Agenda packet — City Council and Authorities Concurrent, June 6, 2023 (part 6 of 8)

Service Categories Required
The following pro
grams require collecting the nutritional risk scores for registered clients. • Home-Delivered Meals
• Congregate Meals
• Nutritional Counseling
What to Include?
Title III C n
utrition programs shall only use the DETERMINE Checklist to evaluate the client’s nutrition risk score.

The nutrition risk questionnaire must be filled out at initial intake or registration along with other client information then reported through the data collection system. After initial intake/registration, annually update and report nutrition risk information and other basic client data.

How to Determine Score?
Each question
has a weighted point value. The sum determines the reported nutritional risk score. • If s
core is 0-5, then client is not at nutritional risk.
• If score is
6 or greater, then client is at nutritional risk.

Exhibit F: Sourcewise Provider Manual
DRAFT
What is Reviewed?
CDA will review
data to determine if the AAA is serving individuals at nutritional risk. CDA bases its target ranges on statewide analysis of the average number of participants at nutritional risk. Target percentages may be adjusted on an annual basis.

Program Target percentage of all reported participants
For the Congregate Meals (C-1) 21% or higher at nutritional risk Home-Delivered Meals (C-2) 65% or higher at nutritional risk DETERMINE Checklist
The following is the DET
ERMINE Checklist with weighted/scored values. The interviewer may need to provide additional clarification.

Determine Your Nutritional Health Circle if
yes
I have an illness or condition that made me change the kind and/or amount of food I eat. 2
I eat fewer than 2 meals per day. 3
I eat few fruits or vegetables or milk products. 2
I have 3 or more drinks of beer, liquor or wine almost every day. 2 I have tooth or mouth problems that make it hard for me to eat. 2 I don’t always have enough money to buy the food I need. 4 I eat alone most of the time. 1
I take 3 or more different prescribed or over-the-counter drugs a day. 1 Without wanting to, I have lost or gained 10 pounds in the last 6 months. 2
I am not always physically able to shop, cook and/or feed myself. 2 Total Score:
(If equal to or greater than 6, the client is at nutritional risk) Declined to State
Exhibit F: Sourcewise Provider Manual
DRAFT
Case Information
Effective st
arting July 1, 2021, the Legal Assistance Service category is a registered service. In addition to required client data, the following case information is needed:
• Case ID
• Ca
se
Opened Date
• Case Closed Date
• Service Type
• Service Level
NOTE: Legal Assistance data will now be reported through CARS. The final required CDA 1022 form will cover the fourth quarter of State Fiscal Year 2021. Thereafter, the 1022 form will no longer be accepted.

Exhibit F: Sourcewise Provider Manual
DRAFT
Introduction
There may be
other questions added to provide more helpful client information. Some common ones are listed below. These are not required CARS elements and must not be reported in CARS.

Assessment Type
Assessment types (may be he
lpful) are as follows:
• New Client
• Annual Reassessment
• Significant Change in Condition
Office N
otes
Identification of intake/ assessment date and the staff reviewing the information is useful.

Contact Information
To assign a unique identification number to each participant to be used internally only dat a management systems may use any combination of name, address, phone number, or the last four digits of the participant’s
Social Security Number for record identification. This avoids duplicating information by recording clie
nt level detail for each p articipant and will enable tracking the client’s services by provider and program.
• First Name
• Middle Name
• Last N
ame
• Other name(s)
• Home Address
• City
• Mailing if Different
• Telephone Number
• Cell Number
• Email Address
Exhibit F: Sourcewise Provider Manual
DRAFT
Optional Client Level Detail, Continued
Living Arrangement with Others
This section can help to identify the following client living arrangements when not living alone:
 Lives w/Spouse
 Li
ves w/Child
 Lives w/Relative
 Lives w/Other(s)
 Senior Apartment
Source of Support
This section can hel
p to identify the following various types of caregiving support:
 Family
 Friend
/ Neighbo
r
 Paid Help
 Unsure
 None
Transportation Services
The following options c
an help to identify type(s) of transportation assistance needed:
 Walks with No Assistance
(Non-Assisted)
 Walks with Assistance
(Assisted)
 Wheelchair ramp/lift
Other Characteristics
The following options c
an help to identify if other conditions or assistance are needed.

CHECK AIDS CURRE NTLY US
ED:
 Cane
 Glasses/ Contacts
 Hearing Aid
 Oxygen
 Pacemaker
 TTY Phone
 Walker
 Wheelchair
 Other:

ABILITY TO SPEAK ENGLISH:
 Speaks English  Non-English Language  Need Interpreter DO YOU RECEIVE HELP FROM OTHER ORGANIZATION(S)?
 Yes
 No
 If so, which
one(s):

Exhibit F: Sourcewise Provider Manