email:

City of Santa Clara
Attention: Legal Department
[email protected]

Re: Leo Valdez v. City of Santa Clara
This correspondence is protected by California Evidence Code § 1154 regarding settlement discussions.

Legal Department:

Abramson Labor Group has been retained to represent Leo Valdez ("Plaintiff") in his claims against City of Santa Clara ("Defendant") for (1) Employer Liability for Harassment and Hostile Work Environment; (2) Liability for Unsafe Working Conditions; (3) Failure to Provide Overtime Wages; and (4)Failure to Issue Accurate and Itemized Wage Statements.

Our office conducted a thorough and extensive interview with Mr. Valdez and determined that the facts provided below clearly support these causes of action. After conferring with our client, we are committed to moving forward with the following claims. However, in the interest of efficient resolution for all parties, this letter includes an offer for settlement of the above- referenced claims before incurring the costs of litigation.

Factual Background
Defendant hired Mr. Valdez on or around December 4, 2015 as a Water Pump Technician.

Primarily, Mr. Valdez was responsible for working with water operations and maintenance. Mr.

Valdez was compensated $47.00 an hour and is currently employed with Defendant.

Mr. Valdez is Hispanic and throughout the course of his employment, Defendant subjected Mr.

Valdez to disparate and discriminatory treatment on the basis of his race. Specifically, Defendant assigned Mr. Valdez a heavier workload than Caucasian employees. Additionally, Defendant’s employees made discriminatory comments regarding Mr. Valdez’s race. Defendant also failed to provide a safe working environment as Defendant required employees to perform job duties without fall protection.

As detailed below, Defendant is clearly liable to Mr. Valdez for the following violations of California law.

mPalABRAMSON WIii LABOR GROUP

Employer Liability for Harassment and Hostile Work Environment

In order to prevail on a hostile work environment claim, plaintiff must show that his “workplace was permeated with discriminatory intimidation . . . that was sufficiently severe or pervasive to alter the conditions of his employment and create an abusive working environment.” Harris, 510 U.S. at 21, 114 S.Ct. 367 (internal quotation marks and citations omitted). “The working environment must both be subjectively and objectively be perceived as abusive.” Fuller v. City of Oakland, 47 F.3d 1522, 1527 (9th Cir. 1995).

Furthermore, courts evaluate the totality of the circumstances test to determine whether a plaintiff’s allegations make out a colorable claim of hostile work environment. In Harris, the court listed frequency, severity and the level of interference with work performance among the factors particularly relevant to the inquiry. When assessing the objective portion of a plaintiff’s claim, courts assume the perspective of the reasonable victim. See Ellison v. Brady, 924 F.2d 872, 879 (9th Cir. 1991).

Every individual is entitled to work in a harassment-free environment and an employer’s failure or refusal to provide this, in and of itself, is the denial of “terms, conditions, privileges of employment” and is a violation of the law. (Government Code Sections 12940, et seq.; 2 Cal.

Admin. Code 7287.6; DFEH v. Fresno Hilton Hotel, (1984) FEHC Dec. No. 84-03, p. 29; and see also Harris v. Forklift Systems, Inc. (1993) 114 S.Ct. 367.

Although FEHA Section 12940(j)(1) prohibits any “person” from harassing an employee, FEHA Section 12940(k) imposes on the employer the duty to take all reasonable steps to prevent this harassment (as well as discrimination) from occurring in the first place and to take immediate and appropriate action when it is or it should be aware of the unlawful conduct. Carrisales v.

Department of Corrections (1999) 21 Cal.4th 1132, 1140. As discussed above, not only did Defendant not prevent harassment from occurring, they committed and perpetuated the harassment.

To establish harassment under FEHA, an employee must demonstrate: (1) membership in a protected group, (2) that she was subjected to harassment because she belonged to this group, and (3) the alleged harassment was so severe that it created a hostile work environment.

Here, Mr. Valdez satisfies the prima facie case because: (1) Mr. Valdez is a member of a protected class because he is Hispanic; (2) he was subjected to harassment specifically because he is Hispanic; and (3) the harassment was both severe and pervasive that it created a hostile work environment for our client. The harassment was severe in nature as Defendant’s employees made discriminatory comments and assigned Mr. Valdez a heavier workload. Furthermore, the harassment was pervasive because it occurred throughout his employment. Thus, Mr. Valdez has a prima facie case for a hostile work environment.

Liability for Unsafe Working Conditions
Employers have a general duty under the Occupational Safety and Health Act (OSHA) to provide a workplace free from "recognized" hazards. To protect workers from unsafe conditions, BmABRAMSON
~ LABOR GROUP

California Labor Code Section 6400 provides, "[e]very employer shall furnish employment and a place of employment that is safe and healthful for the employees therein." California Labor Code Section 6311 provides that, "[n]o employee shall be laid off or discharged for refusing to perform work in the performance of which this code, including Section 6400, any occupational safety or health standard or any safety order of the division or standards board will be violated, where the violation would create a real and apparent hazard to the employee or his or her fellow employees".

Furthermore, "[a]ny employee who is laid off or discharged in violation of this section or is otherwise not paid because he or she refused to perform work in the performance of which this code, any occupational safety or health standard or any safety order of the division or standards board will be violated and where the violation would create a real and apparent hazard to the employee or his or her fellow employees shall have a right of action for wages for the time the employee is without work as a result of the layoff or discharge." Here, Defendant required employees to perform jobs without proper safety equipment such as fall protection.

Labor Code Violations
A) Unpaid Wages/Overtime Wages
An employer is required to pay an employee for all hours worked. "Hours worked" means the time during which an employee is subject to the control of an employer and includes all the time the employee is suffered or permitted to work, whether or not required to do so.

Pursuant to the applicable IWC Wage Orders, and California Code of Regulations, Title 8, Section 11010 no employee shall be employed for more than eight hours in any workday or forty hours in any workweek unless the employee receives overtime wages. Employment beyond eight hours in any workday or more than six days in any workweek is permissible provided the employee is compensated for such overtime at not less than: 1) One and one-half times the hourly rate of pay for all hours worked in excess of eight (8) hours per day, forty (40) hours per week, and/or the first eight (8) hours of the seventh consecutive workday; and twice times the rate of pay for all hours worked in excess of twelve (12) hours per day and/or eight (8) hours on the seventh consecutive workday; and 2) Double the employee's regular rate of pay for all hours worked in excess of twelve (12) hours in any workday and for all hours worked in excess of eight (8) hours on the seventh consecutive day of work in a workweek. Labor Code § 510.

Mr. Valdez was required to work after Mr. Valdez had clocked out for the day and was never paid for those hours worked.

Labor Code § 1194.2 provides that in an action "to recover wages because of the payment of a wage less than the minimum wage fixed by an order of the commission or by statute, an employee shall be entitled to recover liquidated damages in an amount equal to the wages unlawfully paid and interest thereon."
BmABRAMSON
~ LABOR GROUP

Though § 1194.2 states liquidated damages may not be recovered for failure to pay overtime, in Sillah v. Command Int'l Sec. Servs., 154 F.Supp.3d 891 (N.D. Cal. 2015), the court found plaintiffs suing for failure to pay overtime could recover liquidated damages under § 1194.2 if they also showed they were paid less than minimum wage. Citing Cruz v. Quang, No. 13-cv- 00181 VC, 2015 WL 348869, at *6 (N.D. Cal. Jan. 23, 2015). Under federal law, an employer violating 29 U.S.C. § 207 is liable to the affected employee not only for the unpaid minimum wages or overtime, but also "in an additional equal amount" in liquidated damages. 29 U.S.C. § 216(b).

Defendant failed to pay overtime wages when Mr. Valdez worked over 8 hours in a day or over 40 hours in a week. These hours were not paid at all. Defendant owes Mr. Valdez Mr. Valdez' overtime rate of pay for those hours worked.

B) Noncompliant Wage Statements
California Labor Code § 226(a) requires that employers, when paying their non-exempt employees' wages, include an "itemized statement in writing showing" the "total hours worked by the employee," and "all applicable hourly rates in effect during the pay period and the corresponding number of hours worked at each hourly rate." California wage orders require that every employer must keep accurate records for each non- exempt employee for at least two years identifying: (1) when he/she begins and ends work each period; (2) when he/she takes a meal period, unless all work at the location ceases; (3) his/her total daily hours worked; and (4) the total hours he/she worked in the payroll period and all applicable rates of pay.

Defendant failed to maintain an itemized wage statement that accurately reports total hours worked, which includes Plaintiff's work off-the-clock during lunch and before and after clock-in and out. Defendant failed to accurately account for all overtime hours worked and instead inaccurately recorded them or did not record them at all.

Violation of Labor Code § 226 entitles Mr. Valdez to an award of penalties amounting to $50 for the initial violation and $100 for each subsequent pay period that Defendant failed to provide accurate records, not to exceed $4,000. Here, Defendant failed to correctly itemize our clients accrued work hours. Defendant's liability is outlined below.

Punitive Damages
California Civil Code §3294 provides, in part, "In an action for the breach of an obligation not arising from contract, where it is proven by clear and convincing evidence that the defendant has been guilty of oppression, fraud, or malice, the plaintiff, in addition to the actual damages, may recover damages for the sake of example and by way of punishing the defendant." "Punitive damages are to be assessed in an amount which, depending upon the defendant's financial worth and other factors, will deter him and others from committing similar misdeeds." College Hospital, Inc. v. Superior Court (1994) 8 Ca1.4th 704, 712.

BmABRAMSON
~ LABOR GROUP

For corporate punitive damages liability, §3294(b) requires that the wrongful act giving rise to the exemplary damages be committed by an "officer, director, or managing agent." White v.

Ultramar, Inc. (1999) 21 Ca1.4th 563, 572. Importantly, "malice does not require actual intent to harm." Angie M v. Sup. Ct. (1995) 37 Cal.App.4th 1217, 1228.

Even "[n]onintentional conduct comes within the definition of malicious acts punishable by the assessment of punitive damages when a party intentionally performs an act from which he knows, or should know, it is highly probable that harm will result." Ford Motor Co. v. Homes Ins. Co. (1981) 116 Cal.App.3d 374,381; Angie M, 37 Cal.App.4th at 1228.

California Attorney's Fees Provisions
In a wage and hour employment law claim, specifically for claims brought under Labor Code §226, §203 and §2802, Plaintiffs are entitled to mandatory attorneys' fees. In claims for discrimination and retaliation under California law, specifically for claims brought under FEHA, attorney’s fees are generally awarded to prevailing plaintiffs (Gov. Code, § 12965, subd. (b)). In whistleblower actions, prevailing plaintiffs are also entitled to attorneys' fees. As such, please note that my hourly rate for this employment-related action has been court approved at $650 per hour.

Defendant's full liability is calculated below.

Damages
Harassment/Hostile Work Environment
$60,000.00 = Emotional distress damages
Unpaid Wages/Overtime
$1,410.00 = (20 hours) x ($70.50 overtime rate)
$1,410.00 = Liquidated damages
Noncompliant Wage Statements
$4,000.00 = ($50 for first violation) + ($100 penalty x 39.5 additional pay periods) Attorney fees/costs
$8,000.00
Punitive Damages, to be determined

TOTAL: $74,820.00

Conclusion
At this stage of the case, and in the interest of trying to resolve prior to costly and timely litigation, Mr. Valdez has authorized our office to offer the settlement of his claims for a one- time payment of $74,820.00. As liability becomes clarified and witnesses' testimony solidifies, this case's value will inevitably increase significantly with associated attorneys' fees and liability paving the way to larger demands as time progresses.

BmABRAMSON
~ LABOR GROUP

If I do not hear from your office by March 8, 2022 with a serious proposal of settlement, our demand is off the table permanently.

I hope we can have a productive conversation before this case goes into active litigation and look forward in resolving this matter together.

Sincerely,

W. Zev Abramson, Esq.

ABRAMSON LABOR GROUP

jf(b
mmABRAMSON
~ LABOR GROUP
City of Santa Clara
Agenda Report
1500 Warburton Avenue
Santa Clara, CA 95050
santaclaraca.gov
@SantaClaraCity
22-427 Agenda Date: 3/22/2022

SUBJECT
Conference with Legal Counsel-Existing Litigation (CC, SARDA) Pursuant to Gov. Code § 54956.9(d)(1)
County of Santa Clara, et al., v. City of San Jose, et al.

Santa Clara County Superior Court Master Case Number (consolidated) 105CV046005 City of Santa Clara Printed on 3/17/2022Page 1 of 1
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City of Santa Clara
Agenda Report
1500 Warburton Avenue
Santa Clara, CA 95050
santaclaraca.gov
@SantaClaraCity
22-431 Agenda Date: 3/22/2022

SUBJECT
Conference with Labor Negotiators (CC)
Pursuant to Gov. Code § 54957.6
City representative: City Manager’s designee
Employee Organization(s):

Unit #1-Santa Clara Firefighters Association, IAFF, Local 1171 Unit #2-Santa Clara Police Officer’s Association
Unit #3-IBEW Local 1245 (International Brotherhood of Electrical Workers) Unit #4-City of Santa Clara Professional Engineers
Units #5, 7 & 8-City of Santa Clara Employees Association Unit #6-AFSCME Local 101 (American Federation of State, County and Municipal Employees) Unit #9-Miscellaneous Unclassified Management Employees Unit #9A-Unclassified Police Management Employees
Unit #9B-Unclassified Fire Management Employees
Unit #10-PSNSEA (Public Safety Non-Sworn Employees Association) City of Santa Clara Printed on 3/18/2022Page 1 of 1
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City of Santa Clara
Agenda Report
1500 Warburton Avenue
Santa Clara, CA 95050
santaclaraca.gov
@SantaClaraCity
22-03 Agenda Date: 3/22/2022

REPORT TO COUNCIL

SUBJECT
Proclaim March 2022 as Red Cross Month

DISCUSSION
On March 22, 2022, the Santa Clara City Council will proclaim the Month of March 2022 as Red Cross Month in the City of Santa Clara.

ENVIRONMENTAL REVIEW
This is an information report only and no action is being taken by the City Council and no environmental review under the California Environmental Quality Act (“CEQA”) is required.

FISCAL IMPACT
There is no fiscal impact to the City other than staff time.

PUBLIC CONTACT
Public contact was made by posting the Council agenda on the City’s official-notice bulletin board outside City Hall Council Chambers. A complete agenda packet is available on the City’s website and in the City Clerk’s Office at least 72 hours prior to a Regular Meeting and 24 hours prior to a Special Meeting. A hard copy of any agenda report may be requested by contacting the City Clerk’s Office at (408) 615-2220, email [email protected] <mailto:[email protected]> .

Reviewed by: Melissa Lee, Executive Assistant to the Mayor and Council Approved by: City Manager’s Office
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City of Santa Clara
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1500 Warburton Avenue
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22-279 Agenda Date: 3/22/2022

REPORT TO COUNCIL

SUBJECT
Proclaim March 2022 as Youth Arts Month

DISCUSSION
On March 22, 2022, the Santa Clara City Council will proclaim the month of March 2022 as Youth Arts Month in the City of Santa Clara.

ENVIRONMENTAL REVIEW
This is an information report only and no action is being taken by the City Council and no environmental review under the California Environmental Quality Act (“CEQA”) is required.

FISCAL IMPACT
There is no fiscal impact to the City other than staff time.

PUBLIC CONTACT
Public contact was made by posting the Council agenda on the City’s official-notice bulletin board outside City Hall Council Chambers. A complete agenda packet is available on the City’s website and in the City Clerk’s Office at least 72 hours prior to a Regular Meeting and 24 hours prior to a Special Meeting. A hard copy of any agenda report may be requested by contacting the City Clerk’s Office at (408) 615-2220, email [email protected] <mailto:[email protected]> .

Reviewed by: Melissa Lee, Executive Assistant to the Mayor and Council Approved by: City Manager’s Office
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City of Santa Clara
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1500 Warburton Avenue
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@SantaClaraCity
22-400 Agenda Date: 3/22/2022

REPORT TO COUNCIL

SUBJECT
Action on December 14, 2021 Council and Authorities Concurrent & Stadium Authority Meeting and January 5, 2022 Special City Council Meeting Minutes

COUNCIL PILLAR
Enhance Community Engagement and Promote Transparency

RECOMMENDATION
Approve the December 14, 2021 Council and Authorities Concurrent & Stadium Authority Meeting and January 5, 2022 Special City Council Meeting minutes.

City of Santa Clara Printed on 3/17/2022Page 1 of 1
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City of Santa Clara
Joint Meeting Minutes
Council and Authorities Concurrent and
Santa Clara Stadium Authority Meeting
Draft
2:30 PM Virtual Meeting
2:30 PM Closed Session
5:30 PM Open Session
12/14/2021
Pursuant to the provisions of Government Code Section 54953(e) and City of Santa Clara Resolution 21-9023, the City Council meeting will be held by teleconference only. No physical location will be available for this meeting; however, the City of Santa Clara continues to have methods for the public to participate remotely:
• Via Zoom:
o https://santaclaraca.zoom.us/j/99706759306
Meeting ID: 997-0675-9306 or
o Phone: 1(669) 900-6833
• Via the City’s eComment (now available during the meeting) • Via email to [email protected]
As always, the public may view the meetings on SantaClaraCA.gov, Santa Clara City Television (Comcast cable channel 15 or AT&T U-verse channel 99), or the livestream on the City’s YouTube channel or Facebook page.
2:30 PM CLOSED SESSION
Call to Order
Mayor Gillmor called the meeting to order at 2:30 PM.

Roll Call
Council/Boardmember Kathy Watanabe, Vice Mayor/Chair Raj Chahal, Council/Boardmember Karen Hardy, Council/Boardmember Kevin Park, Council/Boardmember Suds Jain, Council/Boardmember Anthony Becker, and Mayor/Chair Lisa M. Gillmor

Present: 7 -
Public Comment
Public Speaker(s): Lala Vérité (eComment)

1.A 21-1737 Public Employee Appointment (Gov. Code §§ 54957, 54954.5, subd. (e).) Title: Executive Recruiter for City Attorney

12/14/2021Joint Council and Authorities Concurrent
& Stadium Authority Meeting
Meeting Minutes

1.B 21-1716 Conference with Real Property Negotiators (CC) Convene to Closed Session
Council convened to Closed Session at 2:34 PM and recovened the meeting at 5:31 PM.
5:30 PM JOINT COUNCIL/STADIUM MEETING
Pledge of Allegiance and Statement of Values
Council/Board recited the Pledge of Allegiance.

Council/Boardmember Hardy recited the Statement of Values.

Assistant City Clerk/Secretary Pimentel recited the AB23 announcement and Statement of Behavioral Standards and reminded any registered lobbyist providing testimony to identify themselves as a Lobbyist.

REPORTS OF ACTION TAKEN IN CLOSED SESSION MATTERS
Chief Assistant City Attorney Reuter noted that there was no reportable action from Closed Session Item 1.B.

Mayor Gillmor noted that there was no reportable action from Closed Session Item 1.A.

CONTINUANCES/EXCEPTIONS/RECONSIDERATIONS

2.A 21-174
City Manager Santana noted that the Task Force on Diversity, Equity, and Inclusion requested to defer Items 2.A and Item 11 to the January 25, 2022 Council and Authorities Concurrent Meeting.

Task Force on Diversity, Equity, and Inclusion Update (October-December 2021)
A motion was made by Councilmember Jain, seconded by
Councilmember Park, to defer Items 2.A and Item 11 to the January 25, 2022 Council and Authorities Concurrent Meeting.

Aye: Councilmember Watanabe, Vice Mayor Chahal, Councilmember Hardy, Councilmember Park, Councilmember Jain, Councilmember Becker, and Mayor Gillmor
7 -

12/14/2021Joint Council and Authorities Concurrent
& Stadium Authority Meeting
Meeting Minutes

11. 21-1629 Action on Whether to Accept a Formal Recommendation from the Task Force on Diversity, Equity, and Inclusion Regarding the City’s Model for Electing its Chief of Police
Recommendation:

Provide direction on whether to accept the formal letter of recommendation from the Task Force on Diversity, Equity, and Inclusion in support of the City’s model of electing its Chief of Police and hold harmless on this topic the City Manager from any and all actions that may violate the Political Reform Act or FPPC regulations.

A motion was made by Councilmember Jain, seconded by
Councilmember Park, to defer Items 2.A and Item 11 to the January 25, 2022 Council and Authorities Concurrent Meeting.

Aye:

Councilmember Watanabe, Vice Mayor Chahal, Councilmember Hardy, Councilmember Park, Councilmember Jain, Councilmember Becker, and Mayor Gillmor
7 -
City Manager Santana noted that the following items must be heard this evening for continuity of City Business: Items 7.C, 7.D, 7.E, 7.F, 7.G, 7.H,

7.I, 7.K, 7.M, 7.O, 4 and 9.

SPECIAL ORDER OF BUSINESS

12/14/2021Joint Council and Authorities Concurrent
& Stadium Authority Meeting
Meeting Minutes

2.B 21-1673 Verbal Report from City Manager regarding COVID-19 Pandemic City Manager Santana announced that the Santa Clara County Emergency Managers' Association honored Chief Emergency Services Officer Schoenthal as the recipient of the 2021 Emergency Manager of the Year award.

City Manager Santana provided the following PowerPoint presentation regarding COVID-19 Pandemic:
- CDC noted that Santa Clara County has a substantial COVID-19 transmission rate and California has a high transmission rate; - 7-Day average of COVID-19 cases was over 240;
- Santa Clara County has high vaccination rates;
- Omicron Variant has the most mutations so far;
- County of Santa Clara encourages multilayer protections; - County of Santa Clara encourages to continue to have remote public meetings; and
- COVID-19 Testing available on December 22, 2021 at Central Park Library.

Council comments followed.

2.C 21-1717 Verbal Report Update from City Manager Regarding the Local Drought Emergency
City Manager Santana gave a PowerPoint presentation regarding the Local Drought Emergency.

AGENDA ITEMS CONTINUED/DEFERRED FROM DECEMBER 7, 2021

12/14/2021Joint Council and Authorities Concurrent
& Stadium Authority Meeting
Meeting Minutes

3. 21-1736 Action on Adoption of a Resolution Approving 2022 Salary Plans for Classified and Unclassified Employees, Including City Manager, Pursuant to Council’s Approved Cost of Living Increases effective December 26, 2021 (Continued from December 7, 2021)
Recommendation:

Adopt a Resolution approving the updated and amended salary plans for various classified and unclassified positions including the position of City Manager to satisfy the requirements of California Code of Regulations Section 570.5 effective December 26, 2021.

City Manager Santana made opening remarks regarding this item.

Director of Human Resources Azevedo gave a PowerPoint presentation.

Council comments and questions followed.

Outside Legal Counsel Sakai addressed Council comments.

Council comments and questions continued.

A motion was made by Vice Mayor Chahal, seconded by
Councilmember Becker, to adopt a Resolution approving the updated and amended salary plans for various classified and unclassified positions including the position of City Manager to satisfy the requirements of California Code of Regulations Section 570.5 effective December 26, 2021.

Outside Legal Counsel Sakai addressed Council comments.

A substitute motion was made by Councilmember Watanabe, seconded by Mayor Gillmor, to bring this discussion to Closed Session or other setting in order to obtain a legal opinion on the discussion and have Outside Counsel provide the necessary information to further understand what needs to be done.

Council comments and questions followed.

A second substitute motion was made by Councilmember Park, seconded by Councilmember Jain, to (1) adopt a Resolution approving the updated and amended salary plans for various classified and unclassified positions including the position of City Manager to satisfy the requirements of California Code of Regulations Section 570.5 effective December 26, 2021 and (2) schedule a Closed Session to address Paragraph

3.2 of the City Manager's agreement.

12/14/2021Joint Council and Authorities Concurrent &
Stadium Authority Meeting
Meeting Minutes
Council comments and questions followed.

Outside Legal Counsel Sakai and Chief Assistant City Attorney Reuter addressed Council comments.

Council comments and questions followed.

A third substitute motion was made by Vice Mayor Chahal, seconded by Councilmember Becker, to adopt a Resolution approving the updated and amended salary plans for various classified and unclassified positions including the position of City Manager to satisfy the requirements of California Code of Regulations Section 570.5 effective December 26, 2021.

A fourth substitute motion was made by Councilmember Becker, seconded by Vice Mayor Chahal, to continue this item to January 2022.

Council comments and questions followed.

Outside Legal Counsel Sakai addressed Council questions.

A motion was made by Councilmember Becker, seconded by Vice Chair Chahal, on whether Council wants to consider to vote on 4th substitute motion: a fourth substitute motion was made by Councilmember Becker, seconded by Vice Mayor Chahal, to continue this item to January 2022.

Aye: 3 - Vice Mayor Chahal, Councilmember Becker, and Mayor Gillmor Nay: Councilmember Watanabe, Councilmember Hardy,
Councilmember Park, and Councilmember Jain
4 -
Motion Fails.

A motion was made by Vice Mayor Chahal, seconded by
Councilmember Becker, on whether Council wants to vote on 3rd substitute motion: A third substitute motion was made by Vice Mayor Chahal, seconded by Councilmember Becker, to adopt a Resolution approving the updated and amended salary plans for various classified and unclassified positions including the position of City Manager to satisfy the requirements of California Code of Regulations Section 570.5 effective December 26, 2021.

Aye: 2 - Vice Mayor Chahal and Councilmember Becker

12/14/2021Joint Council and Authorities Concurrent
& Stadium Authority Meeting
Meeting Minutes
Nay: Councilmember Watanabe, Councilmember Hardy,
Councilmember Park, Councilmember Jain, and Mayor Gillmor 5 -
Motion Fails.

A motion was made by Councilmember Park, seconded by
Councilmember Jain, on whether Council wants to vote on the 2nd substitute motion: A second substitute motion was made by Councilmember Park, seconded by Councilmember Jain, to (1) adopt a Resolution approving the updated and amended salary plans for various classified and unclassified positions including the position of City Manager to satisfy the requirements of California Code of Regulations Section 570.5 effective December 26, 2021 and (2) schedule a Closed Session to address Paragraph 3.2 of the City Manager's agreement.

Aye:

Councilmember Watanabe, Councilmember Hardy,
Councilmember Park, Councilmember Jain, and Mayor Gillmor 5 -
Nay: 2 - Vice Mayor Chahal, and Councilmember Becker
Motion Passes.

A motion was made by Councilmember Park, seconded by
Councilmember Jain, to (1) adopt Resolution No. 21-9036 approving the updated and amended salary plans for various classified and unclassified positions including the position of City Manager to satisfy the requirements of California Code of Regulations Section 570.5 effective December 26, 2021 and (2) schedule a Closed Session to address Paragraph 3.2 of the City Manager's agreement.

Aye: Councilmember Watanabe, Vice Mayor Chahal, Councilmember Hardy, Councilmember Park, Councilmember Jain, Councilmember Becker, and Mayor Gillmor
7 -
Mayor Gillmor called a recess at 7:25 PM and reconvened the meeting 7:31 PM.

12/14/2021Joint Council and Authorities Concurrent
& Stadium Authority Meeting
Meeting Minutes

4. 21-1731 Action on Amendment No. 1 for the Agreement with Accela, Inc. for Land Management Software and Related Budget Amendment (Continued from December 7, 2021)
Recommendation:

1. Authorize the City Manager to execute Amendment No. 1 to the Agreement and order documents with Accela, Inc. to purchase additional software licenses for Land Management Software and increase the maximum compensation by $1,420,640 for a total maximum contract compensation of $2,639,300, subject to the appropriation of funds; and

2. Consistent with City Charter Section 1305, “At any meeting after the adoption of the budget, the City Council may amend or supplement the budget by motion adopted by the affirmative votes of at least five members so as to authorize the transfer of unused balances appropriated for one purpose to another purpose, or to appropriate available revenue not included in the budget,” approve a FY 2021/22 budget amendment in the General Fund to increase the
Non-Departmental Citywide Programs Budget by $48,197 and decrease the technology fee reserve by $48,197 (five affirmative Council votes required for use of unused balances).

City Manager Santana made a few remarks regarding this item.

Director of Community Development Crabtree gave a PowerPoint presentation.

Council comments followed.

A motion was made by Councilmember Jain, seconded by Councilmember Hardy, to (1) authorize the City Manager to execute Amendment No. 1 to the Agreement and order documents with Accela, Inc. to purchase additional software licenses for Land Management Software and increase the maximum compensation by $1,420,640 for a total maximum contract compensation of $2,639,300, subject to the appropriation of funds; and (2) consistent with City Charter Section 1305, “At any meeting after the adoption of the budget, the City Council may amend or supplement the budget by motion adopted by the affirmative votes of at least five members so as to authorize the transfer of unused balances appropriated for one purpose to another purpose, or to appropriate available revenue not included in the budget,” approve a FY 2021/22 budget amendment in the General Fund to increase the Non-Departmental Citywide Programs Budget by $48,197 and decrease the technology fee reserve by $48,197 (five affirmative Council votes required for use of unused balances).

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Aye: Councilmember Watanabe, Vice Mayor Chahal, Councilmember Hardy, Councilmember Park, Councilmember Jain, Councilmember Becker, and Mayor Gillmor
7 -

CONSENT CALENDAR
Councilmember Jain pulled Items 7.H and 7.J.

Assistant City Clerk Pimentel noted an error on Councilmember Jain's recusal that will be corrected on the September 8, 2021 meeting minutes (Item 7.B).

A motion was made by Councilmember Becker, seconded by
Councilmember Jain, to approve the balance of the Consent Calendar (except Items 7.H, 7.J, and noting the correction to the September 8, 2021 minutes - Item 7.B).

Aye: Councilmember Watanabe,Vice Mayor Chahal, Councilmember Hardy, Councilmember Park, Councilmember Jain, Councilmember Becker, and Mayor Gillmor
7 -

7.A 21-25 Board, Commissions and Committee Minutes
Recommendation: Note and file the Minutes of:

Audit Committee - September 16, 2021
Cultural Commission - November 1, 2021
Planning Commission - November 17, 2021
A motion was made by Councilmember Becker, seconded by
Councilmember Jain, to approve staff recommendation.

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7.B 21-1742 Action on August 24, 2021 Joint Council and Authorities Concurrent & Stadium Authority Meeting; September 1, 2021 Special City Council Meeting; September 7, 2021 Joint Council and Authorities Concurrent & Stadium Authority Meeting, and September 8, 2021 Joint Special Meeting City Council, Planning Commission, and Downtown Community Task Force
Recommendation:

Approve the Meeting Minutes of:

7.C 21-931
August 24, 2021 Joint Council and Authorities Concurrent & Stadium Authority Meeting;
September 1, 2021 Special City Council Meeting
September 7, 2021 Joint Council and Authorities Concurrent & Stadium Authority Meeting; and
September 8, 2021 Joint Special Meeting City Council, Planning Commission, and Downtown Community Task Force
A motion was made by Councilmember Becker, seconded by
Councilmember Jain, to approve staff recommendation.

Action on the City of Santa Clara Audited Annual Comprehensive Financial Report (ACFR) and Audited Silicon Valley Power (SVP) Financial Statements for Fiscal Year Ended June 30, 2021, as Recommended by the City Council Audit Committee
Recommendation: Note and file, as recommended by the City Council Audit Committee:

1. The audited City of Santa Clara Annual Comprehensive Financial Report (ACFR) for fiscal year ended June 30, 2021; and

2. The audited City of Santa Clara Electric Utility Enterprise Fund (Silicon Valley Power) Financial Statements for fiscal year ended June 30, 2021.

A motion was made by Councilmember Becker, seconded by
Councilmember Jain, to approve staff recommendation.

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7.D 21-1260 Action on Award of Purchase Orders with Grand Electric & Construction Company and True Blue Automation Services for Electrical Maintenance and Repair Services
Recommendation:

1. Authorize the City Manager to execute a Purchase Order with True Blue Automation Services for as-needed electrical maintenance and repair services Citywide including Maintenance District #183, and for an initial three-year term, with maximum compensation not-to-exceed $309,000, subject to the appropriation of funds;

2. Authorize the City Manager to execute a Purchase Order with Grand Electric and Construction Company for as-needed electrical repair services Citywide including Maintenance District #183 for an initial three-year term, with maximum compensation not-to-exceed $234,000 and subject to the appropriation of funds;

3. Authorize the City Manager to adjust maximum compensation during the initial three-year term if the demand for services exceeds the forecasted amount, subject to the appropriation of funds; and

4. Authorize the City Manager to exercise up to two one-year options to extend the term of both purchase orders, subject to the appropriation of funds.

7.E 21-1550
A motion was made by Councilmember Becker, seconded by
Councilmember Jain, to approve staff recommendation.

Action on an Agreement with Black & Veatch Management Consulting, LLC for Consulting Services for the Setting of Water, Sewer, and Recycled Water Rates Charged to Santa Clara Customers
Recommendation: 1. Authorize the City Manager to execute an agreement with Black & Veatch Management Consulting, LLC to prepare rate and fee study reports for the City’s water, sewer, and recycled water rates for a five-year term starting January 1, 2022 and ending on December 31, 2026, with maximum compensation not-to-exceed $184,975 and subject to the appropriation of funds; and

2. Authorize the City Manager to negotiate and execute amendments to the Agreement for additional related services that may be required, subject to the appropriation of funds.

A motion was made by Councilmember Becker, seconded by
Councilmember Jain, to approve staff recommendation.

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7.F 21-1419 Action on an Agreement for Services with Mesa Energy Systems, Inc. for As-Needed Heating, Ventilation, Air Conditioner and Chiller Inspection, Maintenance, and Repair Services
Recommendation:

1. Authorize the City Manager to execute the proposed Agreement for Services with Mesa Energy Systems, Inc. for as-needed heating, ventilation, air conditioner and chiller inspection, maintenance, and repair services, in an amount not-to-exceed $750,000 during the initial five-year term, ending December 2026, subject to the annual appropriation of funds;

2. Authorize the City Manager to make minor changes to the proposed Agreement for Services subject to approval by the City Attorney as to form;

3. Authorize the City Manager to execute up to five one-year options to extend the term of the proposed Agreement for Services after the initial term, ending December 2031, assuming all options are exercised, and subject to the annual appropriation of funds; and

4. Authorize the City Manager to take actions to add or delete services consistent with the scope of the proposed Agreement for Services and allow future rate adjustments subject to request and justification by contractor, approval by the City, and the appropriation of funds.

7.G 21-1562
A motion was made by Councilmember Becker, seconded by
Councilmember Jain, to approve staff recommendation.

Action on Delegation of Authority to the City Manager to Negotiate and Execute the Third Phase Agreement with the Northern California Power Agency for a Power Purchase Agreement with South Sutter Water District Recommendation: 1. Authorize the City Manager to negotiate and execute the Third Phase Agreement with Northern California Power Agency for a Power Purchase Agreement with South Sutter Water District; and

2. Authorize the City Manager to execute administrative amendments to the Third Phase Agreement with Northern California Power Agency as may be needed from time to time during the term of the Power Purchase Agreement.

A motion was made by Councilmember Becker, seconded by
Councilmember Jain, to approve staff recommendation.

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7.I 21-1045 Action on Amendment No. 1 to the Agreement for Design Professional Services with Electrical Consultants Inc.

Recommendation: 1. Authorize the City Manager to execute Amendment No. 1 to the Agreement with Electrical Consultants Inc to extend the term of the Agreement by two years, ending on December 31, 2023, with no change in the maximum compensation;

2. Authorize the City Manager to make minor changes to the attached Amendment subject to approval of the City Attorney as to form; and

3. Authorize the City Manager to add or delete services consistent with the scope of the agreements subject to request and justification by contractor, approval by the City, and the appropriation of funds and extend the term, if necessary, for a total term not to exceed five years.

7.K 21-1627
A motion was made by Councilmember Becker, seconded by
Councilmember Jain, to approve staff recommendation.

Action on Amendment No. 3 to the Exclusive Negotiation Agreement with Habitat for Humanity East Bay / Silicon Valley for 3575 De La Cruz Boulevard
Recommendation: Approve and authorize the City Manager to execute Amendment No. 3 to

7.L 21-1620
the Exclusive Negotiation Agreement (ENA) with Habitat for Humanity East Bay / Silicon Valley for the development 3575 De La Cruz Boulevard.

A motion was made by Councilmember Becker, seconded by
Councilmember Jain, to approve staff recommendation.

Adoption of a Resolution Recognizing and Supporting the Amah Mutsun Tribal Band in Protecting Their Sacred Lands of Juristac from Development by Public or Private Entities, and Instruct the Mayor to Send a Letter to Santa Clara County
Recommendation: Adopt a Resolution Recognizing and Supporting the Amah Mutsun Tribal Band in Protecting Their Sacred Lands of Juristac from Development by Public or Private Entities, and Instruct the Mayor to Send a Letter to Santa Clara County.

A motion was made by Councilmember Becker, seconded by
Councilmember Jain, to adopt Resolution No. 21-9037 recognizing and supporting the Amah Mutsun Tribal Band in protecting their Sacred Lands of Juristac from development by Public or Private entities, and instruct the Mayor to send a letter to Santa Clara County.

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7.M 21-1674 Action on a Resolution Extending AB 361 Implementation to Allow City Legislative Bodies to Hold Public Meetings Solely by Teleconference or Otherwise Electronically During the Governor’s Proclaimed COVID State of Emergency
Recommendation:

Adopt a Resolution finding the continued existence of the need to extend

7.N 21-1464
AB 361 implementation to allow the City’s legislative bodies to hold public meetings solely by teleconference or otherwise electronically pursuant to AB 361.

A motion was made by Councilmember Becker, seconded by
Councilmember Jain, to adopt Resolution No. 21-9038 finding the continued existence of the need to extend AB 361 implementation to allow the City’s legislative bodies to hold public meetings solely by teleconference or otherwise electronically pursuant to AB 361.

Action on Appointment of Members to the Bicycle and Pedestrian Advisory Committee
Recommendation: Appoint Jane Casamajor, Bruce Donoghue, and Sukrit Ganesh to serve

7.O 21-1659
three-year terms on the Bicycle and Pedestrian Advisory Committee, expiring on December 31, 2024. Appoint Cecily Cox to serve a one-year term on the Bicycle and Pedestrian Advisory Committee, expiring on December 31, 2022.

A motion was made by Councilmember Becker, seconded by
Councilmember Jain, to approve staff recommendation.

Action to Waive First Reading and Introduce an Ordinance Amending Chapter 13.10 “Sewers” of Title 13 “Public Services” of the City of Santa Clara Code to Modify Regulations Regarding Pretreatment Programs to Conform with Recent Updates to the Regional Wastewater Facility Requirements
Recommendation: Waive first reading and introduce the ordinance amending City of Santa Clara Code Section 13.10 (Sewers)
A motion was made by Councilmember Becker seconded by
Councilmember Jain, to pass to print Ordinance No. 2039, amending City of Santa Clara Code Section 13.10 (Sewers).

SANTA CLARA STADIUM AUTHORITY CONSENT CALENDAR

8.A 21-1459 Action on Stadium Authority Bills and Claims for the Month of August 2021 Recommendation: Approve the list of Stadium Authority Bills and Claims for August 2021.

A motion was made by Boardmember Becker, seconded
by Boardmember Jain, to approve staff recommendation.

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8.B 21-1596 Action on Stadium Authority Bills and Claims for the Month of September 2021
Recommendation: Approve the list of Stadium Authority Bills and Claims for September 2021.

A motion was made by Boardmember Becker, seconded
by Boardmember Jain, to approve staff recommendation.

PUBLIC PRESENTATIONS
Lee Broughman (E-Mail) expressed concern regarding Council participation in City events.

City Manager Santana noted that Councilmember Becker may speak as a member of the public. Councilmember Becker deferred his comments to Reports of Members & Special Committees.

CONSENT ITEMS PULLED FOR DISCUSSION

7.H 21-1636 Action on a Resolution Delegating Authority to the City Manager to Execute Natural Gas Purchase Contracts and Related Documents for Delivery Through 2034
Recommendation:

Adopt a Resolution delegating authority to the City Manager, or designee, to execute on behalf of the City any and all natural gas purchase contracts (not to exceed the total of 40,000 MMBtu per day) and related documents for delivery through 2034.

Councilmember Jain pulled this item for further discussion.

Chief Electric Utilities Officer Pineda addressed Council questions.

Council questions followed.

Chief Electric Utilities Officer Pineda addressed Council questions.

A motion was made by Councilmember Jain, seconded by Vice Mayor Chahal
, to adopt Resolution No. 21-9039 delegating authority to the City Manager, or designee, to execute on behalf of the City any and all natural gas purchase contracts (not to exceed the total of 40,000 MMBtu per day) and related documents for delivery through 2034.

Aye: Councilmember Watanabe, Vice Mayor Chahal, Councilmember Hardy, Councilmember Park, Councilmember Jain, Councilmember Becker, and Mayor Gillmor
7 -

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9. 21-930 Action on FY 2020/21 Budget Year-End Report and Approve the Related Budget Amendments
Recommendation: 1. Note and file the FY 2020/21 Budget Year-End Report;

2. Consistent with City Charter Section 1305, “At any meeting after the adoption of the budget, the City Council may amend or supplement the budget by motion adopted by the affirmative votes of at least five members so as to authorize the transfer of unused balances appropriated for one purpose to another purpose, or to appropriate available revenue not included in the budget,” approve the FY 2020/21 Budget Amendments to address necessary budget ratifications as set forth in Attachment 1 of this report (five affirmative Council votes required for revenue actions and the use of unused balances as noted for each item in Attachment 1);

3. Consistent with City Charter Section 1305, “At any meeting after the adoption of the budget, the City Council may amend or supplement the budget by motion adopted by the affirmative votes of at least five members so as to authorize the transfer of unused balances appropriated for one purpose to another purpose, or to appropriate available revenue not included in the budget,” Approve the FY 2021/22 Budget Amendments as set forth in Attachment 2 of this report (five affirmative Council votes required for revenue actions and the use of unused balances as noted for each item in Attachment 2); and

4. Direction, if any, by the City Council regarding initiatives to be funded by the $400,000 allocation included in this report.

Director of Finance Lee and City Manager Santana gave a PowerPoint presentation on FY 2020/21 Budget Year-End Report and Related Budget Amendments.

Council comments and questions followed.

City Manager Santana addressed Council questions.

A motion was made by Vice Mayor Chahal, seconded by
Councilmember Watanabe, (1) note and file the FY 2020/21 Budget Year-End Report; (2) consistent with City Charter Section 1305, “At any meeting after the adoption of the budget, the City Council may amend or supplement the budget by motion adopted by the affirmative votes of at least five members so as to authorize the transfer of unused balances appropriated for one purpose to another purpose, or to appropriate available revenue not included in the budget,” approve the FY 2020/21 Budget Amendments to address necessary budget ratifications as set forth in Attachment 1 of this report (five affirmative Council votes required for

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revenue actions and the use of unused balances as noted for each item in Attachment 1); (3) consistent with City Charter Section 1305, “At any meeting after the adoption of the budget, the City Council may amend or supplement the budget by motion adopted by the affirmative votes of at least five members so as to authorize the transfer of unused balances appropriated for one purpose to another purpose, or to appropriate available revenue not included in the budget,” Approve the FY 2021/22 Budget Amendments as set forth in Attachment 2 of this report (five affirmative Council votes required for revenue actions and the use of unused balances as noted for each item in Attachment 2); and (4) direction, if any, by the City Council regarding initiatives to be funded by the $400,000 allocation included in this report.

Councilmember Hardy requested a friendly amendment to include an allocation for $75,000 for short term of the Homelessness project.

Vice Mayor Chahal accepted the friendly amendment.

A motion was made by Vice Mayor Chahal, seconded by
Councilmember Watanabe, to (1) note and file the FY 2020/21 Budget Year-End Report; (2) consistent with City Charter Section 1305, “At any meeting after the adoption of the budget, the City Council may amend or supplement the budget by motion adopted by the affirmative votes of at least five members so as to authorize the transfer of unused balances appropriated for one purpose to another purpose, or to appropriate available revenue not included in the budget,” approve the FY 2020/21 Budget Amendments to address necessary budget ratifications as set forth in Attachment 1 of this report (five affirmative Council votes required for revenue actions and the use of unused balances as noted for each item in Attachment 1); (3) consistent with City Charter Section 1305, “At any meeting after the adoption of the budget, the City Council may amend or supplement the budget by motion adopted by the affirmative votes of at least five members so as to authorize the transfer of unused balances appropriated for one purpose to another purpose, or to appropriate available revenue not included in the budget,” Approve the FY 2021/22 Budget Amendments as set forth in Attachment 2 of this report (five affirmative Council votes required for revenue actions and the use of unused balances as noted for each item in Attachment 2); and (4) allocate $75,000 for short term of the Homelessness project.

Councilmember Watanabe, Vice Mayor Chahal,
Councilmember Hardy, Councilmember Park, Councilmember
Jain, Councilmember Becker, and Mayor Gillmor

Aye: 7-
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A. 21-1733 Information and Update on the Ad Hoc Committee on the Apology Letter Relating to the City’s California Voting Rights Act Litigation (Deferred from November 9, 16, and December 7, 2021)
Recommendation: 1. Review expanded scope and provide direction on staff resources to support the committee; and

2. Review the provided history and background and provide feedback on what should be posted on the Open City Hall survey as a history.

City Manager Santana provided an overview of the item.

Councilmember Becker and Councilmember Park provided an overview on the request to expand the scope of the Ad-Hoc Committee.

Chief Assistant City Attorney Reuter addressed Council questions.

Council comments and questions followed.

City Manager Santana addressed Council questions.

Council comments followed.

A motion was made by Councilmember Becker, seconded by Vice Mayor Chahal, to expand the scope of the Ad-Hoc committee by the following:
- scheduling another Ad-Hoc Committee meeting with full city staff support, including live-streaming and advertisement of the meeting as a Council Meeting;
- set the Ad-Hoc Committee Meeting for 7:00 PM;
- promote the Ad-Hoc Committee and the survey on social media; - have the Task Force on Diversity, Equity, and Inclusion provide input on the draft letter;
- host a community workshop;
- place a survey on the city's website seeking feedback on the draft apology letter with the following materials for reference: draft apology letter from Councilmember Becker, an unbiased
background history
on the CVRA lawsuit (to be developed and approved by the Council), and the recent City of San Jose resolution apologizing to the Chinese Immigrants and their descendants for Acts of Fundamental Injustice and Discrimination Seeking forgiveness and committing to the rectification of past policies and misdeeds; and
- schedule a Closed Session to discuss waiving legal confidentiality.

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B. 21-1734 Action on Formalization of the Bicycle and Pedestrian Advisory Committee (Deferred from November 9, 16 and December 7, 2021)
Recommendation: Alternatives 1, 3, 5, 8 and 9:

1. Modify BPAC membership eligibility to require that applicants must be at least 18 years of age and live or work in the City;

3. Reduce the number of BPAC members from the current maximum of nine members to seven members and phase in this change so no current member loses their position during the current term;

5. Modify how BPAC members are interviewed and appointed similar to other Boards and Commissions by having Council interview applicants and make selections;

8. Remove the requirement that a Councilmember chair the BPAC and allow the BPAC to select its own chair in July 2025 once all members of the BPAC are comprised of those who were interviewed by Council; and

9. Direct staff to bring an ordinance and revised BPAC Policy Guidelines formalizing the BPAC for Council consideration.

Director of Public Works Mobeck provided a verbal report on the Action on Formalization of the Bicycle and Pedestrian Advisory Committee.

Council comments and questions followed.

Director of Public Works Mobeck addressed Council questions.

A motion was made by Councilmember Watanabe, seconded by Councilmember Hardy, to Alternatives 1, 3, 5, 8 and 9: (1) modify BPAC membership eligibility to require that applicants must be at least 18 years of age and live or work in the City; (3) reduce the number of BPAC members from the current maximum of nine members to seven members and phase in this change so no current member loses their position during the current term; (5) modify how BPAC members are interviewed and appointed similar to other Board and Commissions by having Council interview applicants and make selections; (8) remove the requirement that a Councilmember chair the BPAC and allow the BPAC to select its own Chair in July 2025 once all members of the BPAC are comprised of those who were interviewed by Council; and (9) direct staff to bring an ordinance and revised BPAC Policy Guidelines formalizing the BPAC for Council consideration.

Aye:

Nay:

Councilmember Chahal, Councilmember Hardy, Councilmember Park, Vice Mayor Jain, and Councilmember Becker
Councilmember Watanabe and Mayor Gillmor
5 -
2 -
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Aye: Councilmember Watanabe, Councilmember Chahal, Councilmember Hardy, Councilmember Park, Vice Mayor Jain, Councilmember Becker, and Mayor Gillmor
7 -
Mayor Gillmor called for a recess at 9:24 PM and reconvened the meeting at 9:30 PM.

C. 21-1735
Action to Waive First Reading and Introduce an Ordinance to Amend Chapter 2.120, Entitled Boards and Commissions, to Update Boards and Commission Members Qualifications (Deferred from November 9,16 and December 7, 2021)
Recommendation:

Waive First Reading and Introduce an Ordinance to amend Chapter 2.120, entitled Boards and Commissions, to update Boards and Commissions qualifications to be residents of the City instead of qualified electors.

Assistant City Attorney Klotz provided a verbal report.

Council comments and questions followed.

A motion was made by Councilmember Jain, seconded by
Councilmember Park, to waive the First Reading and introduce Ordinance to amend Chapter 2.120, entitled Boards and Commissions, to update Boards and Commissions qualifications to be residents of the City instead of qualified electors.

Council questions followed.

Chief Assistant City Attorney Reuter addressed Council questions.

Councilmember Becker requested a friendly amendment to the motion to direct Staff to include language to encourage applicants to complete all fields of the Board and Commissions application.

Councilmember Jain accepted the friendly amendment.

A motion was made by Councilmember Jain, seconded by
Councilmember Park, to (1) waive the First Reading and introduce Ordinance No. 2040 to amend Chapter 2.120, entitled Boards and Commissions, to update Board and Commissions qualifications to be residents of the City instead of qualified electors, and (2) direct staff to include language to encourage applicants to complete all fields of the Board and Commissions application.

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Aye: Councilmember Watanabe, Councilmember Chahal, Councilmember Hardy, Councilmember Park, Vice Mayor Jain, Councilmember Becker, and Mayor Gillmor
7 -

6. 21-1732
Update on Sustainability Program and Provide Feedback on 2022 Program Focus Areas (Deferred from December 7, 2021)
Recommendation:

Note and file the Update on Sustainability Program and Provide Feedback on 2022 Program Focus Areas.

Sustainability Manager Templeton gave a PowerPoint presentation.

Council comments and questions followed.

Sustainability Manager Templeton, City Manager Santana, and Assistant City Manager Pineda addressed Council questions.

A motion was made by Councilmember Hardy, seconded by
Councilmember Becker, to note and file the Update on Sustainability Program and Provide Feedback on 2022 Program Focus Areas.

Aye: Councilmember Watanabe, Councilmember Chahal, Councilmember Hardy, Councilmember Park, Vice Mayor Jain, Councilmember Becker, and Mayor Gillmor
7 -

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7.J 21-1543 Action on Amendment No. 1 to the Agreement for the Performance of Services with Wilson, Ihrig & Associates for Noise Monitoring Services at Vantage CA2 Data Center and Owens Corning Facility and Related Budget Amendment
Recommendation:

1. Authorize the City Manager to execute Amendment No. 1 with Wilson, Ihrig & Associates to expand the Scope of Services, and increase maximum compensation by $76,600 for a total not to exceed amount of $86,600; and

2. Consistent with City Charter Section 1305, “At any meeting after the adoption of the budget, the City Council may amend or supplement the budget by motion adopted by the affirmative votes of at least five members so as to authorize the transfer of unused balances appropriated for one purpose to another purpose, or to appropriate available revenue not included in the budget,” approve the related FY 2021/22 budget amendment in the General Fund to increase the Community Development Department appropriation by $76,600 and decrease the Land Sale Reserve by $76,600. (five affirmative Council votes required for the use of unused balances).

Councilmember Jain pulled this item for further clarification.

Council comments and questions followed.

City Manager Santana, Assistant City Manager Pineda, and Director of Community Development Crabtree addressed Council questions.

A motion was made by Councilmember Jain, seconded by
Councilmember Hardy, to (1) allocate the budget appropriation, (2) modify the contract to have noise monitoring service performed when there are three noise complaints, and (3) add more analytical clauses.

Councilmember Jain withdrew his original motion and proposed a new motion (seconded by Vice Mayor Chahal) to continue this item to January 2022 and get more information about the broadcasting, moving of the noise monitoring equipment, and the timeline.

A motion was made by Councilmember Jain, seconded by Vice Mayor Chahal, to continue this item to January 2022 and get more information about the broadcasting, the moving of the noise monitoring equipment and the timeline.

Aye: Councilmember Chahal, Councilmember Hardy, Councilmember Park, Vice Mayor Jain, and Councilmember Becker
5 -
Nay: Councilmember Watanabe, and Mayor Gillmor2 -

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PUBLIC HEARING/GENERAL BUSINESS

10. 21-1251 Action on the Warburton Avenue - Civic Center Drive Area Parking Analysis
Recommendation: Alternative 1: Approve the Warburton Avenue - Civic Center Drive Area Parking Analysis and direct the City Manager to include a budget proposal for Council consideration to fund a new project for installing diagonal parking on Civic Center Drive between Lincoln Street and Warburton Avenue as part of the Biennial 2022/23 and 2023/24 Capital Improvement Program budget process.

Vice Mayor Chahal recused himself from discussion at 10:27 PM due to potential conflict of interest due to his property being in close proximity to this item.

Assistant Director of Public Works Liw gave a PowerPoint presentation.

Council comments and questions followed.

Assistant Director of Public Works Liw addressed Council questions.

Public Speaker(s): Jamie Deepa
Pikliza Morteza Shafiei (e-Comment)
Sunil B BV (e-Comment)
Keyhan Sinai JL (e-Comment)
Assistant Director of Public Works Liw addressed public questions and comments.

Council comments ensued.

Assistant Director of Public Works Liw addressed Council questions.

A motion was made by Councilmember Hardy, seconded by
Councilmember Watanabe, to approve the Warburton Avenue - Civic Center Drive Area Parking Analysis.

Aye: Councilmember Watanabe, Councilmember Hardy,
Councilmember Park, Councilmember Jain, Councilmember
Becker, and Mayor Gillmor
6 -
Recused: 1 - Vice Mayor Chahal

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12. 21-1577 Discussion and Possible Direction on Consideration of the Sale of the Loyalton Ranch Property (Continued from October 26, 2021) Recommendation: Staff has no recommendation and is seeking Council direction on whether additional steps toward the sale of the Loyalton Ranch Property should be implemented.

Assistant City Manager Pineda provided a brief verbal report on this item.

A motion was made by Councilmember Becker, seconded by
Councilmember Hardy, to approve Alternative 1: direct staff to develop a strategy for the sale of the Loyalton Ranch Property and present it to the Council at a future meeting.

Council comments followed.

Chief Assistant City Attorney Reuter and Assistant City Manager Pineda addressed Council questions.

Public Speaker(s): Joshua Bush
Edward Strine
Mojgan Mahdizadeh (e-Comment)
A motion was made by Councilmember Becker, seconded by
Councilmember Hardy, to approve Alternative 1: direct staff to develop a strategy for the sale of the Loyalton Ranch Property and present it to the Council at a future meeting.

Aye: Councilmember Chahal, Councilmember Hardy, Vice Mayor Jain, and Councilmember Becker
4 -

Nay: 3 - Councilmember Watanabe, Councilmember Park, and Mayor Gillmor Assistant City Clerk Pimentel noted that there were additional e-Comments for Item 10 (RTC 21-1251) and read the following comments into the record:

Public Speaker(s): Caitlin Frates (e-Comment)
Serkan Serkan (e-Comment)
Kevin Wang (e-Comment)
James Kim (e-Comment)
Orit Skorka (e-Comment)
Ryan Luciano (e-Comment) Duanya
Tu (e-Comment)
C F (e-Comment)
Flora Kho (e-Comment)
Venee Cruz (e-Comment)
Shirley Deng (e-Comment)
Leon Li (e-Comment)
Maria Espinosa (e-Comment)
RA Aa (e-Comment)
Anshul Jindal (e-Comment)
Keyhan Sinai (e-Comment)
Property Manager (e-Comment)
Sim Ye (e-Comment)
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REPORTS OF MEMBERS AND SPECIAL COMMITTEES
Councilmember Becker expressed comments of concern regarding a news story printed by Robert Haugh and provided clarification on the statements made in the story.

Councilmember Park expressed comments regarding Robert Haugh's blog.

Vice Mayor Chahal expressed comments of concern regarding Robert Haugh's blog.

Councilmember Becker expressed gratitude for the year with the Council and appreciates the work throughout the year.

Mayor Gillmor expressed comments of concern regarding Council's comments on Robert Haugh's blog.

CITY MANAGER/EXECUTIVE DIRECTOR REPORT

ADJOURNMENT
None.

The meeting was adjourned at 11:48 PM in memory of Hardyal Kaur, Mother-In-Law of Vice Mayor Chahal.

A motion was made by Councilmember Watanabe, seconded by Councilmember Park, to adjourn the meeting.

Aye: Councilmember Watanabe, Vice Mayor Chahal, Councilmember Hardy, Councilmember Park, Councilmember Jain, Councilmember Becker, and Mayor Gillmor
7 -
21-79245 Adjournment of the December 14, 2021 City Council and Stadium Authority Meeting Post Meeting Material
The next regular scheduled meeting is on Tuesday, January 11, 2022.

12/14/2021Joint Council and Authorities Concurrent
& Stadium Authority Meeting
Meeting Minutes
The time limit within which to commence any lawsuit or legal challenge to any quasi-adjudicative decision made by the City is governed by Section 1094.6 of the Code of Civil Procedure, unless a shorter limitation period is specified by any other provision. Under Section 1094.6, any lawsuit or legal challenge to any quasi-adjudicative decision made by the City must be filed no later than the 90th day following the date on which such decision becomes final. Any lawsuit or legal challenge, which is not filed within that 90-day period, will be barred. If a person wishes to challenge the nature of the above section in court, they may be limited to raising only those issues they or someone else raised at the meeting described in this notice, or in written correspondence delivered to the City of Santa Clara, at or prior to the meeting. In addition, judicial challenge may be limited or barred where the interested party has not sought and exhausted all available administrative remedies.

AB23 ANNOUNCEMENT: Members of the Santa Clara Stadium Authority, Sports and Open Space Authority and Housing Authority are entitled to receive $30 for each attended meeting.

Note: The City Council and its associated Authorities meet as separate agencies but in a concurrent manner. Actions taken should be considered actions of only the identified policy body.

LEGEND: City Council (CC); Stadium Authority (SA); Sports and Open Space Authority (SOSA); Housing Authority (HA); Successor Agency to the City of Santa Clara Redevelopment Agency (SARDA); Bayshore North Project Enhancement Authority (BNPEA); Public Facilities Financing Corporation (PFFC)
Public contact was made by posting the Council agenda on the City’s official-notice bulletin board outside City Hall Council Chambers. A complete agenda packet is available on the City’s website and in the City Clerk’s Office at least 72 hours prior to a Regular Meeting and 24 hours prior to a Special Meeting. A hard copy of any agenda report may be requested by contacting the City Clerk’s Office at (408) 615-2220, email [email protected] <mailto:[email protected]> or at the public information desk at any City of Santa Clara public library.

If a member of the public submits a speaker card for any agenda items, their name will appear in the Minutes. If no speaker card is submitted, the Minutes will reflect "Public Speaker."
In accordance with the requirements of Title II of the Americans with Disabilities Act of 1990 ("ADA"), the City of Santa Clara will not discriminate against qualified individuals with disabilities on the basis of disability in its services, programs, or activities, and will ensure that all existing facilities will be made accessible to the maximum extent feasible. The City of Santa Clara will generally, upon request, provide appropriate aids and services leading to effective communication for qualified persons with disabilities including those with speech, hearing, or vision impairments so they can participate equally in the City’s programs, services, and activities. The City of Santa Clara will make all reasonable modifications to policies and programs to ensure that people with disabilities have an equal opportunity to enjoy all of its programs, services, and activities.

Agendas and other written materials distributed during a public meeting that are public record will be made available by the City in an appropriate alternative format. Contact the City Clerk’s Office at 1 408-615-2220 with your request for an alternative format copy of the agenda or other written materials.

Individuals who require an auxiliary aid or service for effective communication, or any other disability-related modification of policies or procedures, or other accommodation, in order to participate in a program, service, or activity of the City of Santa Clara, should contact the City’s ADA Coordinator at 408-615-3000 as soon as possible but no later than 48 hours before the scheduled event.

MEETING DISCLOSURES
City of Santa Clara
Meeting Minutes
Special City Council Meeting
Draft
5:30 PM Virtual Meeting
Special Study Session
01/05/2022
Pursuant to the provisions of Government Code Section 54953(e) and City of Santa Clara Resolution 21-9038, the City Council meeting will be held by teleconference only. No physical location will be available for this meeting; however, the City of Santa Clara continues to have methods for the public to participate remotely:
• Via Zoom:
o https://santaclaraca.zoom.us/j/99706759306
Meeting ID: 997-0675-9306 or
o Phone: 1(669) 900-6833
• Via the City’s eComment (now available during the meeting) • Via email to [email protected]
As always, the public may view the meetings on SantaClaraCA.gov, Santa Clara City Television (Comcast cable channel 15 or AT&T U-verse channel 99), or the livestream on the City’s YouTube channel or Facebook page.

NOTICE IS HEREBY GIVEN that, pursuant to the provisions of California Government Code §54956 (“The Brown Act”) and Section 708 of the Santa Clara City Charter, the Mayor calls for a Special Meeting of the City Council of the City of Santa Clara, to commence and convene on January 5, 2022 at 5:00 pm for a Special Meeting to be held virtually via Zoom, to consider the following matter(s) and to potentially take action with respect to them.
5:30 PM STUDY SESSION
Call to Order
Mayor Gillmor called the meeting to order at 5:31 PM.

01/05/2022Special City Council Meeting Meeting Minutes
Pledge of Allegiance and Statement of Values
Council recited the Pledge of Allegiance.

Councilmember Hardy recited the Statement of Values.

Assistant City Clerk Pimentel read the Statement of Behavioral Standards.

Roll Call
Councilmember Kathy Watanabe, Vice Mayor Raj Chahal,
Councilmember Karen Hardy, Councilmember Kevin Park,
Councilmember Suds Jain, Councilmember Anthony Becker, and Mayor Lisa M. Gillmor

Present: 7 -

01/05/2022Special City Council Meeting Meeting Minutes
22-1342 Update on the Santa Clara Valley Transportation Authority’s BART Silicon Valley Phase II Extension Project
Recommendation: There is no staff recommendation.

Assistant Director of Public Works Liw made some opening remarks on Santa Clara County's Valley Transportation Authority (VTA) Bart Station and introduced the VTA staff to make their presentation.

Takis Salpeas (Chief BART Delivery Officer - VTA), Bernice Alaniz (Director of Communications and Public Affairs - VTA), Erica Wilks (Santa Clara Station Lead - VTA), and Greg Teeball (Project Manager - VTA) gave a PowerPoint presentation.

Council comments and questions followed.

Bernice Alaniz, Takis Salpeas, and Assistant Director of Public Works Liw addressed Council questions.

Public Speaker(s): Dan Ondrasek
Rob Mayer
Patricia Leung
Jeff Houston
Eugene Bradley #7059
Jonathan E Adrian Brandt
cfulhorst
Mary Grizzle
Bernice Alaniz, Erica Wilks, Assistant Director of Public Works Liw, and Assistant City Manager Pineda addressed public comments and questions.

Council comments followed.

Councilmember Park left the meeting at 7:50 PM.

PUBLIC PRESENTATIONS
DY Jung (E-Mail) expressed comments of concern regarding neighborhood safety and security.

REPORTS OF MEMBERS AND SPECIAL COMMITTEES
None.

01/05/2022Special City Council Meeting Meeting Minutes

CITY MANAGER/EXECUTIVE DIRECTOR REPORT
None.

ADJOURNMENT
The meeting was adjourned at 7:56 PM.

A motion was made by Councilmember Becker, seconded by
Councilmember Jain, to adjourn the meeting.

Aye: Councilmember Watanabe, Vice Mayor Chahal, Councilmember Hardy, Councilmember Jain, Councilmember Becker, and Mayor Gillmor
6 -

Absent: Councilmember Park1 -
The next regular scheduled meeting is on Tuesday, January 11, 2022.

01/05/2022Special City Council Meeting Meeting Minutes
The time limit within which to commence any lawsuit or legal challenge to any quasi-adjudicative decision made by the City is governed by Section 1094.6 of the Code of Civil Procedure, unless a shorter limitation period is specified by any other provision. Under Section 1094.6, any lawsuit or legal challenge to any quasi-adjudicative decision made by the City must be filed no later than the 90th day following the date on which such decision becomes final. Any lawsuit or legal challenge, which is not filed within that 90-day period, will be barred. If a person wishes to challenge the nature of the above section in court, they may be limited to raising only those issues they or someone else raised at the meeting described in this notice, or in written correspondence delivered to the City of Santa Clara, at or prior to the meeting. In addition, judicial challenge may be limited or barred where the interested party has not sought and exhausted all available administrative remedies.

AB23 ANNOUNCEMENT: Members of the Santa Clara Stadium Authority, Sports and Open Space Authority and Housing Authority are entitled to receive $30 for each attended meeting.

Note: The City Council and its associated Authorities meet as separate agencies but in a concurrent manner. Actions taken should be considered actions of only the identified policy body.

LEGEND: City Council (CC); Stadium Authority (SA); Sports and Open Space Authority (SOSA); Housing Authority (HA); Successor Agency to the City of Santa Clara Redevelopment Agency (SARDA); Bayshore North Project Enhancement Authority (BNPEA); Public Facilities Financing Corporation (PFFC)
Public contact was made by posting the Council agenda on the City’s official-notice bulletin board outside City Hall Council Chambers. A complete agenda packet is available on the City’s website and in the City Clerk’s Office at least 72 hours prior to a Regular Meeting and 24 hours prior to a Special Meeting. A hard copy of any agenda report may be requested by contacting the City Clerk’s Office at (408) 615-2220, email [email protected] <mailto:[email protected]> or at the public information desk at any City of Santa Clara public library.

If a member of the public submits a speaker card for any agenda items, their name will appear in the Minutes. If no speaker card is submitted, the Minutes will reflect "Public Speaker."
In accordance with the requirements of Title II of the Americans with Disabilities Act of 1990 ("ADA"), the City of Santa Clara will not discriminate against qualified individuals with disabilities on the basis of disability in its services, programs, or activities, and will ensure that all existing facilities will be made accessible to the maximum extent feasible. The City of Santa Clara will generally, upon request, provide appropriate aids and services leading to effective communication for qualified persons with disabilities including those with speech, hearing, or vision impairments so they can participate equally in the City’s programs, services, and activities. The City of Santa Clara will make all reasonable modifications to policies and programs to ensure that people with disabilities have an equal opportunity to enjoy all of its programs, services, and activities.

Agendas and other written materials distributed during a public meeting that are public record will be made available by the City in an appropriate alternative format. Contact the City Clerk’s Office at 1 408-615-2220 with your request for an alternative format copy of the agenda or other written materials.

Individuals who require an auxiliary aid or service for effective communication, or any other disability-related modification of policies or procedures, or other accommodation, in order to participate in a program, service, or activity of the City of Santa Clara, should contact the City’s ADA Coordinator at 408-615-3000 as soon as possible but no later than 48 hours before the scheduled event.

MEETING DISCLOSURES
City of Santa Clara
Agenda Report
1500 Warburton Avenue
Santa Clara, CA 95050
santaclaraca.gov
@SantaClaraCity
22-15 Agenda Date: 3/22/2022

REPORT TO COUNCIL

SUBJECT
Board, Commissions and Committee Minutes

COUNCIL PILLAR
Enhance Community Engagement and Transparency

RECOMMENDATION
Note and file the Minutes of:

Historical and Landmarks Commission - February 3, 2022
Cultural Commission - February 7, 2022
Youth Commission - February 8, 2022
Audit Committee - November 30, 2021
City of Santa Clara Printed on 3/17/2022Page 1 of 1
powered by Legistar™
City of Santa Clara
Meeting Minutes
Historical & Landmarks Commission
Draft
6:00 PM Virtual Meeting02/03/2022
Pursuant to California Government Code section 54953(e) and City of Santa Clara Resolution 22-9042, the Historical and Landmarks Commission meeting will be held by teleconference only.

No physical location will be available for this meeting; however, the City of Santa Clara continues to provide methods for the public to participate remotely:
• Via Zoom:
o https://santaclaraca.zoom.us/j/97233262035 or
o Phone: 1 (669) 900-6833
Webinar ID: 972 3326 2035
Public Comments prior to meeting may be submitted via email to [email protected] no later than noon on the day of the meeting. Clearly indicate the project address, meeting body, and meeting date in the email.

PUBLIC PARTICIPATION IN ZOOM WEBINAR:

Please follow the guidelines below when participating in a Zoom Webinar:
- The meeting will be recorded so you must choose 'continue' to accept and stay in the meeting. - If there is an option to change the phone number to your name when you enter the meeting, please do so as your name will be visible online and will be used to notify you that it is your turn to speak.
- Mute all other audio before speaking. Using multiple devices can cause an audio feedback. - Use the raise your hand feature in Zoom when you would like to speak on an item and lower when finished speaking. Press *9 to raise your hand if you are calling in by phone only. - Identify yourself by name before speaking on an item. - Unmute when called on to speak and mute when done speaking. If there is background noise coming from a participant, they will be muted by the host. Press *6 if you are participating by phone to unmute.
- If you no longer wish to stay in the meeting once your item has been heard, you may leave the meeting.

CALL TO ORDER AND ROLL CALL
Chair Leung called the meeting to order at 6:02 p.m.

Commissioner Amy Kirby, Chair Patricia Leung, Vice Chair Ana Vargas-Smith , Commissioner Kathleen Romano, and Commissioner Ed Stocks
Present 5 -

02/03/2022Historical & Landmarks Commission Meeting Minutes Commissioner Michael Celso , and Commissioner Megan
Swartzwelder
Absent 2 -
Commissioner Swartzwelder later joined the meeting at 6:45 p.m.

A motion was made by Commissioner Vargas-Smith, seconded by Commissioner Romano to excuse Commissioner Celso's and
Commissioner Swartzwelder's absence.

Aye: Commissioner Kirby, Chair Leung, Vice Chair Vargas-Smith, Commissioner Romano, and Commissioner Stocks
5 -
Excused: Commissioner Celso, and Commissioner Swartzwelder2 -

CONSENT CALENDAR

1. 22-146 Historical and Landmarks Commission Minutes of January 6, 2022 Recommendation: Approve the Historical and Landmarks Commission Minutes of January 6, 2022.

A motion was made by Commissioner Romano, seconded by
Commissioner Vargas-Smith to approve the consent calendar.

Aye: Commissioner Kirby, Chair Leung, Vice Chair Vargas-Smith, Commissioner Romano, and Commissioner Stocks
5 -
Excused: Commissioner Celso, and Commissioner Swartzwelder2 -

PUBLIC PRESENTATIONS
None.

GENERAL BUSINESS

2. 22-1724 Significant Property Alteration to allow minor interior alterations to an historic residence located at 1525 Franklin Street
Recommendation:

Recommend that the Historical and Landmarks Commission find that the proposed project located at 1525 Franklin Street does not destroy or have a significant adverse effect on the integrity of the historically designated property; that the alterations are compatible with the existing structure and meets the Secretary of Interior Standards, and recommend approval of the SPA Permit to the Director of Community Development.

Associate Planner Debby Fernandez provided the staff presentation.

Homeowner Percival Roque and Applicant Tom Chan spoke
regarding the project.

A motion was made by Commissioner Romano, seconded by
Commissioner Kirby to close public hearing.

02/03/2022Historical & Landmarks Commission Meeting Minutes

Aye: Commissioner Kirby, Chair Leung, Vice Chair Vargas-Smith, Commissioner Romano, and Commissioner Stocks
5 -
Excused: Commissioner Celso, and Commissioner Swartzwelder2 - A motion was made by Commissioner Romano, seconded by
Commissioner Vargas-Smith to approve staff recommendation.

Aye: Commissioner Kirby, Chair Leung, Vice Chair Vargas-Smith, Commissioner Romano, and Commissioner Stocks
5 -
Excused: Commissioner Celso, and Commissioner Swartzwelder2 -

STAFF REPORT

1. Berryessa Adobe Maintenance
Staff Liaison Jeff Schwilk stated that there weren't any updates to share at this time.

COMMISSIONERS REPORT

1. Subcommittee Reporting - 20 minutes
Commissioners present reported on subcommittee activities.

2. Board and Committee Assignments - 15 minutes
Commissioners present reported on assignments.

Board/Committee Lead/Alternate Santa Clara Arts and Historic Consortium Leung / Romano Historic Preservation Society of Santa Clara Vargas-Smith / Leung Old Quad Residents Association Leung / Romano Development Review Hearing Romano / Vargas-Smith BART/ High Speed Rail/ VTA BRT Committee Vargas-Smith / Swartzwelder Zoning Ordinance Update Romano / Swartzwelder El Camino Real Specific Plan Community Advisory Committee Leung Downtown Revitalization Vargas-Smith / Romano

02/03/2022Historical & Landmarks Commission Meeting Minutes

3. Announcements and Other Items - 10 minutes
Staff Liaison Jeff Schwilk referenced an announcement received from a member of the public, Bill Hare, regarding ideas and plans underway in Santa Clara County for the upcoming celebration of National Preservation Month in May. The Commission requested that staff place discussion of National Preservation Month on the March meeting agenda.

4. Commissioner Travel and Training Requests - 10 minutes None.

ADJOURNMENT
A motion was made by Commissioner Vargas-Smith, seconded by Commissioner Romano to adjourn the meeting.

The meeting adjourned at 6:49 p.m.

The next regular scheduled meeting is on Thursday, March 3, 2022.

Aye: Commissioner Kirby, Chair Leung, Vice Chair Vargas-Smith, Commissioner Swartzwelder, Commissioner Romano, and
Commissioner Stocks
6 -
Excused: Commissioner Celso1 -

02/03/2022Historical & Landmarks Commission Meeting Minutes The time limit within which to commence any lawsuit or legal challenge to any quasi-adjudicative decision made by the City is governed by Section 1094.6 of the Code of Civil Procedure, unless a shorter limitation period is specified by any other provision. Under Section 1094.6, any lawsuit or legal challenge to any quasi-adjudicative decision made by the City must be filed no later than the 90th day following the date on which such decision becomes final. Any lawsuit or legal challenge, which is not filed within that 90-day period, will be barred. If a person wishes to challenge the nature of the above section in court, they may be limited to raising only those issues they or someone else raised at the meeting described in this notice, or in written correspondence delivered to the City of Santa Clara, at or prior to the meeting. In addition, judicial challenge may be limited or barred where the interested party has not sought and exhausted all available administrative remedies.

If a member of the public submits a speaker card for any agenda items, their name will appear in the Minutes. If no speaker card is submitted, the Minutes will reflect "Public Speaker."
In accordance with the requirements of Title II of the Americans with Disabilities Act of 1990 ("ADA"), the City of Santa Clara will not discriminate against qualified individuals with disabilities on the basis of disability in its services, programs, or activities, and will ensure that all existing facilities will be made accessible to the maximum extent feasible. The City of Santa Clara will generally, upon request, provide appropriate aids and services leading to effective communication for qualified persons with disabilities including those with speech, hearing, or vision impairments so they can participate equally in the City’s programs, services, and activities. The City of Santa Clara will make all reasonable modifications to policies and programs to ensure that people with disabilities have an equal opportunity to enjoy all of its programs, services, and activities.

Agendas and other written materials distributed during a public meeting that are public record will be made available by the City in an appropriate alternative format.

Contact the City Clerk’s Office at 1 408-615-2220 with your request for an alternative format copy of the agenda or other written materials.

Individuals who require an auxiliary aid or service for effective communication, or any other disability-related modification of policies or procedures, or other accommodation, in order to participate in a program, service, or activity of the City of Santa Clara, should contact the City’s ADA Coordinator at 408-615-3000 as soon as possible but no later than 48 hours before the scheduled event.

City of Santa Clara
Meeting Minutes
Cultural Commission
Draft
7:00 PM Virtual Meeting02/07/2022
Pursuant to California Government Code Section 54953(e) and City of Santa Clara Resolution 22-9042, the Cultural Commission meeting will be held by teleconference only. No physical location will be available for this meeting; however, the City of Santa Clara continues to have methods for the public to participate remotely:

Via Zoom:
https://santaclaraca.zoom.us/j/98272283531
Webinar ID: 982 7228 3531
Or join by phone: 1-669-900-6833

CALL TO ORDER AND ROLL CALL
The meeting was called to order by Chair von Huene at 7:04 p.m.

Commissioner Siddarth Sundaram, Commissioner Louis Samara, Chair Debra von Huene, Vice Chair Candida Diaz, Commissioner Jonathan Marinaro, Commissioner Paul McNamara, and
Commissioner Jennifer Vega
Present 7 -

CONSENT CALENDAR

1. 22-122 Cultural Commission Regular Meeting Minutes of January 10, 2022 Recommendation: Approve the Cultural Commission Regular Meeting Minutes of January 10, 2022
A motion was made by Commissioner Marinaro, seconded by Commissioner Sundaram that this item be approved. The motion passed with the following vote:

Aye: Commissioner Sundaram, Commissioner Samara, Chair von Huene, Vice Chair Diaz, Commissioner Marinaro, Commissioner McNamara, and Commissioner Vega
7 -

02/07/2022Cultural Commission Meeting Minutes

PUBLIC PRESENTATIONS
None.

GENERAL BUSINESS

02/07/2022Cultural Commission Meeting Minutes

2. 22-124 Discussion of Cultural Commission Work Plan Goals and Activities for FY 2021/22 and FY 2022/23
Recommendation: Provide updates to Cultural Commission Work Plan goals and activities for FY 2021/22 and FY 2022/23.

Commissioners reported the following updates to the Work Plan goals and Activities. The work plan is updated to reflect the reports on each goal:

Goal 1-Host and enhance multicultural events to encourage and acquaint Santa Clara residents with Cultural diversity.

The committee received the list of bands for the summer concert series.

Diverse set of bands. First concert is July 22-Live Oak Park; July 29 and Aug 12-Central Park; Oct 7 and save the date for June 23, 2033-no band.

Pop Fiction is confirmed for the Street Dance on Aug. 5. The team will continue to work on the marketing strategies to promote events. Discussed working with possible vendors. Discussed possible sponsorship opportunities.

Goal 2- Develop and encourage interactive, art opportunities to provide temporary, performing, cultural, and public art in the City.

There is no Public Art recommendation to City Council at this time.

Utility Box Art Project is completed for this year.

Halloween and Home Decorating projects are completed.

Map-is being updated as projects arise.

Surviving Covid-Artist agreements have been submitted. Voting will occur once agreements are returned.

Goal 3- Raise visibility of Commemorative months.

Committee met with the Portuguese community and wants to reach out to other communities in Santa Clara. wants to share the coloring book pages with additional groups. Commissioner Garcia is working on the content for coloring book promotion and is collaborating with the library.

Goal 4-Enhance communication and media strategy to increase community awareness of the Cultural Commission.

Committee members will meet with Recreation Manager Castro regarding events and marketing. Need to pick a date report to Council.

Commissioners discussed the Google Drive and will meet about retention.

Goal 5-Prepare for Citywide Master plan Process
No change in the Master Plan. Applications are accepted in August.

02/07/2022Cultural Commission Meeting Minutes

STAFF REPORT
Recreation Manager Castro mentioned the potential Art Center on Patrick Henry Drive will be on the agenda for the March Commission Meeting. There was discussion about the project on the Dec. 7 City Council Meeting. Staff is working on the 40th Anniversary Art & Wine Festival scheduled for Sept. 17-18. Staff is planning spring and summer classes.

She mentioned that the Commemorative months coloring book is in the City Hall News.

COMMISSIONERS REPORT
Commissioner Marinaro mentioned that he is attending the opera this month and will report back next month.

ADJOURNMENT
A motion was made by Vie Chair Diaz, seconded by Commissioner Marinaro that the meeting be adjourned at 7:40 p.m..

Aye: Commissioner Sundaram, Commissioner Samara, Chair von Huene, Vice Chair Diaz, Commissioner Marinaro, Commissioner McNamara, and Commissioner Vega
7 -

02/07/2022Cultural Commission Meeting Minutes
The time limit within which to commence any lawsuit or legal challenge to any quasi-adjudicative decision made by the City is governed by Section 1094.6 of the Code of Civil Procedure, unless a shorter limitation period is specified by any other provision. Under Section 1094.6, any lawsuit or legal challenge to any quasi-adjudicative decision made by the City must be filed no later than the 90th day following the date on which such decision becomes final. Any lawsuit or legal challenge, which is not filed within that 90-day period, will be barred. If a person wishes to challenge the nature of the above section in court, they may be limited to raising only those issues they or someone else raised at the meeting described in this notice, or in written correspondence delivered to the City of Santa Clara, at or prior to the meeting. In addition, judicial challenge may be limited or barred where the interested party has not sought and exhausted all available administrative remedies.

If a member of the public submits a speaker card for any agenda items, their name will appear in the Minutes. If no speaker card is submitted, the Minutes will reflect "Public Speaker."
In accordance with the requirements of Title II of the Americans with Disabilities Act of 1990 ("ADA"), the City of Santa Clara will not discriminate against qualified individuals with disabilities on the basis of disability in its services, programs, or activities, and will ensure that all existing facilities will be made accessible to the maximum extent feasible. The City of Santa Clara will generally, upon request, provide appropriate aids and services leading to effective communication for qualified persons with disabilities including those with speech, hearing, or vision impairments so they can participate equally in the City’s programs, services, and activities. The City of Santa Clara will make all reasonable modifications to policies and programs to ensure that people with disabilities have an equal opportunity to enjoy all of its programs, services, and activities.

Agendas and other written materials distributed during a public meeting that are public record will be made available by the City in an appropriate alternative format.

Contact the City Clerk’s Office at 1 408-615-2220 with your request for an alternative format copy of the agenda or other written materials.

Individuals who require an auxiliary aid or service for effective communication, or any other disability-related modification of policies or procedures, or other accommodation, in order to participate in a program, service, or activity of the City of Santa Clara, should contact the City’s ADA Coordinator at 408-615-3000 as soon as possible but no later than 48 hours before the scheduled event.

City of Santa Clara
Meeting Minutes
Youth Commission
Draft
6:00 PM Virtual Meeting02/08/2022
Pursuant to California Government Code Section 54953(e) and City of Santa Clara Resolution 22-9042, the Youth Commission meeting will be held by teleconference only. No physical location will be available for this meeting; however, the City of Santa Clara continues to have methods for the public to participate remotely:

Join from a PC, Mac, iPad, iPhone or Android device:

Please click this URL to join. https://santaclaraca.zoom.us/j/84220118204 Or One tap mobile:
+16699006833,,84220118204# US (San Jose)

CALL TO ORDER AND ROLL CALL
Chair Ismail called the meeting to order at 6:10 p.m.

Commissioner Aarav Gupta , Commissioner Ahmad Ismail,
Commissioner Hiranya Parekh, Commissioner Jasmine Kelly-Tanti, Commissioner Kaitlyn Butcher, Commissioner Khadeejah Khan, Commissioner Malia Martin, Commissioner Mitali Gaidhani, Commissioner Mitchell Blanda, Commissioner Rajvi Khanjan Shroff, Commissioner Rishith Gopisetti, Commissioner Samarth Suresh, and Commissioner Sarah Zuo
Present 13 -
Commissioner Palak Parikh , and Commissioner Riya MehtaAbsent 2 - A motion was made by Commissioner Blanda, seconded by
Commissioner Martin, to excuse Commissioners Mehta and Parikh from the February 8, 2022 meeting. The motion carried by the following vote:

Aye: Commissioner Gupta, Commissioner Ismail, Commissioner Parekh, Commissioner Kelly-Tanti, Commissioner Butcher, Commissioner Khan, Commissioner Martin, Commissioner Gaidhani, Commissioner Blanda, Commissioner Shroff, Commissioner Gopisetti,
Commissioner Suresh, and Commissioner Zuo
13 -
Excused: Commissioner Parikh, and Commissioner Mehta2 -

02/08/2022Youth Commission Meeting Minutes

CONSENT CALENDAR

1.A 22-120 Youth Commission Minutes of January 11, 2022 Recommendation: Approve the Youth Commission Minutes of January 11, 2022.

A motion was made by Commissioner Gupta, seconded by
Commissioner Parekh, that this item be recommended for approval.

The motion carried by the following vote:

Aye: Commissioner Gupta, Commissioner Ismail, Commissioner Parekh, Commissioner Kelly-Tanti, Commissioner Butcher, Commissioner Khan, Commissioner Martin, Commissioner Gaidhani, Commissioner Blanda, Commissioner Shroff, Commissioner Gopisetti,
Commissioner Suresh, and Commissioner Zuo
13 -
Excused: Commissioner Parikh, and Commissioner Mehta2 -

PUBLIC PRESENTATIONS
None

GENERAL BUSINESS

2. 22-121 Youth Commission Committee Reports on Work Plan Goals for FY2021/22 The Youth Commission's FY2021/22 work plan will include themes of community building, youth empowerment, and youth outreach. Each theme will have a committee comprised of Youth Commissioners to plan activities to deliver to the community.

Community Building Committee: Discussed shifting from a large, in-person event to compiling video segments from local, cultural community groups and organizations to share. Segments may focus on traditional performances and food. The next committee meeting will be held on Wednesday, February 16 at 6:00 p.m.

Youth Empowerment Committee: Discussed creating a podcast covering multiple, youth-centric topics hosted by committee members. Members are researching best practices on creating podcasts and which platform(s) to host episodes. The next committee meeting will be held on Monday, February 14 at 6:30 p.m.

Youth Outreach Committee: Will be creating packages of gratitude to share with local teachers comprised of donated items from local businesses.

Members hope to have packages ready for distribution by the end of February. The next meeting will be held on Thursday, February 17 at 6:00 p.m.
02/08/2022Youth Commission Meeting Minutes

STAFF REPORT
Jon Kawada, Staff Liaison: The 2022/23 term applications for Youth Commission will be available on February 14 and will be due on March 14, 2022. Reminder that the April monthly meeting of the Youth Commission will be on Tuesday, April 5. Approximately three to four Commissioners will be asked to volunteer at the Breakfast with the Bunny activity at the Senior Center on Saturday, April 9.

Gayle Ichiho, Recreation Supervisor: Roberta Jones Junior Theatre's production of Seussical will be held on March 18, 19, 25 and 26, Kids Rock at the Walter E. Schmidt Youth Activity Center will be on Friday, February 11, and the Parks & Recreation Department is hiring Recreation Leaders for various positions. Visit www.SantaClaraCA.gov/ParksandRec for more info on activities and classes.

Rachel Hughes, Librarian: Shel Grinstead is the new Teen Librarian at Central Library and will be attending Youth Commission meetings, Library branches are currently closed, 'zine making from March 1-13 will be offered for drop-in at Central Library or for take-home, and teen volunteer opportunities are available in various areas. Visit www.SCLibrary.org for more information on current services and volunteer openings.

COMMISSIONERS REPORT
None

ADJOURNMENT
A motion was made by Commissioner Martin, seconded by
Commissioner Blanda, that this meeting be adjourned at 6:38 p.m.

02/08/2022Youth Commission Meeting Minutes
The time limit within which to commence any lawsuit or legal challenge to any quasi-adjudicative decision made by the City is governed by Section 1094.6 of the Code of Civil Procedure, unless a shorter limitation period is specified by any other provision. Under Section 1094.6, any lawsuit or legal challenge to any quasi-adjudicative decision made by the City must be filed no later than the 90th day following the date on which such decision becomes final. Any lawsuit or legal challenge, which is not filed within that 90-day period, will be barred. If a person wishes to challenge the nature of the above section in court, they may be limited to raising only those issues they or someone else raised at the meeting described in this notice, or in written correspondence delivered to the City of Santa Clara, at or prior to the meeting. In addition, judicial challenge may be limited or barred where the interested party has not sought and exhausted all available administrative remedies.

If a member of the public submits a speaker card for any agenda items, their name will appear in the Minutes. If no speaker card is submitted, the Minutes will reflect "Public Speaker."
In accordance with the requirements of Title II of the Americans with Disabilities Act of 1990 ("ADA"), the City of Santa Clara will not discriminate against qualified individuals with disabilities on the basis of disability in its services, programs, or activities, and will ensure that all existing facilities will be made accessible to the maximum extent feasible. The City of Santa Clara will generally, upon request, provide appropriate aids and services leading to effective communication for qualified persons with disabilities including those with speech, hearing, or vision impairments so they can participate equally in the City’s programs, services, and activities. The City of Santa Clara will make all reasonable modifications to policies and programs to ensure that people with disabilities have an equal opportunity to enjoy all of its programs, services, and activities.

Agendas and other written materials distributed during a public meeting that are public record will be made available by the City in an appropriate alternative format.

Contact the City Clerk’s Office at 1 408-615-2220 with your request for an alternative format copy of the agenda or other written materials.

Individuals who require an auxiliary aid or service for effective communication, or any other disability-related modification of policies or procedures, or other accommodation, in order to participate in a program, service, or activity of the City of Santa Clara, should contact the City’s ADA Coordinator at 408-615-3000 as soon as possible but no later than 48 hours before the scheduled event.

City of Santa Clara
Meeting Minutes
Audit Committee
Draft
3:00 PM Virtual Meeting11/30/2021
Pursuant to the provisions of California Governor’s Executive Order N-29-20, issued on March 17, 2020, to prevent the spread of COVID-19, the City of Santa Clara has implemented methods for the public to participate remotely:

Join from a PC, Mac, iPad, iPhone or Android device:

Please click this URL to join: https://santaclaraca.zoom.us/j/99199624617 Webinar ID: 991 9962 4617
Or join by phone:

US: +1 669 900 6833

CALL TO ORDER AND ROLL CALL
Chairperson Watanabe called the meeting to order at 3:05 P.M.

Chair Kathy Watanabe, Member Sudhanshu Jain, and Member Kevin Park
Present 3 -

CONSENT CALENDAR

1. 21-1516 Audit Committee Minutes
Recommendation: Approve the Audit Committee minutes of September 16, 2021.

A motion was made by Member Jain, seconded by Member Park, to approve staff recommendation. The motion carried by the following vote:

Aye: Chair Watanabe, Member Jain, and Member Park3 -

PUBLIC PRESENTATIONS
None.

GENERAL BUSINESS

11/30/2021Audit Committee Meeting Minutes

2. 21-1518 Overview of the Draft City of Santa Clara Audited Annual Comprehensive Financial Report (ACFR) and Audited Silicon Valley Power (SVP) Financial Statements for Fiscal Year Ended June 30, 2021 Recommendation:

Accept the City of Santa Clara Audited Annual Comprehensive Financial Report and Silicon Valley Power Financial Statements for Fiscal Year Ended June 30, 2021 and recommend that the reports are forwarded for note and file to the full Council at the December 14, 2021 Council and Authorities Concurrent meeting.

A motion was made by Member Jain, seconded by Member Park, to approve staff recommendation. The motion carried by the following vote:

Aye: Chair Watanabe, Member Jain, and Member Park3 -

ADJOURNMENT
Chairperson Watanabe adjourned the meeting at 3:54 P.M.

Future Audit Committee Meetings will be scheduled at a later date.

11/30/2021Audit Committee Meeting Minutes
The time limit within which to commence any lawsuit or legal challenge to any quasi-adjudicative decision made by the City is governed by Section 1094.6 of the Code of Civil Procedure, unless a shorter limitation period is specified by any other provision. Under Section 1094.6, any lawsuit or legal challenge to any quasi-adjudicative decision made by the City must be filed no later than the 90th day following the date on which such decision becomes final. Any lawsuit or legal challenge, which is not filed within that 90-day period, will be barred. If a person wishes to challenge the nature of the above section in court, they may be limited to raising only those issues they or someone else raised at the meeting described in this notice, or in written correspondence delivered to the City of Santa Clara, at or prior to the meeting. In addition, judicial challenge may be limited or barred where the interested party has not sought and exhausted all available administrative remedies.

If a member of the public submits a speaker card for any agenda items, their name will appear in the Minutes. If no speaker card is submitted, the Minutes will reflect "Public Speaker."
In accordance with the requirements of Title II of the Americans with Disabilities Act of 1990 ("ADA"), the City of Santa Clara will not discriminate against qualified individuals with disabilities on the basis of disability in its services, programs, or activities, and will ensure that all existing facilities will be made accessible to the maximum extent feasible. The City of Santa Clara will generally, upon request, provide appropriate aids and services leading to effective communication for qualified persons with disabilities including those with speech, hearing, or vision impairments so they can participate equally in the City’s programs, services, and activities. The City of Santa Clara will make all reasonable modifications to policies and programs to ensure that people with disabilities have an equal opportunity to enjoy all of its programs, services, and activities.

Agendas and other written materials distributed during a public meeting that are public record will be made available by the City in an appropriate alternative format.

Contact the City Clerk’s Office at 1 408-615-2220 with your request for an alternative format copy of the agenda or other written materials.

Individuals who require an auxiliary aid or service for effective communication, or any other disability-related modification of policies or procedures, or other accommodation, in order to participate in a program, service, or activity of the City of Santa Clara, should contact the City’s ADA Coordinator at 408-615-3000 as soon as possible but no later than 48 hours before the scheduled event.

City of Santa Clara
Agenda Report
1500 Warburton Avenue
Santa Clara, CA 95050
santaclaraca.gov
@SantaClaraCity
22-305 Agenda Date: 3/22/2022

REPORT TO COUNCIL

SUBJECT
Action on Monthly Financial Status and Investment Report for December 2021 and Approve Related Budget Amendments

COUNCIL PILLAR
Enhance Community Engagement and Transparency

BACKGROUND
In compliance with the Charter of the City of Santa Clara and the adopted Investment Policy, the monthly financial report and monthly investment report for December 2021 are submitted for your information. The financial review as of December 31, 2021 provides a year-to-date financial update to the City Council for the current fiscal year. The analysis of the revenues collected and all expenditures measures the level of adherence to the established resource allocation plan and allows the City to monitor and project revenues and expenditures throughout the year.

The Adopted Budget incorporates the estimated revenues and planned expenditures for all funds.

The attached Financial Status Report provides the budget to actual revenue and expenditure summaries for the General Fund, Special Revenue Funds and Enterprise Operating Funds, as well as expenditure summary for Capital Improvement Funds and Fund Reserve Balances. Any significant variances are explained in the report.

In accordance with City Council Policy 051 - Donations to the City, included in this report is a monthly activity and annual summary of donations received by department. Although the requirement of the policy is to report quarterly, in its ongoing effort to streamline reporting, the City will include this information monthly in the financial status report.

DISCUSSION
Monthly Financial Status Report (Attachment 1)
The attached report summarizes the City’s financial performance as of December 31, 2021. Financial analysis for the report is provided for the General Fund, select Special Revenue Funds, Enterprise Operating Funds, and Capital Improvement Funds.

Attachment 1 shows that General Fund revenues were trending below budget at 31.1% through December 2021. While revenue collections are tracking slightly below the budgeted estimate, collections are higher when compared to collections last fiscal year. Concerns remain regarding longer term impacts of COVID-19 on City revenues, particularly Transient Occupancy Tax collections.

As shown in Attachment 1, General Fund departmental expenditures were at 44.7% of budget City of Santa Clara Printed on 3/15/2022Page 1 of 4
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22-305 Agenda Date: 3/22/2022
through December 2021. Several cost-control measures that were implemented in FY 2019/20 remain in place to generate expenditure savings to partially offset the drop in revenues associated with COVID-19. These measures include a hiring freeze and controls around overtime, as-needed staff, marketing, travel, technology, and vehicle purchases. Expenditure savings are expected by year -end.

As shown in Attachment 1, total revenues through December 2021 for Enterprise Funds (Electric, Water, Sewer, Cemetery, Solid Waste, and Water Recycling) were at 43.5% of the budget while total expenses were at 46.7% of the budget.

In the month of December, the City received $1,100 in donations, for total donations of $89,590.

Many economic indicators have improved significantly since the start of the pandemic, but some have not returned to pre-pandemic levels. On a national level, the unemployment rate slightly increased to 4.0% in January 2022 from 3.9% in December 2021. This rate was well below the record setting high of 14.7% in April 2020, but above the pre-pandemic unemployment rate of 3.5%.

In December, the number of unemployed persons rose slightly from 6.3 million to 6.5 million in January. This unemployment figure continues to remain above the pre-pandemic level of 5.7 million.

In the fourth quarter 2021 advance estimate, the Gross Domestic Product (GDP) increased by 6.9%, following a GDP increase of 2.3% in the third quarter. While GDP has now surpassed the pre-COVID peak in the second quarter 2021, it has not yet reached the pre-pandemic trend. Per the December 2021 UCLA Anderson Forecast, GDP is not expected to reach the pre-COVID trend until the third quarter 2022. The December 2021 UCLA Forecast also assumed continued strong economic growth and labor market recovery with a lessening of supply constraints and inflation. There was caution with the Omicron variant that may temporarily derail the forecast; however, it was too early to tell.

Improvement continues at the State and local level. After the State’s largest increase in the unemployment rate in April 2020, the California unemployment rate dropped to 6.5% in December 2021. California has now regained 1.95 million jobs, or 72% of the 2.71 million jobs lost due to COVID-19 in March and April 2020. The unemployment rate in this region continues to outperform the State and the nation. The unadjusted unemployment rate in the San Jose-Sunnyvale-Santa Clara Metropolitan Statistical Area (MSA) was 3.0% in December 2021, down from a revised 3.2% in November 2021 and 6.0% in December 2020 but above the February 2020 level of 2.6%.

Staff will continue to closely monitor the General Fund revenues and the City’s overall financial performance as the fiscal year progresses.

Monthly Investment Report (Attachment 2)
All securities held by the City of Santa Clara as of December 31, 2021 were in compliance with the City’s Investment Policy Statement regarding current market strategy and long-term goals and objectives. All securities held are rated “A” or higher by two nationally recognized rating agencies.

There is adequate cash flow and maturity of investments to meet the City’s needs for the next six months.

The City’s investment strategy for December 2021 was to invest funds not required to meet current obligations in securities listed in the prevailing Investment Policy Statement, with maturities not to exceed five years form the date of purchase. This strategy ensures safety of the City’s funds, provides liquidity to meet the City’s cash needs, and with a reasonable portfolio return of 1.21% in City of Santa Clara Printed on 3/15/2022Page 2 of 4
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22-305 Agenda Date: 3/22/2022
December.

ENVIRONMENTAL REVIEW
The action being considered does not constitute a “project” within the meaning of the California Environmental Quality Act (“CEQA”) pursuant to CEQA Guidelines section 15378(b)(4) in that it is a fiscal activity that does not involve any commitment to any specific project which may result in a potential significant impact on the environment.

FISCAL IMPACT
From time to time, adjustments to the budget are required to reflect new information, align budgets with actual revenues and expenses, and correct for inadvertent errors. As detailed in Attachment 3, budget amendments are recommended in the General Fund as well as other operating and capital funds. Following are some highlights:
· In the General Fund, amendments correct a position allocation in the Department of Public Works (DPW) and adjust transfer amounts for the General Government Capital Fund, Public Works Capital Project Management Fund, Storm Drain Capital Fund, and the Parks and Recreation Capital Fund.
· In the General Fund, Public Donations Fund, and Cemetery Fund, additional revenue is appropriated.
· The internal service allocations for DPW in the Convention Center Maintenance District Fund and the Information Technology Services Fund are adjusted. · In the Fire Department Capital Fund, a revenue estimate and corresponding project appropriation is eliminated, as these funds were received and expended in the Fire Department Operating Grant Trust Fund.
· In the Public, Education and Governmental (PEG) Fee Fund, amendments fund equipment replacement.
· In the Parks and Recreation Capital Fund, the fee revenue estimates are adjusted as well as the associated loan repayment to the General Fund Land Sale Reserve to move from budgeting estimated Mitigation Fee Act and Quimby Act revenue to budgeting actual revenue; revenues and the associated loan repayment for the Reed Street - Grant Street Sports Park project will be appropriated at the end of the year based on actual receipts. Amendments are also included to allocate additional revenue to the Park Improvements project and shift the funding source for the Warburton Park Playground project.
· In the Gas Tax, Streets and Highways Capital, Traffic Mitigation, and Traffic Fair Share Funds, actions are included to shift the funding allocations for the Multimodal Improvement Plan Phase 1 project, the Multimodal Improvement Plan Phase 2 project, and the HAWK Beacon on Scott and Harrison project.
· In the Streets and Highways Capital Fund, funding is added to the Pedestrian and Bicycle Enhancement Facilities project to reflect the return of unused funds to this project. Balances from unused project funds are also returned to the Gas Tax Fund.

City of Santa Clara Printed on 3/15/2022Page 3 of 4
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22-305 Agenda Date: 3/22/2022

COORDINATION
This report has been coordinated with the City Attorney’s Office.

PUBLIC CONTACT
Public contact was made by posting the Council agenda on the City’s official-notice bulletin board outside City Hall Council Chambers. A complete agenda packet is available on the City’s website and in the City Clerk’s Office at least 72 hours prior to a Regular Meeting and 24 hours prior to a Special Meeting. A hard copy of any agenda report may be requested by contacting the City Clerk’s Office at (408) 615-2220, email [email protected]
.

RECOMMENDATION
Note and file the Monthly Financial Status and Investment Reports for November 2021 as presented and Approve Related Budget Amendments in various funds requiring five affirmative votes and consistent with City Charter Section 1305, “At any meeting after the adoption of the budget, the City Council may amend or supplement the budget by motion adopted by the affirmative votes of at least five members so as to authorize the transfer of unused balances appropriated for one purpose to another purpose, or to appropriate available revenue not included in the budget,” as noted for each individual item in Attachment 3.

Reviewed by: Kenn Lee, Director of Finance
Approved by: City Manager’s Office

ATTACHMENTS

1. Monthly Financial Status Report December 2021

2. Monthly Investment Report December 2021

3. FY 2021/22 Budget Amendments
City of Santa Clara Printed on 3/15/2022Page 4 of 4
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FY 2021/22 Budget Amendments
Fund Source of Funds Use of Funds
General Fund ($2,323,955) ($2,323,955)
Convention Center Maintenance District Fund $0 $0
Fire Department Capital Fund ($15,208) ($15,208)
Gas Tax Fund $174,297 $174,297
General Government Capital Fund $0 $0
Information Technology Services Fund ($22,371) ($22,37 1) Parks and Recreation Capital Fund ($10,705,084) ($10,705,084) Public Donations Fund $2,500 $2,500
Public, Educational and Governmenta l (PEG) $0 $0
Fee Fund
Public Works Capital Project Management $0 $0
Fund
Storm Drain Capital Fund $0 $0
Streets and Highways Capital Fund $946,000 $946,000
Traffic Fair Share Fund $1,816 ,220 $1,816 ,220
Traffic Mitiqation Fund $459,780 $459,780
Total Net Budget Change ($9,667,821) ($9,667,821)

_____________________________________________________________________

MONTHLY FINANCIAL STATUS REPORT

December 2021

City of
Santa Clara
The Center of What 's Possible

1 City of Santa Clara
Financial Status Report as of December 31, 2021

This report summarizes the City’s financial performance for the month ended December 31, 2021.

Financial analysis for the report is provided for the General Fund, select Special Revenue Funds, Enterprise Operating Funds, and Capital Improvement Funds. Financial information included in this report is unaudited.

General Fund
The General Fund is the major operating fund for the City and includes multiple programs, services, and activities for the residents and businesses of the City. The adopted budget for operating revenues and expenditures for fiscal year 2021/22 was $289.3 million. The amended budget for revenues and expenditures was amended to $295.4 million to reflect carryover appropriations from fiscal year 2020/21 and various budget amendments approved by the City Council through December 2021.

Halfway through the fiscal year, General Fund revenues are currently tracking below estimated levels.

Concerns remain regarding continued impacts of COVID-19 as the Omicron variant and vaccine hesitancy may impact the speed of recovery. Through December, expenditures are tracking below budget and this trend is expected to continue as departments continue to control expenditures through various cost control measures.

Many economic indicators have improved significantly since the start of the pandemic, but some have not returned to pre-pandemic levels. On a national level, the unemployment rate remained relatively flat, increasing from 3.9% in December 2021 to 4.0% in January 2022. This rate was well below the record setting high of 14.7% in April 2020, but slightly above the pre-pandemic unemployment rate of

3.5%. In January, the number of unemployed persons slightly increased from 6.3 million in December 2021 to 6.5 million. This unemployment figure remains above the pre-pandemic level of 5.7 million.1

In the fourth quarter 2021 advance estimate, the Gross Domestic Product (GDP) increased by 6.9%, following a GDP increase of 2.3% in the third quarter. In calendar year 2021, the GDP increase in the

1 https://www.bls.gov/news.release/pdf/empsit.pdf

Chart 1 •. Unemp loy.ment r.ate, seasona lly adj-.i,smd!, January 2020, - January 2022
Percent

16.0 1d.0

12.0 10.0

8.0 6.0
d.O ,...

J
,.
'\
' \.
'-........ -
~
-
~
Chart 2. Hoitt.arm pa)'l'OII e.mploymant, saa.sonally adjust.ad, an ua-iy .:20120 - Jan.uary zo,22
'ThcuEillOIJ:9
160,0CIO
155,000
150,000
145,000
140,000
135,000
130,000

2.0 125,000
-.211 Apr-20 Jul.:20 Od-20 Jan.21 Apr-2:1 Jul.:21 Od-2 .1 Jal\.22 Jani.2ll A,pr.2 □ Jul-20 O!il..20 Jar..21 Apr.21 .!11.11.21 OOl.2:1 .!lan.22

2 City of Santa Clara
Financial Status Report as of December 31, 2021

first quarter reflected efforts to reopen businesses and resume some activities amidst COVID-19 safety precautions. The second quarter reflected increases in consumer spending, exports and local and State government spending. In the third quarter, the resurgence of COVID-19 cases resulted in new restrictions and delays in reopening businesses in some parts of the country. The fourth quarter estimate reflects increases in exports, private inventory investments, and personal consumption expenditures.2

While GDP has now surpassed the pre-COVID peak in the second quarter 2021, it has not yet reached the pre-pandemic trend. Per the December 2021 UCLA Anderson Forecast, GDP is not expected to reach the pre-COVID trend until the third quarter 2022. On an annual basis, the UCLA Forecast projects GDP growth of

5.6% in 2021, 4.2% in
2022, and 2.7% in 2023.
“Overall, our forecast is
for continued strong
economic growth and
labor market recovery,
with a lessening of
supply constraints and
inflation. Omicron may
temporarily derail this
forecast, but it’s too
soon to tell.”
3 Improvement continues at the State and local level. After the State’s largest increase in the unemployment rate in April 2020, the California unemployment rate dropped slightly to 6.5% in

2 https://www.bea.gov/sites/default/files/2022-01/gdp4q21_adv.pdf 3 UCLA Anderson Forecast, December 2021
35 25
15 5
-5,
-15
-25
-35
Reali GDP: P1erQenrt change from p:rec-edmg quarter
01 OL QJ Q4 Ql
2018
02 03
20:ll9
Q4 Ql 1..l.2 03

2.020
Q4 Ql 1..l,! <-l.3 Q4
20 21
U.S. Bureau o Economic Ana lysis Seasonalj, adjusted at annual rates Exhibit 3: Real GDP Levels, Annual Rates, Billions of Chained 2012$ 21,000
20,500
20,000
19,500
19,000
18,500
18,000
17,500
17,000
Forecast ➔
o ~---------------------------2016 2017 2018 2019 2020 202 1 2022 2023 Source: UCLA Anderson Forecast and Oxford Economics

3 City of Santa Clara
Financial Status Report as of December 31, 2021

December 2021. With the continued addition of jobs, California has now regained 1.95 million jobs, or nearly 72% of the 2.71 million jobs lost due to COVID-19 in March and April 2020.4 The unadjusted unemployment rate in the San José-Sunnyvale-Santa Clara Metropolitan Statistical Area (MSA) was 3.0% in December 2021, down from a revised 3.2% in November 2021 and the December 2020 level of 6.0% but higher than the February 2020 level of 2.6%. Between December 2020 and December 2021, employment in this region increased by 64,000 jobs, or 6.0%.The largest increases were in leisure and hospitality (up 24,300 jobs), professional and business services (up 12,700 jobs), and private educational and health services (up 9,700 jobs).5 Staff will continue to closely monitor the economic environment and the City’s financial performance and provide updates through the Monthly Financial Reports.

4 https://www.edd.ca.gov/newsroom/unemployment-december-2021.htm 5 https://www.labormarketinfo.edd.ca.gov/file/lfmonth/sjos$pds.pdf

4 City of Santa Clara
Financial Status Report as of December 31, 2021

General Fund Revenues
As of December 31, 2021, $78.0 million or 31.1% of the General Fund estimated revenue (excluding transfers) was received. Transfers and use of reserves of $44.4 million have occurred as budgeted.

While revenue collections are tracking below the budgeted estimate, collections are higher when compared to collections last fiscal year (excluding various permits collections that are now deposited into the new Building Development Services Fund and transfers).

Adopted Budget
Amended
Budget
Actual Through
12/31/2021
Percentage
Received
Actual Through
12/31/2020
$
Change From
Prior Year
Percentage
Change
TAXES
Sales Tax 58,183,000$ 58,183,000$ 18,592,585$ 31.96% 19,640,576$ (1,047,991)$ -5.34% Property Tax 71,559,000 71,559,000 19,061,389 26.64% 18,393,872 667,517 3.63% Transient Occupancy Tax 9,000,000 9,000,000 2,497,314 27.75% 907,660 1,589,654 175.14% Other Taxes 6,080,000 6,080,000 1,714,502 28.20% 1,667,942 46,560 2.79% Total Taxes 144,822,000 144,822,000 41,865,790 28.91% 40,610,050 1,255,740 3.09%

LICENSES & PERMITS
Business Licenses 900,000 900,000 414,741 46.08% 423,191 (8,450) -2.00% Fire Operation Permits 2,200,000 2,200,000 930,380 42.29% 892,848 37,532 4.20% Building Permits - - - N/A 3,777,049 (3,777,049) -100.00% Electric Permits - - - N/A 715,617 (715,617) -100.00% Plumbing Permits - - - N/A 484,042 (484,042) -100.00% Mechanical Permits - - - N/A 549,309 (549,309) -100.00% Miscellaneous Permits 60,000 60,000 36,200 60.33% 29,162 7,038 24.13% Total Licenses & Permits 3,160,000 3,160,000 1,381,321 43.71% 6,871,218 (5,489,897) -79.90% FINES & PENALTIES 1,496,135 1,496,135 166,995 11.16% 206,359 (39,364) -19.08% INTERGOVERNMENTAL 26,205,801 26,535,801 157,731 0.59% 116,751 40,980 35.10% CHARGES FOR SERVICES 30,003,443 30,003,443 14,226,218 47.42% 14,576,902 (350,684) -2.41% SILICON VALLEY POWER TRANSFER 24,700,000 24,700,000 12,886,688 52.17% 12,171,743 714,945 5.87%

USE OF MONEY & PROPERTY
Interest 2,600,000 2,600,000 567,271 21.82% 447,933 119,338 26.64% Rent 9,115,722 9,298,022 4,811,471 51.75% 4,100,831 710,640 17.33% Total Use of Money & Property 11,715,722 11,898,022 5,378,742 45.21% 4,548,764 829,978 18.25% MISCELLANEOUS REVENUES 198,000 198,000 308,331 155.72% 187,537 120,794 64.41%

LAND PROCEED - - - N/A - - N/A

OTHER FINANCING SOURCES
Operating Transfer In - Storm Drain 1,454,000 1,454,000 1,454,000 100.00% 1,460,000 (6,000) -0.41% Operating Transfer In - Reserves 32,390,871 32,742,785 32,742,785 100.00% 39,468,333 (6,725,548) -17.04% Operating Transfer In - Fund Balances(1) - 4,817,658 4,817,658 100.00% 4,273,692 543,966 12.73% Operating Transfer In - Miscellaneous 5,005,399 5,427,399 5,427,399 100.00% 3,547,419 1,879,980 53.00% Total Other Financing Sources 38,850,270 44,441,842 44,441,842 100.00% 48,749,444 (4,307,602) -8.84%

STADIUM OPERATION
Charges for Services 7,466,069 7,466,069 1,616,734 21.65% 1,453,524 163,210 11.23% Rent and Licensing 717,500 717,500 39,691 5.53% 26,451 13,240 50.05% Total Stadium Operation 8,183,569 8,183,569 1,656,425 20.24% 1,479,975 176,450 11.92% TOTAL GENERAL FUND 289,334,940$ 295,438,812$ 122,470,084$ 41.45% 129,518,744$ (7,048,660)$ -5.44% (1) The Operating Transfer In - Fund Balances includes the carryover encumbrances of open purchase orders as of June 30, 2021 and mid year budget amendment from reserves.

Function

CITY OF SANTA CLARA

GENERAL FUND

REVENUES OVERVIEW AND COMPARISON BY TYPE
FISCAL YEAR 2021/22 PY REVENUE COMPARISON

5 City of Santa Clara
Financial Status Report as of December 31, 2021

General Fund Revenues
Sales Tax: The City of Santa Clara sales tax rate is 9.0%, of which the City receives 1.0%. As of December 31, 2021, $18.6 million has been collected, which is down $1.0 million or 5.3% from the prior year level and is based on performance through the first quarter of the fiscal year and an advance payment for the second quarter. While not reflected in the collections through December, the City has received information on the cash receipts for second quarter of the fiscal year, which reflects growth of

14.8%. Overall, receipts are up 4.6% through the first two quarters of FY 2021/22. Internet sales represents a sizeable amount of the City’s sales tax revenue. The County pool, which includes internet sales, accounts for approximately 20% of the sales tax the City receives. Overall, annual Sales Tax growth of 3.6% is needed to meet the budgeted estimate of $58.2 million. Based on collections to date, receipts are projected to meet the budget.

Property Tax: Through December, 26.6% of the property tax budgeted estimate has been received.

The majority of property tax revenue is collected in February and April each year. Based on information from the County of Santa Clara, property tax receipts are projected to end the year at or slightly above the Adopted Budget estimate of $71.6 million.

Transient Occupancy Tax (TOT): TOT is calculated as a percentage of City hotel/motel room charges. The City’s current TOT rate is 9.5%. This rate increased to 11.5% in January 2022. Through December 31, 2021, approximately $2.5 million has been received, which is significantly higher than receipts through the same period last fiscal year of only $0.9 million. However, receipts remain 66% below the pre-COVID 19 level of $7.3 million received through December 2019. As businesses continue to reopen, it is anticipated that TOT will continue to increase compared to last fiscal year. To meet the budgeted estimate, collections will need to triple from just under $3.0 million in FY 2020/21 to $9.0 million in FY 2021/22. With the January 2022 rate increase, TOT receipts are projected to end the year close to the budgeted estimate.

Other Taxes: Includes franchise tax and documentary transfer tax. The City has collected $1.7 million through December, which is 2.8% above receipts received through the same period last fiscal year.

While receipts in the documentary transfer tax are tracking above levels collected through the same period last fiscal year, receipts in the franchise tax category are lower than prior year levels. Growth of

4.4% is needed to meet the budgeted estimate of $6.1 million. Collections are projected to end the year close to the budgeted estimate.

Licenses & Permits: Includes business licenses, fire operation permits, and miscellaneous permits and fees. Effective FY 2021/22, building, electric, plumbing and mechanical permits have all been budgeted in the new Building Development Services Fund, which is reflected in the Special Revenue section of this report. Licenses and permits revenue collections total $1.4 million, or 43.7% of the budget of $3.2 million. Receipts are tracking slightly below estimated levels through December and may end the year slightly below the budgeted estimate.

Fines & Penalties: Includes vehicle, parking, court fines, and miscellaneous penalty fines. The revenue of $0.2 million collected in this category through December is tracking to end the year well

6 City of Santa Clara
Financial Status Report as of December 31, 2021

below the budgeted estimate of $1.5 million largely due to the waiving of late fees on utility billing in response to COVID-19. The City will be applying for the California Arrearage Payment Program in order to alleviate the arrearages accrued as a result of the City’s bill relief period.

Intergovernmental: Includes federal stimulus funds, motor vehicle fees, state homeowner tax relief, state mandated reimbursement and redistribution of land sale proceeds and ground leases from the Successor Agency. Through December 31, 2021, $0.2 million has been received, which is higher than receipts through the same period last year and reflects differences in planned payments. The federal stimulus funds ($26 million) have been moved to a separate American Rescue Plan Act Fund and that shift will be reflected in future Financial Status Reports.

Charges for Services: Includes various engineering fees, administrative fees, and community service revenue from various recreational activities. Through December 31, 2021, collections totaled approximately $14.2 million or 47.4% of the budget. This reflects a 2.4% decrease compared to last year’s collections through the same period of $14.6 million. The decrease is mainly attributable to the plan check and sign fees now being recorded in the newly established Building Development Services Fund. This decrease is partially offset by higher collections in the planning and zoning fees, fire construction permits, and miscellaneous charges for services categories. Collections are tracking close to the budgeted estimate.

Silicon Valley Pow er Transfer: In accordance with the City’s charter, Silicon Valley Power pays 5.0% of gross revenues to the General Fund. As of December 31, 2021, $12.9 million has been received which is on par for this time of year. This collection level, however, is based on the budgeted estimate and will be trued up at the end of the fiscal year. Growth of less than 1% from the prior year is needed to meet the budgeted estimate of $24.7 million.

Use of Money & Property: Includes realized investment income and rental income. Interest income and rent revenue collections totaled $5.4 million, or 45.2% of the budget. This reflects a $0.8 million increase from prior year collection levels. The increase was primarily in the rent category.

Miscellaneous Revenues: Includes developer fees, donations, damage recovery, sale of surplus, and one-time miscellaneous revenues. Through December 31, 2021, collections of $0.3 million have exceeded the budgeted estimate of $0.2 million and are approximately 64.4% higher than collections through the same period last year.

Stadium Operation: As of December 31, 2021, charges for services collected through the Stadium totaled $1.7 million, which is below par for this time of year. This is due in part to the timing of when the City receives reimbursements. Current year collections are approximately 12% higher than collections through the same period last year resulting from the reopening of Stadium for events.

7 City of Santa Clara
Financial Status Report as of December 31, 2021

General Fund Expenditures
As of December 31, 2 021, $156.3 million or 52.9% of the General Fund operating budget had been expended. Overall, expenditures in the General Fund are within budgeted levels through December.

Departmental expenditures totaled $109.8 million, or 44.7% of the budget, which is below the par level of 50% of the budget. Transfers of $42.5 million have occurred as budgeted.

Several cost -control measures that were implemented in FY 2019/20 r emain in p lace to generate expenditure savi ngs to partially offset t he drop in r evenues as sociated with CO VID-19. These measures include a hiring freeze and contro ls aro und overtime, as -needed staff, mark eting, tr avel, technology and vehicle purchases. With these measures, expenditures are expected to end the year below budget.

Adopted Budget
Amended
Budget
Actual Through
12/31/2021
Percentage
Used
Actual Through
12/31/2020
$
Change From
Prior Year
Percentage
Change

GENERAL GOVERNMENT
Non-Departmental 6,824,333$ 7,055,121$ 2,421,655$ 34.32% 1,971,629$ 450,026$ 22.83% City Council 829,205 829,205 407,898 49.19% 344,432 63,466 18.43% City Clerk 1,470,231 1,718,169 703,916 40.97% 713,879 (9,963) -1.40% City Manager 5,442,069 6,276,486 2,405,646 38.33% 2,509,815 (104,169) -4.15% City Attorney 3,097,380 3,119,380 1,144,623 36.69% 1,047,021 97,602 9.32% Human Resources 4,133,810 4,389,886 1,750,963 39.89% 1,552,999 197,964 12.75% Finance 17,439,442 18,273,518 7,670,152 41.97% 7,666,733 3,419 0.04% Total General Government 39,236,470 41,661,765 16,504,853 39.62% 15,806,508 698,345 4.42% PUBLIC WORKS 23,201,356 24,198,161 10,858,986 44.88% 11,180,519 (321,533) -2.88% COMMUNITY DEVELOPMENT 5,070,207 6,581,680 2,264,899 34.41% 7,048,009 (4,783,110) -67.86% PARKS AND RECREATION 20,982,990 21,433,077 8,901,614 41.53% 8,533,735 367,879 4.31%

PUBLIC SAFETY
Fire 60,581,403 61,011,002 30,530,572 50.04% 29,832,054 698,518 2.34% Police 79,870,137 79,983,531 36,552,061 45.70% 37,050,987 (498,926) -1.35% Total Public Safety 140,451,540 140,994,533 67,082,633 47.58% 66,883,041 199,592 0.30% LIBRARY 10,764,727 10,895,605 4,181,209 38.38% 4,392,033 (210,824) -4.80% DEPARTMENTAL TOTAL 239,707,290 245,764,821 109,794,194 44.67% 113,843,845 (4,049,651) -3.56%

OTHER FINANCING USES
Operating Transfer Out - Miscellaneous 23,250,142 23,250,142 23,250,142 100.00% 1,013,778 22,236,364 2193.42% Operating Transfer Out - Debt Services 2,501,439 2,501,439 2,501,439 100.00% 2,500,344 1,095 0.04% Operating Transfer Out - Maintenance Dtrct 771,349 771,349 771,349 100.00% 926,920 (155,571) -16.78% Operating Transfer Out - Cemetery 850,000 850,000 850,000 100.00% 771,769 78,231 10.14% Operating Transfer Out - CIP 11,773,925 11,773,925 11,773,925 100.00% 19,678,672 (7,904,747) -40.17% Operating Transfer Out - Reserves 3,309,009 3,309,009 3,309,009 100.00% 1,065,850 2,243,159 210.46% Total Other Financing Uses 42,455,864 42,455,864 42,455,864 100.00% 25,957,333 16,498,531 63.56% STADIUM OPERATION 7,171,786 7,218,126 4,039,345 55.96% 950,860 3,088,485 324.81% TOTAL GENERAL FUND 289,334,940$ 295,438,812$ 156,289,403$ 52.90% 140,752,038$ 15,537,365$ 11.04% Function

CITY OF SANTA CLARA

GENERAL FUND

EXPENDITURES OVERVIEW AND COMPARISON BY FUNCTION
FISCAL YEAR 2021/22 PY EXPENDITURES COMPARISON

8 City of Santa Clara
Financial Status Report as of December 31, 2021

General Fund Expenditures
Below is an explanation of certain budget to actual expenditure variances by department.

Non-Departmental: Includes expenditures that are not attributable to a single department, but a function of the City in general. As of December 31, 2021, expenditures totaled $2.4 million, or 34.3% of the budget. These expenditures are well below the par level of 50%, but above the prior year level of $2.0 million. This is a result of the reallocation of City memberships from the City Manager’s Office to the Non-Departmental budget. Additionally, contractual services are higher than last fiscal year due to an increase in the permitting system licensing costs.

City Attorney: As of December 31, 2021, actual expenditures totaled approximately $1.1 million, which is 36.7% of the budget, which is below par. This is mainly attributable to lower salary and as-needed spending. Spending is above the total expenditures through the same time last fiscal year by 9.3%.

This is a result of the reallocation of contractual services from the Special Liability Insurance Fund to the City Attorney’s Office operating budget.

City Clerk: Through December, actual expenditures were tracking below budget at $0.7 million or approximately 41% of the budget. This reflects a decrease of 1.4% over last year’s spending through the same period. The primary driver for the decrease in spending is the Granicus costs which are paid every other year.

City Council: T hrough December, expenditures were at 49.2% of budget, which is at par. Compared to the same period through last fiscal year, this reflects a spending increase of approximately 18.4% which is a result of higher as-needed expenditures compared to last fiscal year.

City Manager: The actual expenditures through December 31, 2021 totaled $2.4 million, or 38.3% of the budget, which is below par for this time of the year. Expenditures are 4.2% lower compared with the spending level through the same period last fiscal year. This decrease in expenditures is related to the reallocation of City memberships and mandated costs from the City Manager’s Office budget to Non- Departmental in addition to lower advertising and contractual services expenditures.

Community Development Department: This department consists of three divisions: Planning, Building, and Housing and Community Services. Effective this fiscal year, the Building division of this department has been moved to the newly established Building Development Services Fund, which falls under the special revenue section of this report. Through December, departmental expenditures for the Planning and Housing and Community Services divisions totaled $2.3 million, or approximately 34.4%, which is below the par level of 50%. This is a result of vacancies in the department. Expenditures were also well below the spending through the same period last fiscal year due to the change in funding for the Building Division.

Finance Department: Thr ough December, the Department’s expenditures totaled $7.7 million, or 42% of the budget, which is below par. This is mainly attributable to lower expenditures in the operating

9 City of Santa Clara
Financial Status Report as of December 31, 2021

supplies and contractual services categories. This expenditure level was in line with levels from last fiscal year.

Fire Department: As of December 31, 2021, actual expenditures in the General Fund totaled $30.5 million, or 50% of the budget, which is on par. These expenditures reflect a 2.3% increase from expenditures through the same period last fiscal year. All COVID-19 related expenditures have been charged centrally to the Other City Departments Operating Grant Trust Fund. The Fire Department has charged approximately $0.2 million to this fund, bringing total expenditures, including the General Fund, to approximately $30.7 million. Overtime expenditures are tracking at 94.5%, which is above par for this time of year. While this overtime figure is high, it is important to note that overtime is used to backfill for vacant positions and the vacancy savings offset a portion of the overtime costs. Fire Department expenditures have also been impacted by mutual aid deployments to address wildland fires (Caldor, Dixie, River and Beckwourth complex fires), for which the City will receive reimbursement. Once those reimbursements are received and allocated to the Fire Department, expenditures will be tracking within estimated levels. Budget actions will be brought forward later in the fiscal year to recognize and budget those revenues.

Library Department: Through December, actual expenditures totaled $4.2 million, or 38.4% of the budget, which is below par and lower than expenditure levels through the same period last fiscal year.

COVID-19 precautions have continued to impact Library operations this year, resulting in lower expenditures. A phased reopening is in progress, but this schedule has been delayed due to the increase in COVID-19 cases resulting from the latest Omicron variant.

Parks and Recreat ion Department: Through December, actual expenditures totaled approximately $8.9 million, or 41.5% of the budget, which is below par, and is slightly higher than the prior year actuals of $8.5 million. The department has resumed most activities that were previously impacted by COVID-19 restrictions. However, some programming continues to be impacted by the staff vacancies.

Police Department: Expenditures as of December 31, 2021 are tracking slightly below expected levels at $36.6 million, or 45.7% of the budget. Expenditures are consistent with the spending levels last fiscal year. Similar to the Fire Department, Police Department expenditures related to COVID-19 have also been charged to the Other City Departments Operating Grant Trust Fund. Through December, charges to this fund totaled approximately $0.06 million. Accounting for the General Fund and Other City Departments Operating Grant Trust Fund, department expenditures are still tracking below par.

Stadium Operat ion: Stadium operating expenditures are incurred first and billed on a reimbursement basis creating a timing difference in revenue recognition. Through December, stadium expenditures totaled $4.0 million, or 56% of the budget. This is significantly higher than expenditures through the same period last year, as a direct result of the reopening of the Stadium for events.

10 City of Santa Clara
Financial Status Report as of December 31, 2021

Special Revenue Funds
The table below is a summary of revenues and expenditures of select Special Revenue Funds as of December 31, 2021. The amended budget for both reflects carryover appropriations from fiscal year 2021/22 in addition to budget amendments approved by the City Council through December 2021.

Effective July 1, 2021, all Building Division revenues and expenditures are now budgeted and accounted for in the new Building Development Services Fund, which is included in the table below.

Revenues totaled approximately $10.8 million, while expenditures totaled approximately $7.4 million through the end of December. Overall, revenues are tracking above par while expenditures are tracking below budgeted levels.

Actual Actual $
Fund Adopted Amended Through Percentage Through Change From Percent Description Budget Budget 12/31/2021 received 12/31/2020 Prior Year Change Housing Authority Fund 261,000$ 261,000$ 220,990$ 84.67% 322,411$ (101,421)$ -31.46% City Affordable Housing Fund 657,000 657,000 1,027,194 156.35% 491,235 535,959 109.10% Housing Successor Fund 350,000 350,000 374,483 107.00% 616,409 (241,926) -39.25% Housing and Urban Development 1,957,103 1,956,086 1,331,527 68.07% 1,168,070 163,457 13.99% Building Development Services
Fee Fund
13,630,000 13,630,000 7,817,065 57.35% 0 7,817,065 100.00% TOTAL 16,855,103$ 16,854,086$ 10,771,259$ 63.91% 2,598,125$ 8,173,134$ 314.58% Actual Actual $
Fund Adopted Amended through Percentage through Change From Percent Description Budget Budget 12/31/2021 used 12/31/2020 Prior Year Change Housing Authority Fund 363,099$ 483,099$ 61,853$ 12.80% 70,332$ (8,479)$ -12.06% City Affordable Housing Fund 1,431,111 2,852,650 485,686 17.03% 383,784 101,902 26.55% Housing Successor Fund 915,640 1,260,001 391,199 31.05% 338,536 52,663 15.56% Housing and Urban Development 3,684,839 5,429,455 1,440,356 26.53% 1,490,859 (50,503) -3.39% Building Development Services
Fee Fund
12,256,059 12,256,059 5,011,011 40.89% 0 5,011,011 100.00% TOTAL 18,650,748$ 22,281,264$ 7,390,105$ 33.17% 2,283,511$ 5,106,594$ 223.63%

PRIOR YEAR EXPENDITURE COMPARISON

CITY OF SANTA CLARA

SPECIAL REVENUE FUNDS

REVENUE AND EXPENDITURE - OVERVIEW AND COMPARISON BY FUND REVENUES - FISCAL YEAR 2021/22 PRIOR YEAR REVENUE COMPARISON EXPENDITURES - FISCAL YEAR 2021/22

11 City of Santa Clara
Financial Status Report as of December 31, 2021

Governmental Capital Improvement Funds
The table below lists the total amended budget amounts for the Capital Improvement Funds, which consist of current year appropriations, prior year carryover balances in Governmental Capital Improvement Funds, and budget amendments approved through December 2021. As of December 31, 2021, these capital fund expenditures totaled $14.4 million, or 9.8% of the amended budget. As part of the adoption of the FY 2021/22 and FY 2022/23 operating budget, some capital funds were carried over for projects that were not anticipated to be completed by June 30, 2021. Necessary additional adjustments to the capital carryover amounts were included as part of the Budgetary Year-End Report for FY 2020/21, approved at the December 14, 2021 Council meeting. These adjustments will be reflected in later Monthly Financial Status Reports.

The carryover of prior year budget amounts is necessary when services or projects are started but not completed at the end of the fiscal year. This is especially true for the Capital Improvement Program (CIP) that typically spans several years. The table below displays the expenditure budget for the General Government capital funds excluding transfers.

EXPENDITURES - FISCAL YEAR 2021/22
Actual
Fund Current Year Prior Year Total Amended Through Percentage Description Appropriation Carryforward Budget 12/31/2021 Used Parks & Recreation 7,085,289$ 15,478,055$ 22,563,344$ 1,022,497$ 4.53% Streets & Highways 26,869,803 62,313,089 89,182,892 9,412,143 10.55% Storm Drain 592,169 10,471,505 11,063,674 1,794,933 16.22% Fire 837,110 1,017,587 1,854,697 47,655 2.57% Library 7,872 246,601 254,473 15,234 5.99% Public Buildings 397,953 7,547,118 7,945,071 634,612 7.99% General Gov't - Other 1,555,000 10,228,593 11,783,593 1,110,671 9.43% Related Santa Clara Developer 968,103 1,326,191 2,294,294 367,693 16.03% Tasman East Specific
Infrastructure Improvement
Fund
23,757 - 23,757 802 3.38% TOTAL 38,337,056$ 108,628,739$ 146,965,795$ 14,406,240$ 9.80%

CITY OF SANTA CLARA

SUMMARY OF EXPENDITURES

GOVERNMENTAL CAPITAL IMPROVEMENT FUNDS

12 City of Santa Clara
Financial Status Report as of December 31, 2021

Enterprise Funds
The table below is a summary of revenues and expenses for the Enterprise Operating Funds as of December 31, 2021. Overall, revenues and expenditures are tracking below budgeted levels with revenues tracking at 43.5% of the budget and expenditures tracking at 46.7% of the budget.

Both revenues and expenditures are tracking above last fiscal year levels reflecting current activity levels. The increase in expenditures in the Electric Utility is primarily due to the higher debt retirement costs as well as higher resource costs related to transmission and wheeling (transportation of electric energy from within an electrical grid to an electrical load outside the grid boundaries). In the Solid Waste Utility Fund, expenditures are up primarily in the garbage collections, disposal and recycling accounts resulting from higher contractual services costs.

Actual Actual $
Fund Adopted Amend ed Through Percentage Through Change From Percent Description Budget Budg et 12/31/2021 received 12/31/2020 Prior Year Change Electric Utility Fund 555,810,147$ 555,810,147$ 245,381,152$ 44.15% 210,670,997$ 34,710,155$ 16.48% Water Utility Fund 49,489,630 49,489,630 23,625,102 47.74% 24,928,824 (1,303,722) -5.23% Sewer Utility Fund 58,344,697 58,344,697 18,569,928 31.83% 19,815,030 (1,245,102) -6.28% Cemetery Fund 600,000 600,000 331,620 55.27% 237,930 93,690 39.38% Solid Waste Utility Fund 33,610,000 33,764,000 15,139,208 44.84% 11,179,682 3,959,526 35.42% Water Recycling Fund 5,703,831 5,703,831 3,269,040 57.31% 2,973,867 295,173 9.93% TOTAL REVENUE 703,558,305$ 703,712,305$ 306,316,050$ 43.53% 269,806,330$ 36,509,720$ 13.53% Actual Actual $
Fund Adopted Amend ed through Percentage through Change From Percent Description Budget Budg et 12/31/2021 Used 12/31/2020 Prior Year Change Electric Utility Fund 511,251,732$ 515,132,550$ 244,227,199$ 47.41% 196,576,946$ 47,650,253$ 24.24% Water Utility Fund 47,197,617 47,580,260 21,105,473 44.36% 21,175,916 (70,443) -0.33% Sewer Utility Fund 30,565,333 30,707,268 14,343,157 46.71% 12,989,846 1,353,311 10.42% Cemetery Fund 1,480,235 1,480,235 714,955 48.30% 660,286 54,669 8.28% Solid Waste Utility Fund 33,323,675 37,135,208 14,138,060 38.07% 10,410,629 3,727,431 35.80% Water Recycling Fund 5,709,582 5,709,582 2,982,662 52.24% 3,322,087 (339,425) -10.22% TOTAL - Operating
Appropriations
629,528,174$ 637,745,103$ 297,511,506$ 46.65% 245,135,710$ 52,375,796$ 21.37%

CITY OF SANTA CLARA

ENTERPRISE OPERATING FUNDS

REVENUES AND EXPENSES - OVERVIEW AND COMPARISON BY FUND REVENUES - FISCAL YEAR 2021/22 PRIOR YEAR REVENUE COMPARISON PRIOR YEAR EXPENSE COMPARISONEXPENSES - FISCAL YEAR 2021/22

Revenues in the electric (which also includes the Electric Debt Service Fund), water, and sewer utility (which also includes the Sewer Debt Service Fund) and water recycling funds are primarily from customer service charges. The activity levels for these customer service charges also impact the resource and production costs on the expenditure side for these funds. The lower the revenue from customer service charges, the lower the expenditures in the resource and production category.

13 City of Santa Clara
Financial Status Report as of December 31, 2021

A summary of expenses in the Enterprise Capital Improvement Funds is detailed in the table below.

Actuals through December 2021 totaled approximately $58.5 million, or 22.6% of the amended budget.

Expenditures in the Sewer Utility Capital Fund were significantly higher as a result of the Regional Wastewater Facility project, which is managed alongside the City of San José. Similar to the general government capital funds, capital funds were carried over into next fiscal year as part of the FY 2021/22 and FY 2022/23 budget adoption process for those projects that have not yet been completed.

Adjustments to the capital carryover amounts based on actual year-end expenditures were included as part of the Budgetary Year-End Report for FY 2020/21, approved at the December 14, 2021 Council meeting. These adjustments will be reflected in later Monthly Financial Status Reports.

Prior Year
Actual Actual
Fund Current Year Prior Year Total Amended Through Percentage Through Description Appropriation Carryforward Budget 12/31/2021 Used 12/31/2020 Electric Utility Fund 67,868,989$ 94,324,423$ 162,193,412$ 20,368,436$ 12.56% 21,407,086$ Street Lighting (1) - 5,953,560 5,953,560 67,666 1.14% 6,854 Water Utility Fund 6,285,000 5,815,672 12,100,672 4,186,071 34.59% 3,305,745 Sewer Utility Fund 47,536,944 25,449,390 72,986,334 32,446,011 44.45% 7,434,254 Cemetery Fund 8,409 351,635 360,044 19,004 5.28% - Solid Waste Utility Fund 623,700 46,677 670,377 457,113 68.19% 154,259 Water Recycling Fund 50,000 - 50,000 - 0.00% 2,063 Convention Center
Capital Fund
1,724,000 3,500,000 5,224,000 972,463 18.62% -

TOTAL - CIP
Appropriations
124,097,042$ 135,441,357$ 259,538,399$ 58,516,764$ 22.55% 32,310,261$ EXPENSES - FISCAL YEAR 2021/22

CITY OF SANTA CLARA

ENTERPRISE CAPITAL IMPROVEMENT FUNDS

SUMMARY OF EXPENSES

(1) Street Lighting fund is part of Electric Capital Improvement Funds

14 City of Santa Clara
Financial Status Report as of December 31, 2021

Fund Reserves
By policy, City Council established the City’s General Contingency Reserve, under which reserves for Budget Stabilization and Capital Projects were established. • Bud get Stabilization Reserve is set aside for weathering economic downturns, emergency financial crisis, or disaster situations. The reserve target is equal to the expenditures of the City’s General Fund operations for three months (90-day or 25% General Fund Adopted Operating Budget). In FY 2021/22, the City Council approved an exception to the policy to allow the Reserve to drop below the 25% level.
• Capital Projects Reserve earmarks funds for the Capital Improvement Program.

Other General Reserves and Enterprise Fund Reserves included in this report are highlighted as follows:
• T echnology Fee Reserve is set aside to update and/or replace the City’s aging technology and to ensure internal controls are in compliance with current business standard and legal requirements.
• L and Sale Reserve is net proceeds from the sale of City-owned land, with interest earned on these funds available to be appropriated for General Fund operating expenditures. This reserve is available for appropriation by City Council action.
• The Electric Utility Reserve assures sufficient operating cash is available to ensure debt service coverage.
• The Replacement and Improvement Reserve in the Water and Sewer Utility Funds is for future capital improvement.

The table below summari zes select reserve balances.

15 City of Santa Clara
Financial Status Report as of December 31, 2021

DETAIL OF SELECTED FUND RESERVE BALANCES:

GENERAL

FUND ELECTRIC WATER
Budget Stabilization Reserve 52,884,375$
Capital Projects Reserve 7,630,016
Land Sale Reserve 22,739,828
Technology Fee Reserve 1,426,174
Rate Stabilization Fund Reserve 44,898,011$
Cost Reduction Fund Reserve 112,838,357
DVR Power Plant Contracts Reserve 78,163
Replacement & Improvement 303,090$
TOTALS 84,680,392$ 157,814,531$ 303,090$

CITY OF SANTA CLARA

RESERVE BALANCES
December 31, 2021

Note: The Capital Projects Reserve includes funding of $3.2 million set aside for projects programmed in FY 2022/23 through FY 2024/25 in the prior CIP.

16 City of Santa Clara
Financial Status Report as of December 31, 2021

Long-Term Interfund Advances
The funds below have made advances/loans which are not expected to be repaid within the next year.

The balances reflected in the table are through December 2021. The loan from the General Fund to Parks and Recreation Facilities reflects proceeds from the Land Sale Reserve for the purchase of property at the Reed and Grant Sports Park. This loan is anticipated to be repaid by 25% of future Mitigation Fee Act revenue until the loan is paid in full.

DETAIL OF LONG TERM INTERFUND ADVANCE BALANCES:

Fund Receiving Advance/Loan
Fund Making
Advance/Loan Type
Amount of
Advance/
Commitment
Cemetery General Fund Advance 7,961,149$
Parks and Recreation Facilities General Fund Loan 8,761,865 TOTALS 16,723,014$
Donations to the City of Santa Clara
Donations received by department during the month of December 2021 and for fiscal year 2021/22 are shown in the table below.

Department Dec-21
Fiscal Year
2021/22
Year To Date Designated Use
City Manager's Office -$ 115$ Help Your Neighbor Parks & Recreation - 12,750 Case Management Parks & Recreation 1,050 1,675 Wade Brummal Parks & Recreation 50 50 Roberta Jones Jr. Theater Police - 75,000 PD Team 200
TOTALS 1,100$ 89,590$

_____________________________________________________________________

MONTHLY INVESTMENT REPORT

December 2021

City of
Santa Clara
The Center of What 's Possible
City of Santa Clara
Monthly Investment Report

TABLE OF CONTENTS
Page #
1 Summary of Investment Portfolio 1
2 Summary of Investments 3
3 Investment Maturity Distribution Schedule 4
4 Attachment A: Investment Inventory With Market Value 5 1 CITY OF SANTA CLARA

SUMMARY OF INVESTMENT PORTFOLIO

All securities held by the City of Santa Clara as of December 31, 2021 were in compliance with the City's Investment Policy Statement regarding current market strategy and long-term goals and objectives. All securities held are rated “A” or higher by two natio nally recognized rating agencies. There is adequate cash flow and maturity of investments to meet the City’s needs for the next six months.

The following table provides the breakdown of the total portfolio among the City, the Sports and Open Space Authority (SOSA), and the Housing Authority (HA) as of December 31, 2021.

On December 31, 2021 the cost value and market value of the City's unrestricted pooled investment portfolio were $792,988,685 and $795,433,635 respectively.

Investment Strategy and Market Update
The City's investment strategy for December 2021 was to invest funds not required to meet current obligations, in securities listed in the prevailing Investment Policy Statement, with maturities not to exceed five years from date of purchase. This strategy ensu res safety of the City’s funds, provides liquidity to meet the City’s cash needs, and earns a reasonable portfolio return.

On July 14, 2020, City Council approved entering into a contra ct with PFM Asset Management LLC (“PFM”) for the management of the City’s investment portfolio. The City has leveraged PFM’s extensive investment management experience and dedicated credit and risk management personnel to further diversify the portfolio and enhance returns. PFM began actively managing the City’s securities portfolio on September 1, 2020.

As of December 31, 2021, 47.85% of the City’s portfolio consists of U.S. Treasury Notes, 27.73% consists of Federal Agencies,

5.64% consists of Local Agency Investment Fund (LAIF), 11.72% c onsists of investment grade Corporate Notes, 2.31% consists of investment grade Supranational Obligations, 1.45% consists of investment grade Asset-Back Securities, 2.31% consists of Negotiable Certificates of Deposit, and 0.52% consists of investment grade Municipal Bonds. In addition, City bond proceeds ar e invested in separate funds and are not included in the calculation of the City’s portfolio yield.

The City’s portfolio yield, including LAIF and money market accounts, was 1.21% and the average maturity of the City’s portfoli o was 2.02 years.

COST VALUE PERCENTAGE
City $788,930,211 99.49%
SOSA 9,107 0.00%
HA 4,049,367 0.51% Unrestricted $792,988,685 100.00%
Restricted Bond Proceeds 2,146,361
Total Investments $795,135,046
2 Traditionally the City has compared the portfolio yield to the 24-month moving average yield of the two-year Treasury Note (Benchmark Yield*). During 2021 annual Investment Policy review, the City evaluated alternate portfolio performance benchmarks in order to establish an independent standard to serve as a measure of the performance of the portfolio and to help guide the maturity structure of the portfolio. The City began using the 24-Month moving average yield of the ICE BaML 0-5 US Treasury Index as benchmark, effective March 23, 2021.

The City’s securities portfolio compared to the ICE BaML 0-5 US Treasury Index (Benchmark) as of December 31, 2021 was as follows:

Description
Average Maturity
(Years)
Yield to Maturity
(At Cost) 1
Santa Clara Portfolio 2.13 1.29%
Benchmark 2.24 0.36%

1. Yield to Maturity at Cost: The expected rate of return based on the original cost, annual interest receipts, maturity value, and the time period from purchase date to maturity, stated as a percentage on an annualized basis.

The Benchmark yield represents the 24-month moving average yield of the ICE BaML 0-5 US Treasury Index.

CITY OF SANTA CLARA
SUMMARY OF INVESTMENTS DECEMBER 31, 2021
PER
COST % OF INVESTMENT

INVESTMENT TYPE VALUE PORTFOLIO POLICY
U.S. Treasury Notes 380,453,570 47.85% No Limit Federal Agency Notes 220,551,755 27.73% 80%
Corporate Notes 93,184,390 11.72% 15%
Municipal Bonds 4,145,000 0.52% 20%
Supranational Obligations 18,376,628 2.31% 10% Asset-Backed Securities 11,553,044 1.45% 20% Negotiable Certificates of Deposit 18,360,000 2.31% 25% Money Market Fund 1,502,713 0.19% 10% Per Fund Local Agency Investment Fund (LAIF) 44,861,585 5.64% $75 M Mutual Fund - Traffic Mitigation Bond Proceeds 2,146,361 0.28% 10% Per Fund TOTAL INVESTMENTS 795,135,046$ 100.00%
U.S. Treasury Notes

47.85%
Federal Agency Notes

27.74%
Corporate Notes

11.72%
Municipal Bonds

0.52%
Supranational Obligations

2.31%
Asset‐Backed Securities

1.45%
Negotiable Certificates of
Deposit

2.31%
Money Market Fund

0.19%
Local Agency Investment Fund
(LAIF)

5.64%
Mutual Fund ‐ Traffic
Mitigation Bond Proceeds

0.28%
3 CITY OF SANTA CLARA

INVESTMENT MATURITY DISTRIBUTION
AS OF DECEMBER 31, 2021

UNRESTRICTED POOLED PORTFOLIO

MATURITY
(IN MONTHS) COST VALUE
DEMAND 46,364,298$ (a) 2 5.85%
0 TO 6 81,240,615 11 10.24%
7 TO 12 57,594,662 13 7.26%
13 TO 18 94,662,573 13 11.94%
19 TO 24 117,786,031 22 14.85%
25 TO 30 102,418,971 19 12.92%
31 TO 36 78,840,814 12 9.94%
37 TO 42 101,198,000 15 12.76%
43 TO 48 64,337,813 11 8.11%
49 TO 54 46,445,358 10 5.86%
55 TO 60 2,099,550 1 0.27%
TOTAL 792,988,685$ 129 100.00%
Average Maturity of Unrestricted Pool: 2.02 Years
(a) $20 million is earmarked for the City's Electric Utility power-trading.

NUMBER OF

INVESTMENTS DISTRIBUTION
0%
2%
4%
6%
8%
10%
12%
14%
16%
18%
20%
22%
24%

INVESTMENT MATURITY DISTRIBUTION

UNRESTRICTED POOLED PORTFOLIO
AS OF DECEMBER 31, 2021
Maturity (Months)
Distribution Percentage
4 City of Santa Clara Monthly Report
12/31/2021
Description Issue Date Coupon  Rate Maturity  Date CUSIP Par Value S&P  Rating Settle  Date Cost  Value YTM  at Cost Market  Value Unrealized  G/L UNITED STATES TREASURY 1/31/2017 1.875% 1/31/2022 912828V72 5, 000,000.00 AA+ 2/23/2018 4,878,125.00 2.53% 5,006,900.00 128,775.00 UNITED STATES TREASURY 3/2/2015 1.750% 2/28/2022 912828J43 2, 800,000.00 AA+ 3/3/2017 2,735,687.50 2.24% 2,807,336.00 71,648.50 UNITED STATES TREASURY 3/31/2017 1.875% 3/31/2022 912828W89 5, 000,000.00 AA+ 1/24/2018 4,902,343.75 2.37% 5,021,300.00 118,956.25 UNITED STATES TREASURY 5/1/2017 1.875% 4/30/2022 912828X47 5, 000,000.00 AA+ 1/19/2018 4,901,757.81 2.36% 5,028,400.00 126,642.19 UNITED STATES TREASURY 6/1/2015 1.875% 5/31/2022 912828XD7 5, 000,000.00 AA+ 6/8/2017 5,024,218.75 1.77% 5,035,350.00 11,131.25 UNITED STATES TREASURY 6/30/2015 2.125% 6/30/2022 912828XG0 25,000, 000.00 AA+ 12/21/2018 25,448,046.88 1.60% 25,232,500.00 -215,546.88 UNITED STATES TREASURY 7/31/2017 1.875% 7/31/2022 9128282P4 5, 000,000.00 AA+ 3/26/2018 4,853,515.63 2.59% 5,046,900.00 193,384.37 UNITED STATES TREASURY 8/31/2015 1.875% 8/31/2022 912828L24 5,000, 000.00 AA+ 9/28/2017 4,991,015.00 1.91% 5,052,350.00 61,335.00 UNITED STATES TREASURY 10/2/2017 1.875% 9/30/2022 9128282W9 5, 000,000.00 AA+ 4/19/2018 4,820,117.19 2.74% 5,057,600.00 237,482.81 UNITED STATES TREASURY 9/30/2015 1.750% 9/30/2022 912828L57 5,000, 000.00 AA+ 10/5/2017 4,950,781.25 1.96% 5,053,300.00 102,518.75 UNITED STATES TREASURY 11/2/2015 1.875% 10/31/2022 912828M49 5, 000,000.00 AA+ 10/25/2017 4,953,515.63 2.07% 5,062,300.00 108,784.37 UNITED STATES TREASURY 11/30/2015 2.000% 11/30/2022 912828M80 5, 000,000.00 AA+ 12/15/2017 4,960,546.88 2.17% 5,072,450.00 111,903.12 UNITED STATES TREASURY 12/31/2015 2.125% 12/31/2022 912828N30 1, 300,000.00 AA+ 5/14/2018 1,260,187.50 2.84% 1,321,580.00 61,392.50 UNITED STATES TREASURY 1/15/2020 1.500% 1/15/2023 912828Z29 2,850, 000.00 AA+ 4/20/2020 2,947,968.75 0.24% 2,881,065.00 -66,903.75 UNITED STATES TREASURY 2/1/2016 1.750% 1/31/2023 912828P38 5, 000,000.00 AA+ 2/13/2018 4,810,937.50 2.57% 5,070,100.00 259,162.50 UNITED STATES TREASURY 2/29/2016 1.500% 2/28/2023 912828P79 10, 000,000.00 AA+ 2/27/2018 9,450,000.00 2.68% 10,118,400.00 668,400.00 UNITED STATES TREASURY 3/31/2016 1.500% 3/31/2023 912828Q29 10, 000,000.00 AA+ 4/10/2018 9,479,290.00 2.62% 10,122,300.00 643,010.00 UNITED STATES TREASURY 3/31/2021 0.125% 3/31/2023 91282CBU4 5, 000,000.00 AA+ 6/29/2021 4,992,187.50 0.21% 4,976,950.00 -15,237.50 UNITED STATES TREASURY 5/2/2016 1.625% 4/30/2023 912828R28 10, 000,000.00 AA+ 5/8/2018 9,446,875.00 2.82% 10,144,100.00 697,225.00 UNITED STATES TREASURY 5/31/2016 1.625% 5/31/2023 912828R69 10, 000,000.00 AA+ 7/16/2018 9,484,375.00 2.76% 10,150,800.00 666,425.00 UNITED STATES TREASURY 7/2/2018 2.625% 6/30/2023 9128284U1 5,030, 000.00 AA+ 8/26/2021 5,252,616.80 0.22% 5,182,258.10 -70,358.70 UNITED STATES TREASURY 6/30/2016 1.375% 6/30/2023 912828S35 20, 000,000.00 AA+ 1/17/2019 20,053,710.95 1.31% 20,237,600.00 183,889.05 UNITED STATES TREASURY 7/31/2018 2.750% 7/31/2023 912828Y61 10, 000,000.00 AA+ 9/18/2018 9,918,710.94 2.93% 10,335,600.00 416,889.06 UNITED STATES TREASURY 8/31/2016 1.375% 8/31/2023 9128282D1 5, 000,000.00 AA+ 9/12/2018 4,657,031.25 2.87% 5,059,200.00 402,168.75 UNITED STATES TREASURY 9/30/2016 1.375% 9/30/2023 912828T26 7, 500,000.00 AA+ 11/13/2018 6,947,167.97 3.01% 7,590,825.00 643,657.03 UNITED STATES TREASURY 10/15/2020 0.125% 10/15/2023 91282CAP6 5,260, 000.00 AA+ 3/26/2021 5,248,288.28 0.21% 5,207,400.00 -40,888.28 UNITED STATES TREASURY 10/31/2016 1.625% 10/31/2023 912828T91 5, 000,000.00 AA+ 1/25/2019 4,787,695.31 2.58% 5,084,000.00 296,304.69 UNITED STATES TREASURY 11/30/2018 2.875% 11/30/2023 9128285P1 9,745, 000.00 AA+ 6/23/2021 10,349,875.20 0.32% 10,143,960.30 -205,914.90 UNITED STATES TREASURY 11/30/2016 2.125% 11/30/2023 912828U57 10, 000,000.00 AA+ 2/28/2019 10,251,562.50 1.57% 10,268,400.00 16,837.50 UNITED STATES TREASURY 1/3/2017 2.250% 12/31/2023 912828V23 5, 000,000.00 AA+ 3/13/2019 4,957,812.50 2.44% 5,149,800.00 191,987.50 UNITED STATES TREASURY 1/15/2021 0.125% 1/15/2024 91282CBE0 5,000, 000.00 AA+ 3/26/2021 4,981,445.31 0.26% 4,936,900.00 -44,545.31 UNITED STATES TREASURY 1/15/2021 0.125% 1/15/2024 91282CBE0 2,510, 000.00 AA+ 3/31/2021 2,497,744.14 0.30% 2,478,323.80 -19,420.34 UNITED STATES TREASURY 1/15/2021 0.125% 1/15/2024 91282CBE0 11,000, 000.00 AA+ 6/11/2021 10,972,500.00 0.22% 10,861,180.00 -111,320.00 UNITED STATES TREASURY 1/15/2021 0.125% 1/15/2024 91282CBE0 5,525, 000.00 AA+ 7/14/2021 5,497,375.00 0.33% 5,455,274.50 -42,100.50 UNITED STATES TREASURY 1/31/2019 2.500% 1/31/2024 9128285Z9 5,000, 000.00 AA+ 4/14/2020 5,407,421.88 0.34% 5,178,900.00 -228,521.88 UNITED STATES TREASURY 2/28/2017 2.125% 2/29/2024 912828W48 1, 625,000.00 AA+ 4/15/2021 1,637,941.42 0.31% 1,671,653.75 33,712.33 UNITED STATES TREASURY 4/15/2021 0.375% 4/15/2024 91282CBV2 5,415, 000.00 AA+ 10/15/2021 5,397,443.55 0.51% 5,360,633.40 -36,810.15 UNITED STATES TREASURY 5/1/2017 2.000% 4/30/2024 912828X70 5, 000,000.00 AA+ 5/16/2019 4,952,734.38 2.20% 5,135,550.00 182,815.62 UNITED STATES TREASURY 5/15/2014 2.500% 5/15/2024 912828WJ5 6,050, 000.00 AA+ 8/16/2019 6,332,174.65 1.48% 6,284,921.50 -47,253.15 UNITED STATES TREASURY 6/30/2019 1.750% 6/30/2024 9128286Z8 7, 250,000.00 AA+ 12/12/2019 7,253,398.44 1.74% 7,408,050.00 154,651.56 UNITED STATES TREASURY 6/30/2017 2.000% 6/30/2024 912828XX3 5, 000,000.00 AA+ 8/29/2019 5,136,328.13 1.41% 5,139,650.00 3,321.87 UNITED STATES TREASURY 7/15/2021 0.375% 7/15/2024 91282CCL3 5, 250,000.00 AA+ 9/10/2021 5,246,718.75 0.40% 5,185,215.00 -61,503.75 UNITED STATES TREASURY 7/31/2017 2.125% 7/31/2024 9128282N9 5, 000,000.00 AA+ 9/10/2019 5,133,315.75 1.56% 5,158,800.00 25,484.25 UNITED STATES TREASURY 8/31/2017 1.875% 8/31/2024 9128282U3 2,985, 000.00 AA+ 3/10/2020 3,149,640.66 0.62% 3,060,908.55 -88,732.11 UNITED STATES TREASURY 8/31/2019 1.250% 8/31/2024 912828YE4 4,750, 000.00 AA+ 1/5/2021 4,928,867.19 0.21% 4,793,605.00 -135,262.19 UNITED STATES TREASURY 10/31/2017 2.250% 10/31/2024 9128283D0 10, 000,000.00 AA+ 11/18/2019 10,290,625.00 1.64% 10,365,600.00 74,975.00 UNITED STATES TREASURY 11/30/2017 2.125% 11/30/2024 9128283J7 5, 000,000.00 AA+ 1/6/2020 5,118,945.31 1.62% 5,166,800.00 47,854.69 1/11/2022 4:32 PM 1 of 4
Attachment A
City of Santa Clara Monthly Report
12/31/2021
Description Issue Date Coupon  Rate Maturity  Date CUSIP Par Value S&P  Rating Settle  Date Cost  Value YTM  at Cost Market  Value Unrealized  G/L UNITED STATES TREASURY 1/2/2018 2.250% 12/31/2024 9128283P3 10, 000,000.00 AA+ 1/7/2020 10,300,781.25 1.62% 10,375,800.00 75,018.75 UNITED STATES TREASURY 1/31/2020 1.375% 1/31/2025 912828Z52 5,000, 000.00 AA+ 4/22/2020 5,238,671.88 0.37% 5,057,050.00 -181,621.88 UNITED STATES TREASURY 1/31/2020 1.375% 1/31/2025 912828Z52 1,950, 000.00 AA+ 5/7/2021 2,013,146.48 0.50% 1,972,249.50 -40,896.98 UNITED STATES TREASURY 2/28/2018 2.750% 2/28/2025 9128283Z1 6,200, 000.00 AA+ 3/6/2020 6,850,757.82 0.61% 6,533,994.00 -316,763.82 UNITED STATES TREASURY 8/31/2020 0.250% 8/31/2025 91282CAJ0 16, 330,000.00 AA+ 8/2/2021 16,153,942.19 0.52% 15,819,034.30 -334,907.89 UNITED STATES TREASURY 10/31/2020 0.250% 10/31/2025 91282CAT8 5, 400,000.00 AA+ 10/7/2021 5,285,882.81 0.78% 5,219,208.00 -66,674.81 UNITED STATES TREASURY 11/30/2020 0.375% 11/30/2025 91282CAZ4 4, 450,000.00 AA+ 11/4/2021 4,327,625.02 1.07% 4,315,654.50 -11,970.52 UNITED STATES TREASURY 12/31/2020 0.375% 12/31/2025 91282CBC4 3, 820,000.00 AA+ 5/3/2021 3,751,956.25 0.76% 3,702,726.00 -49,230.25 UNITED STATES TREASURY 1/31/2021 0.375% 1/31/2026 91282CBH3 8, 025,000.00 AA+ 11/30/2021 7,817,478.52 1.01% 7,763,545.50 -53,933.02 UNITED STATES TREASURY 2/28/2021 0.500% 2/28/2026 91282CBQ3 8, 100,000.00 AA+ 8/31/2021 8,027,226.56 0.70% 7,869,960.00 -157,266.56 UNITED STATES TREASURY 2/28/2021 0.500% 2/28/2026 91282CBQ3 5, 175,000.00 AA+ 12/7/2021 5,035,517.58 1.15% 5,028,030.00 -7,487.58 U.S. Treasury Bond / Note Subtotal 381,295,000.00 380,453,570.14 384,820,241.70 4,366,671.56 FANNIE MAE 1/9/2017 2.000% 1/5/2022 3135G0S38 5,000,000. 00 AA+ 10/10/2018 4,845,050.00 3.01% 5,000,550.00 155,500.00 FANNIE MAE 10/6/2017 2.000% 10/5/2022 3135G0T78 5,000,000. 00 AA+ 1/26/2018 4,890,750.00 2.50% 5,063,400.00 172,650.00 FANNIE MAE 11/25/2020 0.250% 11/27/2023 3135G06H1 4,950,000. 00 AA+ 11/25/2020 4,944,357.00 0.29% 4,906,588.50 -37,768.50 FANNIE MAE 11/25/2020 0.250% 11/27/2023 3135G06H1 5,225,000. 00 AA+ 1/22/2021 5,230,799.75 0.21% 5,179,176.75 -51,623.00 FANNIE MAE 7/8/2019 1.750% 7/2/2024 3135G0V75 15,000,000. 00 AA+ 12/18/2019 15,566,089.75 0.90% 15,328,650.00 -237,439.75 FANNIE MAE 1/10/2020 1.625% 1/7/2025 3135G0X24 7,500,000. 00 AA+ 1/22/2020 7,499,025.00 1.63% 7,635,600.00 136,575.00 FANNIE MAE 4/24/2020 0.625% 4/22/2025 3135G03U5 10,000,000. 00 AA+ 5/7/2020 10,050,600.00 0.52% 9,861,800.00 -188,800.00 FANNIE MAE 11/12/2020 0.500% 11/7/2025 3135G06G3 1,860,000. 00 AA+ 12/29/2020 1,864,929.00 0.44% 1,814,764.80 -50,164.20 FNMA Medium Term Note Subtotal 54,535,000.00 54,891,600.50 54,790,530.05 -101,070.45 FEDERAL FARM CREDIT BANKS 10/14/2016 1.400% 4/14/2022 3133EGY S8 5,000,000.00 AA+ 2/4/2020 4,994,485.00 1.45% 5,017,000.00 22,515.00 FEDERAL FARM CREDIT BANKS 7/19/2019 1.850% 7/19/2022 3133EKVE3 5,000,000.00 AA+ 7/17/2019 4,994,300.00 1.89% 5,047,200.00 52,900.00 FEDERAL FARM CREDIT BANKS 8/5/2019 1.850% 8/5/2022 3133EKY J9 5,000,000.00 AA+ 8/13/2019 5,029,800.00 1.64% 5,047,400.00 17,600.00 FEDERAL FARM CREDIT BANKS 11/1/2017 2.080% 11/1/2022 3133EHM91 1,800,000.00 AA+ 10/7/2019 1,834,398.00 1.44% 1,829,286.00 -5,112.00 FEDERAL FARM CREDIT BANKS 3/16/2018 2.710% 12/16/2022 3133EJG U7 5,000,000.00 AA+ 3/28/2018 5,015,935.00 2.64% 5,123,150.00 107,215.00 FEDERAL FARM CREDIT BANKS 6/19/2018 2.890% 6/19/2023 3133EJS D2 5,000,000.00 AA+ 11/28/2018 4,980,250.00 2.98% 5,185,850.00 205,600.00 FEDERAL FARM CREDIT BANKS 1/17/2020 1.600% 7/17/2023 3133ELH Z0 5,000,000.00 AA+ 1/16/2020 4,998,200.00 1.61% 5,094,650.00 96,450.00 FEDERAL FARM CREDIT BANKS 8/14/2018 2.900% 8/14/2023 3133EJW V7 5,000,000.00 AA+ 9/17/2018 4,977,050.00 3.00% 5,201,750.00 224,700.00 FEDERAL FARM CREDIT BANKS 10/2/2018 3.050% 10/2/2023 3133EJD 48 7,575,000.00 AA+ 11/27/2018 7,583,620.35 3.02% 7,919,283.75 335,663.40 FEDERAL FARM CREDIT BANKS 11/1/2017 2.200% 11/1/2023 3133EHN2 5 2,965,000.00 AA+ 6/26/2019 3,006,094.90 1.87% 3,058,723.65 52,628.75 FEDERAL FARM CREDIT BANKS 2/27/2019 2.610% 2/27/2024 3133EKBW 5 5,000,000.00 AA+ 3/20/2019 5,033,150.00 2.47% 5,218,000.00 184,850.00 FEDERAL FARM CREDIT BANKS 4/22/2019 2.450% 7/22/2024 3133EKHV1 5,000,000.00 AA+ 9/4/2019 5,250,650.00 1.38% 5,221,400.00 -29,250.00 FEDERAL FARM CREDIT BANKS 11/1/2019 1.650% 11/1/2024 3133EK4Y9 5,000,000.00 AA+ 11/8/2019 4,962,850.00 1.81% 5,120,300.00 157,450.00 FEDERAL FARM CREDIT BANKS 1/23/2020 1.650% 1/23/2025 3133ELJM7 7,320,000.00 AA+ 5/18/2020 7,689,367.20 0.56% 7,492,825.20 -196,542.00 FEDERAL FARM CREDIT BANKS 5/14/2020 0.500% 5/14/2025 3133ELZM9 10,000,000.00 AA+ 5/15/2020 9,982,800.00 0.53% 9,842,600.00 -140,200.00 FEDERAL FARM CREDIT BANKS 6/9/2020 0.500% 6/9/2025 3133ELH23 10,000,000.00 AA+ 6/12/2020 9,997,540.00 0.50% 9,831,300.00 -166,240.00 FFCB Medium Term Note Subtotal 89,660,000.00 90,330,490.45 91,250,718.60 920,228.15 FEDERAL FARM CREDIT BANKS 7/2/2020 0.500% 7/2/2025 3133ELR71 10,000,000.00 AA+ 7/14/2020 10,017,640.00 0.46% 9,820,500.00 -197,140.00 FFCB Coupon Note Subtotal 10,000,000.00 10,017,640.00 9,820,500.00 -197,140.00 FEDERAL HOME LOAN BANKS 2/17/2012 2.250% 3/11/2022 313378CR0 5,000,000.00 AA+ 3/13/2020 5,150,900.00 0.72% 5,020,250.00 -130,650.00 FEDERAL HOME LOAN BANKS 8/15/2013 3.125% 9/9/2022 313383WD9 5,000,000.00 AA+ 12/12/2018 5,039,800.00 2.90% 5,097,150.00 57,350.00 1/11/2022 4:32 PM 2 of 4
Attachment A
City of Santa Clara Monthly Report
12/31/2021
Description Issue Date Coupon  Rate Maturity  Date CUSIP Par Value S&P  Rating Settle  Date Cost  Value YTM  at Cost Market  Value Unrealized  G/L FEDERAL HOME LOAN BANKS 10/17/2014 2.375% 9/8/2023 3130A3DL5 5,000,000.00 AA+ 9/5/2019 5,164,135.00 1.53% 5,146,150.00 -17,985.00 FEDERAL HOME LOAN BANKS 12/9/2013 3.375% 12/8/2023 3130A0F 70 5,000,000.00 AA+ 1/8/2019 5,147,870.00 2.73% 5,252,900.00 105,030.00 FEDERAL HOME LOAN BANKS 1/16/2015 2.250% 12/8/2023 3130A3VC5 5,000,000.00 AA+ 3/12/2020 5,282,425.00 0.72% 5,145,450.00 -136,975.00 FEDERAL HOME LOAN BANKS 5/8/2014 2.875% 6/14/2024 3130A1XJ2 5,000,000.00 AA+ 11/20/2019 5,270,205.00 1.64% 5,242,450.00 -27,755.00 FEDERAL HOME LOAN BANKS 11/6/2014 2.750% 12/13/2024 3130A3GE8 5,000,000.00 AA+ 3/12/2020 5,461,300.00 0.77% 5,257,600.00 -203,700.00 FHLB Medium Term Note Subtotal 35,000,000.00 36,516,635.00 36,161,950.00 -354,685.00 FREDDIE MAC 5/7/2020 0.375% 5/5/2023 3137EAER6 5,000,000. 00 AA+ 5/8/2020 5,014,545.00 0.28% 4,988,800.00 -25,745.00 FREDDIE MAC 9/4/2020 0.250% 9/8/2023 3137EAEW5 1,640,000. 00 AA+ 9/4/2020 1,640,761.21 0.24% 1,628,864.40 -11,896.81 FREDDIE MAC 9/4/2020 0.250% 9/8/2023 3137EAEW5 4,295,000. 00 AA+ 9/4/2020 4,293,582.65 0.26% 4,265,836.95 -27,745.70 FREDDIE MAC 10/16/2020 0.125% 10/16/2023 3137EAEY1 3,270,000. 00 AA+ 10/16/2020 3,257,802.90 0.25% 3,237,659.70 -20,143.20 FREDDIE MAC 2/14/2020 1.500% 2/12/2025 3137EAEP0 5,000,000.00 AA+ 5/20/2020 5,226,960.00 0.53% 5,072,200.00 -154,760.00 FREDDIE MAC 9/25/2020 0.375% 9/23/2025 3137EAEX3 9,390,000.00 AA+ 9/25/2020 9,361,736.10 0.44% 9,135,718.80 -226,017.30 FHLMC Medium Term Note Subtotal 28,595,000.00 28,795,387.86 28,329,079.85 -466,308.01

INTER-AMERICAN
DEVELOPMENT BANK 9/23/2021 0.500% 9/23/2024 4581X0DZ8 11,065,000.00 AAA 9/23/2021 11,056,811.90 0.52% 10,916,065.10 -140,746.80

INTL BANK OF
RECONSTRUCTION AND DEV 4/20/2021 0.126% 4/20/2023 459058JV6 7,335,000.00 AAA 4/20/2021 7,319,816.55 0.23% 7,289,229.60 -30,586.95 Supranational Subtotal 18,400,000.00 18,376,628.45 18,205,294.70 -171,333.75

CALIFORNIA EARTHQUAKE
AUTHORITY 11/24/2020 1.477% 7/1/2023 13017HAK2 1,430,000.00 NR 11/ 24/2020 1,430,000.00 1.48% 1,442,698.40 12,698.40

LOS ANGELES COMMUNITY
COLLEGE DISTRICT C 11/10/2020 0.773% 8/1/2025 54438CYK2 2,715,000.00 AA+ 11/10/2020 2,715,000.00 0.77% 2,675,904.00 -39,096.00 Municipals Subtotal 4,145,000.00 4,145,000.00 4,118,602.40 -26,397.60 3M COMPANY 9/14/2018 3.250% 2/14/2024 88579YBB6 5,000,000. 00 A+ 11/29/2021 5,241,250.00 1.03% 5,226,350.00 -14,900.00 ALPHABET INC 4/27/2016 3.375% 2/25/2024 02079KAB3 5,330,000. 00 AA+ 11/23/2021 5,642,444.60 0.75% 5,615,794.60 -26,650.00 AMAZON.COM INC 5/12/2021 0.450% 5/12/2024 023135BW5 4,245,000.00 AA 5/12/2021 4,238,802.30 0.50% 4,202,974.50 -35,827.80 APPLE INC 11/13/2017 2.750% 1/13/2025 037833DF4 5,000,000.00 AA+ 3/9/2021 5,340,100.00 0.94% 5,223,500.00 -116,600.00 APPLE INC 11/13/2017 2.750% 1/13/2025 037833DF4 5,000,000.00 AA+ 3/29/2021 5,355,200.00 0.84% 5,223,500.00 -131,700.00 BANK OF AMERICA 7/23/2013 4.100% 7/ 24/2023 06053FAA7 4,070,000.00 A- 9/15/2020 4,482,494.50 0.52% 4,278,261.90 -204,232.60 BANK OF NY MELLON CORP 1/28/2021 0.750% 1/28/2026 06406RAQ0 9 ,000,000.00 A 2/10/2021 9,025,920.00 0.69% 8,741,430.00 -284,490.00 BRISTOL-MYERS SQUIBB CO 11/13/2020 0.750% 11/13/2025 110122DN5 5, 725,000.00 A+ 6/30/2021 5,672,673.50 0.96% 5,575,463.00 -97,210.50 HONEYWELL INTERNATIONAL 5/18/2020 1.350% 6/1/2025 438516CB0 5,000,000.00 A 9/8/2021 5,097,900.00 0.82% 5,020,200.00 -77,700.00 JOHN DEERE CAPITAL CORP 6/17/2021 1.050% 6/17/2026 24422EVR7 5 ,000,000.00 A 12/8/2021 4,908,600.00 1.47% 4,914,000.00 5,400.00 JOHNSON & JOHNSON 8/25/2020 0.550% 9/1/2025 478160CN2 5,000,000.00 AAA 9/3/2020 5,023,550.00 0.45% 4,894,500.00 -129,050.00 JPMORGAN CHASE & CO 9/16/2020 0.653% 9/16/2024 46647PBS4 2,675, 000.00 A- 9/16/2020 2,675,000.00 0.65% 2,662,427.50 -12,572.50 JPMORGAN CHASE & CO 8/10/2021 0.768% 8/9/2025 46647PCM6 2, 340,000.00 A- 8/10/2021 2,340,000.00 0.77% 2,302,911.00 -37,089.00 MASTERCARD INC 12/3/2019 2.000% 3/3/2025 57636QAN4 5,000, 000.00 A+ 3/9/2021 5,213,450.00 0.91% 5,126,150.00 -87,300.00 MERCK & CO INC 3/7/2019 2.900% 3/7/2024 58933YAU9 5,375, 000.00 A+ 11/23/2021 5,623,916.25 0.85% 5,608,006.25 -15,910.00 MICROSOFT CORP 2/6/2017 2.875% 2/6/2024 594918BX1 5,000, 000.00 AAA 11/29/2021 5,202,600.00 1.00% 5,204,100.00 1,500.00 MICROSOFT CORP 2/12/2015 2.700% 2/12/2025 594918BB9 5,000,000. 00 AAA 3/9/2021 5,341,700.00 0.92% 5,229,700.00 -112,000.00 TOYOTA MOTOR CREDIT CORP 1/11/2021 0.450% 1/11/2024 89236THU2 6,100,000.00 A+ 1/11/2021 6,099,634.00 0.45% 6,048,272.00 -51,362.00 UNILEVER CAPITAL CORP 9/14/2020 0.375% 9/14/2023 904764BJ5 660,000.00 A+ 9/14/2020 659,155.20 0.42% 655,822.20 -3,333.00 Corporate Note Subtotal 90,520,000.00 93,184,390.35 91,753,362.95 -1,431,027.40 1/11/2022 4:32 PM 3 of 4
Attachment A
City of Santa Clara Monthly Report
12/31/2021
Description Issue Date Coupon  Rate Maturity  Date CUSIP Par Value S&P  Rating Settle  Date Cost  Value YTM  at Cost Market  Value Unrealized  G/L CARMAX AUTO OWNER TRUST 4/21/2021 0.520% 2/17/2026 14314QAC8 2,375,000.00 AAA 4/21/2021 2,374,488.19 0.52% 2,361,391.25 -13,096.94

DISCOVER CARD EXECUTION
NOTE TRUST 9/27/2021 0.580% 9/15/2026 254683CP8 2,100,000.00 AAA 9/27/2021 2,099,550.39 0.58% 2,067,030.00 -32,520.39

HONDA AUTO RECEIVABLES
OWNER T 11/24/2021 0.880% 1/21/2026 43815GAC3 1,615,000.00 NR 11/ 24/2021 1,614,659.56 0.89% 1,611,075.55 -3,584.01

HYUNDAI AUTO RECEIVABLES
TRUST 4/28/2021 0.380% 9/15/2025 44933LAC7 1,575,000.00 AAA 4/28/2021 1,574,834.31 0.38% 1,563,219.00 -11,615.31

HYUNDAI AUTO RECEIVABLES
TRUST 11/17/2021 0.740% 5/15/2026 44935FAD6 1,245,000.00 AAA 11/17/2021 1,244,722.12 0.75% 1,236,434.40 -8,287.72

TOYOTA AUTO RECEIVABLES
OWNER 9/27/2021 0.430% 1/15/2026 89239BAC5 2,645,000.00 AAA 9/27/2021 2,644,789.19 0.43% 2,617,042.35 -27,746.84 Asset-Backed Security Subtotal 11,555,000.00 11,553,043.76 11,456,192.55 -96,851.21 BARCLAYS BANK PLC 2/12/2021 0.290% 2/4/2022 06742TWL6 11,000, 000.00 A-1 2/12/2021 11,000,000.00 0.29% 11,001,760.00 1,760.00 HSBC BANK USA NA 2/26/2021 0.250% 2/25/2022 40435RKU4 7,360,000.00 A-1 2/26/2021 7,360,000.00 0.25% 7,361,104.00 1,104.00 Certificate of Deposit Subtotal 18,360,000.00 18,360,000.00 18,362,864.00 2,864.00

WELLS FARGO PUBLIC
INSTITUTION 1/1/2022 992995944 1,502,712.62 9/1/2020 1,502,712.62 0.07% 1,502,712.62 -

LOCAL AGENCY INVESTMENT
FUND 1/1/2022 44,861,585.11 9/30/1997 44,861,585.11 0.62% 44,861,585.11 - DREYFUS TREASURY 1/1/2022 2,146,361.46 10/31/1997 2,146,361.46 0.03% 2,146,361.46 - Cash Equivalent Subtotal 48,510,659.19 48,510,659.19 48,510,659.19 - Grand Total Count 130 790,575,659.19 795,135,045.70 797,579,995.99 2,444,950.29 1/11/2022 4:32 PM 4 of 4
Attachment A
Attachment 3
Department/Item
Source of
Funds
Use of
Funds Explanation
Other Fees for
Services/Department of Public
Works Salaries and Benefits
(Overtime)
5,000 5,000 Increases the Other Fees for Services revenue estimate by $5,000 to account for developer funding
for City staff work for the Mission Tech lot line
(2421, 2431, and 2441 Mission College Boulevard)
adjustment. This action also increases the Public
Works Department Salaries and Benefits budget by
$5,000 for the associated overtime work completed
by the department (five affirmative Council votes
required to appropriate additional revenue).

Transfer in from the Public
Works Capital Project
Management Fund/Department
of Public Works Salaries and
Benefits
166,518 166,518 Establishes a Transfer In from the Public Works Capital Project Management Fund and increases
the Public Works Department Salaries and Benefits
budget by $166,518 to correct the funding allocation
for 1.0 Design Division Associate Engineer position
that was eliminated as part of the Phase 1 budget
reductions in March 2021. The funding for this
position was eliminated from the General Fund;
however, it should have been partially reduced from
the Public Works Capital Project Management Fund
that is substantially supported by the General Fund.

This technical adjustment corrects the alignment of
staffing costs to the budget (five affirmative
Council votes required to appropriate additional
revenue).

Transfer to the General
Government Capital Fund
1,000 Establishes a transfer to the General Government Capital Fund to pay for the Storm Drain portion of
the Utility Management Information System (UMIS)
Enhancements project in the General Government
Capital Fund. Funding for the Utility Management
Information System should be funded from the
General Fund rather than the storm drain outlet
impact fee in the Storm Drain Capital Fund (five
affirmative Council votes required to for the use
of unused balances).

Capital Projects Reserve (1,000) Decreases the Capital Projects Reserve to offset the transfer to the General Government Capital
Fund (five affirmative Council votes required to
for the use of unused balances).

General Fund (001)
FY 2021/22 Budget Amendments
1 Attachment 3
FY 2021/22 Budget Amendments
Department/Item
Source of
Funds
Use of
Funds Explanation
Transfer from the Parks and
Recreation Capital
Fund/Capital Projects Reserve
3,274 3,274 Recognizes a transfer from the Parks and Recreation Capital Fund and increases the Capital
Projects Reserve by $3,274 to account for the return
to fund of the remaining Ullstac Natural Area
Maintenance project savings (five affirmative
Council votes required to appropriate additional
revenue).

Transfer from the Parks and
Recreation Capital Fund/Land
Sale Reserve
(2,498,747) (2,498,747) Decreases the Transfer from the Parks and Recreation Capital Fund and the Land Sale Reserve
by $2,498,747 to reflect a reduction in the loan
repayment for the Reed Street-Grant Street Sports
Park Project from 3,026,782 to $528,035 (-
$2,498,747). The loan repayment is a calculation
based on 25% of Mitigation Fee Act (MFA) revenue.

With the reduction in the MFA revenue estimate
based on actual year-to-date collections, the loan
repayment allocation is also recommended to be
reduced. The remaining transfer amount of
$528,035 reflects the interest on the Youth Soccer
Fields & Athletic Facilities Project balance. An
adjustment to the transfer amount may also be
brought forward at year-end based on actual MFA
revenue received. (majority affirmative Council
votes required).
(2,323,955) (2,323,955)
Department/Item
Source of
Funds
Use of
Funds Explanation
Department of Public Works
Interfund Services
(22,371) Eliminates the internal service charge for Information Technology Services in the Convention
Center Maintenance District Fund to align with
actual IT services that are provided to this program
(majority affirmative Council votes required).

Department of Public Works
Materials/Services/Supplies
22,371 Increases the Materials/Services/Supplies budget to offset the action recommended above (majority
affirmative Council votes required).
- -
Convention Center Maintenance District Fund (026)
General Fund (001) (Cont'd.)
2 Attachment 3
FY 2021/22 Budget Amendments
Department/Item
Source of
Funds
Use of
Funds Explanation
Emergency Operations Center
Capital Refurbishment Project
(15,208) (15,208) Decreases the revenue estimate and appropriation of the Emergency Management Performance Grant
2019 as the grant revenue was recognized and
expended in the Fire Operating Grant Trust Fund
(majority affirmative council votes required).
(15,208) (15,208)
Department/Item
Source of
Funds
Use of
Funds Explanation
Transfer from the Streets and
Highways Capital Fund
174,297 Recognizes a transfer of $174,297 from the Streets and Highways Capital Fund for returned unused
funds, $68,258 for the Agnew Road/De La Cruz
Blvd Signal Timing Project and $106,039 for the
Lafayette Street Signal Timing Project. The projects
were closed as of FY 2020/21 but were omitted from
the Year End Close Report. This action returns
remaining funding back to the original funding
source, the Gas Tax Fund (five affirmative
Council votes required to appropriate additional
revenue).

Unrestricted Ending Fund
Balance
174,297 Increases the Unrestricted Ending Fund Balance to offset the actions above (five affirmative Council
votes required to appropriate additional
revenue).
174,297 174,297
Department/Item
Source of
Funds
Use of
Funds Explanation
Transfer from the Storm Drain
Capital Fund
(1,000) Eliminates the transfer from the Storm Drain Capital Fund to pay for the Utility Management Information
System (UMIS) Enhancements project. Funding for
the Utility Management Information System should
be provided from the General Fund rather than the
storm drain outlet impact fee (majority affirmative
council votes required).

General Government Capital Fund (539)
Gas Tax Fund (121)
Fire Department Capital Fund (536)
3 Attachment 3
FY 2021/22 Budget Amendments
Department/Item
Source of
Funds
Use of
Funds Explanation
Transfer from the General
Fund - Capital Project Reserve
1,000 Establishes a transfer from the General Fund Capital Project Reserve to pay for Storm Drain
portion of the Utility Management Information
System (UMIS) Enhancements project. Funding for
the Utility Management Information System should
be provided from the General Fund rather than the
storm drain outlet impact fee (five affirmative
Council votes required to appropriate additional
revenue).
- -
Department/Item
Source of
Funds
Use of
Funds Explanation
Interdepartmental Services /
Information Technology
(22,371) (22,371) Decreases the interdepartmental services revenue and the Information Technology Department's
operating budget to reflect the actual services
provided to the Department of Public Works'
Convention Center Maintenance District program
(majority affirmative Council votes required).
(22,371) (22,371)
Department/Item
Source of
Funds
Use of
Funds Explanation
Mitigation Fee Act Revenue (11,627,569) Eliminates the Mitigation Fee Act revenue estimate from $11,627,569 to $0 as no revenue has been
received to date in FY 2021/22. At year-end, a
reconciliation will be done in order to appropriate
actual revenue received (majority affirmative
Council votes required).

Quimby Act Fees 863,240 Increases the Quimby Act Fees revenue estimate by $863,240 from $479,557 to $1,342,797 to reflect
and appropriate revenues received year-to-date in
FY 2021/22. At year-end, a reconciliation will be
done in order to appropriate additional revenue
received (five affirmative Council votes required
to appropriate additional revenue).

Information Technology Services Fund (045)
Parks and Recreation Capital Fund (532)
General Government Capital Fund (539) (Cont'd.)
4 Attachment 3
FY 2021/22 Budget Amendments
Department/Item
Source of
Funds
Use of
Funds Explanation
Transfer to the General Fund -
Land Sale Reserve (Loan
Repayment for Reed and Grant
Sports Park)
(2,498,747) Decreases the Transfer to the General Fund - Land Sale Reserve to reflect a reduction in the loan
repayment for the Reed Street-Grant Street Sports
Park Project from 3,026,782 to $528,035 (-
$2,498,747). The loan repayment is a calculation
based on 25% of Mitigation Fee Act (MFA) revenue.

With the reduction in the MFA revenue estimate, the
loan repayment allocation is also recommended to
be reduced. The remaining transfer amount of
$528,035 reflects the interest on the Youth Soccer
Fields & Athletic Facilities Project balance. An
adjustment to the transfer amount may also be
brought forward at year-end based on actual MFA
revenue received. (majority affirmative Council
votes required).

Revenue from Other
Agencies/Park Improvements
Project
59,245 59,245 Recognizes Measure Q 2018 Grant funding and increases the Parks Improvement Project by
$59,245. The grant funds supported the Bowers
Park walking loop project, which includes a pathway
and low water planting and points of interest along
the pathway. The reimbursement funding will be
used to support future parks improvement projects
(five affirmative Council votes required to
appropriate additional revenue).

Warburton Park Playground
Rehabilitation Project
This technical adjustment updates the funding
source for the Warbuton Park Playground
Rehabilitation Project from Mitigation Fee Act
Revenue to Quimby Act Fees of $1,270,505 based
on available Quimby fund balance. No changes to
appropriation amount.

Transfer to General Fund -
Capital Project Reserve
3,274 Increases the Transfer to the General Fund/Capital Projects Reserve by $3,274 to reflect the return of
savings from the Ullstac Natural Area Maintenance
project. (five affirmative Council votes required
for the use of unused balances).

Ending Fund Balance (8,268,856) Decreases the Unrestricted Ending Fund Balance to offset the actions above (five affirmative Council
votes required for the use of unfunded
balances).
(10,705,084) (10,705,084)
Parks and Recreation Capital Fund (532) (Cont'd.)
5 Attachment 3
FY 2021/22 Budget Amendments
Department/Item
Source of
Funds
Use of
Funds Explanation
Donations / Police Department 2,500 2,500 Recognizes and appropriates an anonymous donation to the Police Department. This donation
will be used for personal protective equipment
during training (five affirmative Council votes
required to appropriate additional revenue).
2,500 2,500
Department/Item
Source of
Funds
Use of
Funds Explanation
Information Technology -
Materials/Services/Supplies
400,000 Increases the Information Technology Department's materials/services/supplies allocation to provide
funding for projector screen and projector
replacement in both the Council chambers and
various library sites throughout the City. Additionally, this will also fund upgrades to the Council chambers
broadcast booth (five affirmative Council votes
required for the use of unused balances).

Ending Fund Balance (400,000) Decreases the ending fund balance to offset the action recommended above (five affirmative
Council votes required for the use of unused
balances).
- -
Department/Item
Source of
Funds
Use of
Funds Explanation
Department of Public Works
Salaries and Benefits
(166,518) Decreases the Public Works Department Salaries and Benefits budget by $166,518 to correct the
funding allocation for 1.0 Design Division Associate
Engineer position that was eliminated as part of the
Phase 1 budget reductions in March 2021. The
funding for this position was eliminated from the
General Fund; however, it should have been
partially reduced from the Public Works Capital
Project Management Fund where this position was
budgeted (majority Council approval required).

Transfer to the General Fund 166,518 Establishes a transfer to the General Fund to correct the funding allocation for 1.0 Design Division
Associate Engineer position that was eliminated as
part of the Phase 1 budget reductions in March
2021 as discussed above (majority Council
approval required).
- -
Public Donations Fund (067)
Public, Educational and Governmental (PEG) Fee Fund (221) Public Works Capital Project Management Fund (044)
6 Attachment 3
FY 2021/22 Budget Amendments
Department/Item
Source of
Funds
Use of
Funds Explanation
Transfer to the General
Government Capital Fund
(1,000) Eliminates the transfer to the General Government Capital Fund that was budgeted to pay for a portion
of the Utility Management Information System
(UMIS) Enhancements project. Funding for the
storm drain portion of the project should be provided
from the General Fund rather than the storm drain
outlet impact fee (majority affirmative council
votes required).

Unrestricted Ending Fund
Balance
1,000 Increases the Unrestricted Ending Fund Balance to offset the action above (majority affirmative
council votes required).
- -
Department/Item
Source of
Funds
Use of
Funds Explanation
Other Revenue - Developer
Contributions
(590,000) Decreases the revenue estimate for Other Revenue - Developer Contributions by $590,000 to reflect a
funding shift for the Multimodal Improvement Plan
Phase 2 Project. Funding will instead be provided by
Traffic Mitigation Fees collected from Related Santa
Clara in the Traffic Mitigation Fund ($60,000) and
Regional Traffic Mitigation Fees (Regional TMF)
collected from Related Santa Clara in the Traffic
Fair Share Fund ($530,000)
(majority Council vote
required).

Transfer from the Traffic Fair
Share Fund (Regional TMF -
Related Santa Clara for
Multimodal Improvement Plan
Phase 2 Project)
530,000 Establishes a transfer of $530,000 from the Traffic Fair Share Fund for Regional TMF collected from
Related Santa Clara for the Multimodal
Improvement Plan Phase 2 Project. This reflects a
shift in funding from Developer Contributions to
Regional TMF from Related Santa Clara (five
affirmative Council votes required to appropriate
additional revenue).

Transfer from the Traffic
Mitigation Fund (TMF - Related
Santa Clara for Multimodal
Improvement Plan Phase 2
Project)
60,000 Establishes a transfer of $60,000 from the Traffic Mitigation Fund for TMF collected from Related
Santa Clara for the Multimodal Improvement Plan
Phase 2 Project. This reflects a shift in funding
sources from Developer Contributions to TMF from
Related Santa Clara (five affirmative Council
votes required to appropriate additional
revenue).

Streets and Highways Capital Fund (533)
Storm Drain Capital Fund (535)
7 Attachment 3
FY 2021/22 Budget Amendments
Department/Item
Source of
Funds
Use of
Funds Explanation
Transfer from the Traffic Fair
Share Fund (Regional TMF -
Related Santa Clara for
Multimodal Improvement Plan
Phase 1 Project)
578,500 Establishes a transfer of $578,500 from the Traffic Fair Share Fund for Regional TMF collected from
Related Santa for the Multimodal Improvement Plan
Phase 1 Project. This reflects a shift in funding
sources from Regional TMF to Regional TMF from
Related Santa Clara. A previously received transfer
in of Regional TMF not from Related ($501,720) will
be returned to the Traffic Fair Share Fund in a
separate action in this attachment (five affirmative
Council votes required to appropriate additional
revenue).

Transfer from the Traffic
Mitigation Fund (TMF - Related
Santa Clara for Multimodal
Improvement Plan Phase 1
Project)
161,500 Establishes a transfer of $161,500 from the Traffic Mitigation Fund for TMF collected from Related
Santa Clara for the Multimodal Improvement Plan
Phase 1 Project. This reflects a shift in funding
sources from TMF to TMF from Related Santa
Clara. A previously received transfer in of TMF not
from Related ($238,820) will be returned to the
Traffic Mitigation Fund in a separate action in this
attachment (five affirmative Council votes
required to appropriate additional revenue).

Transfer to the Traffic
Mitigation Fund (Multimodal
Improvement Plan Phase 1
Project)
238,280 Transfers $238,280 to the Traffic Mitigation Fund to return a previously received transfer in for the
Multimodal Improvement Plan Phase 1 Project. This
action reflects a funding shift for the Project from
TMF to TMF from Related Santa Clara (five
affirmative Council votes required for the use of
unused balances).

Transfer to the Traffic Fair
Share Fund (Regional TMF -
Multimodal Improvement Plan
Phase 1 Project)
501,720 Transfers $501,720 to the Traffic Fair Share Fund to return a previously received transfer in of Regional
TMF for the Multimodal Improvement Plan Phase 1
Project. This action reflects a funding shift from
Regional TMF to Regional TMF from Related Santa
Clara (five affirmative Council votes required for
the use of unused balances).

Streets and Highways Capital Fund (533) (Cont'd.)
8 Attachment 3
FY 2021/22 Budget Amendments
Department/Item
Source of
Funds
Use of
Funds Explanation
Transfer from the Traffic
Mitigation Fund (HAWK
Beacon on Scott and Harrison
Project)
206,000 Recognizes a transfer of $206,000 from the Traffic Mitigation Fund for the HAWK Beacon on Scott and
Harrison Project and reflects a shift in funding
sources from Regional TMF in the Traffic Fair Share
Fund to Traffic Mitigation Fee from the Traffic
Mitigation Fund. A previously received transfer in of
Regional TMF ($206,000) will be returned to the
Traffic Fair Share Fund in a separate action in this
attachment (five affirmative Council votes
required to appropriate additional revenue).

Transfer to the Traffic Fair
Share Fund (Regional TMF -
HAWK Beacon on Scott and
Harrison Project)
206,000 Transfers $206,000 to the Traffic Fair Share Fund to return a previously received transfer in of Regional
TMF for the HAWK Beacon on Scott and Harrison
Project. This action reflects a funding shift from
Regional TMF in the Traffic Fair Share Fund to
Traffic Mitigation Fee in the Traffic Mitigation Fund
(five affirmative Council votes required for the
use of unused balances).

Transfer to the Gas Tax Fund 174,297 Transfers $174,297 to the Gas Tax Fund to return unused funds, $68,258 for the Agnew Road/De La
Cruz Blvd Signal Timing Project and $106,039 for
the Lafayette Street Signal Timing Project. The
projects were closed as of FY 2020/21 but were
omitted from the Year End Close Report. This action
returns remaining funding back to the original
funding source, the Gas Tax Fund (five affirmative
Council votes required for the use of unused
balances).

Pedestrian and Bicycle
Enhancement Facilities
27,921 Increases the Pedestrian and Bicycle Enhancement Facilities Project by $27,921 to return the unused
funding for the Pedestrian Master Plan. The
Pedestrian Master Plan Project was closed as of FY
2020/21 but was omitted from the Year End Close
Report. This action returns unused contingency to
the original funding source, the Pedestrian and
Bicycle Enhancement Facilities Project (five
affirmative Council votes required for the use of
unused balances).

Unrestricted Ending Fund
Balance
(202,218) Decreases the Unrestricted Ending Fund Balance to offset the actions above (five affirmative Council
votes required for the use of unused balances).
946,000 946,000
Streets and Highways Capital Fund (533) (Cont'd.)
9 Attachment 3
FY 2021/22 Budget Amendments
Department/Item
Source of
Funds
Use of
Funds Explanation
Other Revenue (Regional
Traffic Mitigation Fee - Related
Santa Clara)
1,108,500 Increases the Other Revenue estimate for regional traffic mitigation fees anticipated from Related Santa
Clara for the Multimodal Improvement Plan Phase 1
and Multimodal Improvement Plan Phase 2 Projects
(five affirmative Council votes required to
appropriate additional revenue).

Transfer to the Streets and
Highways Capital Fund
(Related Santa Clara)
1,108,500 Establishes a transfer to the Streets and Highways Capital Fund to fund $578,500 for the Multimodal
Improvement Plan Phase 1 Project for a shift in
funding sources from to Regional TMF to Regional
TMF from Related Santa Clara, and $530,000 for
the Multimodal Improvement Plan Phase 2 Project
to reflect a shift in funding from Developer
Contributions to Regional TMF from Related Santa
Clara (five affirmative Council votes required to
appropriate additional revenue).

Transfer from the Streets and
Highways Capital Fund
707,720 Recognizes a transfer in from the Streets and Highways Capital Fund to return $501,720 for the
Multimodal Improvement Plan Phase 1 Project to
reflect a shift in funding sources from Regional TMF
to Regional TMF from Related Santa Clara and
$206,000 for the HAWK Beacon on Scott and
Harrison Project to reflect a shift in funding sources
from Regional TMF to TMF (five affirmative
Council votes required to appropriate additional
revenue).

Restricted Ending Fund
Balance
707,720 Increases the Restricted Ending Fund Balance for Regional TMF to offset the actions above (five
affirmative Council votes required to appropriate
additional revenue).
1,816,220 1,816,220
Traffic Fair Share Fund (124)
10 Attachment 3
FY 2021/22 Budget Amendments
Department/Item
Source of
Funds
Use of
Funds Explanation
Other Fees for Services
(Traffic Mitigation Fee -
Related Santa Clara)
221,500 Increases the Other Fees for Services revenue estimate for traffic mitigation fees anticipated from
Related Santa Clara for the Multimodal
Improvement Plan Phase 1 and Multimodal
Improvement Plan Phase 2 Projects (five
affirmative Council votes required to appropriate
additional revenue).

Transfer to the Streets and
Highways Capital Fund
(Related Santa Clara)
221,500 Increases the transfer to the Streets and Highways Capital Fund to fund $161,500 for the Multimodal
Improvement Plan Phase 1 Project to reflect a shift
in funding sources from to TMF to TMF from
Related Santa Clara and $60,000 for the Multimodal
Improvement Plan Phase 2 Project to reflect a shift
in funding sources from Developer Contributions to
TMF from Related Santa Clara (five affirmative
Council votes required to appropriate additional
revenue).

Transfer from the Streets and
Highways Capital Fund
238,280 Recognizes a transfer in from the Streets and Highways Capital Fund to return funding for the
Multimodal Improvement Plan Phase 1 Project to
reflect a shift in funding sources from TMF to TMF
from Related Santa Clara (five affirmative Council
votes required to appropriate additional
revenue).

Transfer to the Streets and
Highways Capital Fund
206,000 Increases the transfer to the Streets and Highways Capital Fund to fund $206,000 for the HAWK
Beacon on Scott and Harrison. This action reflects a
shift in funding sources from Regional TMF in the
Traffic Fair Share Fund to TMF (five affirmative
Council votes required for the use of unused
balances).

Unrestricted Ending Fund
Balance
32,280 Increases the Unrestricted Ending Fund Balance to offset the actions above (five affirmative Council
votes required to appropriate additional
revenue).
459,780 459,780
Traffic Mitigation Fund (123)
11 City of Santa Clara
Agenda Report
1500 Warburton Avenue
Santa Clara, CA 95050
santaclaraca.gov
@SantaClaraCity
22-306 Agenda Date: 3/22/2022

REPORT TO COUNCIL

SUBJECT
Action on the Single Audit Report for Fiscal Year 2020-21

COUNCIL PILLAR
Enhance Community Engagement and Transparency

BACKGROUND
The City’s annual financial statement audit also includes the federally mandated “Single Audit” which is designed to meet the special reporting requirements of federal granting agencies, specifically Office of Management and Budget (OMB) Uniform Guidance 2.CFR.200 - Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (formerly OMB A-133).

The standards governing Single Audit engagements require that agencies expending more than $750,000 in federal monies in a fiscal year have an independent audit not only on the fair presentation of the financial statements, but also on internal controls for compliance with the administrative requirements of federal awards. The Single Audit was performed by the City’s financial statement auditor, Maze & Associates. The Single Audit report is attached.

City staff and Maze & Associates met with the City Council Audit Committee on March 14, 2022.

Present were Committee members Watanabe, Jain, and Park. During the Committee meeting, Maze & Associates gave a presentation about the audit process and scope of work, as well as the auditor’s opinion. City staff and Maze & Associates answered questions from Committee members.

The Audit Committee unanimously accepted the Single Audit Report presented at the Committee meeting and recommended that the City Council note and file the reports at the March 22, 2022 Council meeting. After the Council meeting, the Single Audit Report will be published on the City’s website.

DISCUSSION
Based on their audit, Maze & Associates issued an unmodified opinion with regard to the fair presentation of the financial statements and that the City is in compliance with internal control over financial reporting. For Fiscal Year 2020-21, Maze & Associates identified three major programs to audit: Housing and Urban Development (HUD) - Community Development Block (CDBG) - Entitlement Grant; Department of Treasury - State of California pass-through - Covid 19 - Coronavirus Relief Fund; and Department of Transportation - Highway Planning and Construction Grant. The audit yielded one finding related to the Federal Funding Accountability and Transparency Act (FFATA) reporting requirement for the CDBG program. The City subsequently provided documentation that showed the correct reporting data on March 10, 2022 and resolved the reporting discrepancy. As part of the attached Corrective Action Plan, Staff has revised the policies and procedures manual and developed a review process to ensure the compliance with the FFATA City of Santa Clara Printed on 3/17/2022Page 1 of 2
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22-306 Agenda Date: 3/22/2022
reporting requirement.

Additionally, part of the annual requirements for the Single Audit is to report on the status of any audit findings that were identified during the previous year. The Single Audit for FY 2018-19 resulted in a finding related to monitoring the CDBG program activities for compliance with program rules and regulations. The actions staff have taken, and the status of the prior year finding are outlined in the attached summary schedule of prior year audit findings.

ENVIRONMENTAL REVIEW
The action being considered does not constitute a “project” within the meaning of the California Environmental Quality Act (“CEQA”) pursuant to CEQA Guidelines section 15378(b)(4) in that it is a fiscal activity that does not involve any commitment to any specific project which may result in a potential significant impact on the environment.

FISCAL IMPACT
The staff and the external auditor costs associated with the audit and financial reports production are included in the annual appropriations.

PUBLIC CONTACT
Public contact was made by posting the Council agenda on the City’s official-notice bulletin board outside City Hall Council Chambers. A complete agenda packet is available on the City’s website and in the City Clerk’s Office at least 72 hours prior to a Regular Meeting and 24 hours prior to a Special Meeting. A hard copy of any agenda report may be requested by contacting the City Clerk’s Office at (408) 615-2220, email [email protected].

RECOMMENDATION
Note and file the City of Santa Clara Single Audit Report for the year ended June 30, 2021, as recommended by the Council Audit Committee.

Reviewed by: Kenn Lee, Director of Finance
Approved by: City Manager’s Office

ATTACHMENTS

1. Single Audit Report June 30, 2021

2. Single Audit Current Year Finding - Corrective Action Plan

3. Summary Schedule of Prior Audit Findings
City of Santa Clara Printed on 3/17/2022Page 2 of 2
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CITY OF SANTA CLARA

SINGLE AUDIT REPORT
FOR THE YEAR ENDED JUNE 30, 2021
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CITY OF SANTA CLARA

SINGLE AUDIT REPORT
For The Year Ended June 30, 2021

TABLE OF CONTENTS

TABLE OF CONTENTS

Page

Schedule of Findings and Questioned Costs .............................................................................. 1

Section I – Summary of Auditor’s Results ......................................................................... 1

Section II – Financial Statement Findings .......................................................................... 2

Section III – Federal Award Fi ndings and Questioned Costs ............................................. 2

Schedule of Expenditure s of Federal Awards ............................................................................ 3

Notes to Schedule of Expend itures of Federal Awards ............................................................. 5

Independent Auditor’s Report on Internal Control over Financial Reporting and on Compliance and Other Matters Based on an Audit of Financial Statements Performed in Accordance with Government Auditing Standards .................. 7

Independent Auditor's Report on Compliance for Each Major Federal Program; and on Internal Control Over Compliance; and Report on the Schedule of Expenditures of Federal Awards Required by the Uniform Guidance ...... 9

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CITY OF SANTA CLARA

SCHEDULE OF FINDINGS AND QUESTIONED COSTS
For The Year Ended June 30, 2021
SECTION I – SUMMARY OF AUDITOR’S RESULTS
SECTION I—SUMMARY OF AUDITOR’S RESULTS
Financial Statements
Type of report the auditor issued on whether the financial statements audited were prepared in accordance with GAAP Unmodified Internal control over financial reporting:
 Material weakness(es) identified? Yes X No
 Significant deficiency(ies) identified? Yes X
None
Reported
Noncompliance material to financial statements noted? Yes X No Federal Awards
Internal control over major federal programs:
 Material weakness(es) identified? Yes X No
 Significant deficiency(ies) identified? Yes X
None
Reported
Type of auditor’s report issued on compliance for major federal programs: Unmodified
Any audit findings disclosed that are required to be reported in accordance with 2 CFR 200.516(a)? X Yes No
Identification of major program(s):

Assistance Listing
(AL) #(s) Name of Federal Program or Cluster

21.019 Coronavirus Relief Fund

20.205 Department of Transportation – Highway Planning and Construction Grant

14.218 Community De velopment Block – Entitlement Grants Dollar threshold used to distinguish between type A and type B programs: $750,000 Auditee qualified as low-risk auditee? X Yes No
1 SECTION II – FINANCIAL STATEMENT FINDINGS
SECTION II – FINANCIAL STATEMENT FINDINGS
Our audit did not disclose any significant deficiencies, material weaknesses or instances of noncompliance material to the basic financial statements. We have also issued a separate Memorandum on Internal Control dated November 30, 2021, which is an integral part of our audits and should be read in conjunction with this report.

SECTION III – FEDERAL AWARD FINDINGS AND QUESTIONED COSTS SECTION III – FEDERAL AWARD FINDINGS AND QUESTIONED COSTS Our audit disclosed the following findings and questioned costs required to be reported in accordance with Uniform Guidance.

Finding Reference Number:

SA2021-001 Federal Funding Accountability and Transparency Act (FFATA) Reporting
Assistance Listing Number: 14.218
Assistance Listing Title: Community Development Block Grant – Entitlement Grant Name of Federal Agency: Department of Housing and Urban Development Federal Award Identification Number: B-20-MC-06-0022
COVID-19 - B-20-MW-06-0022
Criteria: Under the requirements of the Federal Fundi ng Accountability and Transparency Act (FFATA) (Pub. L. No. 109-282), as amended by Section 6202 of Public Law 110-252 that are codified in 2 CFR Part 170, direct recipients of grants are required to report first-tier subawards of $30,000 or more to the Federal Funding Accountability and Transparency Act Subaward Reporting System (FSRS). Subawards that are entered into the FSRS System shoul d be maintained so that any amendments to the su bawards are also reflected in the system.

Condition: We selected two of the City’s subawards fo r testing of the reporting on the FSRS. The two subawards tested were comprised of four contracts that were all more than $30,000. Although we noted that all four of the contracts tested were included in the FSRS, one of the contracts in the amount of $1,300,000 was reported in FSRS in the amount of $691,380.

Cause: We understand that program staff had initially input the contract in the FSRS in the amount of $691,380 based on the original funding estimate and did not update the FSR S to reflect the final contract amount of $1,300,000.

Effect: The City is not in compliance with the FFATA reporting requirements.

Recommendation: Although the City provided documentati on that the FSRS was updated on March 10, 2022 to reflect the final contract amount of $1,300,000, th e City should develop procedures to ensure that FFATA reporting is accurate at all times and reflects any contract amendments and final subaward funding amounts.

View of Responsible Officials and Planned Corrective Actions: Please see Corrective Action Plan separately prepared by the City.
2 CITY OF SANTA CLARA

SCHEDULE OF EXPENDITURES OF FEDERAL AWARDS
For the Fiscal Year Ended June 30, 2021
Federal
Assistance Pass-Throu gh Pass-Throu gh
Federal Grantor/ Listing Identifying To Federal
Pass-Through Grantor/Program or Cluster Title Number Number Subrecipients Ex penditures U.S. Department of Housing and Urban Development Direct Programs Community Development Block Grant - Entitlement Grants 14.218 Program expenditures $828,238 $1,580,814
COVID-19 - Emergency Rental Assistance Program and Administration 730,831 1,020,771 Program subtotal 1,559,069 2,601,585
Home Investment Partnerships Program 14.239 994,599 1,090,636 Total U.S. Department of Housing and Urban Development 2,553,668 3,692,221 U.S. Department of Justice Direct Programs
COVID 19 - Coronavirus Emergency Supplemental Funding 16.034 29,956 Bureau of Justice Statistics and Federal Bureau of Investigation National Incident Based Reporting System
Special Data Collections and Statistical Studies 16.734 2,988 Edward Byrne Memorial Justice Assistance Grant Program 16.738 3,791 Equitable Sharing Program 16.922 139,173
Total U.S. Department of Justice 175,908
U.S. Department of Transportation Pass-Through Programs From:

Highway Planning and Construction
State of California Department of Transportation
Safe Routes to School Education Program 20.205 CML-5019 (033) 84,993 Santa Clara Streets and Roads Preservation 20.205 STPL-5019 (034) 2,356,000 Metropolitan Transportation Commission
Priority Development Area Planning Grant 20.205 1812 137,583 Program subtotal 2,578,576
State of California Office of Traffic Safety
National Priority Safety Programs 20.616 TR21062 24,800 Total U.S. Department of Transportation 2,603,376
U.S. Department of Treasury Pass-Through Program From:

State of California Department of Finance
COVID-19 - Coronavirus Relief Fund 21.019 295 1,594,064 U.S. Department of Homeland Security
Direct Program:

Federal Emergency Management Agency
Assistance to Firefighters Grant 97.044 75,121
Pass-Through Programs From:

California Task Force 3 Urban Search and Rescue
National Urban Search and Rescue Response System 97.025 CA-TF3 11,734 County of Santa Clara Office of Emergency Services
2019 Emergency Management Performance Grants 97.042 2019-003 / 085-00000 15,208 County of Santa Clara Office of Emergency Services
Homeland Security Grant Program (HSGP) 97.067 SHSGP 171,148 City and County of San Francisco
2019 Bay Area Urban Areas Security Initiative Grant 97.067 2019-0035 / 075-95017 185,000 Program subtotal 356,148
Total U.S. Department of Homeland Security 458,211
Total Expenditures of Federal Awards $2,553,668 $8,523,780 See Accompanying Notes to Schedule of Expenditures of Federal Awards 3 This Page Left Intentionally Blank

CITY OF SANTA CLARA

NOTES TO THE SCHEDULE OF EXPENDITURES OF FEDERAL AWARDS For The Year Ended June 30, 2021

NOTES TO THE SCHEDULE
NOTE 1 – REPORTING ENTITY
The Schedule of Expenditure of Federal Awards (the Schedule) includes expenditures of federal awards for the City of Santa Clara, Californi a, and its component units as disc losed in the notes to the Basic Financial Statements, except for federal awards of the Santa Clara Stadium Authority (Stadium Authority). Federal awards expended by the Stadium Authority, if any, are excluded from the Schedule and are subject to a separate Single Audit performed by other auditors.

NOTE 2 – SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES
Basis of accounting refers to when revenues and expenditures or expenses are recognized in the accounts and reported in the financial statements, regardless of the measuremen t focus applied. All governmental funds and fiduciary funds are accounted for using the modified accrual basis of accounting. All proprietary funds are accounted for using the accrual basis of accounting. Expenditures of Federal Awards reported on the Schedule are recognized when incurred.

NOTE 3 – INDIRECT COST ELECTION
The City has not elected use the 10% de minimis indirect cost rate allowed under the Uniform Guidance.

NOTE 4 – CORONAVIRUS RELIEF PROGRAM (AL# 21.019)
The Schedule for the year ended June 30, 2021 include s expenditures for the Coronavirus Relief Program (AL# 21.019) for the period of March 1, 2020 to Dece mber 31, 2020. The period of performance for the grant was March 1, 2020 to December 31, 2020, but to rece ive the funding, the City was required to file a certification with the State Department of Finance by July 10, 2020 that the City would use the funds consistent with federal requirements, adhere to health orders and directives, return unspent funds, and repay any disallowed costs, among other compliance certifications. The City’s certification was filed on July 7, 2020.
5 This Page Left Intentionally Blank
INDEPENDENT AUDITOR’S REPORT ON

INTERNAL CONTROL OVER FINANCIAL REPORTING

AND ON COMPLIANCE AND OTHER MATTERS BASED ON AN

AUDIT OF FINANCIAL STATEMENTS PERFORMED IN ACCORDANCE

WITH GOVERNMENT AUDITING STANDARDS
To the Honorable Members of the City Council
City of Santa Clara, California
We have audited, in accordance w ith the auditing standards generall y accepted in the United States of America and the standards applicable to financial audits contained in Government Auditing Standards issued by the Comptroller General of the United St ates, the financial statemen ts of the governmental activities, the business-type activities, each major fund, and the aggregate remaining fund information of the City as of and for the year ended June 30, 2021, and the related notes to the financial statements, which collectively comprise the City’s basic financ ial statements, and have issued our report thereon dated November 30, 2021. Our repo rt includes a reference to other auditors who audited the financial statements of the City of Santa Clara Stadium Authority for the year ended March 31, 2021 and a reference to other
auditors who audited the financial statements the Northern California Power Agency, Transmission Agency of Northern California and San Jose-Santa Clara Regional Wastewater Facility and Clean Water Financing Authority as of and for the year ended June 30, 2020, related to the calculation of the Investments in Joint Ventures, as described in our report on the C ity’s financial statements. This report includes our consideration of the results of th e other auditors’ testing of internal control over financial reporting and compliance and other matters that are reported on separately by those other auditors. However, this report, insofar as it relates to the results of the other auditors, is based solely on the reports of the other auditors.

Internal Control over Financial Reporting
In planning and performing our audit of the financial statements, we considered the City’s internal control over financial reporting (internal cont rol) as a basis for designing audit procedures that are appropriate in the circumstances for the purpose of expressing our opinions on the fi nancial statements, but not for the purpose of expressing an opinion on the effectiveness of the City’s internal cont rol. Accordingly, we do not express an opinion on the effectiveness of the City’s internal control.

A deficiency in internal control exists when the design or opera tion of a control does not allow management or employees, in the normal course of performing their assigned functions, to prevent, or detect and correct, misstatements on a timely basis. A material weakness is a deficiency, or a combination of deficiencies, in internal control such that there is a re asonable possibility that a material misstatement of the City’s financial statements will not be prevente d, or detected and corrected on a timely basis. A significant deficiency is a deficiency, or a combination of defici encies, in internal control that is less severe than a material weakness, yet important en ough to merit attention by those charged with governance.

Our consideration of internal control was for the lim ited purpose described in the first paragraph of this section and was not designed to identify all deficien cies in internal control that might be material weaknesses or significant deficiencies. Given these limitations, during our audit we and other auditors did not identify any deficiencies in internal control that we consider to be material weaknesses. However, material weaknesses may exist that have not been identified. 7 Accountancy Corporation
3478 Buskirk Avenue, Suite 215
Pleasant Hill, CA 94523
T 925.930.0902
F 925.930.0135
E [email protected]
w mazeassociates.com
Compliance and Other Matters
As part of obtaining reasonable assurance about whether the City’s financial statements are free from material misstatement, we performed tests of its comp liance with certain provisions of laws, regulations, contracts, and grant agreements, noncompliance with which could have a direct and material effect on the financial statements. However, providing an opinio n on compliance with those provisions was not an objective of our audit, and accordingly , we do not express such an opini on. The results of our tests and those of the other auditors disclosed no instances of noncompliance or other ma tters that are required to be reported under Government Auditing Standards.

We have also issued a separate Me morandum on Internal Control date d November 30, 2021, which is an integral part of our audit and should be read in conjunction with this report.

Purpose of this Report
The purpose of this report is solely to describe the scope of our testin g of internal control and compliance and the result of that testing, and not to provide an opinion on the effectiveness of the City’s internal control or on compliance. This report is an integr al part of an audit performed in accordance with Government Auditing Standards in considering the City’s internal control and compliance. Accordingly, this communication is not suitable for any other purpose.

Pleasant Hill, California
November 30, 2021
8 INDEPENDENT AUDITOR'S REPORT ON

COMPLIANCE FOR EACH MAJOR PROGRAM
AND ON INTERNAL CONTROL OVER COMPLIANCE;

AND REPORT ON THE SCHEDULE OF EXPENDITURES OF

FEDERAL AWARDS REQUIRED BY THE UNIFORM GUIDANCE
To the Honorable Members of the City Council
City of Santa Clara, California
Report on Compliance for Each Major Federal Program
The City of Santa Clara’s basic financial statements include the operations of the Santa Clara Stadium Authority (Stadium Authority), which is not included in the Schedule during the year ended June 30, 2021. Our audit, described below, did not include the operations of the Stadium Authority, because the Stadium Authority engaged other auditors.

We have audited City’s compliance with the type s of compliance requirements described in the OMB Compliance Supplement that could have a direct and material e ffect on each of the City’s major federal programs for the year ended June 30, 2021. The City’s major federal programs are identified in the summary of auditor’s results section of the accompanying schedule of findings and questioned costs.

Management’s Responsibility
Management is responsible for compliance with federal statutes, regulations, and the terms and conditions of its federal awards applicable to its federal programs.

Auditor’s Responsibility
Our responsibility is to express an opinion on complia nce for each of the City’s major federal programs based on our audit of the types of compliance requirem ents referred to above. We conducted our audit of compliance in accordance with auditing standards generally accepted in the United States of America; the standards applicable to financial audits contained in Government Auditing Standards, issued by the
Comptroller General of the United States; a nd the audit requirements of Title 2 U.S. Code of Federal Regulations Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (Uniform Guidance). Those standards and the Uniform Guidance require that we plan and perform the audit to obtain reasonable assuran ce about whether noncompliance with the types of compliance requirements referred to above that could ha ve a direct and material effect on a major federal program occurred. An audit includes examining, on a test basis, evidence about City’s compliance with those requirements and performing such other proc edures as we considered necessary in the circumstances.

We believe that our audit provides a reasonable ba sis for our opinion on co mpliance for each major federal program. However, our audit does not provide a legal determination of the City’s compliance. 9 Accountancy Corporation
3478 Buskirk Avenue, Suite 215
Pleasant Hill, CA 94523
T 925.930.0902
F 925.930.0135
E [email protected]
w mazeassociates.com
Opinion on Each Major Federal Program
In our opinion,
the City complied, in all material respects, with th e types of compliance requirements referred to above that could have a direct and material effect on each of its major federal programs for the year ended June 30, 2021.

Other Matters
The results of our auditing proced ures disclosed instances of noncom pliance which are required to be reported in accordance with the Uniform Guidance and which are described in the accompanying Schedule of Findings and Questioned Costs as item SA2021-001. Our opinion on each major federal program is not modified with respect to these matters.

The City’s response to the noncompliance findin gs identified in our audit are described in the
accompanying Schedule of Findings and Questioned Costs. The City’s response was not subjected to the auditing procedures applied in the audit of compli ance and, accordingly, we express no opinion on the response.

Report on Internal Control Over Compliance
Management of the City is responsible for establishing and maintaining effective internal control over compliance with the types of compliance requirements referred to above. In planning and performing our audit of compliance, we considered the City’s in ternal control over compliance with the types of requirements that could have a direct and material effect on each major federa l program to determine the auditing procedures that are appropriate in the circum stances for the purpose of expressing an opinion on compliance for each major federal pr ogram and to test and report on in ternal control over compliance in accordance with the Uniform Guid ance, but not for the purpose of expressing an opinion on the effectiveness of internal control over compliance. Accordingly, we do not express an opinion on the effectiveness of the City’s s internal control over compliance.

A deficiency in internal control over compliance exists when the design or o peration of a control over
compliance does not allow management or employees, in the normal course of performing their assigned functions, to prevent, or detect and correct, noncompliance with a ty pe of compliance requirement of a federal program on a timely basis. A material weakness in internal control over compliance is a deficiency, or
a combination of deficiencies, in inte rnal control over compliance, such that there is a reasonable possibility that material noncompliance w ith a type of compliance requirement of a federal program will not be prevented, or
detected and corrected, on a timely basis. A significant deficiency in internal control over compliance is a deficien
cy, or a combination of deficiencies, in internal control over compliance with a type of compliance requirement of a federal program that is less severe than a material weakness in internal control over compliance, yet im portant enough to merit attention by those charged with governance.

Our consideration of internal control over complian ce was for the limited purpose described in the first paragraph of this section and was not designed to identify all deficiencies in internal control over compliance that might be material weaknesses or significant deficiencies. We did not identify any deficiencies in internal control over compliance that we consider to be material weaknesses. However, material weaknesses may exist that have not been identified.

The purpose of this report on intern al control over compliance is sole ly to describe the scope of our testing of internal control over compliance and the results of that testin g based on the requirements of the Uniform Guidance.

Accordingly, this report is not suitable for any other purpose. 10 Report on Schedule of Expenditures of Federal Awards Required by the Uniform Guidance We have audited the financial statements of the gover nmental activities, the business-type activities, each major fund, and the aggregate remainin g fund information of the City as of and for the year ended June 30, 2021, and the related notes to the fi nancial statements, which collectively comprise the City’s basic financial statements. We issued our report thereon dated November 30, 2021, which contained an unmodified opinion on those basic financial statements. Our report incl udes a reference to other auditors who audited the financial statements of the City of Santa Clara Stad ium Authority for the year ended March 31, 2021 and a reference to other auditors who audited the financia l statements the Northern California Power Agency, Transmission Agency of Northern California and San Jose-Santa Clara Regional Wastewater Facility and Clean Water Financing Authority as of and for the year ended June 30, 2020, related to the calculation of the Investments in Joint Ventures, as described in our re port on the City’s financial statements. Our report, insofar as it relates to the results of the other auditors, is based solely on the reports of the other auditors.

Our audit was conducted for the purpose of forming an opinion on the financial stat ements that collectively comprise the basic financial statements. The accompa nying schedule of expenditures of federal awards is presented for purposes of additional analysis as required by the Uniform Guidance and is not a required part of the financial statements. Such information is the responsibility of management and was derived from and relates directly to the underlying accounting and other records used to prepare the basic financial statements.

The information has been subjected to the auditing pr ocedures applied in the audit of the basic financial statements and certain additional procedures, includi ng comparing and reconciling such information directly to the underlying accounting and other records used to prepare the basic financial st atements or to the basic financial statements themselves, and other additiona l procedures in accordanc e with auditing standards generally accepted in the United States of America. In our opinion, the schedule of expenditures of federal awards is fairly stated in all material respects in relation to the basic financial statements as a whole.

Pleasant Hill, California
March 10, 2022
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1500 Warburton Avenue ● Santa Clara, CA 95050 ● Phone: 408-615-2490 ● Fax: 408-248-3381 ● www.SantaClaraCA.gov Housing and Community
Services Division

SINGLE AUDIT
FOR THE YEAR ENDED JUNE 30, 2021

CORRECTIVE ACTION PLAN

FINANCIAL STATEMENT FINDINGS - CURRENT YEAR
There were no current year financial statement findings.

FEDERAL AWARD FINDINGS - CURRENT YEAR
Finding Reference Number: SA2021-001 Federal Funding Accountability and Transparency Act (FFATA) Reporting
Assistance Listing Number: 14.218
Assistance Listing Title: Community Development Block Grant – Entitlement Grant Name of Federal Agency: Department of Housing and Urban Development Federal Award Identification Number: B-20-MC-06-0022
COVID-19 - B-20-MW-06-0022
• Name(s) of the contact person: Eric Calleja, Housing Development Officer • Corrective Action Plan:
• The City has taken action and corrected the issues related with this finding. The City has also taken steps to implement improved processes to prevent this issue from occurring again. A checklist has been created for the execution of contracts and the input of federal contracts over $30,000 into the FFATA database. The steps will require the input of awardee information within 30 days of the City receiving its federal awards, the input of sub-awardee information within 30 days of federal contracts and any subsequent amendments over$30,000, and a review of amendments to make sure any contracts less than $30,000 do not cross the $30,000 threshold with the changes in the amendment. • Anticipated Completion Date:

Finding SA2021-001: March 10, 2022
City of
Santa Clara
The Center of What's Possible

1500 Warburton Avenue ● Santa Clara, CA 95050 ● Phone: 408-615-2490 ● Fax: 408-248-3381 ● www.SantaClaraCA.gov Housing and Community
Services Division

SINGLE AUDIT
FOR THE YEAR ENDED JUNE 30, 2021

SUMMARY SCHEDULE OF PRIOR AUDIT FINDINGS

FINANCIAL STATEMENT FINDINGS – PRIOR AUDIT

There were no prior year financial statement findings.

FEDERAL AWARD FINDINGS – PRIOR AUDIT

Finding Reference Number: SA2019-001 Monitoring CDBG and HOME Program Activities for Compliance with Program Rules and Regulations

CFDA number: 14.218 and 14.239
CFDA Title: Community Development Block Grant – Entitlement Grant HOME Investment Partnerships Program
Name of Federal Agency: Department of Housing and Urban Development

• Name(s) of the contact person: Eric Calleja, Housing Development Officer

• Fiscal Year of Initial Finding: 2018-2019

• Current Status:

The City has yet to receive clearance regarding Findings One, Two and Three from the grantor. The City did take the overarching CDBG guidelines to council on March 23, 2021.

These CDBG guidelines were approved. The City submitted the overarching CDBG guidelines to HUD; however, the City never officially received a clearance letter from HUD.

The City has not yet submitted the Subrecipient Monitoring and Oversight Manual to HUD.

City staff does meet with its HUD representative on a quarterly basis to go over outstanding issues and is currently working on formally closing out these items.

Finding One – The City accepts HUD’s findings on Subrecipient Oversight. The City conducts thorough “desk audit” reviews of submitted reports and supporting documentation for invoices; however, the City is in the process of implementing more thorough on- site monitoring visits. If the City does find consistent anomalies during the “desk review”, staff would complete an on-site visit to further investigate.

Although the City did not complete a formal Risk Assessment, the City does consider funding amounts and performance history with the sub-recipient when determining whether an on- site review would return anything different than a desk review. The documents and supporting documentation that are submitted with invoices are the same documents that would be reviewed during a typical on-site review.

City of
Santa Clara
Th A Centar of What',. PossiblA
Re: SINGLE AUDIT FOR THE YEAR ENDED JUNE 30, 2021
March 4, 2022

Moving forward, the City will complete the following actions:
1) The City has already submitted the overarching CDBG Guidelines to HUD for review per their request on a different program. The City has also formalized a more detailed Subrecipient Monitoring and Oversite Manual which provides policies, procedures, and methodology related to Subrecipient Risk Assessment. The City will be submitting this more detailed manual to HUD on or before June 30, 2022. 2) The City has updated its Grant Agreement template for the new program year to include all necessary provisions from 2 CFR 200. The City will submit contract template to HUD for review on or before June 30, 2022.
3) The City has also developed a Risk Assessment methodology which is included in the subrecipient manual.

Finding Two – The City agreed that St. Justin’s program intake form was inadequate; however, due to the nature of the primary population served (homeless and seniors), it is likely that the clientele is eligible.

The City has drafted a new intake form with updated income levels, a place for the client and staff to sign, and a place where the client can self -certify their homeless status.

Unfortunately, St. Justin’s voluntarily withdrew from the City’s public service funding program in 2020 due to the increased intake requirements; however, the City will continue to use the new intake form where required.

Finding Three – The City disagreed with this finding. In the City’s contract/agreement template that is used with all subrecipients, there is the clause requiring those grantees that expend $750,000 or more of federal financial assistance in a fiscal year to obtain a Single Audit.

The new policies and procedures detail when single audits are required and how they are reviewed by City staff. The updated contract template also details regulator language related to this concern.

The City has yet to formally receive clearance regarding these findings from the grantor. The City did take the overarching CDBG Guidelines to council in March 23, 2021. They were approved and these overarching CDBG Guidelines were submitted to HUD; however, the City never officially received a clearance letter from HUD . The City has been in conversations with its HUD representative, Meira Barrett, and she has directed the City to email all documents related to HUD’s monitoring visit of 2019 for her review.

Concern – While the City’s current TBRA Guidelines contain verbiage that the TBRA administrator is required to review the lease, staff acknowledges that this requirement could be clarified and further emphasized. Neither the City nor HUD discovered any specific proof that the TBRA administrator was not reviewing the leases.

The City has updated the TBRA Guidelines to make it clearer that the TBRA administrator is required to review leases, and that they need to send subsidy checks by a certain date every month.

In its December 20, 2019 letter to the City, the grantor indicated that this Concern is considered closed.

City of Santa Clara
Agenda Report
1500 Warburton Avenue
Santa Clara, CA 95050
santaclaraca.gov
@SantaClaraCity
22-356 Agenda Date: 3/22/2022

REPORT TO COUNCIL

SUBJECT
Action on the Integrated Goose Management Plan (IGMP) for Central Park

COUNCIL PILLARS
Enhance Community Sports, Recreational and Arts Assets; Deliver and Enhance High Quality Efficient Services and Infrastructure; Promote Sustainability and Environmental Protection

BACKGROUND
The City of Santa Clara Central Park includes the Central Park Lake, surrounded by planted areas and grass meadows that attract waterfowl. Over the past decade, the Canada Geese population has increased significantly, producing large amounts of fecal waste that exceed the daily grounds maintenance program’s capacity to keep pathways, fields, meadows, and recreational amenities clean and sanitary for public use. Each Canada Goose produces a pound of feces per day, resulting in over 175 pounds of accumulating waste per day deposited into the lake and surrounds. In addition, the Central Park Canada Goose population has become non-migratory. The daily foraging, preening and nesting behaviors create added negative impacts year-round to the park.

The management activities of the Canada Geese and Mallards are regulated by the Federal Migratory Bird Treaty Act of 1918 and subsequent revisions, as well as the U.S. Fish and Wildlife Service (USFWS). While the City has used various approved methods to deter geese, including movable predator land decoys (coyote mannequins); floating water decoys (alligator mannequins), geese panic sounds, grass treatments, and physical barriers, additional steps are needed to address the community complaints and concerns, as well as to educate and inform policy and management practices that include the community’s understanding and support.

To that end, the City has retained the services of avian biologist, Daniel Edelstein, who has specific Bay Area experience andhas developed an Integrated Goose Management Plan (IGMP) (Attachment 1). The IGMP provides research, information and effective strategies to protect wildlife and reduce the increasingly negative and unsustainable impacts of the Canada Goose and Mallard on the Central Park lake water quality, as well as plants, pathways, recreational amenities, ballfields and visitors’ park use.

DISCUSSION
The IGMP proposes the four “management actions” below for City consideration and implementation. · Management Action 1: Conduct community outreach and provide information to Santa Clara residents and media to educate the general public about the current issues at Central Park and the necessary geese and mallard management actions that may be taken. Implementation of Management Action 1 will help the public understand the problems, issues, and options available City of Santa Clara Printed on 3/18/2022Page 1 of 4
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22-356 Agenda Date: 3/22/2022
to the City to address the Canada Goose and Mallard problem. This includes:
a) Preparation of information about the current population and effects caused by the Canada Geese at Central Park, and outreach to the local Santa Clara Valley Audubon Society (SCVAS) chapter and the Bay Area chapter of the Sierra Club to engage in discussion of the issues. This may include a request for support from their respective Boards of Directors to communicate with their membership and public, and/or request a formal letter of support for the IGMP.
b) Enrollment of the groups' support for various effective management actions through “public scoping and public comment meetings” to ensure ongoing community understanding and support for the City’s methodology, plans and actions discussed in the IGMP. c) Work with the City Communications Office to develop and distribute information to the local media, and informational articles and/or videos to help the general public understand the issues and proposed management actions.
· Management Action 2: Develop interpretive signs and materials to educate Central Park visitors. This includes:
a) Development of text content and graphic elements for installation along Central park pathways. The purpose is to inform visitors about the Canada Geese, Mallards and other wildlife species, the issues caused by their overpopulation and behaviors, the management strategies available to address the problems, and how and why management plans are implemented.
b) Develop other materials and programs, such as educational brochures, onsite meetings, nature walk/bird outings, and virtual components (COVID19 protocol compliant as necessary). · Management Action 3: Effectively address the negative effects of the growing population of Canada Geese and Mallards at Central Park. This includes implementation of four permitted management practices in conformance with Federal, State and local laws, regulatory oversight and permits. In priority order, these are:
a) Harassment Plan. The development, review and approval of a plan for ongoing, daily, humane harassment and disturbance of Canada Goose and Mallard foraging behavior and presence in Central Park. This may include permit(s) or professional contract(s) for supervised use of dogs.
b) Depredation Plan & Permits. Documentation and applications to obtain separate Depredation Order(s) and Permit(s) from the U.S. Fish & Wildlife Service (USFWS). This includes letter(s) of proof describing the impact of each specie, City authorization, and communication with USFWS.
c) Habitat Alteration Plan. Design and installation of effective goose and duck barriers around the perimeter of the Central Park lake, and other effective changes. d) Goose Repellant Plan. This includes a written plan for the effective use of goose repellant City of Santa Clara Printed on 3/18/2022Page 2 of 4
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22-356 Agenda Date: 3/22/2022
products, along with any pros, cons, and public preferences. · Management Action 4: Adoption of the written IGMP to ensure that careful, precise non-lethal management actions are implemented to manage the onsite Canada Goose and Mallard overpopulations, while protecting other migratory bird species such as the non-resident, non- breeding "winter" season look-alike "Canada goose" subspecies, Small Cackling Goose and Aleutian Cackling Goose. The Plan also contains "success criteria" and milestones that allow City personnel (including technicians/biologists) to monitor conditions, implementation, and success of the management actions.

Parks & Recreation Commission Review, Public Input and Recommendation .

On November 17, 2020, the Parks & Recreation Commission received a presentation by avian biologist, Daniel Edelstein (Attachment 2). The presentation gave the community, Commissioners, and staff the background research, information and a proposed management strategies’ framework.

The Commission recommended approval of the Integrated Goose Management Plan and its management strategies. The consultant followed up with a census of the goose and mallard populations, impacts and met with staff to develop the strategies into a comprehensive document for the Commission’s second review. It should be noted that the City of Santa Clara Central Park IGMP does not recommend use of lasers or methods that have secondary safety issues, in contrast to what an adjacent City used in their efforts to address a bird problem.

On February 15, 2022, the Parks & Recreation Commission reviewed, for a second time, the IGMP (Attachment 1) and the continued negative impact the increased goose and mallard populations are having on Central Park, the lake, and its patrons. The Commission recommended that Council approve the IGMP and begin immediate implementation of its management strategies.

ENVIRONMENTAL REVIEW
The project is categorically exempt from CEQA under the “Class 7” (14 CCR 15307) exemption per the CEQA Guidelines because it is an action taken by the City to assure the maintenance, restoration, or enhancement of a natural resource where the regulatory process involves procedures for protection of the environment. On the federal level, the action complies with federal regulator code under a valid U.S. Fish and Wildlife (USFWS) permit secured by avian biologist Daniel Edelstein and updated annually by the avian biologist. This USFWS code regulation is 50 CFR 21.52, pertaining to the allowance of non-lethal overpopulation management actions (including addling of Canada Goose eggs) for this year-round bird species present at the Central Park Lake.

FISCAL IMPACT
Park grounds maintenance activities for Central Park are included in the Parks & Recreation Department’s annual Operating Budget. The slight increase in cost for implementation of an IGMP is anticipated to be offset by the reduction in maintenance and cleaning expenditures associated with the lake and pathways within the Department’s Operating Budget; therefore, there will be no additional General Fund impacts.

COORDINATION
This report has been coordinated with the City Manager’s Office, City Attorney’s Office and Finance Department.

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22-356 Agenda Date: 3/22/2022

PUBLIC CONTACT
Public contact was made by posting the Council agenda on the City’s official-notice bulletin board outside City Hall Council Chambers. A complete agenda packet is available on the City’s website and in the City Clerk’s Office at least 72 hours prior to a Regular Meeting and 24 hours prior to a Special Meeting. A hard copy of any agenda report may be requested by contacting the City Clerk’s Office at (408) 615-2220, e-mail [email protected].

RECOMMENDATION
Recommend that Council approve the Santa Clara Central Park Integrated Goose Management Plan and its implementation.

Reviewed by: James Teixeira, Director of Parks & Recreation Approved by: Cynthia Bojorquez, Assistant City Manager

ATTACHMENTS

1. Santa Clara Central Park Integrated Goose Management Plan

2. Presentation to the Parks & Recreation Commission 11-17-2020 City of Santa Clara Printed on 3/18/2022Page 4 of 4
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INTEGRATED GOOSE MANAGEMENT PLAN (IGMP)
Developed for City of Santa Clara Central Park

By Daniel Edelstein, Consulting Avian Biologist
WarblerWatch.com

1 Table of Contents

Introduction ................................................................................................................................................... 3 Chapter 1 ....................................................................................................................................................... 4

1.1 Integrated Goose Management Plan and Its Purpose ................................................................. 4

1.2 Negative Environmental and Aesthetic Impacts ........................................................................ 4 Chapter 2 ....................................................................................................................................................... 5

2.1 Natural History and Seasonal Migration .................................................................................... 5

2.2 Nesting Behavior and Habitat Preference .................................................................................. 6

2.3 Understanding Population Increase ........................................................................................... 8 Chapter 3 ....................................................................................................................................................... 9 Seasonal and General Management Techniques to Control the Nesting Habits ........................................... 9

3.1 March: Addling Eggs ................................................................................................................. 9

3.2 March Through June: Nests Removal ........................................................................................ 9

3.3 Summer Through Mid-Autumn: Irrigation Monitoring for New Plantings ............................... 9

3.4 Year-Round: Discourage/Prohibit Feeding ................................................................................ 9

3.5 Reduce Attractiveness of Foraging and Nesting Habitat ......................................................... 10

3.6 Monitor CAGO Behavior for Future Management Action Decisions ..................................... 10 Chapter 4 ..................................................................................................................................................... 11 Introduction to Non-Lethal Options for CAGO Population Reduction ...................................................... 11

4.1 Husbandry Methods ................................................................................................................. 11

4.2 Other Site Specific Non-Lethal Methods ................................................................................. 11 Chapter 5 ..................................................................................................................................................... 13 Population Monitoring After Implementation of Management Options ..................................................... 13 Chapter 6 ..................................................................................................................................................... 14

6.1 Public Outreach ........................................................................................................................ 14

6.2 General Education for the Public ............................................................................................. 14

6.3 Adult and Youth Education Actions ........................................................................................ 15 Appendix
A ................................................................................................................................................. 16 A1 Planting Plan ......................................................................................................................................... 16 A1.1 Locations Designed for Planting at the Site .......................................................................... 16 A1.2 Quantity and Percentage for Vegetation Cover..................................................................... 17 2 A1.3 Quality of Vegetation Stock Purchased ................................................................................ 17 A1.4 Spacing of Plant Species Per Acre ........................................................................................ 17 A2 Care and Erosion Control ...................................................................................................................... 18 A2.1 Preparation of Planting Areas ............................................................................................... 18 A2.2 Weather Limitations .............................................................................................................. 18 A2.3 Equipment ............................................................................................................................. 18 A2.4 Geotextile Application/Surface ............................................................................................. 18 A2.5 Protection of Plantings During and After Establishment ...................................................... 19 A2.6 Best Management Practices in Relation to Plantings at The Site ......................................... 19 A3 Success Criteria ..................................................................................................................................... 20 A3.1 Final Success Criteria for Vegetation in Disturbed Soil Areas ............................................. 20 A3.2 Monitoring Vegetation in Newly Planted Areas and Disturbed Soil Areas .......................... 20 A3.3 Time Limits for Final Success Appraisal of Plantings .......................................................... 20 A3.4 Criteria to Evaluate the Successful Establishment of Plantings at the Site ........................... 20 A4 Monitoring and Evaluation Requirements ............................................................................................ 22 A5 Maintenance and Repair of ................................................................................................................... 23 Revegetated Areas ..................................................................................................................................... 23 A6 Contingency Measures - Natural Disasters and vandalism ................................................................... 23 Appendix B—Photos of the Three Look-alike Geese Species ................................................................... 24 Appendix C ................................................................................................................................................. 25 Appendix D—Fencing Options as a Barrier in Central Park’s Lake Area ................................................. 27 Appendix E—Glossary ............................................................................................................................... 28 Appendix F – Depredation Order Data Form ............................................................................................. 29

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3 Introduction

The City of Santa Clara Central Park (Site) includes the Central Park Lake, surrounded by planted areas and grass that attract diverse and abundant bird species and waterfowl, including Moffitt’s Canada Goose (CAGO (Branta canadensis moffitti)) that resides year-round at the Site. Over the past few years, the CAGO population has increased and produced excessive amounts of waste that exceeds the capacity of the daily grounds maintenance program to keep pathways, fields, meadows, and recreational amenities clean and sanitary for public use. This creates apparent physical, aesthetic and park user impacts, habitat and species impacts, and potential community health concerns.

The management activities of the CAGO are regulated by the Federal Migratory Bird Treaty Act of 1918 and subsequent revisions, and the U.S. Fish and Wildlife Service (USFWS). While the City has used various approved methods to deter geese, additional steps are needed to address the community’s complaints and concerns, as well as to educate and inform policy and management practices that include the community’s understanding and support.

To that end, the City has retained the services of avian biologist, Daniel Edelstein, who has specific Bay Area experience and who has developed this draft Integrated Goose Management Plan (IGMP) in order to provide community, staff and Council with research and information, and to propose effective strategies that protect the wildlife while reducing the increasingly negative and unsustainable impacts the CAGO have on the Central Park water quality, plants, pathways, recreational amenities, fields and visitor’s park use.

4 Chapter 1

1.1 Integrated Goose Management Plan and Its Purpose

The purpose of an IGMP is to:

1. Communicate with the public issues related to the negative impacts associated with an overpopulation of CAGO in the City of Santa Clara (City), and specifically, the Site; and

2. Provide City Council population reduction management tool options for the Site and future sites as needed.

Negative impacts resulting from the CAGO overpopulation at the Site are outlined below. This IGMP provides a “blueprint” of short and long-term management options to decrease the CAGO’s roosting (resting without conducting an action), sheltering, foraging, and nesting success at the Site. More specific, the preventive and deterrent management options are tailored to the environmental, terrestrial/land habitat, and water conditions at the Site.

1.2 Negative Environmental and Aesthetic Impacts

This IGMP was initiated in response to the following problems caused by CAGO individuals present year-round at the Site:

• Degraded water quality at the Site is caused by as much as one pound of feces deposited daily by each CAGO. For perspective, consider a CAGO counting survey on January 10, 2021, that yielded the presence of 176 individual CAGO roosting on the lake or adjacent to it. The fecal load added to the lake can be extrapolated for daily, monthly, and annual totals based on the presence of 176 CAGO at the Site:

Daily:
176 pounds of feces are added to the Site.

Monthly (30-day Month): 5,280 pounds of feces added to the Site.

Annually: 63,360 pounds of feces are added to the Site

• Possible spread of avian diseases to native birds and, potentially, to humans. • Reduced biological diversity as a direct result of water and habitat degradation due to overutilization of resources by the non-native invasive CAGO population. • Inability or decreased ability to effectively filter the lake water as its quality degrades, including increased nitrogen and phosphorus levels from CAGO feces deposition stressing the effectiveness of the bio-filtration system, resulting in increased maintenance costs and potential need for replacement or upgrade before its end-of-life prediction. • CAGO individuals’ instinctive behavior may periodically cause visitors to the Site (especially children) to be fearful when geese display aggressive behavior, sometimes in the form of hissing. In most cases, an aggressive goose will not flog people with their wings, peck with their bills, or bite. However, given the ongoing rise in population at the Site, encounters with CAGO individuals should be expected. Moreover, goose-visitor confrontations in the future are an unfortunate potential reality, if the current overpopulation of CAGO is not successfully reduced. CAGO attacks on Central Park visitors may occur based on reports nationwide where CAGO overpopulation in similar urban area parks have the same overpopulation dynamic. 5 Chapter 2

2.1 Natural History and Seasonal Migration

CAGO are considered a non-native and invasive species. CAGO populations became established by inadvertently flying to the Bay Area or were introduced here by people in the 1900s, eventually increasing its numbers in the Bay Area concurrent with its population rise throughout the majority of the lower 48 states.

CAGO’s year-round residency at the Site is different from the majority of the five other subspecies (that are “first cousins” of CAGO) elsewhere in North America. CAGO that breed in far northern latitudes and may migrate south to “over-wintering” areas from southern Canada to several of the lower 48 states. The CAGO population at the Site may be joined by post-breeding populations that “over-winter” at Central Park before leaving again to breed elsewhere in the spring.

The location and quantity of CAGO at the Site vary by day and time. One reason for the variance is related to the species’ seasonal behavior changes in the region, given some CAGO perform short-distance dispersal and migration after the breeding season to San Francisco Bay Area or other northern and central California sites.

The large CAGO seen at the Site are sometimes joined during the non-breeding season by two look-alike geese within the Cackling Goose species: the Aleutian Cackling Goose and the Cackling Cackling Goose (See photos in Appendix B.), both of which are subspecies within the Cackling Goose species. Note the repetitive common name of the Cackling Cackling Goose may falsely cause some readers to believe this is a typographical error.

The two smaller Cackling Goose subspecies are present at the Site only during the non-breeding, “over-wintering” season after which they migrate north to breed as far as Alaska. Thereafter, annually, from mid-March through September, all geese at the Site are the common, abundant CAGO. See Appendix B for more information about distinguishing the three “black and white,” look-alike geese from each other at the Site.

Throughout the Site’s Lake and its upland vicinity, CAGO is typically the largest bird species to visit the park. It is common to see large, communal gaggles of CAGO foraging or roosting together on the Site’s sidewalks and lawn areas. Some gaggles exceed 25 or more individuals, especially after the breeding season. Case in point is the aforementioned 176 CAGO seen at the Site’s Lake area on 1/10/21, which is the greatest number of CAGO the Avian Biologist, Daniel Edelstein, has seen since he began visiting the Site in 2019.

In the last few decades, CAGO has become more common as a breeding species in the South Bay, including the Santa Clara region. Although CAGO is not a native breeding species in Santa Clara County, it most likely began nesting on the peninsula at the Site within a few years after its construction, given this species has increasingly bred throughout the South Bay since the late 1970s.

Bird watchers initially began documenting breeding CAGO along several portions of the South Bay by 1988, after only rarely and periodically witnessing this species prior to the late 1970s.

Additional details
gleaned from William G. Bousman’s account in the Breeding Bird Atlas of Santa Clara County, California (2007, Santa Clara Valley Audubon Society) state that local CAGO populations increased by about 30% per year in the South Bay since annual breeding began in the region during 6 the late 1980s. Before CAGO became established at the Site, nesting CAGO individuals were found at several relatively near lakes in the eastern foothills, including Lake Cunningham by 1989 and at Grant Lake by 1990. Breeding farther south occurred at Almaden Lake in 1991, at the Ogier Avenue ponds in 1993, the Parkway Lakes in 1996, and the Los Gatos Creek percolation ponds in 1998.

One of several subspecies (races)1 within the Giant Canada Goose species, the CAGO at the Site looks like the other look-alike Canada Goose subspecies that occur elsewhere in the lower 48 states. On the West Coast, throughout most of California, and at the Site, the CAGO subspecies exists as a year-round resident. In North America (north of Mexico), numbers of CAGO have risen during the last half-century.

Numbers of the CAGO population have increased approximately four-fold to more than 3.9 million in 2008 from 1 million birds in 19902. At the Site, ongoing informal surveys by Department staff and formal surveys by Avian Biologist, Daniel Edelstein, indicate numbers of CAGO continue to rise. A CAGO counting survey at the lake on January 10, 2021, yielded the presence of 176 individual CAGO at the lake area. This is a typical number for recent Central Park CAGO counting surveys; CAGO breed on the peninsula at the Site.

Despite its common presence at the Site, and throughout urban areas where this CAGO subspecies occurs in the USA, CAGO is protected by state and federal regulatory measures. The State of California and federal regulation measures prohibit killing or capturing CAGO or damaging, destroying, removing, or disturbing their nests, except as provided for under the Depredation Order (DO) permit (See Appendix F) obtained on behalf of the City, per the Agreement validated by the City. A DO provides regulatory authorization under the Migratory Bird Treaty Act (MBTA) to conduct specific migratory bird depredation management activities without the need for an individual federal permit.

2.2 Nesting Behavior and Habitat Preference

CAGO nest in diverse natural and urban habitats, choosing nesting sites such as wetlands, reservoirs, industrial park lakes (within which islands occur as prime nesting spots), and saltwater marshes. In most cases, they nest on islands, dikes, and uplands in marshes where vantage points provide them visual protection from ground predators such as marauding raccoons, opossums, striped skunks, gray and red foxes, and bobcats.

Breeding occurs during year number two or three of a CAGO’s life, and egg-laying sometimes commences as early as March at the Site with its annual nesting cycle typically complete by no later than mid-June. Often reusing the same nest site from one year to the next, females have one clutch per nesting season and lay between two (2) and twelve (12) creamy white to pale-tannish white eggs in each clutch, with 5.5 eggs the mean per clutch. Eggs are laid throughout the day, with most dropped in the afternoon and evening. Nest vegetation may stain the eggs during an incubation period which lasts 25 days. Within 24 hours after hatching, goslings can walk, swim, feed, and dive. Goslings remain with the parents for approximately one year after birth.

Dames (female) incubate the eggs while ganders (male) primarily stand guard. While tending newborns, both ganders and dames stand nearby in alert postures. Adults without young spend more time resting and preening than do adults tending to young.

1 See Glossary below.
2 U.S. Fish and Wildlife Service. 2000. Waterfowl population status report. Dept. of Interior, Washington, D.C.

7 From late winter through spring, breeding adult CAGO become more territorial. Many will leave flocks in search of suitable nest sites. After a nest is established, the gander will defend its space in the vicinity of the female.

CAGO form monogamous, stable pair bonds. Long-term pairing is typical, but a new mate may be required for a goose that loses its mate. The timing of pairing is little studied but appears to occur from late winter through spring. Copulation occurs both before and after nest site selection. Multiple, “extra- pair copulation” mating may occur among males and females during the nesting season, though bonding between a single male and female remains intact after they establish a nest site together.

Family bonds (that include the gander, dame, and goslings) are typically maintained throughout the first year of formation, with some yearling contact afterward. Predation is limited at the Site, especially upon nests on the Lake’s peninsula. Elsewhere, egg predation may come from Common Raven, American Crow, Gray Fox, Coyote, Raccoon, and Striped Skunk.

Beyond their strong flying ability, CAGO individuals move throughout the Site as both walkers and runners. In so doing, they easily traverse the variety of challenges that confront them, whether it’s scaling the small waterfall adjacent to the peninsula or leaving and entering the lake. When flying, geese often do so in groups at the Site, though not typically in “V” formation, as seen among the migrating wild Canada Goose. Most often, flight occurs as they move among foraging areas at the Site, in addition to leaving for nearby roosting habitats, such as Central Park Elementary School’s yard across from the Community Recreation Center.

Preening, stretching, bathing, and many other self-maintenance activities are regularly seen in CAGO at the Site. Other behaviors may serve as signaling purposes. As a courtship ritual, geese at the Site shake their body, head, and tail, especially after copulation or bathing. Cleaning movements include scratching of the head, neck, or cheeks with either foot; nibbling feathers and feet; and circulating air or water through a submerged bill. Feather maintenance is achieved by geese spreading oil from a gland onto their feathers via their bill or by rolling their head onto the back, flanks, and feathers. Bathing includes head- dipping, which moves water over head, neck, and back, and, during more intense bathing, wing-beating, and flailing of water and occasionally somersaulting is seen. CAGOs also display diving and dashing habits among flock members.

CAGO sleep and rest standing on one or both legs with neck bent and head held low above their chest, or with it stretched back between their upper back feathers. Often, sleep occurs while a goose is floating (even in deeper lake water) and sometimes in large groups. At night, geese at the Site often retreat to the lake peninsula.

8 2.3 Understanding Population Increase

Ecological issues related to CAGO in the SF Bay Area are ubiquitous in areas that offer habitat conditions like those present at the Site. In recent years, increased breeding success among CAGO has been documented throughout the Bay Area.

Reasons for this increase relate to the diet of CAGO; it is an herbivore, feeding primarily on plants. Post- fledging and during fall and winter, many CAGO rely primarily on foods higher in carbohydrates such as berries or seeds. More typically, CAGO have become acclimated to nearby habitat sites that are within easy flying distance from the Site and where large groups may return. This results in optimal roosting, foraging, and nesting habitat conditions at the Site.

Equally important, CAGO are attracted to the Site’s environs because year-round open water occurs next to the lawns surrounding the park’s lake. Beyond serving as a source of grazing, the peninsula hosts plants with blossoms and leaves eaten by the geese.

CAGO have an innate preference for living in open terrain offering good visibility and sightlines to notice any potential approaching predators: The lake peninsula is out of harm’s way and fulfills this innate preference. Furthermore, conditions at the Site provide an ideal “nursery” setting for adults to safely foster and nurture newborn CAGO, allowing them to flourish in large numbers at the Site compared to the wild where mortality from predation would limit CAGO presence.

Given the optimum water and food conditions at the site, the majority of the Site’s CAGO may never disperse or migrate from the Site. If they leave the Site, it’s likely to nearby South Bay and other San Francisco Bay habitat. Individual CAGO that leave may also return, especially during the breeding season when Central Park and its lake serve as safe harbor.

If too much competition from other CAGO occurs within Central Park and on the peninsula, it’s possible the newly arrived CAGO may roost/shelter at the Site to forage on vegetation and the lawns but breed elsewhere within or near Santa Clara.

9 Chapter 3
Seasonal and General Management Techniques to Control the Nesting Habits

The different time periods below serve to remind City staff of recurring annual recommended actions needed to ensure short and long-term reduction of CAGO numbers at the Site. Successful completion of these seasonal techniques ensures short and long-term reduction of CAGO at the Site.

3.1 March: Addling Eggs

Failure to begin addling eggs annually in March will result in more management challenges from April through June because eggs laid by CAGO in March typically hatch within 25 days. Consequently, controlling the goose overpopulation at the Site by punctual addling their eggs during peak egg-laying months is critical to reducing their numbers because adults are reluctant to leave eggs and young behind after newborns hatch.

Regulatory note: The DO permits addling of eggs before they hatch and does not allow for lethal measures to eliminate hatchlings. See Appendix F for details related to how Central Park and the Santa Clara Parks & Recreation Department are registered as an approved site for the addling of CAGO eggs based on its approved status with the US Fish and Wildlife Service.

3.2 March Through June: Nests Removal

The CAGO breeding cycle is to initiate nesting in March and April; it is important to plan so courtship and nesting behavior is altered. Management techniques outlined in Chapters 3 and 4 of the IGMP should be conducted during these months.

3.3 Summer Through Mid-Autumn: Irrigation Monitoring for New Plantings

June through November, CAGO remain at the Site, often roost, and forage in large flocks that include two or more families that “band together.”

It is important for City staff to continue collaboration with an Avian Biologist, to plan, assess and determine if implemented management strategies have succeeded in the previous months. Management actions that have failed or need improvement should be reassessed and revised.

As plantings take root and succeed at the Site, a coordinated irrigation plan must be established and periodically reviewed by the Avian Biologist and City staff. The peninsula is on a separate irrigation zone from the rest of the Site’s irrigation system; therefore, criteria and parameters must be determined to set and monitor irrigation schedules to ensure successful plant establishment .

3.4 Year-Round: Discourage/Prohibit Feeding

Visitors feeding wild birds have been observed at the Site. Such behavior encourages CAGO to remain at the Site year-round. CAGO will be less likely to abandon the Site if visitors continue to feed them. This precept is especially important because when the diets of geese are not supplemented with handouts and they must depend on limited natural food supplies, geese may move elsewhere. 10 In addition, feeding geese with artificial foods, like bread, can be detrimental to their health. Studies indicate wild birds fed by visitors, even rarely, learn to depend upon handouts. Forced to forage for themselves, some birds are less than able to survive when stressed by the rigors of living in the wild.

Other potential negative impacts of feeding wild birds in park settings such as Central Park include the potential for increased disease spread among CAGO and other bird species that associate with them (such as the large population of Mallard that inhabit Central Park year-round) 3 City staff may wish to further develop and expand educational messaging to park patrons, so they learn about problems resulting from the feeding birds at the Site.

3.5 Reduce Attractiveness of Foraging and Nesting Habitat

CAGO at the Site become accustomed to feeding in the same spots where they sometimes establish territories and groups. CAGO begin to search for prospective nesting sites in late winter. A bonded pair of geese will seek a flat, open area (such as the lake’s peninsula) for nesting as early as March.

City staff may wish to consult and implement one or more portions of the planting plan featured in Appendix A. It is advised that completion of planting recommendations in Appendix A are intended as short-term and long-term solutions to reduce CAGO nesting success, as well as non-breeding season presence of CAGO at the Site.

The Site’s Lake peninsula is the focal point of the Site where the IGMP planting plan elements should be implemented. There would be a predictable decrease in documented goose nests at the Site if the prescribed plant options in Appendix A were accepted and installed on the peninsula. Timing of the planting is also addressed in Appendix A.

3.6 Monitor CAGO Behavior for Future Management Action Decisions

Given CAGO typically form large groups after nesting is completed, by mid-summer, management tactics should be enacted as a preemptive response to discourage CAGO from remaining at the Site. Starting in early May, City staff should monitor and review the success of management actions taken in March through June and coordinate with a qualified Avian Biologist to plan management actions and obtain approval for additional site visits with the intent of reducing CAGO presence at the Site.

3 See: https://www.wildlifeonline.me.uk/questions/answer/is-it-okay-for-me-to-feed-wildlife 11 Chapter 4
Introduction to Non-Lethal Options for CAGO Population Reduction

Due to US Fish and Wildlife and regulatory guidelines, non-lethal management options are the only available choice for reducing the CAGO population at the Site. The right to possess a DO permit has been granted to Avian Biologist Daniel Edelstein on behalf of the City so that he is able to help reduce the Site’s CAGO population. The DO allows an Avian Biologist to implement the subsequent CAGO management option of addling CAGO eggs by coating the eggs with corn oil or similar product, thereby restricting gas exchange and respiration which results in a non-viable egg.

4.1 Husbandry Methods

Groups of CAGO often are seen in large congregational groups at the Site near the lake. As discussed in Chapter 1, CAGO in urban areas such as Central Park typically gather near bodies of water where easy access to adjacent foraging areas exists.

The number of CAGO at the Site may be reduced by implementing several management tactics. It is advised that City staff reduce or eliminate the fertilizer, applications to the lawns surrounding the lake.

Reduction will decrease the growth of grass and, also, reduce the nutritional quality of the grass CAGO consume in a nearly unlimited supply at the Site.

Other techniques for the City to consider include:
1) reducing or eliminating all mowing of the lawns within 75 feet of the lake’s edge, 2) reducing the total amount of lawn area between the sidewalk that surrounds the lake and the foraging area (the lawn),
3) limiting irrigation so less growth of the lawn occurs which would in turn make the grass less palatable to CAGO (i.e., “limiting” is offered as a management technique option because “brown lawns” would not be aesthetically pleasing to visitors, and 4) reviewing Appendix A that features a planting plan for the Site, including suggested plant species that would reduce the amount of lawn cover at the Site.

4.2 Other Site Specific Non-Lethal Methods

Non-lethal deterrents are divided into two main categories:
• Devices that scare CAGO, and
• Physical deterrents.

Scare devices frighten CAGO so they leave areas such as Central Park’s lawn areas (and the lake).

Physical deterrents prevent CAGO from gaining access to an area, such as the Central Park Lake. In this case, City staff should note this IGMP limits its recommendations to physical deterrents.

Scare strategies are not considered in this IGMP because some visitors would likely complain to City staff that undue emotional hardship or harassment is not an appropriate CAGO reduction tactic. In fact, in several USA locations where dogs were employed to chase CAGO from foraging in an area, the public commented that this tactic was “cruel”, and therefore unacceptable. Equally important, employing dogs to scare CAGO is often merely a temporary deterrent to reduce the number of CAGO visiting a Site; scared off CAGO continue to monitor favorite sites (such as Central Park) and as soon as the dogs are removed 12 from the area and the threat no longer exists, CAGO are likely to return.

Hazing tactics (such as cannons, whistlers, noise bombs, shellcrackers, banger rockets, or other noisemakers) utilizing repeated loud sounds is another harassment option but is not recommended due to the impact on park visitors.

Visual frightening devices sometimes work, given that CAGO see, recognize, or interpret, and react to an image or object that represents a potential threat to them. Although these devices are typically silent and inexpensive, they often are ignored by CAGO after a while or work best when used in combination with another reinforcement deterrent (such as the DO that permits CAGO addling throughout Central Park during the CAGO breeding season). One example of a visual frightening device is Mylar reflective tape (i.e., tape is often red on one side and shiny silver on the other; it is strung between posts to form a fence or attached to a pole as streamers, thereby creating glints of sunlight that visually flicker in the breeze. As a result, startled CAGO fly away. This tactic is not recommended as an option because the serenity of the Site would be violated.

New CAGO deterrent devices have recently entered the market. One of them utilizes pressurized water sprayers and motion detector technology to deter geese from entering a lake or another water source.

These devices are hooked to hoses and activate when the motion detector senses the approach of an animal. Again, this technique is deemed unacceptable for Central Park because people or their pets could potentially activate a sprayer, thereby causing unacceptable commotion.

Physical structures can be put into place that will impede movement of geese from their resting or flocking areas toward feeding areas. Such barriers can be created using vegetation, fencing, or rocks. See Appendix A for a planting plan that would serve as a physical structure option to reduce CAGO’s ability to roost and forage amid the lawns at the Site. The addition of plants noted in the Appendix A planting plan would block CAGO walking pathways.

Installing fencing is another management option City staff should utilize as an addition at the Site. See Appendix C for materials that possess a suitable design compatible with the rocky/cobbled shoreline and sidewalks present around the lake’s perimeter at the Site.

The Site contains the Central Park Lake which is not a natural body of water and must be continually replenished with water. As part of ongoing management strategies to conserve water, the Central Park Lake may be drained seasonally from early July to mid-September, which is more consistent with reduced water levels in natural bodies of water in the Santa Clara Valley region. Having a dry lake during the middle of the summer would also reduce the number of CAGO at the Site.

13 Chapter 5
Population Monitoring After Implementation of Management Options

Currently, a monthly, year-round survey of CAGO occurs at Central Park. This survey informs City staff of the CAGO’s total numbers at Central Park. This information is crucial to inform management decisions for several reasons:
• Assessing and ensuing management actions are enhanced by knowing CAGO distribution patterns in relation to when they visit the Site.
• Knowing exactly where CAGO roost, forage, and nest; and • Determining when key CAGO activities commonly occur and when numbers decrease; and the total numbers of CAGO on the Site.

It is advised that a trained, professional Avian Biologist continue to conduct the monthly survey to ensure accurate information is collected. Most important, this information must then be interpreted in terms of presenting City staff management options for review and potential implementation at the Site.

14 Chapter 6

6.1 Public Outreach

To educate the public about the overpopulation issues and to increase their understanding about why the City is implementing CAGO management actions, the Director of the Parks & Recreation Department may consider authoring research and best practices-based article in local print and/or online media platforms. The article will help ensure transparency when employing non-lethal CAGO overpopulation management actions. Additionally, it will preserve the public’s favorable image of the City while providing important information and seeking comments from the public and visitors who frequent the Site. The article perspective may be especially helpful for CAGO enthusiasts to understand issues relating to CAGO overpopulation, such as previously mentioned fecal deposition, encroachment upon the functionality and aesthetic appeal of the Site, and increased maintenance costs to the City.

Public education about CAGO should be initiated by the City before management actions occur for the purpose of:

1. Ensuring an open and transparent communication between the City and the public before one or more non-lethal overpopulation management actions are employed, including habitat alteration management actions.

2. Accommodating an anticipated public reaction to management decisions affecting the welfare of CAGO at the site. More specific, some visitors may provide comments in favor of preserving the extant bird species’ populations, even though CAGO is a non-native nesting species whose overpopulation at the Site qualifies it as an invasive species.

It is recom
mended when developing educational materials/media for the public, that the City staff and the Parks & Recreation Commission know basic facts about CAGO and its natural history, nesting cycle, etc.

6.2 General Education for the Public

• A fact-based article written by the Director of Parks & Recreation, or appropriate designee, should be submitted to local newspapers and appear on the City’s web site. The article should be on file with the City and accessible at any time. This informational piece should serve as an update to the public regarding the overpopulation of geese at the Site and the negative impacts they are causing. In turn, with the local Audubon chapters support, it is likely ongoing community awareness and engagement will be fostered with commensurate support for goals related to CAGO reduction efforts

• The article should be sent to the Director of the Santa Clara Valley Audubon Society. In addition, follow-up communications to the Director are recommended to garner support in the form of a resolution in support of the City’s IGMP including the addling of CAGO eggs. In turn, this letter should be used in communications to promulgate the City’s IGMP to the public including City of Santa Clara commissions, committees, and board etc.
• Letters should be sent to local politicians and community groups notifying them about the problems associated with the overpopulation of geese at the Site and why City staff must respond with management actions.
15 • On an as-needed basis and to maintain support for efforts to reduce the site’s goose population, City staff may host politicians and other important community decision makers to report on the progress. Observation about the progressing planted vegetation would be highlighted during a walking tour, along with “before and after” photo handouts that show the success of the planting program as the site’s habitat quality evolves from one year to the next. In so doing, public opinion and local laws and regulations are more likely to remain consistent with the management action goals established for the Site.
• Announcements and information such as signage should be added to visitor entry points at Central Park. A photo montage on the City’s web site and on signs at the Site in Central Park will help visitors identify the reasons why the City is addressing the CAGO overpopulation problem with non-lethal management strategies intended to reduce their population. Other signage could alert visitors to the difference among the invasive, non-native CAGO and two look-alike Cackling Goose subspecies/races that visit the Site. In addition, information on signs should alert visitors to reasons why feeding geese may adversely affect their health. • The City’s website should feature ongoing education information about the geese, much of which is included in this IGMP.

6.3 Adult and Youth Education Actions

• Add information to the City’s website to help teachers learn about the problems related to CAGO at the site so they can educate their students.
• When school field trips occur at the Site, provide students with an informational handout that will help them understand the problems associated with geese and how students can help. • Ensure the informational signage at the Site is presented at a level that is comprehendible to youth and their parents. Information should be written in a manner that encourages adults to engage in conversation with younger visitors. Graphics should be utilized to facilitate comprehension for all ages, and all visitors regardless of language, fluency, and literacy. • Public presentations via Zoom are currently advised to alert the public regarding the City’s chosen CAGO non-lethal overpopulation reduction methods. After COVID-19 restrictions are relaxed or removed, in-person public presentations should be offered at least once a year, especially during the nesting season when visitors may see an Avian Biologist at the Site addling eggs.

16 Appendix A
A1 Planting Plan

To reduce the overpopulation of CAGO at the Site, a planting plan is recommended. The plan includes a recommendation of botanical species and corresponding areas for plantings at the Site.

Note: The recommended prescription of botanical species and their placement is subject to change based on potential comments from City staff. This section also highlights post-planting care and erosion control, in addition to suggesting a “Success Criteria.” Planting local native species are recommended.

The species prescribed in this plan are intended to either replace or add vegetation to areas where they will grow at least 24 inches high and dense enough to prevent geese from seeing through. Based on the prescription plan below, each vegetative barrier should be at least 25 feet wide. Most plantings should be arranged as groupings with ample large expanses of existing lawn left intact to account for the annual Art & Wine Festival where exhibits/stages are placed. The chosen metric of 25 feet or more is suggested to reduce the suitability of the lawn areas as roosting/foraging places for geese to “hang out” at the Site, and to reduce their presence at the Site.

A1.1 Locations Designed for Planting at the Site

A1.1a Peninsula Within Central Park’s Lake:

The following plant species are advised to be planted by City staff no later than February 2023 under the supervision of a qualified biologist or an ISA Certified Arborist in the Parks & Recreation Department. Species are chosen because they require minimal irrigation and because they grow wide and dense close to the ground to reduce CAGO’s interest in frequenting the Site’s lawn areas because CAGO individuals prefer open areas where they can see in all directions for the potential presence of nearby approaching predators.

• Baccharis pilularis var. consanguineum (Coyote Bush)
• Rhamnus californica (California Coffeeberry)
• Quercus agrifolia (Coast Live Oak)

A1.1b Selected Portions of the Lawn Areas Surrounding the Lake:

A ring of densely planted shrubs consisting of the two species mentioned in A1.1 above should be added to the lawn area where the outside border of the sidewalk exists that surrounds the lake.

The shrubs should be five-feet wide and be planted around the entire circumference of the lake except for gaps of four feet every 100 feet so people can enter and leave as they move from lawn areas to the sidewalk and vice-versa. This habitat alteration technique will reduce CAGO’s interest in congregating en masse in the lawn area. In effect, CAGO are unlikely to use the four- feet-wide gaps to walk from the lake into the lawn areas and vice-versa, if all the gaps only occur every 100 feet in the line of shrubs surrounding the lake.

17 A1.2 Quantity and Percentage for Vegetation Cover

For the Peninsula:

Shrub Species* Percent to Plant Size of Container
Coyote Brush 50% 20# “D-pot” buckets (2.5” x 10” deep)

California
Coffeeberry
40% 10# “D-pot” buckets (2.5” x 10” deep)

Tree Species Percent to Plant Size of Container
Coast Live Oak 100% 3# “ Tree pot” bucket s (4” square x 14” deep)

For the lawn areas:

Shrub Species* Percent to Plant Size of Container
Coyote Brush 70% 20# “D-pot” buckets (2.5” x 10” deep)

California
Coffeeberry
30% 10# “D-pot” buckets (2.5” x 10” deep)

* Once established, both above shrub species require only minimal periodic irrigation, thereby reducing maintenance costs. Although no additional irrigation hardware system will need to be added to the lawn area. a watering schedule will need to be created and followed via coordination with Parks & Recreation Department maintenance staff.

A1.3 Quality of Vegetation Stock Purchased

Each plant shall be purchased only after clear verification of species, purity, percent germination, dealer’s guarantee, and dates of test.

A1.4 Spacing of Plant Species Per Acre

All plant species (see above, A1.1) should be planted on 15 ft centers. For every four Coyote Bushes planted, two California Coffeeberry should be planted equidistant and between the two closest Coyote Bush plants. For every five Coyote Bushes planted, Coast Live Oak tree should be planted equidistant from the Coyote Brush and California Coffeeberry. Utilizing this design, the entire planting site will have equal distribution of the three plant species.

18 A2 Care and Erosion Control
A2.1 Preparation of Planting Areas

Plants shall be installed in a finely graded soil after the designated lawn areas have been adjusted in size to accommodate the new planting. Soil should promptly be planted and not left barren, so the newly exposed soil remains friable and weed-free. If planting area is compacted, loosen the top six inches of soil to create favorable conditions for establishment. Remove soil lumps, ridges, and depressions. Remove deleterious material.

A2.2 Weather Limitations

Preferably, planting shall occur in November and December within five days after a major rain event exceeding 0.5” of rainfall confirmed by utilizing an online weather station source (e.g., weather.com, accuweather.com or the National Oceanic and Atmospheric web site specific to the Santa Clara region).

Soil should be moist within the to the top six inches of the soil profile. If no rain events occur in November or December, supplemental irrigation or manual watering may be necessary during the establishment period. Collaboration with the qualified biologist is suggested to monitor plant establishment and assure a higher survival rate based on knowledge and awareness of the planted species and their water requirements.

A2.3 Equipment

The selection and usage of proper equipment is important in preparing the areas at the Site for planting without causing compaction or compromising soil structure within the revegetation zone.

A2.4 Geotextile Application/Surface

To prevent erosion of ground surrounding plantings, where slope orientation is more than 5%, geotextile material such as rice mats should be placed around and within the planting areas as approved under the supervision of a qualified avian biologist in consultation with appropriate City staff. In addition, the biologist and City staff should mutually agree on which water erosion control devices would be necessary to add to the Site. Options for erosion control include hay bales, rice mats, straw wattles, and other natural erosion control materials. The goal is for the chosen erosion material to limit down-slope loss of soil and mulch that will be applied around each new plant.
19 A2.5 Protection of Plantings During and After Establishment

Several common, standard plant protection actions
should be implemented at the Site after a planting
occurs. One option would be for City staff to add
dense mulch at the base of shrubs and trees. When
appropriate shrubs and trees should be protected at
their base by adding wrapping tape and/or creating
wire mesh enclosures to an appropriate height to
prevent foraging by rodents and brush rabbits. (See
photo to the right.)

A2.6 Best Management Practices in Relation to Plantings at The Site

Although it is unlikely a Storm Water Pollution Prevention Plan (SWPPP) will be necessary at the Site, it is advised that the City consider having a qualified biologist or an ISA Certified Arborist create a list of acceptable Best Management Practices (BMPs) intended to prevent erosion at planting sites throughout the Site. This one-time action will serve as a long-term guidance reference for City staff, thereby increasing the chances for plantings to flourish.

20 A3 Success Criteria
A3.1 Final Success Criteria for Vegetation in Disturbed Soil Areas

Successful criteria for evaluating revegetation zone plantings shall be initiated and developed by a qualified biologist in collaboration with Parks & Recreation Department ISA Certified Arborists for the revegetation zone plant establishment.

After the project, the biologist and ISA Certified Arborist would determine if plantings completed under a planting plan were properly established (see 4.2-4.4.4, below), and confirm that any further maintenance or alteration to the vegetation would be subject to mutually agreed upon criteria established by the qualified biologist and the City.

A3.2 Monitoring Vegetation in Newly Planted Areas and Disturbed Soil Areas

The successful evaluation of the revegetation zone planting based on established criteria shall be assessed regularly by the qualified biologist in consultation with City staff. Evaluations should take place eight months after the initial planting, and as needed to evaluate the health and vigor of the plantings after the first inspection.

The biologist should develop conclusions and recommendations based on periodic visits to the Site and submit written appraisals for each site visit. The appraisal should include suggested budget items that may need approval by the City (e.g., replacement plant purchases for mortality of initial plantings and additional equipment City maintenance staff may need to obtain).

A3.3 Time Limits for Final Success Appraisal of Plantings

Criteria to evaluate the final success of revegetation zone plantings shall be provided by the qualified biologist in consultation with City staff. Final success time-limits are addressed in section A3.4 below, along with advisory actions the City should consider implementing based on the level of successful plant establishment at the Site.

A3.4 Criteria to Evaluate the Successful Establishment of Plantings at the Site

It is anticipated that initial short-term successful establishment of plantings will yield timely benefits for the immediate reduction in CAGO numbers based on:

• Decreasing the lawn area (food source) footprint so fewer CAGO visit the Site to roost and forage in contrast to the currently expansive lawn along the circumference of the lake.

• Creating a visual barrier with shrub plantings that changes the behavior of CAGO as they are less likely to move around the lawn areas surrounding the lake. It is expected that fewer large groups of CAGO would roost while sitting on the grass together. Ultimately, the addition of shrubs throughout several portions of the lawn would potentially cause CAGO to reduce their presence from roosting near shrubs and prevent them from easily entering the lake unimpeded via lawn roosting areas.

21 • CAGO vacating entire sections of the lawn where shrub plantings are added and “bunched” closely together to form a maze-like, circuitous pathways. CAGO individuals and groups may no longer have open sight lines to detect potential predators such as coyotes and gray foxes although none have been seen at the Site. Instead, it’s the “perceived threat” and inborn, innate behavior of CAGO to avoid areas where no easy escape exists and where obstructed visual sight lines occur.

Long-term benefits of adding plantings to the periphery of the lake area are more challenging to predict. If successful reduction of CAGO at the Site requires a longer time frame than anticipated by City staff, it’s important to continue ongoing addling of remaining CAGO that create nests at the Site. Throughout the process of managing CAGO, annual maintenance and repair must continue until successful progress occurs in reducing CAGO’s presence at the Site.

22 A4 Monitoring and Evaluation Requirements

To ensure the increased survival success rate of the plantings, a qualified biologist should visit the Site to evaluate the planting areas three times a year upon final approval and implementation of the IGMP:

Site Visit #1) An April site visit to assess whether plants are exhibiting new growth.

Site Visit #2) A June visit to evaluate the results of irrigation strategies and practices on planting areas. All plants shall receive sufficient water to promote vigorous root and canopy growth, as well as plant health, according to the normal growth habit for each species as judged by the biologist or Parks & Recreation Department staff who are ISA certified arborists

Site Visit #3) An October visit to assess the vigor of plants after the summer when potential stresses (drought/no rain, wind, erosion, etc.) may have impacted revegetation zone plants. The qualified biologist or ISA Certified Arborist may recommend corrective measures to mitigate plant loss because of poor vigor or stress, such as manually watering. Individual plants should receive sufficient water to hydrate the soil and stimulate healthy root and corresponding canopy growth.

All visits by the biologist should include a quantified number of replacement plants needed to mitigate plant loss. The budget established and allocated by the City for the planting plan should account for a 10% mortality rate, which is common within the landscape industry.

At each site visit, the biologist will submit a “Monitoring Report” that will track the success or failure of the planting effort. The biologist visiting the site must assess the effectiveness of the erosion materials according to their performance specifications. All procedures recommended by the biologist to address problems in the planting areas should be evaluated collaboratively with City staff, ensuring both parties are aware of the planting effort’s success and necessary future actions to safeguard ongoing, long-term success of the planting endeavor.

The annual due date of report submittals should be by no later than October 31 after the final approval and implementation of the IGMP. The cover letter transmitted for each report shall include a site summary and appropriate comments, in addition to a figure that corresponds to numbered individual plantings so that successfully established and thriving plants are identified as well as dead plants that must be replaced.

Ongoing procedures should include photographic documentation to support the assessment. The biologist shall determine if any maintenance, repair, or revegetation actions are required to meet final success criteria. The assessment shall determine whether maintenance or repair work is required. Final success evaluation (see section 4.4, above) shall be determined by the biologist in collaboration with the City.

23 A5 Maintenance and Repair of
Revegetated Areas

The City will maintain and repair the new vegetation and mitigate erosion based on recommendations made by the biologist. During this period, the site should not require significant maintenance measures.

Adequate water is anticipated from normal rainfall. Weed control is not anticipated because each planting should be planted with three inches of organic mulch that will help reduce moisture loss from the soil in addition to reducing weed emergence and growth. However, if weed coverage exceeds 20% of the area surrounding an individual plant at the Site, then the biologist’s report should recommend appropriate response actions for City maintenance staff.

A6 Contingency Measures - Natural Disasters and vandalism

During the period prior to achievement of final plant establishment success of the new vegetation, City staff shall make a thorough site inspection following any flood, earthquake, fire, or act of vandalism that may adversely affect the integrity of the planting areas at the Site. An inspection report with photographs and required repairs, and a schedule to complete them, should be prepared City staff.

24 Appendix B—Photos of the Three Look-alike Geese Species

Moffitt’s Canada Goose
(Branta canadensis moffitti)
Common in Central Park, often
present. Year-round resident.

Large body (30-43”), big bill,
often in large groups; present
year-round at the Site in large
numbers.

Watch for Moffitt’s Canada
Goose on the lake peninsula in
Central Park where most nests
producing newborns appear from
as early as March (& through June
annually), thereby adding to the
overpopulation load that already
exists from immigrant and past
year’s Moffitt’s Canada Goose
births at the Site.

Aleutian Cackling Goose
(Branta hutchinsii
leucopareia)
Rare to absent at Site. Most
are larger bodied than
Cackling Cackling Goose
(22-30”), with paler breast
usually gray-brown to dark
brownish; white collar
usually complete and thick
with blackish feathering at
base of neck; square head;
bill short, tapering to narrow
tip and somewhat pointed;
white cheek patches; usually
with black throat stripe. Only
at the Site during the
winter/non-breeding season.

Cackling Cackling Goose
(Branta hutchinsii
minima)
Rare to absent at Site.

Smallest body of the three
look-alike geese (23-26”);
small bill is stubby; short
neck; and white cheeks.

Only visits Central Park
during the winter/non-
breeding season.

25 Appendix C

C1 Satellite view of the Central Park Lake

Image 1.

26 C2 CAGO and Mallard species co-existing at the Site. Photos taken by the author.

Image 1. CAGO and Mallard are
the two most common bird species
to see at the Central Park Lake area.

Image 2. CAGO in front of the bio-filtration
system at the Central Park Lake area.

Image 3. CAGO overpopulate the Central Park
area for several reasons, including the abundance
of lawn areas that offer plentiful, year-round
foraging resources — with green grass always
present and growing profusely due to its excellent
health.

Image 4. Mallards are another nesting, invasive
bird species in the Central Park Lake
area. Its numbers at the Site sometimes total more
than 100 individuals, with a recent high of 127
Mallard individuals counted on November 8,
2020. It’s likely this large number is adding large
amounts of feces to the lake’s water, thereby
impacting the performance of the bio-filtration
system.

27 Appendix D—Fencing Options as a Barrier in Central Park’s Lake Area

Santa Clara Parks Canada Goose Project’s goal is to add 1,516 linear feet of fencing to the circumference of Central Park Lake.

Fencing Options: Company Name Contact Information Cost and Comments

1. Monofilament
Fencing Style

(Photo of this product)

This option is the
cheapest of those noted
here. See the
“Cost/Comments”
column.

Deer Busters
Cost: 28.95 per 333’ on
spool.

20 spools will be
needed for four rows
on fence: $28.95 x 20 =
$579 x 4 = $2,316.

Other items associated
with the monofilament
spool are shown here
:

Scroll down the
“Frequently bought
together” section.

Alternatively: Posts
associated supplies will
need to be purchased
locally.

2. Critter fence Black
Steel 2 Inch Square
Grid 4 x 100

Critter Fence

John: 800-881-5327, ET
[email protected]

Cost: $5,124 for four
items, incl. fencing
material. Free S&H.

This purchase would
supply
1800’ fence line at 4’
height, featuring 2”
steel welded mesh with
black vinyl coating,
without ground
overlap.

28 Appendix E—Glossary

Addling
Goose egg addling is a wildlife management method of population control for the Moffitt’s Canada Goose that overpopulate Central Park. The process of addling involves temporarily removing fertilized eggs from the nest, testing for embryo development, terminating embryo development by spraying oil on the eggs to prevent respiration of the egg, and placing the egg back in the nest. The result: eggs do not hatch because the respiration (i.e., “breathing”) process stops because the oil coats an egg’s pores.

Depredation Order (DO)
A depredation order (DO) is a permit applied for by a qualified, experienced Avian Biologist who obtains it from the US Fish and Wildlife Service on behalf of an organization that hosts an overpopulation of a species that requires reduction via non-lethal management. A DO provides regulatory authorization under the Migratory Bird Treaty Act (MBTA) to conduct specific migratory bird depredation management activities without the need for a qualified Avian Biologist to obtain an individual federal permit.

Friable
The condition of being friable, describes the tendency of a solid substance to break into smaller pieces under duress or contact, especially by rubbing. The opposite of friable is indurate.

Gander
A gander is an adult male goose.

Gosling
A gosling is a young goose.

ISA Certified Arborist
An International Society of Arboriculture (ISA) Certified Arborist® is a tree care professional who has attained a knowledge of tree identification, tree biology, diagnosis, maintenance practices, safety, and other subject and practice areas within the tree care profession.

Short Distance Dispersal
Birds disperse from their natal, breeding grounds after being born. In so doing, they disperse either short distances or long distances to find breeding grounds as they mature to breed. In some cases, such as Moffitt’s Canada Goose in Central Park, newborn geese may disperse short distances to breed elsewhere in Santa Clara or elsewhere in the South Bay. Other bird species in the Santa Clara region (e.g., Bullock’s Oriole) may disperse long distances as adults to breeding territories, in addition to completing annual migration patterns over long distances as far as South America before returning by spring to the San Francisco Bay Area.

Subspecies (or race)
In biological taxonomy, race is an informal rank in the taxonomic hierarchy for which various definitions exist. Sometimes it is used to denote a level below that of subspecies, while at other times it is used as a synonym for subspecies. Subspecies may be genetically distinct populations of individuals within the same species, or they may be defined in other ways, e.g., geographically, or physiologically.

Vegetation Management Plan
A Vegetation Management Plan (VMP) is a report-type document that addresses the on-going management requirements of native vegetation (trees, shrubs, and ground cover) within a proposed site such as Central Park, in the City of Santa Clara.
29 Appendix F – Depredation Order Data Form

Depredation Order Data Form for the Annual Submittal to the US Fish and Wildlife Service

Note: Central Park is registered as a legal, approved site for addling Moffitt’s Canada eggs via the US Fish and Wildlife Service web site where addling results would be submitted at the following web site at the completion of each goose nesting season when addling occurs:

https://epermits.fws.gov/eRCGR/

Parks &
Recreation
Commission
Central Park
Integrated Goose
Management Plan
November 17, 2020
Presentation Outline
• Central Park Lake
• Work Plans and Improvement Projects 2014-2020
• Canada Goose and Mallard Overpopulation
• Impact of Goose Dropping on Lake and Pathways
• Daniel Edelstein, Avian Biologist
• Proposed Integrated Goose Management Plan (IGMP)
2 Central Park Lake
Iconic Feature of Central Park
• 1 Million gallons reclaimed water
• Aesthetic focal point in park
• Community Wide Special Event
Location
– Art & Wine Festival, July 4th, SVBBQ, etc.
• Place for family & community recreation
3 Work Plans and Improvements
2014-2020
• Prior to 2014
– Annual Lake cleanup
– Limited short-term w ater quality improvement
• 2014 Biofiltration CIP Project
– Improved lake water quality
– Improved the aesthetics of the lake area
• Lake Cleanup every five years
• Bi-annual treatment to reduce algae
blooms
4 5
Central Park Pond Bio-filtration ec;, - "
Using Wetland Plants to Clean the Pond
How is the pond water cleaned? Pond water is
cleavned when water flows from the surface
skimmers in the lower pond into bio-filtration
cells filled with rounded stones. Microorganisms
form a biotic zone around each stone , and serve to
process the pond water that flows around them.

The pond water entering the cells typically has a
high level of suspended solids and nutrients
primarily generated by resident mallards and
Canada geese. In addition, the remaining
nutrients are absorbed by the wetland plants that
cover the surface of the entire wetland.

After the pond water passes through the cells and
the roots of the wetland plants , it flows to the
upper pond and then down the waterfall to the
lower pond thereby completing the cycle.
&<:op,, monnferl
Water Hyssop
Soginarla l<Jtifoli"
Broadlof' Arrowhead
City of Santa Clara Water & Sewer Utilities and Parks & Recreation Department Impact of Goose Dropping
on Lake and Pathways
6 Canada Goose &
Mallard Overpopulation
Negative Impact on Central Park & Lake
• Reduced habitat for native species
• Decreased water quality of lake
• Increased “Dirty Pathways”
• Potential disease transmission to other
species
• Reduced recreational enjoyment
7 How to Address the Issue?
• Agreement with an Avian Biologist
• Develop an Integrated Goose Management Plan (IGMP)
• Present IGMP to the Parks & Recreation Commission
• Present IGMP to Council for Approval
• Implement IGMP’s Management Action Steps
– Short-Term
– Long-Term
8 Daniel Edelstein, Avian Biologist
• Certified Wildlife Biologist
– 25+ years field survey experience
– 16 Years of Regulatory/Permitting Knowledge
• Community College Birding/Wildlife Instructor
• Birding Guide since 1986
• Authored over 100 regulatory compliance
documents
9 Moffitt’s Canada Goose
(Branta canadensis moffitti)
11 Moffitt’s Canada Goose
(Branta canadensis moffitti)
Large body 30-43”, big bill, often
in large groups; this species
nests in late winter &/or spring,
with baby geese typically
hatching at the lake from May –
June annually.

Nesters joined by nearby geese
geese families join together as
large groups after the breeding
season, thereby causing an
overpopulation at the lake and
surrounding lawn areas in the
park and nearby.

12 13

14 • “Dirty” pathways
• Increased maintenance time and cost with same daily result • Park patrons deserve a clean and “less-odiferous ” outdoor experience • Poor water quality in the Lake (each adult goose drops ~1/2 lb feces per day) • Decreased habitat quality for other wildlife species that compete at the lake for • Roosting sites
• Foraging resources
• Nesting areas
• Potential avian disease spread to other bird species
• Reduced biological diversity as the large, naturally-aggressi ve geese out- compete dozens of other bird species for food and nesting areas • geese always prevail
Problems Associated with the
Growing Number of Geese

18 Date Of
Survey
Number of Canada
Goose Counted
Newborn Goose
Seen?
Number of Mallard
Observed
7/7/20 88 No 59
8/13/20 95 No 71
9/30/20 80 No 64
10/22/20 158 No 87
(Branta hutchinsii leucopareia)

CENTRAL PARK
CANADA GOOSE & MALLARD SURVEYS (2020)

Integrated Goose Management Plan
19 SHORT-TERM SOLUTION STRATEGIES:

The following management goals and actions in the IGM are short and long-term strategies to gradually reduce the overpopulation of geese at Central Park Lake and its surrounding areas.

GOAL #1: Educate The Public About The Need To Reduce Geese Overpopulation • ACTIONS TO SATISFY GOAL:
• Advise visitors to stop feeding geese (and Mallard ducks) at the lake • Add friendly, educational information signs at the park benches where people often feed the geese (and Mallard ducks)
• Add information signage at access trail places where visitors enter the park Informational Signs
20 e ee mg
animals on
osted publi
property is

PROHIBITED
City Ordinance No.1800

DUCKS - GEESE

OR ANY OTHER

WILDLIFE
Feeding Wildlife Leads To:
• Bacterial pollution and beach closures.
• Aesthetic damage of public parks.
• Illness and deformities of wildlife.
• Loss of fear of humans.
0 2020Sm artSlgn.com•S2-49J2
21 SHORT-TERM SOLUTION STRATEGIES:

GOAL #2: Prevent geese from walking into the lake.
• ACTION TO SATISFY GOAL:
• Add fencing to the lake’s entire perimeter
• Result: Geese will not have walk in access to lake
Functional Fencing
22 (Branta hutchinsii leucopareia)

23 Usage of Functional Fencing
Integrated Goose Management Plan
Implementation
24 SHORT-TERM SOLUTION STRATEGIES:

GOAL #3: Reduce Success Of Geese Breeding At The Lake:
• ACTION TO SATISFY GOAL:
• Begin the Following Non-lethal Management Action:
• Addling Geese Eggs Prevents Hatching,
• No Newborn Geese Occur at the Lake
Addling of Geese Eggs

26 27
SHORT-TERM SOLUTION STRATEGIES:

GOAL #4: Educate the public about the need to reduce geese overpopulation • ACTION TO SATISFY GOAL:
• Inform Santa Clara residents, park visitors, wider community about the need to reduce the goose overpopulation problem
• Ensure public has a “voice” and is informed
• Allowing public input/comments via:
• Educational public meeting (remote “Zoom”or in person) • City’s website
• News release about the goose overpopulation problem
Integrated Goose Management Plan
Implementation
Public Community Outreach
• Parks & Recreation Commission
• Virtual Meeting(s)
• Community Site Visit(s)
• City Council Meeting
28 29

30 SHORT-TERM SOLUTION STRATEGIES:

GOAL #4 (continued): Educate the public about the need to reduce geese overpopulation
• ACTION TO SATISFY GOAL:
• Inform Santa Clara community members about the need to reduce the goose overpopulation problem via:
• articles for public to read local print/online media
• Request Resolution from Santa Clara Audubon Society
• Continue to ensure public has a “voice” and is informed • Public scoping/educational meetings (via Zoom or in person) • Add public notice on the City’s website, so comments may be submitted Integrated Goose Management Plan
Implementation
31 LONG-TERM SOLUTION STRATEGIES
GOAL 1: Reduce the nesting success and presence of geese at the lake • ACTIONS TO SATISFY GOAL:
• Implement one or more of the management strategies highlighted in the IGM:
• Continue ongoing, annual goose addling to prevent egg hatching = few to no newborn geese born at lake area
Integrated Goose Management Plan
Implementation
32 LONG-TERM SOLUTION STRATEGIES (cont’d)
GOAL 2: Reduce the nesting success and presence of geese at the lake • ACTIONS TO SATISFY GOAL:
• Modify the lake’s habitat to reduce goose immigration presence AND to encourage geese to leave the lake area via:
• Implement habitat modifications, such as:

A) Fencing addition around the Lake
B) Vegetation Plantings:
1) Around the lake
2) On the Island (to reduce nesting success)
Integrated Goose Management Plan
Implementation
33 Community & Commission Input
• Commission Questions
• Community
Input
• Commission Discussion
• Commission Recommendation
34 City of
Santa Clara
The Center of What's Possible
City of Santa Clara
Agenda Report
1500 Warburton Avenue
Santa Clara, CA 95050
santaclaraca.gov
@SantaClaraCity
22-1704 Agenda Date: 3/22/2022

REPORT TO COUNCIL

SUBJECT
Action on a Substation Agreement with CoreSite Real Estate SV9, L.P. for Stender Way Junction Substation, Related Budget Amendment, Addition of 4.0 Full Time Positions and Delegation of Authority to the Office of the City Manager to Negotiate and Execute Substation Agreements for Silicon Valley Power (SVP) with the following customers:

1. 651 Walsh Partners, LLC for Laurelwood Junction Substation;

2. 1220 Santa Clara Propco, LLC for Memorex Junction Substation; and

3. C-1 Santa Clara LLC, for Martin Avenue Junction Substation Agreement

COUNCIL PILLAR
Deliver and Enhance High Quality Efficient Services and Infrastructure

BACKGROUND
CoreSite Real Estate SV9, L.P. (CoreSite) is currently constructing a new data center at 2905 Stender Way. The City Council approved the rezoning of the project on June 15, 2021. CoreSite anticipates that the maximum energy demand for its data center will be 49 megavolt-amps (MVA) and has requested the City’s Electric Utility, Silicon Valley Power (SVP), to provide the required 60kV electric service to the site through a 60kV single customer substation (Stender Way Junction).

Three additional data center projects with 651 Walsh Partners, LLC, 1220 Santa Clara Propco, LLC, and C-1 Santa Clara LLC have completed environmental review, City land use approval, and some are at various stages of construction with active building permits.

DISCUSSION
Under the proposed Stender Way Junction Substation Agreement, CoreSite will construct, at its own expense, the Stender Way Junction Substation with a capacity of 49 megavolt-amps (MVA) to serve its data center. Costs incurred by SVP related to the design, procurement, construction, inspection, and testing associated with Stender Way Junction will be paid in full by CoreSite as Developer Contributions. Once completed, the Stender Way Junction will be owned, operated, and maintained by SVP at SVP’s sole cost and expense with costs recovered through electric rates.

The new data center facility will be served by SVP from Stender Way Junction under the terms of the Substation Agreement with CoreSite. SVP will design the control building and related 60kV protection and communication equipment. CoreSite will procure and construct all substation equipment necessary and required per SVP’s specifications to provide electric service to the data center facility. SVP will design and construct the 60kV transmission line interconnection to Stender Way Junction in accordance with the City’s design and procurement standards. SVP will perform testing and commissioning activities on the completed 60kV station.

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22-1704 Agenda Date: 3/22/2022
Due to the expedited time frame associated with the data center projects, staff is also requesting that Council delegate the authority to the Office of the City Manager to negotiate and execute separate Substation Agreements with 651 Walsh Partners, LLC for Laurelwood Junction Substation; 1220 Santa Clara Propco, LLC for Memorex Junction Substation; and C-1 Santa Clara LLC for Martin Avenue Junction Substation Agreement. Terms and conditions of these Substation Agreements will be similar to those for the Substation Agreement with CoreSite.

These Substation Agreements require the City to design the 60kV transmission line interconnection, with related conductor and steel pole structures. The conductor and steel poles (long lead materials) typically have a long lead time between procurement ordering and delivery of the conductor and poles to the site. Staff is requesting that Council delegate authority to the Office of the City Manager to approve the purchase of the long lead materials for the aforementioned Substation Agreements.

Such purchases will be made according to the Purchasing Ordinance and Policy. As discussed in the Background section, all these projects have completed environmental review, City land use approval, and some are at various stages of construction with active building permits.

New Positions
As presented to Council on April 6, 2021, and September 28, 2021, SVP is in the midst of significant growth that will approximately double the size of the Electrical System capacity and revenues. The number of substations is projected to grow from twenty-three (23) to thirty-three (33) by 2026. The addition of the four substations discussed in this RTC represents an increase of 280MW to Santa Clara’s current Electrical System capacity of 600MW. This growth creates present-day and long-term challenges with SVP’s current staffing levels.

In order to continue to support the growing Operations and Maintenance, and Compliance activities with SVP’s system load growth including the four new substations, staff recommends increasing staff Full Time Employee headcount with the following positions: two (2) Senior Electric Utility Engineers, one (1) Senior Instrument and Controls Technician, and one (1) Electric Water System Operator.

Additional positions will be required in the future to align with utility infrastructure and load growth.

ENVIRONMENTAL REVIEW
The environmental consultant firm Circlepoint prepared a Mitigated Negative Declaration for the CoreSite Real Estate SV9, L.P. (Stender Way Junction Substation) data center project in accordance with the California Environmental Quality Act (CEQA). The Mitigated Negative Declaration was adopted by City Council on June 8, 2021.

The lead agency for the 651 Walsh Partners, LLC (Laurelwood Junction Substation) data center project is the California Energy Commission, which adopted a Mitigated Negative Declaration and granted a Small Power Plant Exemption on August 12, 2020. The City, as a responsible agency, adopted the Mitigated Negative Declaration at a publicly noticed Development Review Hearing on August 16, 2020.

The environmental consultant firm David J. Powers & Associates prepared an Environmental Impact Report for the 1220 Santa Clara Propco, LLC (Memorex Junction Substation) data center project in accordance with the California Environmental Quality Act (CEQA). The Environmental Impact Report (EIR) was adopted by City Council on November 9, 2021.

The lead agency for the C-1 Santa Clara LLC (Martin Avenue Junction Substation) data center City of Santa Clara Printed on 3/17/2022Page 2 of 5
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22-1704 Agenda Date: 3/22/2022
project is the California Energy Commission, which adopted a Mitigated Negative Declaration and granted a Small Power Plant Exemption on June 25, 2021. The City, as a responsible agency, adopted the Mitigated Negative Declaration at a publicly noticed Development Review Hearing on July 28, 2021.

FISCAL IMPACT
Budget adjustments are not required in FY 21/22 for the Martin Avenue Junction Project or the Laurelwood Junction Project. Funding for those projects will be included in the biennial budget process.

Staff recommends the following budget actions associated with the Stender Way Junction Project and the Memorex Junction Project.

Appropriations needed in future years will be requested as part of the regular biennial budget process.

Budget
FY 2021/2022
Current Increase/
(Decrease)
Revised
Electric Utility Capital Fund (591)
Revenues
Developer
Contributions
(Stender Way
Junction Project)
$0 $885,166 $885,166
Developer
Contributions
(Memorex Junction
Project)
$150,000 $4,016,000 $4,166,000
Expenditures
Stender Way
Junction Project
$567,649 $885,166 $1,452,815
Memorex Junction
Project
$526,158 $4,016,000 $4,542,158
Each customer will be responsible for paying all actual costs related to the design, procurement, installation, construction, fabrication, inspection and testing of the associated substation.

For Coresite, the Stender Way Substation cost is expected to be $ 8,586,379 with three payment milestones, as detailed in Exhibit D of the Substation Agreement. Payment milestone number one will cover scheduled activities through FY 2021/22 in the amount of $1,585,166. Of the $1,585,166, $700,000 was budgeted and received in FY 2020/21, leaving a remaining balance of $885,166 to fund this fiscal year. The funding for payments in future fiscal years will be factored into the biennial City of Santa Clara Printed on 3/17/2022Page 3 of 5
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22-1704 Agenda Date: 3/22/2022
budget process.

For 1220 Santa Clara Propco, LLC, the Memorex Junction Substation cost is expected to be $10,271,000 with payment milestones detailed in the Substation Agreement. The first milestone payment will cover engineering and material orders in the amount of $4,566,000. Of this amount, $550,000 was budgeted and received in FY 2020/21, leaving a remaining balance of $4,016,000 to fund this fiscal year.

The funding for payments in future fiscal years including the two additional Substation Agreements will be requested as part of the biennial budget process.

In addition to the actual costs associated with construction of each junction, each customer will also be charged the applicable Load Development Fee listed in the Municipal Fee Schedule. The Load Development Fee recovers the portion of the Bulk Electric System reinforcement work that SVP will need to do as a result of the additional load. Fees and related costs for future budget years will be requested in future financial plans.

Staffing
The annual cost to add two (2) Senior Electric Utility Engineers, one (1) Senior Instrument and Controls Technician, and one (1) Electric Water System Operator is $1,250,000 including salaries and benefits.

These costs will be funded by the Electric Utility Operating Fund using increased customer services revenue from SVP’s load growth to support ongoing operations and maintenance. In addition, staffing costs directly supporting these new capital improvement projects will be funded through developer contributions with no impact to the General Fund. No budget action is requested for FY 21/22 as SVP does not anticipate that recruitments will be completed before the end of the Fiscal Year. Budget allocations for future years will be included in the biennial budget process.

COORDINATION
This report has been coordinated with the Finance Department and the City Attorney’s Office.

PUBLIC CONTACT
Public contact was made by posting the Council agenda on the City’s official-notice bulletin board outside City Hall Council Chambers. A complete agenda packet is available on the City’s website and in the City Clerk’s Office at least 72 hours prior to a Regular Meeting and 24 hours prior to a Special Meeting. A hard copy of any agenda report may be requested by contacting the City Clerk’s Office at (408) 615-2220, [email protected] <mailto:[email protected]> .

RECOMMENDATION

1. Authorize the Office of the City Manager to execute the Substation Agreement with CoreSite Real Estate SV9, L.P. to allow SVP to design, procure equipment, and construct 60kV facilities to serve the Stender Way Junction Substation to meet an ultimate capacity of 49 MVA of permanent electric service to 2905 Stender Way, subject to the appropriation of funds;

2. Authorize the Office of the City Manager to negotiate and execute a Substation Agreement with 651 Walsh Partners, LLC to allow SVP to design, procure equipment, and construct 60kV facilities to serve the Laurelwood Junction Substation to meet an ultimate capacity of up to 99 MVA of City of Santa Clara Printed on 3/17/2022Page 4 of 5
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22-1704 Agenda Date: 3/22/2022
permanent electric service to 651 Walsh Avenue, subject to the appropriation of funds;

3. Authorize the Office of the City Manager to negotiate and execute a Substation Agreement with 1220 Santa Clara Propco, LLC to allow SVP to design, procure equipment, and construct 60kV facilities to serve the Memorex Junction Substation to meet an ultimate capacity of up to 60 MVA of permanent electric service to 1220 Memorex Drive, subject to the appropriation of funds;

4. Authorize the Office of the City Manager to negotiate and execute a substation agreement with C-1 Santa Clara LLC to allow SVP design, procure equipment, and construct 60kV facilities to serve for Martin Avenue Junction Substation to meet an ultimate capacity of up to 99 MVA of permanent electric service to 2600 De La Cruz, subject to the appropriation of funds;

5. Authorize the Office of the City Manager to make minor modifications to the substation agreements and execute any and all associated documents;

6. Delegate authority to the Office of the City Manager to approve long lead time material procurement agreements and associated purchase orders for these Substation Agreements;

7. Consistent with City Charter Section 1305, “At any meeting after the adoption of the budget, the City Council may amend or supplement the budget by motion adopted by the affirmative votes of at least five members so as to authorize the transfer of unused balances appropriated for one purpose to another purpose, or to appropriate available revenue not included in the budget,” approve the following FY 2021/22 budget amendments:

A. In the Electric Utility Capital Fund, recognize developer contributions of $885,166, and increase the Stender Way Junction project appropriation by $885,166, and recognize developer contributions of $4,016,000, and increase the Memorex Junction Substation project appropriation by $4,016,000 (five affirmative Council votes required to appropriate additional revenue); and

8. Approve the addition of two (2) Senior Electric Utility Engineers, one (1) Senior Instrument and Controls Technician, and one (1) Electric Water System Operator in the Electric Utility Department.

Reviewed by: Manuel Pineda, Chief Electric Utility Officer Approved by: City Manager’s Office

ATTACHMENTS

1. Stender Way Substation Agreement
City of Santa Clara Printed on 3/17/2022Page 5 of 5
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CoreSite Real Estate SV9, L.P. Substation Agreement
Draft rev 4 - 9/30/2021 Page 1 of 27

SUBSTATION AGREEMENT

BY AND BETWEEN

THE CITY OF SANTA CLARA, CALIFORNIA
AND
CORESITE REAL ESTATE SV9, L.P.

PREAMBLE

This Substation Agreement (“Agreement”) is made and entered int o on this ___ day of ____________, 2022 (“Effective Date”) by and between the City o f Santa Clara, California, a chartered California municipal corporation (“City”) and CoreSite Real Estate SV9, L.P., a Delaware limited partnership (“Customer”). The City and Custom er may be referred to in this Agreement individually as a “Party” or collectively as the “Parties”.

RECITALS

A. The City of Santa Clara owns and operates an electric utilit y, doing business as Silicon Valley Power (“SVP”), and currently provides electric service t o Customer at 2915 Stender Way, parcel number 216-29-108, in the City of Santa Cla ra, California (“Premises”), which is shown on Exhibit A attached hereto and i ncorporated herein, pursuant to standard electric rate schedules authorized by the City Council of the City of Santa Clara;

B. City has determined that a new single customer electric subs tation, which is shown as the area and equipment marked as the Substation Facilities on Exhibit C attached hereto and incorporated herein with a capacity of 49 MVA, to be known as the Stender Way Junction (SWJ) (“Substation Facilities”), is required to be built to fulfill its obligations to Customer;

C. City has determined that the Substation Facilities require n ew 60kV transmission line extensions (“Transmission Facilities”) to connect the Substatio n Facilities to SVP’s electrical system.

D. The Parties acknowledge that significant system capacity imp rovement facilities will be required to provide the capacity of 49 MVA to the Customer. The Parties further acknowledge these system capacity improvements are not fully within their control and may impact the Customer’s load ramp schedule. SVP will use commercially reasonable efforts to provide the Customer with the requested total available capacity as described in the Total Available Capacity Schedule in Exhibit E attached hereto and this will be the Customer’s obligation to utilize the total available capacity based upon the Total Available Capacity Schedule in Table E1.

E. The purpose of this Agreement is to set forth the mutual obligations of the Parties with respect to supplying Customer with initial interim electric power and then with permanent capacity and transmission infrastructure for the Premises.

Therefore, in consideration of the foregoing, the Parties agree as follows:

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'

CoreSite Real Estate SV9, L.P. Substation Agreement
Draft rev 4 - 9/30/2021 Page 2 of 27

AGREEMENT PROVISIONS

1. PROJECT OVERVIEW

The Proposed Project, (PLN2019-14128), was approved at the Development Review Hearing on August 8, 2020. On June 22, 2021, City Council approved the resolution to adopt the Mitigated Negative Declaration and the Mitigation Monitoring and Reporting Program for the 2905 Stender Way project; and approved a rezoning from Planned Development (PD) to Planned Development (PD) to allow development of a 250,000 square-foot four-story data center, a new substation, equipment yards and onsite improvements (SV9).

A four-story, 250,000 square-foot data center (SV9) would replace the existing uses on the site. The SV9 data center would be approximately 87 feet in height and would house computer servers and supporting equipment for private clients. Sixteen standby option, backup diesel generators (backup generators) would be added to the site to provide backup power to the SV9 data center in the event of an emergency. At full buildout, the SV9 data center and substation would be interconnected to the SVP electric system.

The 49 megavolt amps (MVA) service requirement for the SV9 data center would be met by the improvements made to SVP’s transmission system. A su bstation would be constructed on the SV9 data center site. The site is bounded by Central Expressway to the south, Stender Way to the west, adjacent buildings to the n orth, and San Tomas Aquino Creek to the east.

Customer will construct electrical Substation Facilities with a capacity of 49 megavolt amps (MVA) on the southwest corner of the Premises near Stender Way and Central Expressway.

Customer is also requesting electric power capacity of up to 12 MVA from SVP prior to completion of the Substation Facilities (“Interim Phase”). “Ca pacity” as used in this Agreement is defined as the amount of energy that can be received for Customer’s use.

City and Customer have agreed that Customer will fund the devel opment and construction of the Substation Facilities and Transmission Facilities (“Substation Development Phase”) to serve the Premises.

In the course of the development of the Premises, City and Cust omer will finalize requirements for the interconnection facilities necessary for s upplying electrical power within the project (“Connection Phase”).

The layout of and requirements for the interconnection faciliti es shall be complete and agreed upon by the Parties prior to commencement of any constru ction on the Substation Facilities.

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CoreSite Real Estate SV9, L.P. Substation Agreement
Draft rev 4 - 9/30/2021 Page 3 of 27

The beginning and the ends of these successive phases may overl ap. The respective responsibilities and obligations of the City and Customer for each of these phases are more particularly described below.

2. INTERIM PHASE

A. SVP OBLIGATIONS

To enable Customer to begin construction and operate without in terruption until the Substation Facilities are fully constructed and begin operation, Customer shall construct the infrastructure in order to utilize up to 12 MVA of capacity of “Electric Service” as defined in SVP Rules and Regulations No. 1 (“Interim Service”). Interim Service will be provided from two (2) 12 kV distribution feeders at or near the location set forth in the Interim Service diagram attached as Exhibit B.

B. CUSTOMER OBLIGATIONS

Customer shall provide written notification of its load ramp schedule and planned usage of the Interim Service until such time as the Interim Service is transferred to the Substation Facilities.

Customer acknowledges that up to 12 MVA Interim Service requested for the site is the combined allocation for the Premises. Customer shall pay all costs associated with the construction and removal of the Interim Service. Customer shal l work with SVP to transfer Customer’s existing load from the Interim Service to t he new Substation Facilities within three (3) months after energization of the Substation Facilities.

3. UBSTATION DEVELOPMENT PHASE

A. SVP OBLIGATIONS

SVP will provide 49 MVA of capacity for Customer’s use (“Total Available Capacity”) as detailed in Exhibit E, to the Premises, upon completion of, and served by, the Substation Facilities, Transmission Facilities and required System Capacity Improvement Facilities which include projects on SVP’s 230kV, 115kV, and 60kV transmission lines, receiving stations, and Pacific Gas & Electric Bulk Electric System Impro vements (“System Capacity Improvement Facilities”). As the Capacity Improvement Facilities completion schedules are not fully controlled by SVP, SVP at its reasonabl e discretion may limit Customer and Customer’s tenants Load Ramp Schedule until the ca pacity is made available. The Parties agree that the capacity from the Statio n will also be provided pursuant to the Rules and Regulations, applicable Silicon Valley Power Rate Schedules, current load development fees and subject to the completion of any system upgrades necessary to serve the load at the time the load capacity incre ase is initiated. The 49 MVA of capacity shall be provided to the Customer at the cost of the load development fee applicable at that time.

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CoreSite Real Estate SV9, L.P. Substation Agreement
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The Total Available Capacity will be made available to the Cust omer, at the Utility Connection Point, from the Substation Facilities and connected to the Premises through the Transmission Facilities. The Utility Connection Point for a SVP junction facility is the Customer side of the 60kV disconnect switches located within th e Substation Facilities as shown in Exhibit C.

SVP will use commercially reasonable efforts to test and commis sion the Substation Facilities to be able to deliver the Capacity per the Total Ava ilable Capacity Schedule (inclusive of any Interim Service that is transferred to the Substation Facilities) in Table E1 of Exhibit E, at 60 kV, within thirty (30) months after the Effective Date of this Agreement.

SVP shall use commercially reasonable efforts to design, constr uct, test and commission the Transmission Facilities to be able to deliver th e Capacity per the Total Available Capacity Schedule (inclusive of any Interim Service that is transferred to the Premises) in Table E1 of Exhibit E, within thirty (30) months after the Effective Date of this Agreement.

Completion of the Substation Facilities and Transmission Facili ties is subject to the following terms:

1. SVP shall own, operate, and maintain all City-owned Substati on Facilities and Transmission Facilities, to the Customer’s point of connect ion with SVP.

2. SVP shall own, operate and maintain all City-owned Substatio n Facilities and Transmission Facilities, SVP control building and all equip ment therein, as shown in Exhibit C.

3. The Parties agree to coordinate the design and construction of the Substation Facilities and Transmission Facilities in accordance with the Project Schedule and Costs attached hereto as Exhibit D, to ensure timely completion.

4. SVP shall design the City-owned control building within the Substation Facilities.

5. SVP shall keep Customer informed on a regular ongoing basis as to the costs it is incurring associated with the design, construction, t e s t i n g , commissioning, and completion of the Substation and Transmissio n Facilities, including periodic updates to Exhibit D as appropriate. Once preliminary engineering review is complete, SVP will provide Cu stomer with a detailed estimate of SVP project cost to fully complete the control building with the Substation Facilities. SVP shall provide Cus tomer with reasonable access to SVP’s books and records that substantiate any costs SVP proposes to bill to Customer related to the Substation Faci lities and Transmission Facilities.

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CoreSite Real Estate SV9, L.P. Substation Agreement
Draft rev 4 - 9/30/2021 Page 5 of 27

6. In no way will City be liable for any damages for failure to complete the Project by Customer’s anticipated or proposed energization date

7. The Substation Facilities shall be substantially complete be fore SVP begins testing and commissioning activities. For purposes of t his Agreement, “substantially complete” means that Substation Facil ities construction is complete, in accordance with SVP’s standards an d requirements, and no Customer contractors remain working within t h e perimeter wall of the Substation Facilities. See Exhibit C for location of perimeter wall. SVP is not obligated to compress its testing a nd commissioning schedule to meet Customer’s anticipated service date.

8. SVP acknowledges that the required interconnection study has b e e n completed and it reflects development and load ramp schedules known at that time. SVP will update the customer on projects and schedules th at may impact the load ramp schedule feasibility as they become available

B. CUSTOMER OBLIGATIONS

The Customer shall design (with the exception of the City-owned control building), procure, and construct Substation Facilities, as shown in Exhib it C (Station Plan), to provide 60kV service to the Premises, at its own financial risk, per SVP’s standards and requirements.

The substation would consist of two (2) 50 MVA transformers. I n the event one transformer fails, then the load, not to exceed 49 MVA, would b e transferred to the redundant transformer.

Completion of the Substation and Transmission Facilities is subject to the following terms:

1. The Substation Facilities shall be for exclusive use of the Customer’s building(s) to be constructed on the parcel 216-29-108, as show n on Exhibit A.

2. Substation Facilities 60kV bus will be a breaker and half sc heme with the complete 60kV junction being constructed to serve the Premises.

3. Customer shall obtain all land use entitlements, and provide any property rights, including easements, to the City, necessary to construct, complete and maintain the Substation Facilities.

4. Customer shall be responsible for all costs associated with the acquisition of any additional easements, directly adjacent to the parcel 21 6-29-108, necessary for the Transmission Facilities, if any.

5. Customer shall construct a perimeter wall, marked as “Perime ter Wall” on Exhibit C, which shall create a physical boundary around the Su bstation Facilities and which is for ensuring the Substation Facilities’ security (“Station Perimeter Wall”). The Station Perimeter Wall shall b e for the exclusive use of SVP. Only SVP approved signage is permitted o n the -82:1547Ā.7;36893Ā0-*Ā)$%%.&&.Ȁ#$%/Ȁ$%''Ȁ(,+"Ȁ!$+( $,)"(/

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Station Perimeter Wall. The substion shall have an all-weather asphalt surface underlain by an aggregate base.

6. The Customer shall procure the Substation Facilities control building to comply with SVP’s design specifications and requirements. Any changes or substitutions to SVP’s design package for the control building must have SVP approval prior to implementation, which approval shall not be unreasonably delayed or withheld. SVP, or SVP’s designated representative shall oversee factory acceptance testing of the control building and inspect the control building prior to shipment of the building to the Premises. All deficiencies identified by SVP during the f a c t o r y inspection visits shall be corrected prior to shipment of the control building to the Premises.

7. Customer-owned Control, communication, and protection wiring from the Customer’s control building to the marshalling terminaton cabin et located on customer side of demarcation fence, and related equipment, w ill be owned and maintained by Customer. All control and protection wiring must be clearly identified by Customer per SVP direction to avoid confusion when troubleshooting, maintaining, or repairing city-owned equipment to avoid possible misoperation of any SVP equipment.

8. Customer shall pay the City actual costs per Payment Milesto nes set forth in Exhibit D. These costs shall include but not be limited to all travel expenses incurred by SVP to perform factory inspections, oversee testing for any equipment purchased by Customer to be turned over for S VP’s ownership, and all punch list items necessary to fully integrat e the Substation Facilities into SVP’s network. Invoiced costs by Ci ty shall be due within thirty (30) days of receipt of invoice. Invoices fr om City shall describe in detail the costs to Customer.

If Customer desires to use Total Available Capacity, Customer m ust pay a “Load Development Fee” in the amount set forth in Exhibit D. The Load Development Fee will be payable 30 days prior to the energization of the additional Electric Service.

4. CONNECTION PHASE

A. SVP OBLIGATIONS

Upon completion of the Substation Facilities, Transmission Faci l i t i e s a n d S y s t e m Capacity Improvement Facilities, SVP shall provide the Total Av ailable Capacity (inclusive of any Interim Service that is transferred to the Su bstation Facilities) as detailed in Exhibit E. Such capacity shall include primary and, as necessary, secondary, services to the Premises.

All electrical equipment, installed by Customer upon the Premises for the purpose of, but not limited to, delivery and metering of Customer’s Electri c Service, shall become the property of SVP. SVP shall own, operate, and maintain the Substation Facilities -82:1547Ā.7;36893Ā0-*Ā)$%%.&&.Ȁ#$%/Ȁ$%''Ȁ(,+"Ȁ!$+( $,)"(/

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(including the City-owned control building and all other City-o wned equipment) and the Transmision Facilities at its sole cost and expense, in accorda nce with good utility practices and SVP Rules and Regulations as they may be updated.

SVP will monitor the Customer’s demand at the end of each loading phase as described in Exhibit E. SVP shall notify the Customer of any capacity re duction by means of a Capacity Reduction Notice as shown in Exhibit F. Any unused ca pacity reduced shall be refunded to the customer at the rate the Customer paid for such capacity.

B. CUSTOMER OBLIGATIONS

SVP and Customer will negotiate and prepare one or more easemen t agreements providing limited easements on the Premises, as may be required by SVP, to install, operate, and maintain any necessary distribution facilities.

Customer shall work with SVP to transfer Customer’s existing lo ad from the Interim Service to the new Substation Facilities within three (3) months after energization of the Substation Facilities.

Customer shall be responsible to operate within the Total Available Capacity and in the event of exceedance, the Customer shall pay their pro rata shar e of any penalties, damages, or any other cost directly associated with their load exceeding the Total Available Capacity as detailed in Table E1. Such costs include the de-energization of SVP electric system for asset inspection and pass through of any penalties assessed to SVP by the California Independent System Operator (CAISO) relat ing to Resource Adequacy forecasted capacity based on the Customer’s excess loa d above the Total Available Capacity.

If the Total Available Capacity has been reduced through a Capacity Reduction Notice, and the City issues a refund of Load Development Fees, the Cust omer acknowledges and agrees that they shall have no right to any interest accrue d by the entire payment or any amount refunded. If the Total Available Capacity has been subject to the above mentioned capacity reduction at any time during the term of the Agreement and if the Customer’s Demand is expected to increase above the reduced Tot al Available Capacity, then the Customer may request an amendment to the Agr eement and Load Ramp Schedule. Such amendment to the Agreement is not to be unreasonably withheld or delayed.

5. NON-INTERFERENCE

Neither party nor any of its agents or contractors shall perform any work relating to the Interim Service, the Substation Facilities, the Transmission Facilities, or the Premises in a manner which unreasonably interferes with the other Party’s w ork or property.

Customer and each of its respective agents and contractors shall use their best efforts to minimize disruption to the City. Without limiting the generality of the foregoing, each party shall consult in good faith with the other regarding the manner in which work will be performed.

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6. FORCE MAJEURE

Neither Party shall be considered to be in default in performance of any of its obligations under this Agreement when a failure of performance is due to an Uncontrollable Force.

The term “Uncontrollable Force” as used in this Agreement, shall mean any cause beyond the reasonable control of the Party affected, and which by exercise of due diligence such Party could not reasonably have been expected to avoid and which by exercise of due diligence it has been unable to overcome or obt ain or cause to be obtained a commercially reasonable substitute therefore. Such Uncontrollable Force includes the failure or threat of failure of facilities, Act of God, flood, drought, earthquake, storm, tornado, fire, explosion, lightning, epidemic, public em ergency, war, riot, civil disobedience, labor strike, labor dispute, labor or materials s hortage (however labor or materials shortage does not include the mere inability to obtain that labor or material at a particular price), sabotage, restraint by court order, restraint by public authority, or action or non-action by governmental authority or accident.

No Party shall, however, be relieved of liability for failure o f performance if such failure is due to causes arising out of its own negligence or due to removable or remediable causes which it fails to take reasonable efforts to remove or remedy within a reasonable time, or due to mere fluctuations in market prices, or due to u nreasonable delay by the Party claiming or seeking to claim relief from liability. Nothing contained herein shall be construed to require a Party to settle any strike or labor dispute in which it may be involved. Either Party rendered unable to fulfill any of its o bligations under this Agreement by reason of an Uncontrollable Force shall give prompt written notice of such fact to the other Party and shall exercise due diligence to rem ove such inability with all reasonable dispatch.

7. NO ASSIGNMENT OF AGREEMENT/SUCCESSORS IN INTEREST

Customer and City each bind itself, its successors, and assigns, to all of its respective covenants of this Agreement. Except as otherwise set forth in this Agreement, no interest in this Agreement or any of the work provided for under this Agreement shall be assigned or transferred, either voluntarily or by operation of law, by either Party without the prior written approval of the other Party, which approval shall not be unreasonably withheld, conditioned or delayed; any such assignment shall not relieve the assignor from any of its obligations under this Agreement. Notwithstanding the foregoing, and without any prior consent of City, Customer shall have the right to assign this Agreement to any party that acquires all, or substantially all, of Customer’s assets.

8. NO THIRD PARTY BENEFICIARY

Except permitted assignees per Section 7 above, this Agreement shall not be construed to be an agreement for the benefit of any third party or partie s and no third party or parties shall have any claim or right of action under this Agre ement for any cause whatsoever.

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9. HOLD HARMLESS/INDEMNIFICATION

To the extent permitted by law, Customer agrees to protect, defend, hold harmless and indemnify City, its City Council, commissions, officers, employ ees, volunteers and agents from and against any claim, injury, liability, loss, cost, and/or expense or damage, including all costs and attorney’s fees in providing a defense to any such claim or other action, and whether sounding in law, contract, tort, or equity, in any manner arising from Customer’s negligence or willful misconduct with respect to or in any way connected with its performance under this Agreement, or alleged to arise in whole or in part from, or in any way connected with this Agreement – including claims of any kind by Customer’s employees or persons contracting with Customer to pe rform any portion of this Agreement– and shall expressly include passive negligence by City connected with the Agreement. However, the obligation to indemnify and defend shall not apply to the extent such liability is ultimately adjudicated to have arisen through the active negligence or willful misconduct of the City;

Customer’s obligation to protect, defend, indemnify, and hold h armless in full City and City’s employees, shall specifically extend to any and all empl oyment-related claims of any type brought by employees, contractors, subcontractors or o ther agents of Customer, against City (either alone, or jointly with Customer) , regardless of venue/jurisdiction in which the claim is brought and the manner of relief sought.

Customer’s obligation under this section shall apply through a period of three years after the commissioning of substation by City.

To the extent permitted by law, City agrees to protect, defend, hold harmless and indemnify Customer and its affiliates and their directors, officers, employees, and agents from and against any claim, injury, liability, loss, cost, and/or expense or damage, however same may be caused, including all costs and reasonable attorney’s fees in providing a defense to any claim arising therefrom, for which C ustomer shall become legally liable arising from SVP and the City of Santa Clara’s n egligence or willful misconduct with respect to or in any way connected with its per formance under this Agreement.

10. AMENDMENTS

It is mutually understood and agreed that no alteration or vari ation of the terms of this Agreement shall be valid unless made in writing and signed by t he Parties and incorporated as an Amendment to this Agreement.

11. SEVERABILITY CLAUSE

In case any one or more of the provisions contained herein shal l be held invalid, illegal or unenforceable by a court of competent jurisdiction, it shall not affect the validity of the other provisions which shall remain in full force and effect.

12. WAIVER
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Waiver by either Party of any provision of this Agreement shall not be construed as waiver(s) of any other provision of this Agreement.

13. NOTICES

All notices to the Parties shall, unless otherwise requested in writing, be sent to SVP addressed as follows:

Chief Electric Utility Officer
City of Santa Clara
1500 Warburton Avenue
Santa Clara, California 95050
And by e-mail at [email protected], and
[email protected]

And to Customer addressed as follows:

CoreSite Real Estate SV9, L.P.
1001 17
th Street, Suite 500
Denver, CO 80202
Attention: General Counsel
Email: [email protected]

The workday the e-mail was sent shall control the date notice w as deemed given. An e-mail transmitted after 1:00 p.m. Pacific Standard Time on a Friday shall be deemed to have been transmitted on the following business day.

14. CAPTIONS

The captions of the various sections, paragraphs and subparagraphs of this Agreement are for convenience only and shall not be considered or referred to in resolving questions of interpretation.

15. GOVERNING LAW AND VENUE

This Agreement shall be governed and construed in accordance wi th the statutes and laws of the State of California. The venue of any suit filed by either Party shall be vested in the state courts of the County of Santa Clara, or if appropr iate, in the United States District Court, Northern District of California, San Jose, California.

16. COMPLIANCE WITH LAWS

The Parties shall comply with all laws, ordinances, codes and regulations of the federal, state and local governments applicable to their respective obligations and activities contemplated by this Agreement, including but not limited to “T he Code of the City of Santa Clara, California” (“SCCC”). In particular, Customer’s attention is called to the regulations regarding Campaign Contributions (SCCC Chapter 2.130), Lobbying (SCCC Chapter 2.155), Minimum Wage (SCCC Chapter 3.20), Business Tax Certificate (SCCC -82:1547Ā.7;36893Ā0-*Ā)$%%.&&.Ȁ#$%/Ȁ$%''Ȁ(,+"Ȁ!$+( $,)"(/

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section 3.40.060), and Food and Beverage Service Worker Retention (SCCC Chapter

9.60), as such Chapters or Sections may be amended from time to time or renumbered.

Additionally Customer has read and agrees to comply with City’s Ethical Standards (http://santaclaraca.gov/home/showdocument?id=58299).

17. DISPUTE RESOLUTION

A. Unless otherwise mutually agreed to by the Parties, any controversies between the Parties regarding the construction or application of this A greement, and claims arising out of this Agreement or its breach, shall be submitted to mediation within thirty (30) days of the written request of one Party after the service of that request on the other Party.

B. The Parties may agree on one mediator. If they cannot agree on one mediator, the Party demanding mediation shall request the Superior Court of Santa Clara County to appoint a mediator. The mediation meeting shall not exceed one day (eight (8) hours). The Parties may agree to extend the time allowed for mediation under this Agreement

C. The costs of mediation shall be borne by the Parties equally.

D. Mediation under this section is a condition precedent to filing an action in any court. In the event of litigation or mediation that arises out of any dispute related to this Agreement, the Parties shall each pay their respective attorney’s fees, expert witness costs and cost of suit, regardless of the outcome of the litigation.

18. OTHER AGREEMENTS

This Agreement shall not prevent either Party from entering into similar agreements with other entities or individuals.

19. TERMINATION OF AGREEMENT

A. TERMINATION FOR CAUSE

For purposes of this Agreement, the term “default” shall mean the failure of any Party to perform any material obligation in the time and manner provided by this Agreement. Either Party may terminate this Agreement in the event of a default by the other Party by providing a written Notice of Termination to the defaulting Party. Such Notice of Termination shall become effective no less than thirty (30) calendar days after a Party receives such notice. Such Notice of Termination for cause shall include a statement by the terminating Party setting forth grounds for determination of default under the Agreement.

B. OPPORTUNITY TO CURE DEFAULT

Upon receipt of a Notice of Termination by a Party arising from its default under this Agreement, the defaulting Party shall have thirty (30) day s from the receipt -82:1547Ā.7;36893Ā0-*Ā)$%%.&&.Ȁ#$%/Ȁ$%''Ȁ(,+"Ȁ!$+( $,)"(/

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of such notice to cure the default by making such payment or pe rforming the required obligation (or additional time, if any that is reasona bly necessary to promptly and diligently cure the default). If the default is cured to the reasonable, mutual satisfaction of the Parties, the Agreement shall remain i n e f f e c t u p o n written acceptance of the cure by the Party who issued the Notice of Termination for cause.

C. TERMINATION WITHOUT CAUSE

At any time, Customer may elect to terminate construction of th e Substation Facilities upon delivery of (30) days written notice thereof to the City. If Customer chooses to terminate construction of the Substation Facilities and Transmission Facilities, Customer will reimburse any and all City expenses, termination fees, and cancellation fees reasonably incurred by the City related t o the Substation Facilities and Transmission Facilities prior to the delivery of such termination notice. Customer shall not be entitled to a refund of any load development fees that have been paid prior to the written notice of termination.

20. COUNTERPARTS

This Agreement may be executed in counterparts, each of which shall be deemed to be an original, but both of which shall constitute one and the same instrument.

21. INTEGRATED DOCUMENT - TOTALITY OF AGREEMENT

This Agreement and its Exhibits embody the entire agreement bet ween the Parties regarding the subject matter of this Agreement. No other under standing, agreements, conversations, or otherwise, with any officer, agent, or employee of the City shall affect or modify any of the terms in or obligations created by this Agreement.

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The Parties acknowledge and accept the terms and conditions of this Agreement as evidenced by the following signatures of their duly authorized representatives. It is the intent of the Parties that this Agreement shall become operative on the Effective Date.

CITY OF SANTA CLARA, CALIFORNIA
a chartered California municipal corporation

Approved as to Form: Dated:

Office of the City Attorney
City of Santa Clara

Office of the City Manager
City of Santa Clara
1500 Warburton Avenue
Santa Clara, CA 95050
Telephone: (408) 615-2210
Fax (408) 241-6771
“CITY”

CORESITE REAL ESTATE SV9, L.P.
a Delaware limited partnership,

By: CoreSite Real Estate SV9 GP, L.L.C.
a Delaware limited liability company and its general partner

Dated:

By (Signature):

Name:

Title:

Principal Place of
Business Address:

Telephone:

“CUSTOMER”
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Draft CoreSite Real Estate SV9, L.P. Substation Agreement Page 14 of 27 Draft rev 4 – 09/30/2021

EXHIBIT A

Parcel Map

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Draft CoreSite Real Estate SV9, L.P. Substation Agreement Page 15 of 27 Draft rev 4 – 09/30/2021

EXHIBIT B

Interim Service Diagram

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EXHIBIT C

Station Plan

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Draft CoreSite Real Estate SV9, L.P. Substation Agreement Page 17 of 27 Draft rev 4 – 09/30/2021

EXHIBIT D
Project Schedule and Costs

Payment Rates

Customer pays the load development fee as based on the current published fee in the Municipal Fee Schedule adopted by the City Council of the City of Santa Clara and amended from time to time. Commercial Facilities Customer Dedicated 60 kV fees are based on current Municipal fee schedule at time of invoice and will hereto be referred to in this Agreement as “Load Development Fee”. Since Customer is not taking permanent service from the electric utility's general distribution system or a dedicated 12 kV substation, other fee group costs are not applicable. The Load Development Fee represents the cost of improvements to the System Capacity Improvement Facilities required to serve the increased load. Customer shall also be responsible for actual costs for Substation Facilities and Transmission Facilities.

Payment Schedule

Milestone SVP Invoice Date (payment due 30 days after
invoicing)
SVP’s Estimated
Amount
1 30 Days following City Council Approval of Agreement
(includes 12MVA Interim Phase Load Development
Fees)
$5,773,046
2 30 Days before Public Works contract is approved by
Council
$5,902,338
3 Within 30 Days after energization of substation $1,098,875 4 30 Days after energization of Substation Facilities, City to invoice customer for the difference between
estimated and actual costs
$TBD
5 Interim Phase Load Development Fee; 1 year following
substation facilities energized; 8 MVA block
$2,791,920
6 Phase 0 Load Development Fee; 1 year following
substation facilities energized; 10 MVA block
$3,489,900
7 Phase 0 Load Development Fee; 2 years following
substation facilities energized; 10 MVA block
$3,489,900
8 Phase 0 Load Development Fee; 3 years following
substation facilities energized; 9 MVA block
$3,140,910

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EXHIBIT D
Project Schedule & Costs
Substation Design & Construction Elements
Transmission Interconnection Process to run concurrent with Substation Design, Build and Test process
Substation Design &
Construction Elements
Duration
Time
Frame of
work
SVP's
Estimated
Cost
Payment Milestone Comments
Council Approval of Substation
Agreement
4 Months
PM #1 Includes the
$700,000 SVP already
collected in the Funding
Agreement. City to
invoice 30 days after City
Council approves
Substation agreement.

Payment due in 30 days.

Work to comence once
City receives payment in
full.

Includes all work for
Substation Design and
Transmission Design
elements. Also includes
Interim Phase load
development fee.

Control Building Procurement
Drawings & Contract
Specification Preparation
6 Months $ 501,790
PM #1 $501,790 -. City to
invoice 30 days after City
Council approves
Substation agreement.

Payment due in 30 days.

Work to comence once
City receives payment in
full.

Concurrent with
Substation Drawing
Preparation (to be billed
in Payment Milestone #1).

Substation Construction 8 Months $ - Substation Commissioning &
Testing
4 Months $ 579,122 PM #2 $579,122 -City to
invoice 30 days before
Public Works contract is
approved by City Council.

Payment due 30 days
from invoice date. Work
will commence once
Public Works Contract is
approved and payment is
received in full.

Begins after completion of
Substation (to be billed
with award of Public
Works Contract Payment
Milestone #2).

Transmission Interconnection
Process
Concurrent with
Substation Design, Build
and Test process
Transmission Line Consultant 3 months
Transmission Line
Interconnection Design
6 months $ 357,800
PM #1 $357,800 -. City to
invoice 30 days after City
Council approves
Substation agreement.

Payment due in 30 days.

Work to comence once
City receives payment in
full.

To be billed in Payment
Milestone #1.
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Steel Transmission Pole and
Materials Procurement
6 months $ 725,576 PM #1 $725,576 -. City to
invoice 30 days after City
Council approves
Substation agreement.

Payment due in 30 days.

Work to comence once
City receives payment in
full.

To be billed in Payment
Milestone #1.

Public Works Bidding T-line
construction
8 Months
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EXHIBIT D
Project Schedule & Costs

Transmission Line
Construction Elements
Duration
Time
Frame of
work
SVP's Estimated
Cost
Payment Milestone Comments
Council Award of Public
Works Contract
3 months $ 5,323,216
PM #2 $5,323,216 - City
to invoice 30 days before
Public Works contract is
approved by City Council.

Payment due 30 days
from invoice date. Work
will commence once
Public Works Contract is
approved and payment is
received in full.

This includes the t-line
construction associated
with connecting the
substation to the SVP
60kV loop as well as the
Substation Commissioning
and Testing. It includes all
work necessary at
adjacent stations for relay
panel replacement or
upgrades necessary for
the new interconnection.

This does not include any
work associated with
capacity increases on the
loop.

Transmission Line
Interconnection & City Labor
6 Months
Transmission
Interconnection process
complete best case
26 months
Miscellaneous costs
including potential permit
costs, property impacts, Haz
Mat soil disposal, land rights,
etc.
$ 1,098,875
PM #3 $1,098,875 - City to
invoice within 30 days
after energization of
substation. Payment due
in full 30 days after date of
invoice.

Potential miscellaneous
costs could include:

Encroachment permits
from City of Santa Clara,
Santa Clara County
Department of Roads and
Airports and Santa Clara
Valley Water District; utility
relocation work; costs for
soil remediation or
disposal of hazardous
materials not previously
identified; SWPPP permit
fees, 5% in lieu transfer to
CSC General Fund.

City invoices actual costs for
Project

PM #4 - City to invoice
customer difference
between estimated and
and actual costs for
Project. Payment due 30
days after invoice date.

City to invoice Customer
difference between
estimated and actual costs
at the end of project.

Payment due 30 days after
invoice date.

Estimated Total for
Substation and
Transmission Line Design
& Construction Elements
30 Months $ 8,586,379 Net time with schedule
overlaps included.

Schedule assumes no
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delays due to unforeseen
events such as weather

Load Development Fee (based on 49MVA)
Additional Fees to be
paid by the Customer
Time Frame
from Effective
Date
Estimated
Cost
Payment Milestone Comments
Interim Phase – Substation
Agreement approved by
Council - Load
Development Fee (based
on 12MVA)
30 days after
Substation
Service
Agreement
approved by
Council
$4,187,880
PM #1 - City to invoice first
12MVA of Interim Service
based on current
municipal fee schedule
rate at time of invoice
date. City will issue
invoice for first payment
milestone 30 days after
substation service
agreement approved by
Council. Payment due in
full 30 days after date of
invoice.

Customer Load
Development Fee =
$348.99/kVA. Load
Development Fees are
based on Municipal fee
schedule in effect at time
of capacity request from
Customer. Load
Development Fee
represents the cost of
improvements to the SVP
bulk electric system
required to serve the
increased load.

Interim Phase – Substation
Agreement approved by
Council - Load
Development Fee (based
on 8MVA)
Substation
Facilities
Energization
Date
$2,791,920
PM #5 - City to invoice 8
MVA of Interim Phase load
ramp schedule, per Table
E1, when substation
service energized based
on current municipal fee
schedule rate at time of
invoice date. Payment
must be received in full
before capacity will be
made available to
Customer.

Customer Load
Development Fee =
$348.99/kVA. Load
Development Fees are
based on Municipal fee
schedule in effect at time
of capacity request from
Customer. Load
Development Fee
represents the cost of
improvements to the SVP
bulk electric system
required to serve the
increased load.

-82:1547Ā.7;36893Ā0-*Ā)$%%.&&.Ȁ#$%/Ȁ$%''Ȁ(,+"Ȁ!$+( $,)"(/

Draft CoreSite Real Estate SV9, L.P. Substation Agreement Page 22 of 27 Draft rev 4 – 09/30/2021

Load Development Fee
(based on 49MVA)
Phase 0 –
Substation Facilities
Energization Date -
Load Development
Fee (based on
10MVA)
+1 year after
Substation
Facilities
Energization
Date
$3,489,900
PM #6 - City to invoice 10
MVA of Phase 0 ramp
schedule, per Table E1, 1
year after substation
service energized based on
current municipal fee
schedule rate at time of
invoice date. Payment must
be received in full before
capacity will be made
available to Customer..

Customer Load
Development Fee =
$348.99/kVA. Load
Development Fees are
based on Municipal fee
schedule in effect at time
of capacity request from
Customer. Load
Development Fee
represents the cost of
improvements to the SVP
bulk electric system
required to serve the
increased load.

Phase 0 –
Load Development
Fee (based on
10MVA)
+2 years
Substation
Facilities
Energization
Date
$3,489,900 PM #7 - City to invoice 10
MVA of Phase 0 ramp
schedule, per Table E1, 2
years after substation
service energized based on
current municipal fee
schedule rate at time of
invoice date. Payment must
be received in full before
capacity will be made
available to Customer..

Customer Load
Development Fee =
$348.99/kVA. Load
Development Fees are
based on Municipal fee
schedule in effect at time
of capacity request from
Customer. Load
Development Fee
represents the cost of
improvements to the SVP
bulk electric system
required to serve the
increased load.
-82:1547Ā.7;36893Ā0-*Ā)$%%.&&.Ȁ#$%/Ȁ$%''Ȁ(,+"Ȁ!$+( $,)"(/

Draft CoreSite Real Estate SV9, L.P. Substation Agreement Page 23 of 27 Draft rev 4 – 09/30/2021
Phase 0 – Load
Development Fee
(based on 9MVA)
+3 years
Substation
Facilities
Energization
Date
$3,140,910 PM #8 - City to invoice 9
MVA of Phase 0 ramp
schedule, per Table E1, 3
years after substation
service energized based on
current municipal fee
schedule rate at time of
invoice date. Payment must
be received in full before
capacity will be made
available to Customer..

Customer Load
Development Fee =
$348.99/kVA. Load
Development Fees are
based on Municipal fee
schedule in effect at time
of capacity request from
Customer. Load
Development Fee
represents the cost of
improvements to the SVP
bulk electric system
required to serve the
increased load.

Total for Load
Development Fees
$17,100,510

Estimated Grand
Total for Entire
Pro
ject
$25,686,889

-82:1547Ā.7;36893Ā0-*Ā)$%%.&&.Ȁ#$%/Ȁ$%''Ȁ(,+"Ȁ!$+( $,)"(/

Draft CoreSite Real Estate SV9, L.P. Substation Agreement Page 24 of 27 Draft rev 4 – 09/30/2021

EXHIBIT E
Total Available Capacity Schedule

The Total Available Capacity shall be made available for Custom er’s use based on the timeline shown in Table E1 (“Total Available Capacity”). Total Available Capacity is divided into phases that are three (3) years in duration. The start date of the Total Available Capacity is the July 1 st following the energization date of the Substation Facilities (“Total Available Capacity Start Date”).

Table E1 – Total Available Capacity Schedule

Phase Phase Start
Date
Phase End
Date Year
Load
Ramp
Schedule
Purchase
Capacity
Total
Available
Capacity
(Max 49
MW)
Interim Substation
Agreement
Substation
Facilities
Energization
2023 5 12 12
2024 9 8 20
0 Substation
Facilities
Energization
Date +1
3 years after
Facilities
Energization
Date
2025 14 0 20
2026 19 10 30
2027 24 0 30
1 Substation
Facilities
Energization
date +4
years
5 years after
Phase 1
Start Date
2028 29 10 40
2029 34 0 40
2030 35 0 40
2031 36 0 40
2032 37 0 40
2 -
Final
Substation
Facilities
Energization
date +9
years
5 years after
Phase 2
Start Date
2031 38 9 49
2032 39 0 49
2033 40 0 49
2034 41 0 49
2035 42 0 49

• The Total Available Capacity – Table E1 is the agreed upon total available capacity -82:1547Ā.7;36893Ā0-*Ā)$%%.&&.Ȁ#$%/Ȁ$%''Ȁ(,+"Ȁ!$+( $,)"(/

Draft CoreSite Real Estate SV9, L.P. Substation Agreement Page 25 of 27 Draft rev 4 – 09/30/2021
schedule where the customer shall pay the load development fees. • Customer shall be responsible for providing an annual 10-Year load forecast by month, due June 30. A template will be provided annually by SVP to complete this process. This forecast will be used to determine applicable capacity available for use and incorporated into SVP’s Transmission Planning Process. SVP will provide approved load forecast by October 1st of each year. • Load development fees are determined based on the approved ann ual load forecast. Following execution of this agreement, a total of 20 MVA is due; once load exceeds the amount of capacity paid, it will be billed in 10 MVA increments calculated based on the current municipal fee schedule rate at time of invoice date.

After the end of Phase 1, SVP at its reasonable discretion may reduce the Total Available Capacity based on Customer’s peak demandduring the last complet e d y e a r . T h e Customer’s peak demand is calculated as the highest demand aver age over three (3) consecutive monthly billing periods within each phase. This re duced Total Available Capacity is calculated as the Customer’s peak demand plus 10%. The subsequent Phases Total Available Capacity will adhere to the Total Availa ble Capacity Schedule.

Any increase the Total Available Capacity, in the year followin g a reduction in Total Available Capacity will require SVP approval in writing.

The Final Total Available Capacity, including any capacity reductions, shall persist after Final Phase End Date through the term of this Agreement. SVP m ay continue to issue Capacity Reduction Notices by evaluating the highest demand average over (3) three consecutive monthly billing periods during a 5-year window begi nning with Final Phase End Date.

If the monthly (nominally 30 day period) energy in kilowatt-hours to kVA demand ratio does not exceed 500:1 during each of the same three monthly per iods in the above referenced consecutive period, then SVP may reduce the amount t o be refunded to recuperate losses due to power purchases based on the Customer’ s stated energy needs. Periods when Customer is performing maintenance or comm issioning shall be excluded from the 500:1 calculation. Customer shall provide at least 14-day advance notice of any maintenance or commissioning activities.

If the Total Available Capacity has been subject to the above m entioned capacity reduction at any time during the term of the Agreement and the Customer’s Demand is expected to increase above the reduced Total Available Capacity, then the Customer may request an amendment to the Agreement and Total Available Capac ity Schedule. Such amendment to the Agreement is not to be unreasonably withheld or delayed.

-82:1547Ā.7;36893Ā0-*Ā)$%%.&&.Ȁ#$%/Ȁ$%''Ȁ(,+"Ȁ!$+( $,)"(/

Draft CoreSite Real Estate SV9, L.P. Substation Agreement Page 26 of 27 Draft rev 4 – 09/30/2021

EXHIBIT F
Capacity Reduction Notice

This Capacity Reduction Notice is made pursuant to the [INSERT SUBSTATION NAME] Substation Agreement (the “Agreement”), between the City of Santa Clara, California, a chartered California municipal corporation (“City”) and [INSERT NAME OF ENTITY], [INSERT TYPE OF ENTITY] (“Customer”) dated _____________, 20___.

This Capacity Reduction Notice is governed by the provisions of the Agreement, and this Capacity Reduction Notice is incorporated into that Agreement.

Customer is hereby notified that the Total Available Capacity per the Total Available Capacity Schedule (Exhibit E) of the Agreement has been reduced according to the below calculations:

1. Capacity Reduction Notice pursuant to Phase #: [INSERT SUBJE CT YEAR]

2. Total Available Capacity per Total Available Capacity Schedu le for year:__________MVA

3. Peak demand for [INSERT FIRST MONTH], 20___ during evaluatio n period [INSERT PHASE YEAR STATED IN STEP 1]:__________MVA

4. Peak demand for [INSERT SECOND MONTH], 20___ during evaluati on period [INSERT YEAR STATED IN STEP 1]:__________:__________MVA

5. Peak demand for [INSERT THIRD MONTH], 20___ during evaluation period [INSERT YEAR STATED IN STEP 1]:__________:__________MVA

6. Peak demand average of the 3 months:_[INSERT AVERAGE OF STEPS 3, 4, AND 5]_MVA

7. Peak demand average with Additional 10%:_[INSERT MVA FROM ST EP 6 MULTIPLIED BY 1.1]_MVA

The new Total Available Capacity for Phase # [INSERT YEAR STATED IN STEP 1] is [INSERT MVA CALCULATED IN STEP 7] MVA.

Based on the above reduction calculation, Table E1- Total Available Capacity Schedule in Exhibit E of the Agreement has been reduced as shown below:

-82:1547Ā.7;36893Ā0-*Ā)$%%.&&.Ȁ#$%/Ȁ$%''Ȁ(,+"Ȁ!$+( $,)"(/

Draft CoreSite Real Estate SV9, L.P. Substation Agreement Page 27 of 27 Draft rev 4 – 09/30/2021

Revised Table E1 – Total Available Capacity Schedule

Phase Phase Start
Date Phase End Date
Phase’s
Added
Capacity
Total Available
Capacity
1 2
3 4

This Capacity Reduction Notice is effective 30 days from the date signed by the SVP official below.

The Revised Table E1 Total Available Capacity Schedule shown above supercedes previous Capacity Reduction Notice issued, if such notices provided a higher Total Available Capacity.

By:

Name: __________________________
Title: Chief Electric Utility Officer
Signature: _____________________________
Date: ________________________

File: File signed copy of Notice with the City Clerk’s Office in Freedon Circle Junction Substation Agreement
-82:1547Ā.7;36893Ā0-*Ā)$%%.&&.Ȁ#$%/Ȁ$%''Ȁ(,+"Ȁ!$+( $,)"(/ City of Santa Clara
Agenda Report
1500 Warburton Avenue
Santa Clara, CA 95050
santaclaraca.gov
@SantaClaraCity
22-1748 Agenda Date: 3/22/2022

REPORT TO COUNCIL

SUBJECT
Action on an Agreement with Iteris, Inc. for Design Professional Services for the Great America Parkway and Tasman Drive Traffic Signal Interconnect Project

COUNCIL PILLAR
Deliver and Enhance High Quality Efficient Services and Infrastructure

BACKGROUND
The City contains over 145 signalized intersections and many of them are interconnected to the City Traffic Management Center using fiber optic or copper cables. The interconnected traffic signal system allows the City to better manage traffic operations at various times of the day and days of the week. Fiber optic cables provide faster data transmission speeds and support higher resolution video streams and future “smart” signals.

Included in the Adopted Biennial Capital Improvement Program Budget for FY 2020/21 and FY 2021/22 is an annual transportation project titled, Traffic Signal Interconnect Upgrade (Project No. 1232). This project will expand and upgrade the interconnected traffic signal system as needed.

Currently, Great America Parkway and Tasman Drive are interconnected via copper wires. The traffic signals and traffic monitoring cameras along these two major corridors are used by the Department of Public Works (DPW) staff to control traffic during stadium events. The Great America Parkway and Tasman Drive Traffic Signal Interconnect Upgrade Project (Project) proposes to replace the existing copper interconnect cables with fiber optic cables, equipment, and pull boxes along Great America Parkway and Tasman Drive to allow transmission of high resolution video streams and support future adaptive traffic signal control. See Attachment 1 for project location map.

DISCUSSION
A formal selection process was utilized to solicit proposals from consultants to provide the required professional services. In October 2021, staff issued a competitive Request for Proposals (RFP) on the City’s e-procurement system, for the Project. Staff received proposals from five firms: Advanced Mobility Group, DKS Associates, GHD, Iteris Inc., and Kimley-Horn and Associates.

A proposal review panel consisting of staff from the DPW Design Division and Traffic Engineering Division evaluated each proposal against the criteria set forth in the RFP, including, responsiveness to the RFP, proposed team’s experience, project approach, and ability to complete the project within the proposed schedule. Based on the panel’s evaluation, Iteris Inc. (Iteris) is recommended for award of contract. Iteris submitted the best proposal, demonstrated a strong project understanding, and provided an excellent project approach to investigate and resolve the issues presented in the RFP.

Iteris has extensive traffic experience working in California and has successfully completed numerous traffic signal interconnect projects.

City of Santa Clara Printed on 3/17/2022Page 1 of 2
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22-1748 Agenda Date: 3/22/2022
The proposed agreement (Attachment 2) includes a refined scope of work based upon negotiations.

The scope of work includes preliminary engineering, construction documents (plans, specifications, and engineer’s estimate) for public works bidding, assistance with obtaining building permit(s), and engineering support services during bid, award, and construction. Staff recommends entering into the Agreement with Iteris, Inc. to complete design professional services for the Project. Design of the Project is anticipated to be completed by summer 2023 and construction of the project is anticipated to be completed in summer 2024. The Agreement includes a section covering prevailing wage requirements.

ENVIRONMENTAL REVIEW
Council action on this item does not constitute a “project” within the meaning of the California Environmental Quality Act ("CEQA") because it is an administrative activity that will not result in direct or indirect physical changes in the environment as set forth in section 15378(b)(5) of the CEQA Guidelines.

FISCAL IMPACT
The proposed Agreement is for a total not-to-exceed amount of $158,000. This amount includes $137,105 for basic services and $20,895 for additional services. Sufficient funds for the agreement are available in the Traffic Signal Interconnect Upgrade Project (Project No. 1232) in the Streets and Highways Capital Fund.

COORDINATION
This report has been coordinated with the Finance Department and the City Attorney’s Office.

PUBLIC CONTACT
Public contact was made by posting the Council agenda on the City’s official-notice bulletin board outside City Hall Council Chambers. A complete agenda packet is available on the City’s website and in the City Clerk’s Office at least 72 hours prior to a Regular Meeting and 24 hours prior to a Special Meeting. A hard copy of any agenda report may be requested by contacting the City Clerk’s Office at (408) 615-2220, email [email protected] <mailto:[email protected]> .

RECOMMENDATION

1. Approve and authorize the City Manager to execute an agreement for Design Professional Services with Iteris, Inc. for the Great America Parkway and Tasman Drive Traffic Signal Interconnect Project in the amount not-to-exceed $158,000; and

2. Authorize the City Manager to make minor modifications to the agreement, if needed.

Reviewed by: Craig Mobeck, Director of Public Works
Approved by: City Manager’s Office

ATTACHMENTS

1. Project Map

2. Agreement
City of Santa Clara Printed on 3/17/2022Page 2 of 2
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Tasman Dr
Great
America
Pkwy
Bowers Ave
Legend:

Fiber optic connection
Traffic Signal
--Project Map--
0 Design Professional Agreement with Iteris, Inc. Page 1 Rev. 09-28-18
EBIX Insurance No. S200004845

AGREEMENT FOR DESIGN PROFESSIONAL SERVICES

BETWEEN THE

CITY OF SANTA CLARA, CALIFORNIA,
AND
ITERIS, INC.

FOR

GREAT AMERICA PARKWAY AND TASMAN DRIVE TRAFFIC SIGNAL

INTERCONNECT PROJECT

PREAMBLE
This Agreement is entered into between the City of Santa Clara, California, a chartered California municipal corporation (City) and Iteris, Inc., a California Corporation, (Consultant). City and Consultant may be referred to individually as a “Party” or collectively as the “Parties” or the “Parties to this Agreement.”

RECITALS
A. City desires to secure the design professional services more fully described in this Agreement, at Exhibit A, entitled “Scope of Services”; B. “Design professional” includes licensed architects, licensed landscape architects, registered professional engineers and licensed professional land surveyors; C. Consultant represents that it, and its subconsultants, if any, have the professional qualifications, expertise, necessary licenses and desire to provide certain goods and/or required services of the quality and type which meet objectives and requirements of City; and,
D. The Parties have specified herein the terms and conditions under which such services will be provided and paid for.

The Parties agree as follows:

AGREEMENT TERMS AND CONDITIONS

1. AGREEMENT DOCUMENTS
The documents forming the entire Agreement between City and Consultant shall consist of these Terms and Conditions and the following Exhibits, which are hereby incorporated into this Agreement by this reference:

Exhibit A – Scope of Services
Exhibit B – Schedule of Fees
Design Professional Agreement with Iteris, Inc. Page 2
Rev. 09-28-18
Exhibit C – Insurance Requirements
Exhibit D – Labor Compliance Addendum (if applicable)
Exhibit E – Milestone Schedule
Exhibit F - Project Management Document Software
This Agreement, including the Exhibits set forth above, contains all the agreements, representations and understandings of the Parties, and supersedes and replaces any previous agreements, representations and understandings, whether oral or written. In the event of any inconsistency between the provisions of any of the Exhibits and the Terms and Conditions, the Terms and Conditions shall govern and control.

2. TERM OF AGREEMENT
Unless otherwise set forth in this Agreement or unless this paragraph is subsequently modified by a written amendment to this Agreement, the term of this Agreement shall begin on March 23, 2022 and terminate on at the completion of work described in Exhibit A – Scope of Services.

3. SCOPE OF SERVICES & PERFORMANCE SCHEDULE
Consultant shall perform those Services specified in Exhibit A within the time stated in Exhibit B. Time is of the essence.

A. All reports, costs estimates, plans and other documentation which may be submitted or furnished by Consultant shall be approved and signed by an appropriate qualified licensed professional in the State of California.

B. The title sheet for specificati ons and reports, and each sheet of plans, shall bear the professional seal, certificate number, registration classification, expiration date of certificate and signature of the design professional responsible for their preparation.

4. WARRANTY
Consultant expressly warrants that all materials and services covered by this Agreement shall be fit for the purpose intended, shall be free from defect and shall conform to the specifications, requirements and instructions upon which this Agreement is based. Consultant agrees to promptly replace or correct any incomplete, inaccurate or defective Services at no further cost to City when defects are due to the negligence, errors or omissions of Consultant. If Consultant fails to promptly correct or replace materials or services, City may make corrections or replace materials or services and charge Consultant for the cost incurred by City.

Design Professional Agreement with Iteris, Inc. Page 3
Rev. 09-28-18

5. QUALIFICATIONS OF CONSU LTANT - STANDARD OF CARE
Consultant represents and maintains that it has the expertise in the professional calling necessary to perform the Services, and its duties and obligations, expressed and implied, contained herein, and City expressly relies upon Consultant’s representations regarding its skills and knowledge. Consultant shall perform such Services and duties in conformance to and consistent with the professional standards of a specialist in the same discipline in the State of California.

All documents furnished under Exhibit A shall be of a quality acceptable to City.

The criteria for acceptance of the work provided under this Agreement shall be a product of neat appearance, well organized, that is technically and grammatically correct, checked and having the maker and checker identified. The minimum standard of appearance, organization and content of the drawings shall be that used by City for similar projects.

6. COMPENSATION AND PAYMENT
In consideration for Consultant’s complete performance of Services, City shall pay Consultant for all materials provided and Services rendered by Consultant in accordance with Exhibit B, entitled “SCHEDULE OF FEES.” The maximum compensation of this Agreement is one hundred fifty-eight thousand dollars ($158,000) subject to budget appropriations, which includes all payments that may be authorized for Services and for expenses, supplies, materials and equipment required to perform the Services. All work performed or materials provided in excess of the maximum compensation shall be at Consultant’s expense. Consultant shall not be entitled to any payment above the maximum compensation under any circumstance.

7. TERMINATION
A. Termination for Convenience. City s hall have the right to terminate this Agreement, without cause or penalty, by giving not less than Thirty (30) days’ prior written notice to Consultant.

B. Termination for Default. If Consultant fails to perform any of its material obligations under this Agreement, in addition to all other remedies provided by law, City may terminate this Agreement immediately upon written notice to Consultant.

C. Upon termination, each Party shall assi st the other in arranging an orderly transfer and close-out of services. As soon as possible following the notice of termination, but no later than ten (10) days after the notice of termination, Consultant will deliver to City all City information or material that Consultant has in its possession.

Design Professional Agreement with Iteris, Inc. Page 4
Rev. 09-28-18

8. ASSIGNMENT AND SUBCONTRACTING
City and Consultant bind themselves, their successors and assigns to all covenants of this Agreement. This Agreement shall not be assigned or transferred without the prior written approval of City. Consultant shall not hire subconsultants without express written permission from City.

Consultant shall be as fully responsible to City for the acts and omissions of its subconsultants, and of persons either directly or indirectly employed by them, as Consultant is for the acts and omissions of persons directly employed by it.

9. NO THIRD PA RTY BENEFICIARY
This Agreement shall not be construed to be an agreement for the benefit of any third party or parties and no third party or parties shall have any claim or right of action under this Agreement for any cause whatsoever.

10. INDEPENDENT CONSULTANT
Consultant and all person(s) employed by or contracted with Consultant to furnish labor and/or materials under this Agreement are independent consultants and do not act as agent(s) or employee(s) of City. Consultant has full rights to manage its employees in their performance of Services under this Agreement.

11. CONFIDENTIALITY OF MATERIAL
All ideas, memoranda, specifications, plans, manufacturing procedures, data, drawings, descriptions, documents, discussions or other information developed or received by or for Consultant and all other written information submitted to Consultant in connection with the performance of this Agreement shall be held confidential by Consultant and shall not, without the prior written consent of City, be used for any purposes other than the performance of the Services nor be disclosed to an entity not connected with performance of the Services. Nothing furnished to Consultant which is otherwise known to Consultant or becomes generally known to the related industry shall be deemed confidential.

12. OWNERSHIP OF MATERIAL
All material, which shall include, but not be limited to, data, sketches, tracings, drawings, plans, diagrams, quantities, estimates, specifications, proposals, tests, maps, calculations, photographs, reports, designs, technology, programming, works of authorship and other material developed, collected, prepared or caused to be prepared under this Agreement shall be the property of City but Consultant may retain and use copies thereof. City shall not be limited in any way or at any time in its use of said material. However, Consultant shall not be responsible for damages resulting from the use of said material for work other than Project, including, but not limited to, the release of this material to third parties.

Design Professional Agreement with Iteris, Inc. Page 5
Rev. 09-28-18

13. RIGHT OF CITY TO INSP ECT RECORDS OF CONSULTANT
City, through its authorized employees, representatives or agents shall have the right during the term of this Agreement and for four (4) years from the date of final payment for goods or services provided under this Agreement, to audit the books and records of Consultant for the purpose of verifying any and all charges made by Consultant in connection with Consultant compensation under this Agreement, including termination of Consultant. Consultant agrees to maintain sufficient books and records in accordance with generally accepted accounting principles to establish the correctness of all charges submitted to City. Any expenses not so recorded shall be disallowed by City. Consultant shall bear the cost of the audit if the audit determines that there has been a substantial billing deviation in excess of five (5) percent adverse to the City.

Consultant shall submit to City any and all reports concerning its performance under this Agreement that may be requested by City in writing. Consultant agrees to assist City in meeting City’s reporting requirements to the State and other agencies with respect to Consultant’s Services hereunder.

14. HOLD HARMLESS/INDEMNIFICATION
To the extent permitted by law, Consultant agrees to protect, defend, hold harmless and indemnify City, its City Council, commissions, officers, employees, volunteers and agents from and against any claim, injury, liability, loss, cost, and/or expense or damage, including all costs and attorney’s fees in providing a defense to any such claim or other action, and whether sounding in law, contract, tort, or equity, to the extent arising out of, pertaining to, or related to the negligence, recklessness, or willful misconduct of the Consultant, its employees, subconsultants, or agents in the performance, or non-performance, of Services under this Agreement.

15. INSURANCE REQUIREMENTS
During the term of this Agreement, and for any time period set forth in Exhibit C, Consultant shall provide and maintain in full force and effect, at no cost to City, insurance policies as set forth in Exhibit C.

16. WAIVER
Consultant agrees that waiver by City of any one or more of the conditions of performance under this Agreement shall not be construed as waiver(s) of any other condition of performance under this Agreement. Neither City’s review, acceptance nor payments for any of the Services required under this Agreement shall be constructed to operate as a waiver of any rights under this Agreement or of any cause of action arising out of the performance of this Agreement.

Design Professional Agreement with Iteris, Inc. Page 6
Rev. 09-28-18

17. NOTICES
All notices to the Parties shall, unless otherwise requested in writing, be sent to City addressed as follows:

City of Santa Clara
Attention: Department of Public Works – Design Division 1500 Warburton Avenue
Santa Clara, CA 95050
and by e-mail at [email protected], and
[email protected]

And to Consultant addressed as follows:

ITERIS, INC.

Attention: Matt Wages
1999 Harrison St., Suite 2125
Oakland, CA 94612
and by e-mail at [email protected]
The workday the e-mail was sent shall control the date notice was deemed given.

An e-mail transmitted after 1:00 p.m. on a Friday shall be deemed to have been transmitted on the following business day.

18. COMPLIANCE WITH LAWS
Consultant shall comply with all applicable laws and regulations of the federal, state and local government, including but not limited to “The Code of the City of Santa Clara, California” (“SCCC”). In particular, Consultant’s attention is called to the regulations regarding Campaign Contributions (SCCC Chapter 2.130), Lobbying (SCCC Chapter 2.155), Minimum Wage (SCCC Chapter 3.20), Business Tax Certificate (SCCC section 3.40.060), and Food and Beverage Service Worker Retention (SCCC Chapter 9.60), as such Chapters or Sections may be amended from time to time or renumbered. Additionally Consultant has read and agrees to comply with City’s Ethical Standards (http://santaclaraca.gov/home/showdocument?id=58299).

19. CONFLICTS OF INTEREST
Consultant certifies that to the best of its knowledge, no City officer, employee or authorized representative has any financial interest in the business of Consultant and that no person associated with Consultant has any interest, direct or indirect, which could conflict with the faithful performance of this Agreement. Consultant is familiar with the provisions of California Government Code section 87100 and Design Professional Agreement with Iteris, Inc. Page 7
Rev. 09-28-18
following, and certifies that it does not know of any facts which would violate these code provisions. Consultant will advise City if a conflict arises.

20. FAIR EMPLOYMENT
Consultant shall not discriminate against any employee or applicant for employment because of race, sex, color, religion, religious creed, national origin, ancestry, age, gender, marital status, physical disability, mental disability, medical condition, genetic information, sexual orientation, gender expression, gender identity, military and veteran status, or ethnic background, in violation of federal, state or local law.

21. NO USE OF CITY NAME OR EMBLEM
Consultant shall not use City’s name, insignia, or emblem, or distribute any information related to services under this Agreement in any magazine, trade paper, newspaper or other medium without express written consent of City.

22. GOVERNING LAW AND VENUE
This Agreement shall be governed and construed in accordance with the statutes and laws of the State of California. The venue of any suit filed by either Party shall be vested in the state courts of the County of Santa Clara, or if appropriate, in the United States District Court, Northern District of California, San Jose, California.

23. SEVERABILITY CLAUSE
In case any one or more of the provisions in this Agreement shall, for any reason, be held invalid, illegal or unenforceable in any respect, it shall not affect the validity of the other provisions, which shall remain in full force and effect.

24. AMENDMENTS
This Agreement may only be modified by a written amendment duly authorized and executed by the Parties to this Agreement.

25. COUNTERPARTS
This Agreement may be executed in counterparts, each of which shall be deemed to be an original, but both of which shall constitute one and the same instrument.

26. STATEMENT OF ECONOMIC INTERESTS
Due to the nature of the Services to be performed, Consultant shall promptly file a Statement of Economic Interests (Form 700) upon commencement of the Design Professional Agreement with Iteris, Inc. Page 8
Rev. 09-28-18
Agreement in accordance with California Government Code section 87200, et seq.

The Parties acknowledge and accept the terms and conditions of this Agreement as evidenced by the following signatures of their duly authorized representatives.

CITY OF SANTA CLARA, CALIFORNIA
a chartered California municipal corporation
Approved as to Form: Dated:

City of Santa Clara
Office of the City Attorney
Office of the City Manager
City Manager
1500 Warburton Avenue
Santa Clara, CA 95050
Telephone: (408) 615-2210
Fax:
(408) 241-6771
“CITY”
ITERIS, INC.
a California Corporation
Dated:

By (Signature):

Name: Steven Bradle y
Title: Re gional Vice President
Principal Place of
Business Address:
1999 Harrison St., Suite 2125
Oakland, CA 94612
Email Address: sdb @Iteris.com
Telephone: (949) 270-9647
Fax: N/ A
“CONSULTANT”
3/9/2022

Design Professional Agreement with Iteris/Exhibit A- Scope of Services Rev. 04-12-21 Page 1

AGREEMENT FOR DESIGN PROFESSIONAL SERVICES

BETWEEN THE

CITY OF SANTA CLARA, CALIFORNIA,
AND
ITERIS, INC.

FOR

GREAT AMERICA PARKWAY AND TASMAN DRIVE TRAFFIC SIGNAL

INTERCONNECT PROJECT

EXHIBIT A

SCOPE OF SERVICES
The Services to be performed for the City by the Consultant under this Agreement are set forth below.

I. GENERAL
This Scope of Services is anticipated as necessary to meet City’s objectives as described under Section II, BACKGROUN D AND PROJECT, and Section III,

DESCRIPTION OF S
ERVICES of this doc ument. Consultant and City agree that this Scope of Services incorporates Consultant’s professiona l qualifications and experience and will meet the City’s objectives.

Consultant will be expected to provide complete, professional, high-quality Services and products; to consult City personnel, and others who are involved with the project; and to provide the expertise, guidance, advice, and assistance in accomplishing the work.

II. BACKGROUND AND PROJECT
The GAP and Tasman Dr. Traffic Signal Interconnect Project (Project) proposes to replace the copper interconnect cables with fiber optic cables along Great America Parkway and Tasman Drive. The City's existing traffic signal interconnect network is comprised of both fiber optic cables and copper wires.

Fiber optic cables are the newer standard for data transmission due to transmitting data at much faster rate. Currently, Great America Parkway and Tasman Drive are interconnected via copper cables. The traffic signals along these two major corridors are equipped with traffic monitoring cameras that stream high definition video back to the City's Traffic Management Center.

Streaming video and other data from these traffic signals over copper wires results in noticeably slower streaming speeds and quality compared to other traffic signals in the City that are connected over fiber optic cables.

III. DESCRIPTION OF SERVICES
Consultant shall provide the services described herein. All work shall be done in Design Professional Agreement with Iteris/Exhibit A- Scope of Services Rev. 04-12-21 Page 2
accordance with the Departm ent of Transportation Standar d Specifications and Details, City Standard Plans and Specificat ions, ADA Design Guidelines, latest building and fire codes, and other applicable codes and standards recommended by the Consultant. Below is an outline of required services; however, it is the responsibility of the consultant to independently assess the PROJECT and provide improvement recommendations to meet the goals for this PROJECT.

A. Removal of approx. 24,000 feet of existing copper signal interconnect and replace with new fiber optic cable
B. Fiber optic splices between new fi ber optic cable and existing backbone cable
C. 15 new fiber distribution units
D. 15 new ethernet switches
E. 13 new fiber optic splice closures
F. Remove 7 existing pull boxes and replace with 24”x36” pull box G. 5 new 24”x36” pull box
H. 10 new crosswalk sensors
I. 4 new accessible pedestrian signals
J. 11 new travel time antennas
K. 3 new pan-tilt-zoom cameras
Plans for fiber optic work, travel time antennas, and PTZ cameras are anticipated to use 1”=40’ scale. Plans for the 10 locations with crosswalk sensors are anticipated to require traffic signal modification plans using 1”=20’ scale because the crosswalk sensors require new cables to all corners. The minimum requirements for the plans include:

A. Field work collecting, confirming, and documenting all existing conditions that may impact project design
B. Plans showing all existing traffic signal poles, pull boxes, conduits, and cabinets
C. Plans showing all existing utility cabinets, covers, manholes, poles, and structures
D. Plans showing all existing utilit y overhead wires, conduits, and pipes E. Plans showing all landscaping, trees , and irrigation pipes and valve covers F. Any necessary potholes to c onfirm potential utility conflicts.

Consultant shall provide the Services described herein through a project team, comprised of Consultant and sub-consultants identified as follows:

1. Consultant: ITERIS, INC.

2. Sub-consultants to ITERIS, INC.:
1) PLS Surveys, Inc. – Surveying
Any changes to the Projec t team through the course of the Services shall be approved in writing by City.

Design Professional Agreement with Iteris/Exhibit A- Scope of Services Rev. 04-12-21 Page 3
IV. RESPONSIBILITIES OF CITY
CITY will provide the following information and support for the project as-available and applicable:

A. Record drawings (as-available)
B. CITY’s Standard Details , Specifications, Benchmark, and Design Criteria.

C. Storm Drain (SD), Sanitary Sewer (SS), Electric, Fiber, Water and Recycled Water Block Book Maps (as-available).

D. Geographic Information System (GIS ) data including land parcels, street centerlines, City sanitary sewers, Cit y storm drains, and aerial photographic tiles
E. Payment of permit application fees with other internal departments, if required.

F. Filing exemption under the California En vironmental Quality Act, if applicable.

Besides the above, the City will work clos ely with the consultant to provide any other data or records, as available and necessary for the work involved.

V. BASIC SCOPE OF SERVICES
The Basic Scope of Services includes all professional services required to prepare construction bid documents (plans, specifications, and engineer’s estimate or PS&E) for public works bidding and construction of the Project.

PROJECT MANAGEMENT
CONSULTANT shall:

A. Manage its team and over all project activities consis tent with the direction from CITY in order to meet the project schedule and budget. Manage sub-consultants, maintain schedule and budget, anticipate and mitigate potential design issues and delays and coordinate and update the City on the overall progress of the Project.

B. Any field work that involves subsurface excavation and/or coring, consultant is required to submit plan of work to t he City for review and approval prior to proceeding.

C. Organize and attend project meetings with the City to discuss project progress, decisions, and direction and to coordinate activities. Meetings shall be held at key project milestones and shall include, but are not limited to:

C.1 Kick-off Meeting
C.2 Preliminary Design Review Meeting
Design Professional Agreement with Iteris/Exhibit A- Scope of Services Rev. 04-12-21 Page 4
C.3 65% Design Review Meeting
C.4 95% Design Review Meeting
C.5 Punch list/Project acceptance Meeting
D. Coordinate with CITY, design team members, consultants, utility companies, other government agencies, and other affected parties as required throughout the duration of the project as well as the Quality Assuranc e/Quality Control (QA/QC) activities for project deliverables.

E. Prepare, monitor, and update progress schedule in MS Project format beginning at the kickoff meeting and ending at contract award for the last submittal package.

Schedule shall show significant milestones for the project. CONSULTANT shall notify CITY if there are delays or potential delays in an y phase of the project. In such cases, CONSULTANT shall make up the schedule in subsequent phases of the project or provide information to CI TY substantiating a request for time extension (which may not be approved). The schedule shall be maintained at all times and shall be updated each time pr ogress and milestones are achieved and/or changed.

F. Meetings: Meetings shall be budgeted for and invoiced under each respective Task or activity requiring a meeting and not as project management. Preparation for meetings shall be considered as included in the Task or activity for which the meeting is involved. A kick-off meeti ng shall be conducted with designated CITY staff prior to beginning wo rk to review anticipated Tasks and schedule, review available information and needs, and address any outstanding questions regarding the project moving forward raised by CI TY or CONSULTANT. During the course of Services while there is active work on the PROJECT, CONSULTANT shall schedule and attend brief bi-weekly (every other week) conference calls with CITY.

The purpose of the bi-weekly conference calls will be to keep CITY appraised on the PROJECT's progress and address any issues that may arise during the course of Services.

G. Provide monthly progress reports.

H. Stakeholder Coordination: CONSULTANT shall coordinate with project stakeholders as needed to inform each st akeholder of the project work and incorporate any necessary accommodations into the final submittal documents.

I. Provide Review/Plan Check Log (Res ponse Matrix) summarizing comments received from various City Departments/Divisions and agencies. Response Matrix shall include, but not be limited to, co mmenting department/division or agency, comments, response to comments, action items, and person responsible for follow up. Consultant shall be responsible for resolving comments from each commenter and shall identify to City any comments that cannot be resolved to have final discussion and resolution. Submit Response Matrix in electronic format with each route of plan check submittal.

Design Professional Agreement with Iteris/Exhibit A- Scope of Services Rev. 04-12-21 Page 5
J. Conduct QC reviews in accordance with its QA Program guidelines.

CONSULTANT shall provide a copy of its QA Program guidelines and shall provide a QC report at the end of each Task. Time spent for QA-QC reviews for specific deliverables shall be budgeted and billed under each respective task requiring QA-QC review and not as Project Management.

K. Invoicing and Contract Administration: CONSULTANT administrative staff time spent preparing invoices for Services complete shall be considered as included in the overhead of the CO NSULTANT’s basic hourly rates and shall not be billed.

Additionally, addressing administrative issues regarding the professional Services agreement, such as preparing additional Services requests or budget modifications, shall also be consider ed as included in the overhead of the CONSULTANT’s basic hourly rates and shall not be billed.

L. Payment for all responsibilities related to Project Management shall be included in the various tasks identified in Exhibit B, Schedule of Fees.

Deliverables:

1. Progress schedules in MS Project format (submitted
electronically as an 11” x 17”
pdf file and in native MS Project format).

2. QA Program guidelines and QC reports for each Task (in pdf file).

3. Meeting agendas, preparation materials, and meeting minutes for each project meeting (in pdf file).

4. Monthly progress reports and invoices (in pdf file).

Task 1.0: Preliminary Engineering/Evaluation
Attend Project Kick-Off Meeting and provide meeting minutes for the City to review and approve. Perform all necessary assessment and field investigations including collecting, confirming, and documenting all existing conditions to determine the existing conditions and propose recommendations to City for the improvements. Contact all regulatory agencies that will affect the proposed works to determine applicable codes and ordinances.

1.1 Review all necessary as-builts to understanding existing condition in order to prevent utility conflicts and changes during construction.

1.2 Meet with City staff to obt ain additional information and input as needed. Provide all necessary design services, including but not limited to landscape, civil, structural, and electrical design.

1.3 Perform needed topographic survey for existing site, plans layout, and final approved improvements (from the evaluation/recommendation) for use as base layout for the design plans.

Design Professional Agreement with Iteris/Exhibit A- Scope of Services Rev. 04-12-21 Page 6

1.4 CITY maintains a list of known utility operators in CITY. CONSULTANT shall prepare a Notice of Intent to Construct (NOI) on CITY ’s standard NOI form and submit it to the known utility operators in order to gather records for existing utilities.

Location map exhibits will be required to be submitted as part of the NOI.

CONSULTANT shall provide CITY a draft of the NOI prior to sending it to the utility, maintain log of all NOI sent and rece ived, and provide CITY all information received from the NOI. The purpose of the collection of utility information is to identify ownership of surface features that will be impacted by the work, and also to identify if there are any high-risk utilit ies within the project limits that may be impacted by the work.

All data collected from the field shall be provided to the City for records. Prior to performing data collection, CONSULTANT shall provide a work plan to the City for review and approval. No work shall be performed unless authorized by the City.

Task 1 Deliverables – Electronic copy format:

1. Project Work Plan

2. Miscellaneous Project information (as requested).

3. Field notes, photographs, and Underground Service Alert (USA) information.

4. Notice of Intent form(s)
Task 2.0: 65% Construction Documents
Plans shall be drawn to scale, on D-size (2 4” X 36”) sheets, at an engineering scale up to 1” = 40’ maximum, conforming to City’s Design Criteria. Plans are to be drawn by AutoCAD 2021 or earlier versions, using City-provided standard AutoCAD template with background layout from Consultant’s topographic survey.

2.1 Prepare 65% construction documents and supporting information for the City’s review. Consultants shall follow City’s Design Criteria and plan format to prepare 65% Plans and supporting information for the City’ s review. Plans with details of major design components as necessary such as: Site Plan, Existing Condition, Proposed Improvement, Traffic Control Plan, Details, and other pertinent information for the City to review and provide comments. 65% Plans shall include all existing utilities on-site and immediate surrounding off- site areas. Pertinent background information as relating to proposed improvements such as, but not be limited to, layouts, fence, gate, pedestrian pathway, property lines, site entrance/ex ist driveway, adjacent streets shall be shown.

2.2 Prepare project estimate that includes an it emized list of bid items. The project estimate shall be accurate and prepared based upon current construction pricing and escalated to mid construction. CONSULTANT shall review recent bids, and contact vendors, suppliers, and contractor s as necessary to develop an accurate cost estimate. The CONSULTANT shall provide the assumptions and supporting documents used to prepare the estimate. The project estimate shall consider the Design Professional Agreement with Iteris/Exhibit A- Scope of Services Rev. 04-12-21 Page 7
following factors:

1. Recent similar Projects bided in the Bay Area, especially in the South Bay.

2. Current economic trend.

3. When the Project will be bided.

4. When construction will occur.

5. The risks that contractors need to consider for the Project.

2.3 Develop project schedule. Schedule shall include all needed times to complete all tasks, including City’s review times, permitting process, and construction period.

2.4 CITY maintains a list of known utility operators in CITY. CONSULTANT shall prepare a Notice of Intent to Construct (NOI) on CITY ’s standard NOI form and submit it to the known utility operators in order to gather records for existing utilities.

Location map exhibits will be required to be submitted as part of the NOI.

CONSULTANT shall provide CITY a draft of the NOI prior to sending it to the utility, maintain log of all NOI sent and rece ived, and provide CITY all information received from the NOI. The purpose of the collection of utility information is to identify ownership of surface features that will be impacted by the work, and also to identify if there are any high-risk utilit ies within the project limits that may be impacted by the work.

All data collected from the field shall be provided to the City for records. Prior to performing data collection, CONSULTANT shall provide a work plan to the City for review and approval. No work shall be performed unless authorized by the City.

2.5 Plan, coordinate, schedule, attend meet ings, and produce meeting minutes with action items for all meetings with the City as deemed necessary to efficiently complete this phase of the design in a timely manner.

2.6 Conduct a quality control (QC) review of design documents (Plans, Specifications, and Engineer’s Cost Estimates).

2.7 CITY will circulate the submittal package to internal CITY departments for review and comments. CONSULTANT shall be res ponsible for submitting the package to external stakeholders if required. CONSULTANT shall prepare written responses to all written comments receiv ed. All redlined dr awings shall be returned with CONSULTANT’s response on the redlined drawings.

2.8 CONSULTANT shall be responsible for resolving comments from each commenter and shall identify to CITY any comments that cannot be resolved. CONSULTANT shall conduct a 65% comments review meeting with CITY to discuss comments on the submittal package, to identify any significant design issues, and gain concurrence as to how the submittal shall be revised as appropriate to incorporate CITY’s comments.

2.9 CONSULTANT is required to coordinate with Underground Service Alert to mark all locations requiring new signal cabinet foundations. All potential utility conflicts Design Professional Agreement with Iteris/Exhibit A- Scope of Services Rev. 04-12-21 Page 8
shall be discussed with the City and coordinated with each respective utility agency to clear all conflicts. The project plan shall clear identified all existing utilities that will be and potentially be impacted during construction.

Task 2 Deliverables – Electronic and hard copy format:

1. 65% Plans – One (1) PDF and one (1) AutoCAD file.

2. 65% Engineering cost estimate – One (1) PDF and one (1) Microsoft Excel file.

3. Project schedule – One (1) PDF and one (1) Microsoft Project file.

4. Quality control checklist for 65% PS&E submittal – One (1) PDF and one (1) Microsoft Word or Excel file.

5. Miscellaneous Project information (as requested).

6. Meeting minutes – One (1) PDF and one (1) Microsoft Word file.

7. Field notes, photographs, and Underground Service Alert (USA) information.

8. Notice of Intent form(s)
Task 3.0: 95% Construction Documents
Based on City’s comments and direction on the 65% PS&E, Consultant shall revise the 65% PS&E to produce the 95% PS&E. Consultant shall:

3.1 Prepare 95% construction documents and supporting information for the City’s review and approval.

3.1.1 Construction details of proposed improvements shall be included in the 95% Plans.

3.1.2 Provide technical specifications.

3.1.3 Provide modified sections to City standard specifications to suit Project.

Modified sections include, but not be limited to, general information, summary of work, measurement and payment for bid items, permitting and agency regulatory requirements, etc.

3.1.4 Provide required information to the City’s Project Specific Specification Book (Division 0, 1, and 2). Required information from Consultant for City’s frontend specifications are, but not be limited to, the followings:

1. Description of work

2. Type of Contractor’s License required

3. Construction Schedule

4. Bid Schedule

5. Requirements for Cont ractor’s Statement of Qualifications (e.g. experience requirements for similar work and contract values)

6. Identification of any changes to t he City’s standard specifications that are required.

3.2 Prepare an updated engineering cost estimate.

Design Professional Agreement with Iteris/Exhibit A- Scope of Services Rev. 04-12-21 Page 9

3.3 Prepare an updated project schedule.

3.4 Meet with City staff, as needed, to revi ew City comments on 65% submittal and gain concurrence as to how the docum ents will be revised as appropriate to incorporate City comments.

3.5 Plan, coordinate, schedule, attend meet ings, and produce meeting minutes with action items for all meetings with the City as deemed necessary to efficiently complete this phase of the design in a timely manner.

3.6 Provide written response matrix to City’s comments on 65% PS&E.

3.7 Conduct a quality control (QC) review of design documents (Plans, Specifications, and Engineer’s Cost Estimates).

Task 3 Deliverables – Electronic and hard copy format:

1. 95% Plans – One (1) PDF and one (1) AutoCAD file.

2. 95% Specifications – One (1) PDF and one (1) Microsoft Word file.

3. 95% Engineering cost estimate – One (1) PDF and one (1) Microsoft Excel file.

4. Updated project schedule – One (1) PD F and one (1) Microsoft Project file.

5. Meeting minutes – One (1) PD F and one (1) Microsoft Word file.

6. Quality control checklis t for 95% design submittal.

7. Written response matrix – One (1) PDF and one (1) Microsoft Word or Excel file.

Task 4.0: 100% Construction Documents
Based on City’s comments and direction on the 95% PS&E, Consultant shall revise the 95% PS&E to produce the 100% PS&E. Consultant shall:

4.1 Prepare 100% construction documents and supporting documents.

4.1.1 Phase percentage statement such as “100% Plans. Not for Construction” shall be removed from the 100% Plans and each sheet of the plans set shall be stamped and signed by the Consult ant’s Engineer of appropriate discipline.

4.1.2 Specifications s hall be stamped and signed ( on Document 00030 – Seal) by Consultant’s Project Engineer.

4.2 Prepare an updated Engineering Cost Estimate with backups and justifications for unit pricing.

4.3 Prepare an updated Project Schedule.

4.4 Provide Documents for City’s PS&E approval process. Required documents are, but not be limited to, engineer’s estimate using the schedule of quantities format, recent similar project bid summaries to validate engineer’s estimate, consultant Design Professional Agreement with Iteris/Exhibit A- Scope of Services Rev. 04-12-21 Page 10
Peer Review Certification, consultant Lessons Learned from other similar projects that were applied to this Project.

4.5 100% PS&E shall be Peer re viewed and Certification of Peer Review shall be submitted with the 100% Submittal.

A statement to indicate Peer Review has been performed and signature of the Engineer who performed it shall be added to the Plans Cover Sheet.

Certification of Peer Review: The following paragraph shall be put on the company letter head, dated, and signed by the Peer Review Engineer. “The undersigned hereby certifies that a pr ofessional peer review of these plans and the required designs was conducted by me, a professional landscape architect with expertise and experience in the appropriate fields of landscaping equal to or greater than the Architec t of Record, and that appropriate corrections have been made.”

4.6 Meet with City staffs as needed to review City comm ents on 95% submittal and gain concurrence as to how the docum ents will be revised as appropriate to incorporate City comments.

4.7 Plan, coordinate, schedule, attend meet ings, and produce meeting minutes with action items for all meetings with the City as deemed necessary to efficiently complete this phase of the design in a timely manner.

4.8 Provide written response matrix to City’s comments on 95% PS&E.

4.9 Provide list of potential bidders including company name, email address, contact number, and address of business.

4.10 The City shall review the 100% Design Submittal Package (Plans, Specifications, Engineer’s cost estimate, and Project bid and construction schedule) to ensure that all comments and issues have been rectified.

Task 4 Deliverables – Electronic and hard copy format:

1. 100% Plans – One (1) PDF and one (1) AutoCAD file.

2. 100% Specifications – one (1) PDF and one (1) Microsoft Word file.

3. Structural Calculations – One (1) PDF.

4. Certification of Peer Review – One (1) PDF.

5. 100% Engineering Cost Estimate – One (1) PDF and one (1) Microsoft Excel file.

6. Updated Project Schedule – One (1) PDF and one (1) Microsoft Project file.

7. Special Inspection Form – One (1) PDF.

8. Quality control checklist for 100% design submittal.

9. Written response matrix – One (1) PDF and one (1) Microsoft Word or Excel file Task 5: Bid Documents (P&S)
Design Professional Agreement with Iteris/Exhibit A- Scope of Services Rev. 04-12-21 Page 11
The Bid Documents shall incorporate a ll comments from the City and any other stakeholders that are involved in the Project. Based on City’s comments and direction on the 100% PS&E, Consultant shall revise the 100% PS&E to produce the Bid Documents.

Consultant shall:

5.1 Incorporate City review comments of 100% PS&E into Bid Documents.

5.2 Prepare Bid Documents (P&S).

5.2.1 Bid Plans shall be wet stamped and signed by the Consultant’s Engineer of appropriate discipline. Plans shall be drawn to scale and plotted onto D-size sheets.

5.2.2 Bid Specifications shall be wet stamped and signed (on Document 00030 – Seal) by Consultant’s Project Engineer.

5.2.3 Final Engineer’s Estimate

5.3 Plan, coordinate, schedule, attend meet ings, and produce meeting minutes with action items for all meetings with the City as deemed necessary to efficiently complete this phase of the design in a timely manner.

Task 5 Deliverables – Electronic and hard copy format:

1. Bid Plans – One (1) PDF of wet-signed/ stamped, D-size and one (1) AutoCAD file.

2. Bid Specifications – One (1) PDF of wet-signed/stamped, A-size and one (1) Word file.

3. Written response matrix – One (1) PDF and one (1) Microsoft Word or Excel file.

4. Quality control checklist for bit set submittal.

5. Written response matrix – One (1) PDF and one (1) Microsoft Word or Excel file.

Task 6: Bid and Award Phase Assistance
Consultant shall provide assistance to the City during the bidding and award phase, answer questions from bidders, help and prepare exhibits for addenda when necessary, assist the City in evaluation of bids received, and provide a written recommendation for the award of contract, when requested.

Consultant shall:

6.1 Attend and conduct one Pre-Bid Conference/Site Visit.

6.2 Assist the City with responses to bidder ’s inquiries through the City’s Project Manager.

6.3 Assist the City with addenda to the construction documents as needed to respond to bidder’s inquiries and clarify the intent of bid documents.

Design Professional Agreement with Iteris/Exhibit A- Scope of Services Rev. 04-12-21 Page 12

6.4 Assist the City in evaluating bids (if required by the City).

6.5 Within fourteen (14) days from the bi d opening date, prepare and submit a conformed set of contract documents (Plans and Specifications) incorporating any and all addenda (if needed).

Task 6 Deliverables – Electronic and hard copy format:

1. Written response to bidder’s inquiries – Signed PDF.

2. Support information for addenda – Signed PDF.

3. Written recommendation letter to award of contract for the Project – Signed PDF.

4. Conformed Set (if needed) – One (1) PDF of Plans and Specifications, one (1) AutoCAD file of Plans, and one (1) Microsoft Word file of Specifications.

Task 7: Construction Phase Assistance
Consultant’s responsibility to provide basic services for the construction phase under this Agreement commences with the “Notice to Proceed” (NTP) of the contract for construction and terminates on the date the City approves the certificate of completion of the Project.

7.1 Consultant will assist the City in provid ing administration of the contract for construction. Duties, responsibilities and limitation of authority of Consultant shall not be restricted, modified, or extended without written agreement of the City.

7.2 Consultant shall attend the Pre-construction meeting.

7.3 Consultant shall visit the site three time s during construction. During these site visits, Consultant shall attend job progress meetings, pre-submittal meetings, pre- installation meeting, and ot her meetings as required by the City. Consultant’s structural, civil, and electrical sub-consultants shall visit the site as required when work related to their discipline is in progress.

7.4 Consultant shall make construction observation visits throughout the construction phase. Consultant shall issue an observation report after each visit. Assume up to three (3) meetings.

7.5 In addition to the construction observation visits, Consultant shall review technical submittals, shop drawings, product data, product samples, and product warranties from the contractor for c onformance with the specific ations and drawings. The Consultant’s action shall be taken with such reasonable promptness so as to cause no delay in the work, while allowing suffici ent time in Consultant’s judgment to permit adequate review. The Consultant wil l be allowed a maximum of seven (7) calendar days for review of submittals. Co nsultant’s review s hall not constitute review of safety precautions or, unless otherwise specifically stated by Consultant, of construction means, methods, techniques, sequences or procedures.

Consultant’s review of specific items shall not indicate approval of an assembly of Design Professional Agreement with Iteris/Exhibit A- Scope of Services Rev. 04-12-21 Page 13
which the item is a component. When prof essional certification of performance characteristics of materials, systems or equipment is required by the contract documents, Consultant shall be entitled to rely upon such certification to establish that the materials, syst ems or equipment will meet the performance criteria required by the contract document.

7.6 Consultant shall respond to Contractor ’s Request for Info rmation (RFI) and Request for Substitution (RFS ). Interpretations and decisions of the Consultant shall be consistent with t he intent of and reasonably inferable from the Contract Documents and shall be in writ ing or in the form of drawings. Consultant shall be allowed a maximum of seven (7) calendar days to respond to RFIs and RFSs that impact the Project schedule or a maximum of fourteen (14) calendar days to respond to RFIs and RFSs that do not impact the Project schedule.

7.7 The Consultant shall prepare the Scope of Work, including sketches, for Field Instructions issued to the Contractor. When requested by the City, Consultant shall review Change Order (CO) pricing and prov ide written responses for the City’s review and finalizing said COs
Task 7 Deliverables – Electronic and hard copy format:

1. Signed PDFs of Reviewed Contractor S ubmittals, Shop Drawings, RFIs, RFSs, and Field Instructions.

2. Signed PDFs of COs’ recommendations.

3. Signed PDFs of Field reports by Consultant and sub-consultants.

Task 8: Post-Construction Phase

8.1 When requested by the City, Consultant shall conduct reviews to assist the City to determine the date or dates of Substant ial Completion and the date of Final Completion. Consultant’s decisions wit h City approval on matters relating to aesthetic effect may be final if consistent with the intent expressed in the Contract Documents.

8.2 Upon request by Contractor, in accor dance with contract Specifications, for Substantial Completion and later Final Completion, Consultant shall assist City in determining if the Project is ready fo r the stage of completion requested by the Contractor. Consultant shall provide City with a written recommendation.

8.3 Consultant shall perform a walk-through of the Project site, review Contractor Punch List, and provide written response wit h status and action of items on the Punch List. Consultant shall attend final walk-through of the Project site with the City, verify Punch List completion, and provide written response with recommendation regarding Project acceptance and close-out.

8.4 Consultant shall review Contractor-supplied Operation and Maintenance manuals and Warranties to determine their completeness and compliance with Construction Contract and provide written recommendation for acceptance.

Design Professional Agreement with Iteris/Exhibit A- Scope of Services Rev. 04-12-21 Page 14

8.5 Consultant shall at completion of t he Project provide City with one set of reproducible Record Drawings (RDs) on good quality bond paper that reflect the changes to the work during construction based upon marked up prints, drawings and other data furnished by t he Contractor and City. C onsultant shall use the original Title sheet for the RDs set. If Consultant adds additional sheets to the Plans, these shall be properly numbered, properly referenced on other affected drawings and included in the drawing index. Consultant may, at its own expense, prepare and retain a copy of each drawing for its permanent file.

8.6 Provide a complete set of the Record Drawings and all X-ref files “bound,” including other associated fonts, plot style files on AutoCAD, incl uding electronic copies in PDF format. CONSULTANT may, at its own expense, prepare and retain a copy of each drawing for its permanent file.

Task 8 Deliverables – Electronic and hard copy format:

1. Substantial Completion/Final Co mpletion recommendations and Reviewed Punch List – One (1) signed PDF.

2. Record Drawings – One (1) PDFs and one (1) AutoCAD files on CD/DVD.

Design Professional Agreement with Iteris/Exhibit B- Schedule of Fees Rev. 04-12-21 Page 1

AGREEMENT FOR DESIGN PROFESSIONAL SERVICES

BETWEEN THE

CITY OF SANTA CLARA, CALIFORNIA,
AND
ITERIS, INC.

FOR

GREAT AMERICA PARKWAY AND TASMAN DRIVE TRAFFIC SIGNAL

INTERCONNECT PROJECT

EXHIBIT B

SCHEDULE OF FEES
I. GENERAL PAYMENT
The total payment to the Consultant for Basic Services, as stated in Exhibit A, shall not exceed $137,105. The amount bill ed to City for pre-approved Additional Services shall not exceed the sum of $20,895. In no event shall the amount billed to City by Consultant for Services under this Agreement exceed $158,000, subject to budget appropriations.

Consultant shall bill City on a monthly basis for Services provided by Consultant during the preceding month on an invoice and in a format approved by City and subject to verification and approval by City. Billing shall be proportionate to the Services performed for each task completed. The invoice shall describe the Task completed, and percentage completed by Task, and total during the invoice period.

The invoice shall also show the total to be paid for the invoice period. City will pay Consultant within thirty (30) days of City’s receipt of an approved invoice.

II. BASIC SERVICES
The total payment to Consultant for all work necessary for performing all Tasks, as stated in Exhibit A, shall be in proportion to Services rendered and on a Time- and-Material not-to-exceed basis.

The Consultant fee allocated to each Task, as shown below, shall be the Consultant’s full compensation for all t he Consultant Services required for the Project and by this Agreement, as di rected by the City, and no additional compensation shall be allowed. The tota l amount of all t he Tasks is a not-to- exceed amount.

The amount for each Task and the total amount of all the Tasks are as listed below:

Design Professional Agreement with Iteris/Exhibit B- Schedule of Fees Rev. 04-12-21 Page 2
Description of work and task Basic Services
Cost
Task No. 1 – Preliminary Engineering $24,670
Task No. 2 – 65% Construction Documents $36,635
Task No. 3 – 95% Construction Documents Package $31,860 Task No. 4 – 100% Construction Documents Package $19,350 Task No. 5 – Final Bid Documents $9,800
Task No. 6 – Bid Support Assistance $2,910
Task No. 7 – Construction Support $8,850
Task No. 8 – Record Drawings and Project Close-out $3,030 TOTAL COST $137,105
In no event shall the amount billed to City by Consultant for BASIC SERVICES under this Agreement exceed one hundred thirty-seven thousand one hundred five dollars ($137,105).

III. REIMBURSA BLE EXPENSES
There are no reimbursable expenses.

IV. ADDITIONAL SERVICES
Additional Services consists of work not included in the Scope of Services outlined within this Agreement. Pre-approved Additional Services shall be billed to City at the fixed hourly rates shown below in Se ction V, RATE SCHEDULE, or at an agreed negotiated lump sum price. Monthly billing for Additional Services shall be consistent with the term set forth in th is Agreement. Payment for any Additional Services is allowed only if written author ization is given by the City Engineer in advance of the work to be performed. Additional Services shall not exceed $20,895.

V. RATE SCHEDULE
Personnel Charges
Charges for personnel engaged in professional and/or technical work are based on the actual hours directly chargeable to the project.

The pay rates for the project by classification are listed below:

Primary Consultant – ITERIS, INC.:

Matt Wages - $255
Steven Bradley - $355
David Huynh - $320
Paul Frislie - $245
Design Professional Agreement with Iteris/Exhibit B- Schedule of Fees Rev. 04-12-21 Page 3
Monique Fuhrman - $220
Kassra Rafiee - $125
Delbert Smith-Lavezzari - $125
Casey Hu - $125
Lydia Chun - $125
Evan Shipley - $125
Raymond Liang - $125
Subconsultant Billing Rates:

PLS Surveys, Inc.

PLS Smveys. Inc.
e-mail : plsswv@pacbell .net
Field:

Office :

RATE SCHEDULE
One-man $215 .00
Two-man $275 .00**
Three-man $ 31 0. 00
4 hour minimum applies to above rates
Principal-in-Charge
Land Surveyor
Smvey Technician
AutoCAD/Drafter
Clerical/De livery (In-House)
$190.00
$150.00
$105.00
$131.00
$95.00
2220 Livingston Street. Suite 202
Oakland. Califomia 94606
510.26 1.0900 FAX 510.261.3303
Design Professional Agreement with Iteris/Exhibit C-Insurance Requirements Page 1 Rev. 09-28-18

AGREEMENT FOR DESIGN PROFESSIONAL SERVICES

BETWEEN THE

CITY OF SANTA CLARA, CALIFORNIA,
AND
ITERIS, INC.

FOR

GREAT AMERICA PARKWAY AND TASMAN DRIVE TRAFFIC SIGNAL

INTERCONNECT PROJECT

EXHIBIT C

INSURANCE REQUIREMENTS
Without limiting the Contractor’s indemnification of the City, and prior to commencing any of the Services required under this Agreement, the Contractor shall provide and maintain in full force and effect during the period of performance of the Agreement and for twenty-four (24) months following acceptance by the City, at its sole cost and expense, the following insurance policies from insurance companies authorized to do business in the State of California. These policies shall be primary insurance as to the City of Santa Clara so that any other coverage held by the City shall not contribute to any loss under Contractor’s insurance. The minimum coverages, provisions and endorsements are as follows:

A. COMMERCIAL GENERAL LIABILITY INSURANCE

1. Commercial General Liability Insurance policy which provides coverage at least as broad as Insurance Services Office form CG 00 01. Policy limits are subject to review, but shall in no event be less than, the following:
$1,000,000 Each Occurrence
$2,000,000 General Aggregate
$2,000,000 Products/Completed Operations Aggregate
$1,000,000 Personal Injury

2. Exact structure and layering of the co verage shall be left to the discretion of Contractor; however, any excess or umbrella policies used to meet the required limits shall be at least as broad as the underlying coverage and shall otherwise follow form.

3. The following provisions shall apply to the Commercial Liability policy as well as any umbrella policy maintained by the Contractor to comply with the insurance requirements of this Agreement:
a. Coverage shall be on a “pay on behalf” basis with defense costs payable in addition to policy limits;
Design Professional Agreement with Iteris/Exhibit C-Insurance Requirements Page 2 Rev. 09-28-18
b. There shall be no cross liability exclusion which precludes coverage for claims or suits by one insured against another; and c. Coverage shall apply separatel y to each insured against whom a claim is made or a suit is brought, except with respect to the limits of liability.

B. BUSINESS AUTOMOBILE LIABILITY INSURANCE
Business automobile liability insurance policy which provides coverage at least as broad as ISO form CA 00 01 with policy limits a minimum limit of not less than one million dollars ($1,000,000) each accident using, or providing coverage at least as broad as, Insurance Services Office form CA 00 01. Liability coverage shall apply to all owned (if any), non-owned and hired autos.

C. WORKERS’ COMPENSATION

1. Workers’ Compensation Insurance Policy as required by statute and employer’s liability with limits of at least one million dollars ($1,000,000) policy limit Bodily Injury by disease, one million dollars ($1,000,000) each accident/Bodily Injury and one million dollars ($1,000,000) each employee Bodily Injury by disease.

2. The indemnification and hold harmless obligations of Contractor included in this Agreement shall not be limited in any way by any limitation on the amount or type of damage, compensation or benefit payable by or for Contractor or any subcontractor under any Workers’ Compensation Act(s), Disability Benefits Act(s) or other employee benefits act(s).

3. This policy must include a Waiver of Subrogation in favor of the City of Santa Clara, its City Council, commissions, officers, employees, volunteers and agents.

D. PROFESSIONAL LIABILITY
Professional Liability or Errors and Omissions Insurance as appropriate shall be written on a policy form coverage specifically designed to protect against negligent acts, errors or omissions of the Contractor. Covered services as designated in the policy must specifically include work performed under this agreement. Coverage shall be in an amount of not less than one million dollars ($1,000,000) per claim or two million dollars ($2,000,000) aggregate. Any coverage containing a deductible or self-retention must first be approved in writing by the City Attorney’s Office.

Design Professional Agreement with Iteris/Exhibit C-Insurance Requirements Page 3 Rev. 09-28-18
E. COMPLIANCE WITH REQUIREMENTS
All of the following clauses and/or endorsements, or similar provisions, must be part of each commercial general liability policy, and each umbrella or excess policy.

1. Additional Insureds. City of S anta Clara, its City Council, commissions, officers, employees, volunteers and agents are hereby added as additional insureds in respect to liability arising out of Contractor’s work for City, using Insurance Services Office (ISO) Endorsement CG 20 10 11 85, or the combination of CG 20 10 03 97 and CG 20 37 10 01, or its equivalent.

2. Primary and non-contributing. Ea ch insurance policy provided by Contractor shall contain language or be endorsed to contain wording making it primary insurance as respects to, and not requiring contribution from, any other insurance which the indemnities may possess, including any self-insurance or self-insured retention they may have. Any other insurance indemnities may possess shall be considered excess insurance only and shall not be called upon to contribute with Contractor’s insurance.

3. Cancellation.
a. Each insurance policy shall c ontain language or be endorsed to reflect that no cancellation or modification of the coverage provided due to non-payment of premiums shall be effective until written notice has been given to City at least ten (10) days prior to the effective date of such modification or cancellation. In the event of non-renewal, written notice shall be given at least ten (10) days prior to the effective date of non-renewal.
b. Each insurance policy shall c ontain language or be endorsed to reflect that no cancellation or modification of the coverage provided for any cause save and except non-payment of premiums shall be effective until written notice has been given to City at least thirty (30) days prior to the effective date of such modification or cancellation. In the event of non-renewal, written notice shall be given at least thirty (30) days prior to the effective date of non- renewal.

4. Other Endorsements. Other endorsements may be required for policies other than the commercial general liability policy if specified in the description of required insurance set forth in Sections A through E of this Exhibit C, above.

Design Professional Agreement with Iteris/Exhibit C-Insurance Requirements Page 4 Rev. 09-28-18
F. ADDITIONAL INSURA NCE RELATED PROVISIONS
Contractor and City agree as follows:

1. Contractor agrees to ensure that subcontractors, and any other party involved with the Services, who is brought onto or involved in the performance of the Services by Contractor, provide the same minimum insurance coverage required of Contractor, except as with respect to limits. Contractor 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 Agreement. Contractor agrees that upon request by City, all agreements with, and insurance compliance documents provided by, such subcontractors and others engaged in the project will be submitted to City for review.

2. Contractor agrees to be responsible for ensuring that no contract used by any party involved in any way with the project reserves the right to charge City or Contractor for the cost of additional insurance coverage required by this Agreement. Any such provisions are to be deleted with reference to City. It is not the intent of City to reimburse any third party for the cost of complying with these requirements. There shall be no recourse against City for payment of premiums or other amounts with respect thereto.

3. The City reserves the right to wit hhold payments from the Contractor in the event of material noncompliance with the insurance requirements set forth in this Agreement.

G. EVIDENCE OF COVERAGE
Prior to commencement of any Services under this Agreement, Contractor, and each and every subcontractor (of every tier) shall, at its sole cost and expense, provide and maintain not less than the minimum insurance coverage with the endorsements and deductibles indicated in this Agreement. Such insurance coverage shall be maintained with insurers, and under forms of policies, satisfactory to City and as described in this Agreement. Contractor shall file with the City all certificates and endorsements for the required insurance policies for City’s approval as to adequacy of the insurance protection.

H. EVIDENCE OF COMPLIANCE
Contractor or its insurance broker shall provide the required proof of insurance compliance, consisting of Insurance Services Office (ISO) endorsement forms or their equivalent and the ACORD form 25-S certificate of insurance (or its equivalent), evidencing all required coverage shall be delivered to City, or its representative as set forth below, at or prior to execution of this Agreement.

Upon City’s request, Contractor shall submit to City copies of the actual insurance policies or renewals or replacements. Unless otherwise required by the terms of this Agreement, all certificates, endorsements, coverage verifications Design Professional Agreement with Iteris/Exhibit C-Insurance Requirements Page 5 Rev. 09-28-18
and other items required to be delivered to City pursuant to this Agreement shall be mailed to:

EBIX Inc.

City of Santa Clara Public Works Department
P.O. Box 100085 – S2 or 1 Ebix Way
Duluth, GA 30096 John’s Creek, GA 30097
Telephone number: 951-766-2280
Fax number: 770-325-0409
Email address: [email protected]
I. QUALIFYING INSURERS
All of the insurance companies providing insurance for Contractor shall have, and provide written proof of, an A. M. Best rating of at least A minus 6 (A- VI) or shall be an insurance company of equal financial stability that is approved by the City or its insurance compliance representatives.

Design Professional Agreement with Iteris/Exhibit D-Labor Compliance Page 1 Rev. 09-28-18

AGREEMENT FOR DESIGN PROFESSIONAL SERVICES

BETWEEN THE

CITY OF SANTA CLARA, CALIFORNIA,
AND
ITERIS, INC.

FOR

GREAT AMERICA PARKWAY AND TASMAN DRIVE TRAFFIC SIGNAL

INTERCONNECT PROJECT

EXHIBIT D

LABOR COMPLIANCE ADDENDUM
This Agreement is subject to the requirements of California Labor Code section 1720 et seq. requiring the payment of prevailing wages, the tr aining of apprentices, and compliance with other applicable requirements. If applicable to the Services, Consultant or its subconsultant(s), as applicable, shall comply with the following requirements.

A. Prevailing Wage Requirements

1. Consultant shall be ob ligated to pay not less than the General Prevailing Wage Rate, which can be found at www.di r.ca.gov and are on file with the City Clerk’s office, which shall be available to any interested party upon request. Consultant is also required to have a copy of the applicable wage determination posted and/or available at each job site.

2. Specifically, consultants are reminded of the need for compliance with Labor Code Section 1774-1775 (the paym ent of prevailing wages and documentation of such), Section 1776 (the keeping and submission of accurate certified payrolls) and 1777.5 in the employment of apprentices on public works projects. Further, overtime must be paid for work in excess of 8 hours per day or 40 hours per week pursuant to Labor Code Section 1811- 1813.

3. Special prevailing wage rates gener ally apply to work performed on weekends, holidays and for certain sh ift work. Depending on the location of the project and the amount of travel incurred by workers on the project, certain travel and subsistence payments may also be required. Consultants and subconsultants are on notice that information about such special rates, holidays, premium pay, shift work and travel and subsistence requirements can be found at www.dir.ca.gov .

4. Only bona fide apprentices actively enrolled in a California Division of Apprenticeship Standards approved program may be employed on the project as an apprentice and receiv e the applicable apprenticeship prevailing wage rates. Apprentices who are not properly supervised and employed in the appropriate ratio shall be paid the full journeyman wages for the classification of work performed.

Design Professional Agreement with Iteris/Exhibit D-Labor Compliance Page 2 Rev. 09-28-18

5. As a condition to receiving progress payments, final payment and payment of retention on any and all projects on which the payment of prevailing wages is required, Consultant agrees to present to Cit y, along with its request for payment, all applicable and necessary certified payrolls (for itself and all applicable subconsultants) fo r the time period covering such payment request. The term “certified pay roll” shall include all required documentation to comply with the mandates set forth in Labor Code Section 1720 et seq, as well as any additional documentation requested by the City or its designee including, but not limit ed to: certified payro ll, fringe benefit statements and backup documentation such as monthly benefit statements, employee timecards, copies of wage statements and cancelled checks, proof of training contributions (C AC2 if applicable), and apprenticeship forms such as DAS-140 and DAS-142.

6. In addition to submitting the certif ied payrolls and related documentation to City, Consultant and all subconsultants shall be required to submit certified payroll and related documents electronically to the California Department of Industrial Relations. Failure to submit payrolls to the DIR when mandated by the project parameters shall also result in the withholding of progress, retention and/or final payment.

7. No consultant or subconsultant may be listed on a bid proposal for a public works project unless registered with the Department of Industrial Relations pursuant to Labor Code section 1725.5 [wit h limited exceptions from this requirement for bid purposes only under Labor Code section 1771.1(a)].

8. No consultant or subconsultant ma y be awarded a contract for public work on a public works project, unless registered with the Department of Industrial Relations pursuant to Labor Code section 1725.5. Consultants MUST be a registered “public works consultant” with the DIR AT THE TIME OF BID. Where the prime contract is less than $15,000 for maintenance work or less than $25,000 for constructi on alternation, demolition or repair work, registration is not required.

9. All consultants/subconsul tants and related construction Services subject to prevailing wage, including but not lim ited to: trucking, surveying and inspection work must be register ed with the Department of Industrial Relations as a “public works consult ant”. Those you fail to register and maintain their status as a public wor ks consultant shall not be permitted to perform work on the project.

10. Should any consultant or subcons ultants not be a regi stered public works consultant and perform work on the project, Consultant agrees to fully indemnify the City for any fines asse ssed by the California Department of Industrial Relations against the City for such violation, including all staff costs and attorney’s fee relating to such fine.

Design Professional Agreement with Iteris/Exhibit D-Labor Compliance Page 3 Rev. 09-28-18

11. This project is subject to compliance monitoring and enforcement by the Department of Industrial Relations.

B. Audit Rights
All records or documents required to be kept pursuant to this Agreement to verify compliance with this Addendum shall be made available for audit at no cost to City, at any time during regular business hours, upon written request by the City Attorney, City Auditor, Cit y Manager, or a designated r epresentative of any of these officers. Copies of such records or documents shall be provided to City for audit at City Hall when it is practical to do so. Otherwise, unless an alternative is mutually agreed upon, the records or documents shall be made available at Consultant’s address indicated for receipt of notices in this Agreement.

C. Enforcement

1. City shall withhold any portion of a payment; including the entire payment amount, until certified payroll forms and related documentation are properly submitted, reviewed and found to be in fu ll compliance. In the event that certified payroll forms do not comply with the requirements of Labor Code Section 1720 et seq., Cit y may continue to hold sufficient funds to cover estimated wages and penalties under the Agreement.

2. Based on State funding sources, this project may be subject to special labor compliance requirements of Proposition 84.

3. The City is not obligated to make any payment due to Consultant until Consultant has performed all of its obligations under these provisions. This provision means that City can withhold all or part of a payment to Consultant until all required documentation is s ubmitted. Any payment by the City despite Consultant’s failure to fully perform its obligations under these provisions shall not be deemed to be a waiver of any other term or condition contained in this Agreement or a waiver of the right to withhold payment for any subsequent breach of this Addendum.

City or the California Departm ent of Industrial Relations may impose penalties upon consultants and subconsultants for failure to comply with prevailing wage requirements.

These penalties are up to $200 per day per wo rker for each wage vi olation identified; $100 per day per worker for failure to provide the required paperwork and documentation requested within a 10-day window; and $25 per day per worker for any overtime violation.

Design Professional Agreement with Iteris/Exhibit E – Milestone Schedule Page 1 Rev. 04-12-21

AGREEMENT FOR DESIGN PROFESSIONAL SERVICES

BETWEEN THE

CITY OF SANTA CLARA, CALIFORNIA,
AND
ITERIS, INC.

FOR

GREAT AMERICA PARKWAY AND TASMAN DRIVE TRAFFIC SIGNAL

INTERCONNECT PROJECT

EXHIBIT E

MILESTONE SCHEDULE
Description of work and task Duration
Task No. 1 – Preliminary Engineering 5 weeks
Task No. 2 – 65% Construction Documents
Package
4 weeks
Task No. 3 – 95% Construction Documents
Packa
ge
4 weeks
Task No. 4 – 100% Construction Documents
Packa
ge
2 weeks
Task No. 5 – Final Bid Documents 2 weeks
Task No. 6 – Bid Support Assistance 2 days response time for clarifications and questions
Task No. 7 – Construction Support 5 days response time for each submittal review; 3 days response
time for all RFI’s and clarifications.

Task No. 8 – Record Drawings and Project
Close-out
2 weeks to prepare record drawings
Design Professional Agreement with Iteris/Exhibit F- Project Mgmt Documentation Software Page 1

AGREEMENT FOR DESIGN PROFESSIONAL SERVICES

BETWEEN THE

CITY OF SANTA CLARA, CALIFORNIA,
AND
ITERIS, INC.

FOR

GREAT AMERICA PARKWAY AND TASMAN DRIVE TRAFFIC SIGNAL

INTERCONNECT PROJECT

EXHIBIT F

PROJECT MANAGEMENT DOCUMENTATION SOFTWARE

1.0 GENERAL
This section is intended to describe the use of e-Builder EnterpriseTM (e-Builder) a web-base project management software, as the median for project documentation and reporting. All costs associated with the use of the software is inclusive of the Project Exhibit B – Schedule of Fees.

2.0 e-BUILDER PROJECT MANAGEMENT SOFTWARE PROGRAM
The City of Santa Clara is currently us ing e-Builder Project Management for all related project management tasks. Consultant is required to comply with all requirements specified in this Exhibit F – PROJECT MANAGEMENT DOCUMENTATON SOFTWARE.

3.0 REQUIREMENTS
A. General Requirements:

1. Consultant and Subconsultants shall pr ovide at a
minimum, the following to
its staff:
a) Computer: Minimum Intel Pent ium® 4 Processor 2.4 GHz or equivalent processor with 512MB of RAM; recommended Centrino Duo® Processors 1.6 GHz or equivalent with 2GB of RAM, or higher; b) Computer Operati on System: Windows XP or later and OS X v10.8 or later;
c) Web Browser: Microsoft Internet Explorer 11.0 or later, Google Chrome v29.0.1 or later, Mozilla Firefox v35.0.1 or later, Safari v6.0.4 or later, Safari for iOS mobile v6.1 or later. Other browsers such as Microsoft Edge, Google Chrome for iOS, and Google Chrome for Android are available on e-Builder ; however, but some features might not work as expected;
Design Professional Agreement with Iteris /Exhibit F- Project Mgmt Documentation Software Page 2 d) Work and Spreadsheet Processors : Microsoft Offi ce Word, Excel and Outlook;
e) Scheduling Software: Micros oft Project or Primavera; f) Internet Service Provider: A reli able ISP in the area of the Project; g) Connection Speed/Minimum Bandwidth : DSL, ADSL or T1 Line for transferring a minimum of 3 M bps Downstream and 512 Kbps Upstream.

2. Consultant and Subconsultants s hall provide its management personnel assigned to this Project with access to personal computers and the Internet on a daily basis
B. Project Web Requirements:

1. This project utilizes a
web-based project management tool, e-Builder. This
web-based application is a collaboration tool, whic h will allow all project team members continuous access through the Internet to important project data as well as up to the minute decision and approval status information.

2. Consultant and Subconsultants shall conduct Project controls, outlined by the City, utilizing e-Builder. This des ignated web-based application will be provided by the City at no costs to the Consultant and the Subconsultants.

No additional software will be requir ed. Furthermore, the City Project Manager will assist Consult ant in providing traini ng of Subconsultant’s personnel.

3. Consultant and Subconsultants shall have the responsibility for visiting the Project web site on a daily basis, and as necessary to be kept fully appraised of Project developments, for correspondence, assigned tasks and other matters that transpire on the site. These may include, but are not limited to: Contracts, Contract Exhibits, Contra ct Amendments, Drawing Issuances, Addenda, Bulletins, Permits, Insurance & Bonds, Safety Program Procedures, Safety Notices, Accident Reports, Personnel Injury Reports, Schedules, Site Logistics, Progress Reports, Daily Logs, Non- Conformance Notices, Quality Contro l Notices, Punch Lists, Meeting Minutes, Requests for Information, Submittal Packages, Substitution Requests, Monthly Payment Reques t Applications, Supplemental Instructions, Construction Change Dir ectives, Potential Change Orders, Change Order Requests, Change Orders, etc. All supporting data including, but not limited to, shop drawings, pr oduct data sheets, manufacturer data sheets and instructions, method statements, safety MSDS sheets, Substitution Requests, Submittals, et c. and the like wil l be submitted in digital format via e-Builder.

C. Electronic File Requirements:

Design Professional Agreement with Iteris /Exhibit F- Project Mgmt Documentation Software Page 3

1. In addition to the standard clos eout submittal requirements detailed elsewhere in the Contract Documents, the Consultant and Subconsultants shall also submit all closeout document s including all “As-Built Drawings”, catalog cuts, and Owner’s Operation and Maintenance manuals in digital format. All documents (including as-bu ilt drawings) sha ll be converted or scanned into the Portable Document Format (PDF) file and uploaded to e- Builder.

4.0 IMPLEMENTATION REQUIREMENTS
A. e-Builder is a comprehensive Proj ect and Program Management system that will be implemented for managing documents, communications, and costs between the Contractor, Sub- contractors, Consultant, Sub- consultants, and Owner. e-Builder includes extensive reporting capabilities to facilitate detailed.

B. Project reporting in a web-based environment that is accessible to all parties and easy to use.

C. Central Document Vault: e-Builder system includes a central database that maintains all project information and manages project communications amongst team members.

D. Communication/Correspondence: e-Builder provides electronic routable communication forms that pr ovide historical tracking, documentation, and increased accountability of project members.

E. Project Calendars: Meetings will be scheduled and maintained centrally on e-Builder by the City.

F. Reporting: All of the project and pr ogram data including documents, communications, and costs are accessible through integrated online reports. These reporting tools are completely configurable by each user. All reports can be exported to Excel for added flexibility.

Design Professional Agreement with Iteris /Exhibit F- Project Mgmt Documentation Software Page 4

5.0 LICENSING REQUIREMENT
A. User Licenses: Each user license is for access to the site consisting of unlimited data storage. Users can be direct employees of the Consultant as well as its Subconsultants and/or Suppliers.

B. Each user license includes full access to e-Builder, including all of the documents and reports mentioned above. Furthermore, each user license provides the e-Builder software as a service (SaS) including:

1. All hosting, operation, main tenance, and data backup of the e- Builder software and documents which are maintained in state-of- the-art data centers located throughout the United States.

2. Quarterly e-Builder software enhancements.

3. Unlimited phone, email, and web-based support 24-hours.

B~a:I tfm@, u pda,ted
chedu1e information
Automated commu nications
(e.g~ e-moi1 notifications of changes
In s.chedule,documerrts, workflow)
Pro.gram Managermmt
Schedules
Cost
Workflow {transm~tta1ls, s,ubmittals,
1RFls,change orders)
R~al tumll:, u pdated
cost/budg~t lnforma:tlon
Automated notifkm:ions
of project c.hanges (schedule,
workffow, cost, mllestones, other)
Ex.11cutiVe5
Consultants, Areehit&cts,
:Engineer'$, Contractors Fadlities Man:ageme n.t
Design Professional Agreement with Iteris /Exhibit F- Project Mgmt Documentation Software Page 5 C. e-Builder user licenses shall be obtained by the City, Owner Manager, and QA/QC Agencies for which the Design Consultant is not responsible.

City of Santa Clara
Agenda Report
1500 Warburton Avenue
Santa Clara, CA 95050
santaclaraca.gov
@SantaClaraCity
22-103 Agenda Date: 3/22/2022

REPORT TO COUNCIL AND THE STADIUM BOARD

SUBJECT
Action on Agreements with Axon Enterprise, Inc. for the Purchase of Body Worn Cameras, Conducted Energy Weapons, and Evidence.com

COUNCIL PILLAR
Enhance Community Engagement and Transparency

BACKGROUND
Body Worn Cameras for the Santa Clara Police Department (SCPD) Body Worn Cameras (BWCs) are an invaluable tool for law enforcement organizations, providing benefits such as:
· Educational resource in the evaluation of training and policy thus increasing officer safety and situational awareness
· Investigative tool which allows officers to review and present evidence and creates indisputable and court-admissible evidence. Typical uses include documenting encounters in domestic violence cases, evidence collection at accident scenes, and documenting witness, suspect and/or victim interviews and arrests
· Strengthens police accountability by providing an accurate record of the sequence of events, improves agency transparency, and strengthens officer performance which is important when building community trust
· Reduces Department, City and police officer liability · Reduces confrontational situations, manages citizen complaints, and reduces the time required to resolve such situations
· Collects information to assist with officer performance evaluations by helping to identify positive or negative patterns of behavior
In 2015, after a year of field testing, approving a vendor, establishing a usage policy and implementing training, SCPD implemented its BWC program initially deploying approximately 150 BWCs manufactured by VieVu. Santa Clara Police Department Policy 98.2 was issued in October 2015 to serve as a foundation for their use.

City of Santa Clara Printed on 3/17/2022Page 1 of 6
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22-103 Agenda Date: 3/22/2022
In 2017, the City terminated its contract with VieVu and entered into a new five-year agreement with Axon Enterprise, Inc. for the purchase of 169 BWCs through a cooperative agreement. This transition to Axon enabled SCPD to utilize one solution for cameras, video storage and management as opposed to two separate systems under the VieVu contract.

The agreement with Axon expires in September 2022.

Conducted Energy Weapons for SCPD
SCPD began researching and field testing Conducted Energy Weapons (CEWs) in 2015. CEWs, commonly referred to as “tasers", are non-lethal weapons that can provide temporary painful stimuli and neuromuscular incapacitation in an effort to gain compliance.

In 2015, SCPD purchased 170 X26P CEWs from TASER International utilizing grant funds from the Citizen’s Option for Public Safety. Prior to deployment, Policy 1.4 was revised to include information on the use of CEWs and extensive training was conducted among staff.

In 2017, TASER International changed its name to Axon to reflect the company’s product diversification. The X26P CEWs reached their end of life in December 2020. While still functional, the units are beyond Axon’s recommended service life, and the possibility of failures increase after the useful life has expired.

Body Worn Cameras for the Santa Clara Stadium Authority In 2020, the Stadium Authority purchased 100 BWCs from Axon, under a separate contract, for use during major events at Levi’s Stadium. In 2021, after delays due to COVID-19 restrictions on in- person events held at Levi’s Stadium, SCPD introduced BWCs for use by the City’s Special Event Officers who are bound by the same policy as full-time SCPD Officers pursuant to SCPD Policy 423, Portable Audio/Video Recorders.

SCPD's Evidence.com licenses for the Stadium Authority were combined with SCPD's account in order for SCPD to retain all evidence captured from Stadium events. Therefore, a new agreement for SCPD requires that the Stadium Authority also renews its agreement with Axon.

DISCUSSION
This recommendation is pursuant to City Code Section 2.105.290(b)(3) which states that without observing formal bidding requirements, the City may contract with vendors directly on terms obtained pursuant to formal bidding processes that name the City either specifically or categorically as a third- party beneficiary of the bidding process. Staff is recommending the purchase of body worn cameras, conducted energy weapons, and data management through the League of Oregon Cities (LOC) cooperative purchase agreement with Axon.

The LOC cooperative agreement is part of the National Purchasing Partners nationwide cooperative procurement program. The LOC, consisting of representation from 25 cities in the state of Oregon, served as the lead agency in the Request for Proposal process conducted in 2020 for contracts for law enforcement equipment including body worn cameras and conducted energy weapons. Public agencies that have purchased BWCs and/or CEWs under the LOC cooperative agreement include City of Santa Clara Printed on 3/17/2022Page 2 of 6
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22-103 Agenda Date: 3/22/2022
City of Carlsbad Police Department (with a contract value of $1,137,180), Louisville Metro Police Department ($18,874,537), Philadelphia Police Department ($13,313,362), and Athens-Clarke County Police Department ($1,848,879).

Additionally, staff reviewed the marketplace and concluded that Axon is the leader in BWC and CEW technology. Local agencies on OSP7+ (Axon’s bundle package for body worn cameras, conducted energy weapons, and data storage/management) include Bay Area Rapid Transit (BART), and the cities of Walnut Creek, San Leandro, Vallejo, Richmond and Campbell, and Counties of Marin, Napa, San Joaquin, and Solano.

Summary of Proposed Agreement for the City of Santa Clara Police Department The proposed agreement with Axon for the OSP7+ bundle includes 187 third generation BWCs including two additional technology refreshes during the term of the agreement, 181 Taser 7 CEWs, and Evidence.com which is Axon’s secure cloud-based video/audio storage system that is fully compliant with Criminal Justice Information Services (CJIS) security standards.

The OSP7+ bundle also includes the following enhancements/add-ons not previously available:
· Signal Sidearm
- A smart sensor that attaches to an officer’s holster to trigger Axon body-worn cameras within a 30’ range to start recording automatically when an officer’s weapon is drawn, even if an officer does not activate his/her BWC.
· Taser 7/Certification Bundle - Taser 7 improvements include an additional back-up shot, automatic activation of cameras and improved accuracy. Also included are duty and training cartridges, instructor and master instructor courses for certification, and hook and loop training suit.
· Respond+
- Provides critical notifications such as map-based location tracking via Evidence.com, ability to live-stream into the BWC for better situational awareness, and ability to upload critical incidents out in the field without needing to dock the camera. · Axon Performance
- Automates body-worn camera policy reviews and provides actionable, up- to-date compliance information, such as camera use during calls for service, with an intuitive metrics dashboard and shareable reporting capabilities. · Axon Redaction Assistant
- This is an add-on to the Evidence.com Redaction Studio that speeds up the redaction process by automating redactions for common objects like faces, license plates, and video screens.
· Axon Auto Transcription
- Allows officers to dictate their reports in the field and identify key words in all BWC footage, producing transcripts in substantially less time than with current manual methods.
· Citizen for Communities
- Allows the City to engage the community in efforts to investigate crimes and preserve public safety. Agencies can launch public portals from Evidence.com to collect digital evidence submissions from members of the public.

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· Auto Tagging - Tags Axon body-worn camera videos with correlating metadata from the City’s CAD or RMS system.
· Axon Standards - Provides report writing capabilities including customizable forms, workflows, alerts, and user groups. Integrates with Taser 7 CEW for automatically pulling firing logs.

Enhancing technology is one way to continue achieving SCPD’s goal of building community and officer confidence. Bundling technology allows the seamless integration of the products to deliver unprecedented efficiency and impact and saves the City approximately $1,191,343 versus purchasing each of the components separately.

The total cost is $2,276,714 for a five-year agreement ending on March 31, 2027, which includes a credit of $187,449 for undelivered services under the existing agreement. Under the proposed agreement, SCPD will receive new Taser 7s and cameras starting in April 2022. As previously mentioned, there are two additional upgrades to the cameras during the five-year term. Five years of warranty for service and replacement, docking stations, training, and other accessories are included in the price.

As previously discussed, the City is leveraging pricing from the League of Oregon Cities’ agreement with Axon. To ensure the City’s pricing is fair and reasonable, staff benchmarked the City’s price of $13,177 per set against contracts with the County of Solano ($20,235), City of Richmond ($15,357), and Louisville Metro Police Department ($15,729).

Summary of Proposed Agreement for the Santa Clara Stadium Authority The proposed agreement with Axon includes 75 body worn cameras and Evidence.com.

The total cost is $439,294 for a five-year agreement through March 31, 2027. The Stadium Authority will receive a replacement of the existing cameras in September 2024 plus one additional upgrade to the latest cameras in March 2027. Five years of warranty for service and replacement, docking stations, and other accessories are included in the price.

Staff determined Stadium Authority’s pricing is fair and reasonable, and consistent with SCPD’s pricing for the body worn cameras.

ENVIRONMENTAL REVIEW
The action being considered does not constitute a “project” within the meaning of the California Environmental Quality Act (“CEQA”) pursuant to CEQA Guidelines section 15378(a) as it has no potential for resulting in either a direct physical change in the environment, or a reasonably foreseeable indirect physical change in the environment.

FISCAL IMPACT
The Police Department has sufficient funding in their General Fund operating budget to cover the costs for the current fiscal year. For the out-years of the contract, an increase to the Police Department’s contractual services budget will be included and recommended as part of the FY 2022/23 and FY 2023/24 Proposed Budget. Payments will be made annually over the five-year term City of Santa Clara Printed on 3/17/2022Page 4 of 6
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of the agreement.

Santa Clara Police Department
Date Subtotal Tax Total
2022 $337,305.03 $14,412.67 $351,717.70
2023 $461,528.49 $19,720.47 $481,248.96
2024 $461,528.49 $19,720.47 $481,248.96
2025 $461,528.49 $19,720.47 $481,248.96
2026 $461,528.49 $19,720.47 $481,248.96
Total $2,183,418.99 $93,294.55 $2,276,713.54
Santa Clara Stadium Authority
Date Subtotal Tax Total
2022 $82,447.20 $5,411.62 $87,858.82
2023 $82,447.20 $5,411.59 $87,858.79
2024 $82,447.20 $5,411.59 $87,858.79
2025 $82,447.20 $5,411.59 $87,858.79
2026 $82,447.20 $5,411.59 $87,858.79
Total $412,236.00 $27,057.98 $439,293.98

COORDINATION
This report has been coordinated with the City Attorney’s Office and the Finance Department.

PUBLIC CONTACT
Public contact was made by posting the Council agenda on the City’s official-notice bulletin board outside City Hall Council Chambers. A complete agenda packet is available on the City’s website and in the City Clerk’s Office at least 72 hours prior to a Regular Meeting and 24 hours prior to a Special Meeting. A hard copy of any agenda report may be requested by contacting the City Clerk’s Office at (408) 615-2220, email [email protected] <mailto:[email protected]> .

RECOMMENDATION

1. Authorize the City Manager’s Office to execute an agreement with Axon Enterprise, Inc. for the bundled purchase of Body Worn Cameras, Conducted Energy Weapons and Evidence.com for the Santa Clara Police Department with a five-year term starting on April 1, 2022 and ending on March 31, 2027, with maximum compensation not-to-exceed $2,276,714, and subject to the appropriation of funds;

2. Authorize the Executive Director’s Office to execute an agreement with Axon Enterprise, Inc. for the purchase of Body Worn Cameras and Evidence.com for the Santa Clara Stadium Authority with a five-year term starting on April 1, 2022 and ending on March 31, 2027, with maximum compensation not-to-exceed $439,294, and subject to the appropriation of funds;

3. Authorize staff to purchase additional body worn cameras, conducted energy weapons and software services as may be required, subject to the same terms and conditions and the appropriation of funds; and

4. Authorize the City Manager and the Executive Director Offices to extend the agreements for up to City of Santa Clara Printed on 3/17/2022Page 5 of 6
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five additional years, at the discretion of the SCPD and subject to the appropriation of funds.

Reviewed by: Pat Nikolai, Chief of Police
Approved by: City Manager/Executive Director’s Office

ATTACHMENTS

1. Agreement with Axon Enterprise, Inc. for the Santa Clara Police Department

2. Agreement with Axon Enterprise, Inc. for the Santa Clara Stadium Authority

3. Axon Quote for the Santa Clara Police Department

4. Axon Quote for the Santa Clara Stadium Authority
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DocuSign Envelope ID: 625F66A7-38BE-4850-869C-6DF6B5B60129 ~AXON
Master Services and Purchasing Agreement between
Axon and the City of Santa Clara
This Master Services and Purchasing Agreement ("Agreement") is between Axon Enterprise, Inc., a Delaware corporation ("Axon"), and the City of Santa Clara ("Agency"). This Agreement is effective as of the last signature date on this Agreement ("Effective Date"). Axon and Agency are each a "Party" and collectively "Parties". This Agreement governs Agency's purchase and use of the Axon Devices and Services detailed in the Quote Appendix ("Quote"). It is the intent of the Parties that this Agreement act as a master agreement governing all subsequent purchases by Agency for the same Axon products and services in the Quote, and all such subsequent quotes accepted by Agency shall be also incorporated into this Agreement by reference as a Quote. The Parties therefore agree as follows:
1 Definitions.
"Axon Cloud Services" means Axon's web services for Axon Evidence, Axon Records, Axon Dispatch, and interactions between Evidence.com and Axon Devices or Axon client software. Axon Cloud Service excludes third-party applications, hardware warranties, and my.evidence.com. "Axon Device" means all hardware provided by Axon under this Agreement. "Quote" means an offer to sell and is only valid for devices and services on the quote at the specified prices.

Any terms within Agency's purchase order in response to a Quote will be void. Orders are subject to prior credit approval. Changes in the deployment estimated ship date may change charges in the Quote.

Shipping dates are estimates only. Axon is not responsible for typographical errors in any offer by Axon, and Axon reserves the right to cancel any orders resulting from such errors. "Services" means all services provided by Axon under this Agreement, including software, Axon Cloud Services, and professional services.
2 Term. This Agreement begins on the Effective Date and continues until all subscriptions hereunder have expired or have been terminated ("Term").

All subscriptions including Axon Evidence, Axon Fleet, Officer Safety Plans, Technology Assurance Plans, and TASER 7 plans begin after shipment of the applicable Axon Device. If Axon ships the Axon Device in the first half of the month, the start date is the 1st of the following month. If Axon ships the Axon Device in the second half of the month, the start date is the 15th of the following month. For purchases solely of Axon Evidence subscriptions, the start date is the Effective Date. Each subscription term ends upon completion of the subscription stated in the Quote ("Subscription Term"). 3 Payment. Axon invoices upon shipment and in accordance with the payment schedule set forth in the Quote. Payment is due net 30 days from the invoice date. Except as otherwise provided in Section 17, payment obligations are non-cancelable. Agency will pay invoices without setoff, deduction, or withholding.

If Axon sends a past due account to collections, Agency is responsible for collection and attorneys' fees. 4 Taxes. Agency is responsible for sales and other taxes associated with the order unless Agency provides Axon a valid tax exemption certificate.
5 Shipping. Axon may make partial shipments and ship Axon Devices from multiple locations. All shipments are FOB destination point via common carrier. Title and risk of loss pass to Agency upon delivery to the City. Agency is responsible for any shipping charges in the Quote. 6 Returns. Except as otherwise provided in Section 17, all sales are final. Axon does not allow refunds or exchanges, except warranty returns or as provided by state or federal law. 7 Warranty.

7.1 Hardware Limited Warranty. Axon warrants that Axon Devices are free from defects in workmanship and materials for 1 year from the date of Agency's receipt, except Signal Sidearm, which Axon warrants for 30 months from the date of Agency's receipt. Axon warrants its Axon­ manufactured accessories for 90-days from the date of Agency's receipt. Used conducted energy weapon ("CEW") cartridges are deemed to have operated properly. Extended warranties run from Title: Master Services and Purchasing Agreement between Axon and Agency Department: Legal
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Master Services and Purchasing Agreement between
Axon and the City of Santa Clara
the expiration of the 1-year hardware warranty through the extended warranty term . Non-Axon manufactured Devices are not covered by Axon's warranty . Agency should contact the manufacturer for support of non-Axon manufactured Devices. 7 .2 Claims . If Axon receives a valid warranty claim for an Axon Device during the warranty term, Axon 's sole responsibility is to repair or replace the Axon Device with the same or like Axon Device , at Axon 's option . A replacement Axon Device will be new or like new. Axon will warrant the replacement Axon Device for the longer of (a) the rema ining warranty of the original Axon Device or (b) 90-days from the date of repair or replacement.

If Agency exchanges a device or part, the replacement item becomes Agency's property , and the replaced item becomes Axon 's property. Before delivering an Axon Device for service, Agency must upload Axon Device data to Axon Evidence or download it and retain a copy . Axon is not responsible for any loss of software , data , or other information contained in storage media or any part of the Axon Device sent to Axon for service .
7 .3 Spare Axon Devices. For qualified purchases, Axon may provide Agency a predetermined number of spare Axon Devices as detailed in the Quote ("Spare Axon Devices"). Spare Axon Devices are intended to replace broken or non-functioning units while Agency submits the broken or non­ functioning units, through Axon's warranty return process . Axon will repair or replace the unit with a replacement Axon Device . Title and risk of loss for all Spare Axon Devices shall pass to Agency in accordance with shipping terms under Section 5. Axon assumes no liabil ity or obligation in the event Agency does not utilize Spare Axon Devices for the intended purpose .

7.4 Limitations. Axon's warranty excludes damage related to: (a) failure to follow Axon Device use instructions; (b) Axon Devices used with equipment not manufactured or recommended by Axon; (c) abuse, misuse , or intentional damage to Axon Device; (d) force majeure; (e) Axon Devices repaired or modified by persons other than Axon without Axon 's written permission; or (f) Axon Devices with a defaced or removed serial number.

7.4.1 To the extent permitted by law, the above warranties and remedies are exclusive .

Axon disclaims all other warranties, remedies, and conditions, whether oral, written, statutory, or implied. If statutory or implied warranties cannot be lawfully disclaimed, then such warranties are limited to the duration of the warranty described above and by the provisions in this Agreement.

7.4.2 Axon's cumulative liability to any Party for any loss or damage resulting from any claim, demand, or action arising out of or relating to this Agreement will not exceed $1,000,000. Neither Party will be liable for direct, special, indirect, incidental, punitive or consequential damages, however caused, whether for breach of warranty or contract, negligence, strict liability, tort or any other legal theory.

7.4.3 Liability for damages to persons or real or tangible property, bodily injury or death arising in connection with this Agreement and caused by Axon's gross negligence or intentional misconduct shall be unlimited.
8 Statement of Work . Certain Axon Devices and Services , including Axon Interview Room , Axon Channel Services , and Axon Fleet, may require a Statement of Work that details Axon's Service deliverables ("SOW"). In the event Axon provides an SOW to Agency, Axon is only responsible to perform Serv ices described in the SOW. Additional services are out of scope. The Parties must document scope changes in a written and signed change order . Changes may require an equitable adjustment in fees or schedule . The SOW is incorporated into this Agreement by reference .
9 Axon Device Warnings . See www.axon .com/legal for the most current Axon Device warnings. 10 Design Changes. Axon may make design changes to any Axon Device or Service without notifying Agency or making the same change to Axon Devices and Services previously purchased by Agency provided that they do not materially derogate the overall quality of the Axon Device or Service .

Title: Master Services and Purchasing Agreement between Axon and Agency Department : Legal
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Master Services and Purchasing Agreement between
Axon and the City of Santa Clara
11 Bundled Offerings. Some offerings in bundled offerings may not be generally available at the time of Agency's purchase. Axon will not provide a refund, credit, or additional discount beyond what is in the Quote due to a delay of availability or Agency's election not to utilize any portion of an Axon bundle. 12 Insurance. During the term of this Agreement, Axon shall provide and maintain in full force and effect, at no cost to City, insurance policies as set forth in the Insurance Requirements Appendix. 13 Indemnification. Axon will indemnify Agency's officers, directors, and employees ("Agency lndemnitees") against all claims, demands, losses, and reasonable expenses arising out of a third-party claim against an Agency lndemnitee resulting from any negligent act, error or omission, or willful misconduct by Axon under this Agreement, except to the extent of Agency's negligence or willful misconduct, or claims under workers compensation.
14 IP Rights. Axon owns and reserves all right, title, and interest in Axon devices and services and suggestions to Axon, including all related intellectual property rights. Agency will not cause any Axon proprietary rights to be violated.
15 IP Indemnification. Axon will indemnify Agency lndemnitees against all claims, losses, and reasonable expenses from any third-party claim alleging that the use of Axon Devices or Services infringes or misappropriates the third-party's intellectual property rights. Agency must promptly provide Axon with written notice of such claim, tender to Axon the defense or settlement of such claim at Axon's expense and cooperate fully with Axon in the defense or settlement of such claim. Axon's IP indemnification obligations do not apply to claims based on (a) modification of Axon Devices or Services by Agency or a third-party not approved by Axon; (b) use of Axon Devices and Services in combination with hardware or services not approved by Axon; (c) use of Axon Devices and Services other than as permitted in this Agreement; or (d) use of Axon software that is not the most current release provided by Axon. 16 Agency Responsibilities. Agency is responsible for (a) Agency's use of Axon Devices; (b) breach of this Agreement or violation of applicable law by Agency or an Agency end user; and (c) a dispute between Agency and a third-party over Agency's use of Axon Devices, except for disputes covered under Section 15 IP Indemnification.
17 Termination.
18 17.1 For Breach. A Party may terminate this Agreement for cause if it provides 30 days written notice of the breach to the other Party, and the breach remains uncured at the end of 30 days. If Agency terminates this Agreement due to Axon's uncured breach, Axon will refund prepaid amounts on a prorated basis based on the effective date of termination.

17.2 By Agency. lf sufficient funds are not appropriated or otherwise legally available to pay the fees, Agency may terminate this Agreement. Agency will deliver notice of termination under this section as soon as reasonably practicable.

17.3 Effect of Termination. Upon termination of this Agreement, Agency rights immediately terminate.

Agency remains responsible for all fees incurred before the effective date of termination. If Agency purchases Axon Devices for less than the manufacturer's suggested retail price ("MSRP") and this Agreement terminates before the end of the Term, Axon will invoice Agency the difference between the MSRP for Axon Devices received, including any Spare Axon Devices, and amounts paid towards those Axon Devices. Only if terminating for non-appropriation, Agency may return Axon Devices to Axon within 30 days of termination. MSRP is the standalone price of the individual Axon Device at the time of sale. For bundled Axon Devices, MSRP is the standalone price of all individual components.

Confidentiality. "Confidential Information" means nonpublic information designated as confidential or, given the nature of the information or circumstances surrounding disclosure, should reasonably be understood to be confidential. Each Party will take reasonable measures to avoid disclosure, dissemination, or unauthorized use of the other Party's Confidential Information. Unless required by law, neither Party will Title: Master Services and Purchasing Agreement between Axon and Agency Department: Legal
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Master Services and Purchasing Agreement between
Axon and the City of Santa Clara
19 disclose the other Party's Confidential Information during the Term and for 5-years thereafter. Axon may publicly announce information related to this Agreement.

General.

19.1 Force Majeure. Neither Party will be liable for any delay or failure to perform due to a cause beyond a Party's reasonable control.

19.2 Independent Contractors. The Parties are independent contractors. Neither Party has the authority to bind the other. This Agreement does not create a partnership, franchise, joint venture, agency, fiduciary, or employment relationship between the Parties.

19.3 Third-Party Beneficiaries. There are no third-party beneficiaries under this Agreement.

19.4 Non-Discrimination. Neither Party nor its employees will discriminate against any person based on race; religion; creed; color; sex; gender identity and expression; pregnancy; childbirth; breastfeeding; medical conditions related to pregnancy, childbirth, or breastfeeding; sexual orientation; marital status; age; national origin; ancestry; genetic information; disability; veteran status; or any class protected by local, state, or federal law.

19.5 Export Compliance. Each Party will comply with all import and export control laws and regulations.

19.6 Assignment. Neither Party may assign this Agreement without the other Party's prior written consent. Axon may assign this Agreement, its rights, or obligations without consent: (a) to an affiliate or subsidiary; or (b) for purposes offinanclng, merger, acquisition, corporate reorganization, or sale of all or substantially all its assets. This Agreement ls binding upon the Parties respective successors and assigns.

19.7 Waiver. No waiver or delay by either Party in exercising any right under this Agreement constitutes a waiver of that right.

19.8 Severability. If a court of competent jurisdiction holds any portion of this Agreement invalid or unenforceable, the remaining portions of this Agreement will remain in effect.

19.9 Survival. The following sections will survive termination: Payment, Warranty, Axon Device Warnings, Indemnification, IP Rights, and Agency Responsibilities.

19.10 Governing Law. The laws of the state where Agency is physically located, without reference to conflict of law rules, govern this Agreement and any dispute arising from it. The United Nations Convention for the International Sale of Goods does not apply to this Agreement.

19.11 Notices. All notices must be in English. Notices posted on Agency's Axon Evidence site are effective upon posting. Notices by email are effective on the sent date of the email. Notices by personal delivery are effective immediately. Contact information for notices:

Axon: Axon Enterprise, Inc.

Attn: Legal
17800 N. 85th Street
Scottsdale, Arizona 85255
[email protected]
Agency: City of Santa Clara
Attn: Santa Clara Police Department
1500 Warburton Avenue
Santa Clara, CA 95050
[email protected]

19.12 Entire Agreement. This Agreement, including the Appendices and any SOW(s), represents the entire agreement between the Parties. This Agreement supersedes all prior agreements or understandings, whether written or verbal, regarding the subject matter of this Agreement. This Agreement may only be modified or amended in a writing signed by the Parties.

Each representative identified below declares they have been expressly authorized to execute this Agreement as Title: Master Services and Purchasing Agreement between Axon and Agency Department: Legal
Version: 13.0
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DocuSign Envelope ID: 625F66A7-38BE-4850-869C-6DF6B5B60129 of the date of signature.

Axon Ent('::'1~~J,ll,f,,y,
Signature~ ·
Robert E. Driscoll, Jr . Name: ______________ _
Title: __ v_P_, _A_s_s_o_c_._G_e_n_e_r_a_l _c_o_u_n_s_e_l __ _ 2/14/2022 Date: ______________ _
Agency
Signature: ______________ _
Name: _______________ _
Title: ______________ _
Date: ______________ _
Title: Master Services and Purchasing Agreement between Axon and Agency Department: Legal
Version: 12.0
Release Date : 12/18/2020 Page 5 of27
DocuSign Envelope ID: 625F66A7-38BE-4850-869C-6DF685B60129 ~AXON Master Services and Purchasing Agreement
Axon Cloud Services Terms of Use Appendix
1 Definitions.
2 3
4 5
"Agency Content" is data uploaded into, ingested by, or created in Axon Cloud Services within Agency's tenant, including media or multimedia uploaded into Axon Cloud Services by Agency.

Agency Content includes Evidence but excludes Non-Content Data. "Evidence" is media or multimedia uploaded into Axon Evidence as 'evidence' by an Agency.

Evidence is a subset of Agency Content.
"Non-Content Data" is data, configuration, and usage information about Agency's Axon Cloud Services tenant, Axon Devices and client software, and users that is transmitted or generated when using Axon Devices. Non-Content Data includes data about users captured during account management and customer support activities. Non-Content Data does not include Agency Content. "Personal Data" means any information relating to an identified or identifiable natural person. An identifiable natural person is one who can be identified, directly or indirectly, in particular by reference to an identifier such as a name, an identification number, location data, an on line identifier or to one or more factors specific to the physical, physiological, genetic, mental, economic, cultural or social identity of that natural person.

Access. Upon Axon granting Agency a subscription to Axon Cloud Services, Agency may access and use Axon Cloud Services to store and manage Agency Content. Agency may not exceed more end users than the Quote specifies. Axon Air requires an Axon Evidence subscription for each drone operator. For Axon Evidence Lite, Agency may access and use Axon Evidence only to store and manage TASER CEW and TASER CAM data ("TASER Data"). Agency may not upload non­ TASER Data to Axon Evidence Lite.

Agency Owns Agency Content. Agency controls and owns all right, title, and interest in Agency Content. Except as outlined herein, Axon obtains no interest in Agency Content, and Agency Content is not Axon's business records. Agency is solely responsible for uploading, sharing, managing, and deleting Agency Content. Axon will only have access to Agency Content for the limited purposes set forth herein. Agency agrees to allow Axon access to Agency Content to (a) perform troubleshooting, maintenance, or diagnostic screenings; and (b) enforce this Agreement or policies governing use of the Axon products.

Security. Axon will implement commercially reasonable and appropriate measures to secure Agency Content against accidental or unlawful loss, access or disclosure. Axon will maintain a comprehensive information security program to protect Axon Cloud Services and Agency Content including logical, physical access, vulnerability, risk, and configuration management; incident monitoring and response; encryption of uploaded digital evidence; security education; and data protection. Axon agrees to the Federal Bureau of Investigation Criminal Justice Information Services Security Addendum.

Agency Responsibilities. Agency is responsible for (a) ensuring Agency owns Agency Content; (b) ensuring no Agency Content or Agency end user's use of Agency Content or Axon Cloud Services violates this Agreement or applicable laws; and (c) maintaining necessary computer equipment and Internet connections for use of Axon Cloud Services. If Agency becomes aware of any violation of this Agreement by an end user, Agency will immediately terminate that end user's access to Axon Cloud Services.

Agency will also maintain the security of end user names and passwords and security and access by end users to Agency Content. Agency is responsible for ensuring the configuration and utilization of Axon Cloud Services meet applicable Agency regulation and standards. Agency may not sell, transfer, or sublicense access to any other entity or person. Agency shall contact Axon immediately Title: Master Services and Purchasing Agreement between Axon and Agency Department: Legal
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if an unauthorized party may be using Agency's account or Agency Content, or if account information is lost or stolen.

To the extent Agency uses the Axon Cloud Services to interact with YouTube®, such use may be governed by the YouTube Terms of Service, available at
https://www.youtube .com/static?temp late=terms.
6 Privacy. Agency's use of Axon Cloud Services is subject to the Axon Cloud Services Privacy Policy, a current version of which is available at https://www.axon.com/legal/cloud-services­ privacy-policy. Agency agrees to allow Axon access to Non-Content Data from Agency to (a) perform troubleshooting , maintenance, or diagnostic screenings; (b) provide, develop, improve, and support current and future Axon products and related services; and (c) enforce this Agreement or policies governing the use of Axon products.
7 Axon Body 3 Wi-Fi Positioning. Axon Body 3 cameras offer a feature to enhance location services where GPS/GNSS signals may not be available, for instance, within buildings or underground. Agency administrators can manage their choice to use this service within the administrative features of Axon Cloud Services. If Agency chooses to use this service, Axon must also enable the usage of the feature for Agency's Axon Cloud Services tenant. Agency will not see this option with Axon Cloud Services unless Axon has enabled Wi-Fi Positioning for Agency's Axon Cloud Services tenant. When Wi-Fi Positioning is enabled by both Axon and Agency, Non-Content and Personal Data will be sent to Skyhook Holdings, Inc. ("Skyhook") to facilitate the Wi-Fi Positioning functionality. Data controlled by Skyhook is outside the scope of the Axon Cloud Services Privacy Policy and is subject to the Skyhook Services Privacy Policy. 8 Storage. For Axon Unlimited Device Storage subscriptions, Agency may store unlimited data in Agency's Axon Evidence account only if data originates from Axon Capture or the applicable Axon Device. Axon may charge Agency additional fees for exceeding purchased storage amounts. Axon may place Agency Content that Agency has not viewed or accessed for 6 months into archival storage. Agency Content in archival storage will not have immediate availability and may take up to 24 hours to access.
9 Location of Storage. Axon may transfer Agency Content to third-party subcontractors for storage.

Axon will determine the locations of data centers for storage of Agency Content. For United States agencies, Axon will ensure all Agency Content stored in Axon Cloud Services remains within the United States. Ownership of Agency Content remains with Agency. 10 Suspension. Axon may temporarily suspend Agency's or any end user's right to access or use any portion or all of Axon Cloud Services immediately upon notice, if Agency or end user's use of or registration for Axon Cloud Services may (a) pose a security risk to Axon Cloud Services or any third-party; (b) adversely impact Axon Cloud Services , the systems, or content of any other customer; (c) subject Axon, Axon's affiliates, or any third-party to liability; or (d) be fraudulent.

Agency remains responsible for all fees incurred through suspension. Axon will not delete Agency Content because of suspension, except as specified in this Agreement. 11 Axon Cloud Services Warranty. Axon disclaims any warranties or responsibility for data corruption or errors before Agency uploads data to Axon Cloud Services. 12 Axon Records. Axon Records is the software-as-a-service product that is generally available at the time Agency purchases an OSP 7 bundle. During Agency's Axon Records Subscription Term, Agency will be entitled to receive Axon's Update and Upgrade releases on an if-and-when available basis.

The Axon Records Subscription Term will end upon the competition of the Axon Records Title: Master Services and Purchasing Agreement between Axon and Agency Department: Legal
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Subscription as documented in the Quote, or if purchased as part of an OSP 7 bundle, upon competition of the OSP 7 Term ("Axon Records Subscription") An "Update" is a generally available release of Axon Records that Axon makes available from time to time. An "Upgrade" includes (i) new versions of Axon Records that enhance features and functionality, as solely determined by Axon; and/or (ii) new versions of Axon Records that provide additional features or perform additional functions. Upgrades exclude new products that Axon introduces and markets as distinct products or applications.

New or additional Axon products and applications, as well as any Axon professional services needed to configure Axon Records, are not included. If Agency purchases Axon Records as part of a bundled offering, the Axon Record subscription begins on the later of the (1) start date of that bundled offering, or (2) date Axon provisions Axon Records to Agency. 13 Axon Cloud Services Restrictions. Agency and Agency end users (including employees, contractors, agents, officers, volunteers, and directors), may not, or may not attempt to:

13.1 copy, modify, tamper with, repair, or create derivative works of any part of Axon Cloud Services;

13.2 reverse engineer, disassemble, or decompile Axon Cloud Services or apply any process to derive any source code included in Axon Cloud Services, or allow others to do the same;

13.3 access or use Axon Cloud Services with the intent to gain unauthorized access, avoid incurring fees or exceeding usage limits or quotas;

13.4 use trade secret information contained in Axon Cloud Services, except as expressly permitted in this Agreement;

13.5 access Axon Cloud Services to build a competitive device or service or copy any features, functions, or graphics of Axon Cloud Services;

13.6 remove, alter, or obscure any confidentiality or proprietary rights notices (including copyright and trademark notices) of Axon's or Axon's licensors on or within Axon Cloud Services; or

13.7 use Axon Cloud Services to store or transmit infringing, libelous, or other unlawful or tortious material; to store or transmit material in violation of third-party privacy rights; or to store or transmit malicious code.
14 After Termination. Axon will not delete Agency Content for 90-days following termination. There will be no functionality of Axon Cloud Services during these 90-days other than the ability to retrieve Agency Content. Agency will not incur additional fees if Agency downloads Agency Content from Axon Cloud Services during this time. Axon has no obligation to maintain or provide Agency Content after these 90-days and will thereafter, unless legally prohibited, delete all Agency Content.

Upon request, Axon will provide written proof that Axon successfully deleted and fully removed all Agency Content from Axon Cloud Services.
15 Post-Termination Assistance. Axon will provide Agency with the same post-termination data retrieval assistance that Axon generally makes available to all customers. Requests for Axon to provide additional assistance in downloading or transferring Agency Content, including requests for Axon's data egress service, will result in additional fees and Axon will not warrant or guarantee data integrity or readability in the external system.
16 U.S. Government Rights. If Agency is a U.S. Federal department or using Axon Cloud Services on behalf of a U.S. Federal department, Axon Cloud Services is provided as a "commercial item," "commercial computer software," "commercial computer software documentation," and "technical data", as defined in the Federal Acquisition Regulation and Defense Federal Acquisition Regulation Supplement. If Agency is using Axon Cloud Services on behalf of the U.S. Government and these terms fail to meet the U.S. Government's needs or are inconsistent in any respect with federal law, Agency will immediately discontinue use of Axon Cloud Services.

Title: Master Services and Purchasing Agreement between Axon and Agency Department: Legal
Version: 12.0
Release Date: 12/18/2020 Page 8 of 27
DocuSign Envelope ID: 625F66A7-38BE-4850-869C-6DF685860129 ~AXON Master Services and Purchasing Agreement
17 Survival. Upon any termination of this Agreement, the following sections in this Appendix will survive: Agency Owns Agency Content, Storage, Axon Cloud Services Warranty, and Axon Cloud Services Restrictions.

Titie: Master Services and Purchasing Agreement between Axon and Agency Department: Legal
Version: 12.0
Release Date: 12/18/2020 Page 9 of 27
DocuSign Envelope ID: 625F66A7-38BE-4850-869C-6DF685860129 JiAXON Master Services and Purchasing Agreement
Axon Customer Experience Improvement Program Appendix
1 Axon Customer Experience Improvement Program (ACEIP). The ACEIP is designed to accelerate Axon's development of technology, such as building and supporting automated features, to ultimately increase safety within communities and drive efficiency in public safety. To this end, subject to the limitations on Axon as described below, Axon, where allowed by law, may make limited use of Agency Content from all of its customers, to provide, develop, improve, and support current and future Axon products (collectively, "ACEIP Purposes"). However, at all times, Axon will comply with its obligations pursuant to the Axon Cloud Services Terms of Use Appendix to maintain a comprehensive data security program (including compliance with the CJIS Security Policy for Criminal Justice Information), privacy program, and data governance policy, including high industry standards of de-identifying Personal Data, to enforce its security and privacy obligations for the ACEIP. ACEIP has 2 tiers of participation, Tier 1 and Tier 2. By default, Agency will be a participant in ACEIP Tier 1. If Agency does not want to participate in ACEIP Tier 1, Agency can revoke its consent at any time. If Agency wants to participate in Tier 2, as detailed below, Agency can check the ACEIP Tier 2 box below. If Agency does not want to participate in ACEIP Tier 2, Agency should leave box unchecked. At any time, Agency may revoke its consent to ACEIP Tier 1, Tier 2, or both Tiers.

1.1 ACEIP Tier 1.

1.1.1. When Axon uses Agency Content for the ACEIP Purposes, Axon will extract from Agency Content and may store separately copies of certain segments or elements of the Agency Content (collectively, "ACEIP Content"). When extracting ACEIP Content, Axon will use commercially reasonable efforts to aggregate, transform or de-identify Agency Content so that the extracted ACEIP Content is no longer reasonably capable of being associated with, or could reasonably be linked directly or indirectly to a particular individual ("Privacy Preserving Technique(s)"). For illustrative purposes, some examples are described in footnote 11. For clarity, ACEIP Content will still be linked indirectly, with an attribution, to the Agency from which it was extracted.

This attribution will be stored separately from the data itself, but is necessary for and will be solely used to enable Axon to identify and delete all ACEIP Content upon Agency request. Once de-identified, ACEIP Content may then be further modified, analyzed, and used to create derivative works. At any time, Agency may revoke the consent granted herein to Axon to access and use Agency Content for ACEIP Purposes. Within 30 days of receiving the Agency's request, Axon will no longer access or use Agency Content for ACE IP Purposes and will delete any and all ACEIP Content. Axon will also delete any derivative works which may reasonably be capable of being associated with, or could reasonably be linked directly or indirectly to Agency. In addition, if Axon uses Agency Content for the ACEIP Purposes, upon request, Axon will make available to Agency a list of the specific type of Agency Content being used to generate ACEIP Content, the purpose of such use, and the retention, privacy preserving extraction technique, and relevant data protection practices 1 For example; (a) when extracting specific text to improve automated transcription capabilities, text that could be used to directly identify a particular individual would not be extracted, and extracted text would be disassociated from identifying metadata of any speakers, and the extracted text would be split into individual words and aggregated with other data sources (including publicly available data) to remove any reasonable ability to link any specific text directly or indirectly back to a particular individual; (b) when extracting license plate data to improve Automated License Plate Recognition {ALPR) capabilities, individual license plate characters would be extracted and disassociated from each other so a complete plate could not be reconstituted, and all association to other elements of the source video, such as the vehicle, location, time, and the surrounding environment would also be removed; {c) when extracting audio of potential acoustic events (such as glass breaking or gun shots), very short segments (<1 second) of audio that only contains the likely acoustic events would be extracted and all human utterances would be removed.

Title: Master Services and Purchasing Agreement between Axon and Agency Department: Legal
Version: 12.0
Release Date: 12/18/2020 Page 1 O of 27
DocuSign Envelope ID: 625F66A7-38BE-4850-869C-6DF6B5B60129 ~AXON Master Services and Purchasing Agreement
applicable to the Agency Content or ACEIP Content ("Use Case"). From time to time, Axon may develop and deploy new Use Cases. At least 30 days prior to authorizing the deployment of any new Use Case, Axon will provide Agency notice (by updating the list of Use Case at https://www.axon.com/aceip and providing Agency with a mechanism to obtain notice of that update or another commercially reasonable method to Agency designated contact) ("New Use Case").

1.1.2. Expiration of ACEIP Tier 1. Agency consent granted herein, will expire upon termination of the Agreement. In accordance with section 1.1.1, within 30 days of receiving the Agency's request, Axon will no longer access or use Agency Content for ACEIP Purposes and will delete ACEIP Content. Axon will also delete any derivative works which may reasonably be capable of being associated with, or could reasonably be linked directly or indirectly to Agency .

1.2 ACEIP Tier 2. In addition to ACEIP Tier 1, if Agency wants to help further improve Axon's services, Agency may choose to participate in Tier 2 of the ACEIP. ACEIP Tier 2, grants Axon certain additional rights to use Agency Content, in addition to those set forth in Tier 1 above, without the guaranteed deployment of a Privacy Preserving Technique to enable product development , improvement, and support that cannot be accomplished with aggregated, transformed or de-identified data.
0 Check this box if Agency wants to help further improve Axon's services by participating in ACEIP Tier 2 in addition to Tier 1. By checking this box, Agency hereby agrees to the Axon Customer Experience Improvement Program Tier 2 Terms of Service, available at https://www.axon.com/sales-terms-and-condit ions and incorporated herein by reference.

Title: Master Services and Purchasing Agreement between Axon and Agency Department: Legal
Version: 12.0
Release Date : 12/18/2020 Page 11 of 27
DocuSign Envelope ID: 625F66A7•38BE-4850-869C-6DF6B5860129 JiAXON Master Services and Purchasing Agreement
Professional Services Appendix
1 Utilization of Services. Agency must use professional services as outlined in the Quote and this Appendix within 6 months of the Effective Date.
2 Body-Worn Camera Full Service (BWC Full Service). BWC Full Service includes advance remote project planning and configuration support and up to 4 consecutive days of on-site service and a professional services manager to work with Agency to assess Agency's deployment and determine which on-site services are appropriate. If Agency requires more than 4 consecutive on- 3 . d A h dd' . I d BWC F II S . . . I d Site ays, ,aency must pure ase a 1t1ona ays. u erv1ce oot1ons inc u e:

System set up and configuration
• Instructor-led setup of Axon View on smartphones (if applicable) • Configure categories and custom roles based on Agency need • Register cameras to Agency domain
• Troubleshoot IT issues with Axon Evidence and Axon Dock ("Dock") access • One on-site session included
Dock configuration
• Work with Agency to decide the ideal location of Docks and set configurations on Dock • Authenticate Dock with Axon Evidence using admin credentials from Agency • On-site assistance, not to include ohvsical mountina of docks Best practice implementation planning session
• Provide considerations for the establishment of video policy and system operations best practices based on Axon's observations with other agencies • Discuss the importance of entering metadata in the field for organization purposes and other best practice for digital data management
• Provide referrals of other agencies using the Axon camera devices and Axon Evidence • Recommend rollout plan based on review of shift schedules System Admin and troubleshooting training sessions
Step-by-step explanation and assistance for Agency's configuration of security, roles & permissions, cateaories & retention, and other specific settinas for Axon Evidence Axon instructor training (Train the Trainer)
Training for Agency's in-house instructors who can support Agency's Axon camera and Axon Evidence training needs after Axon has fulfilled its contractual on-site obligations Evidence sharing training
Tailored workflow instruction for Investigative Units on sharing Cases and Evidence with local prosecuting agencies
End user go-live training and support sessions
• Assistance with device set up and configuration
• Trainina on device use, Axon Evidence, and Evidence Svnc Implementation document packet
Axon Evidence administrator guides, camera implementation guides, network setup guide, sample policies, and categories & roles auide
Post ao-live review
Body-Worn Camera Starter Service (BWC Starter). BWC Starter includes advance remote project planning and configuration support and one day of on-site Services and a professional services manager to work closely with Agency to assess Agency's deployment and determine which Services are appropriate. If Agency requires more than 1 day of on-site Services, Agency must purchase additional on-site Services. The BWC Starter options include:

Title: Master Services and Purchasing Agreement between Axon and Agency Department: Legal
Version: 12.0
Release Date: 12/18/2020 Page 12 of27
DocuSign Envelope ID: 625F66A7-388E-4850-869C-6DF685860129 ~AXON Master Services and Purchasing Agreement
System set up and configuration (Remote Support)
• Instructor-led setup of Axon View on smartphones (if applicable) • Configure categories & custom roles based on Agency need • Troubleshoot IT issues with Axon Evidence and Axon Dock ("Dock") access Dock configuration
• Work with Agency to decide the ideal location of Dock setup and set configurations on Dock • Authenticate Dock with Axon Evidence using "Administrator" credentials from Agency • Does not include physical mounting of docks
Axon instructor training (Train the Trainer)
Training for Agency's in-house instructors who can support Agency's Axon camera and Axon Evidence training needs after Axon's has fulfilled its contracted on-site obligations End user go-live training and support sessions
• Assistance with device set up and configuration
• Trainin on device use, Axon Evidence, and Evidence S nc Implementation document packet
Axon Evidence administrator guides, camera implementation guides, network setup guide, sample olicies, and cate ories & roles uide
4 Body-Worn Camera Virtual 1-Day Service (BWC Virtual). BWC Virtual includes all items in the BWC Starter Service Package, except one day of on-site services.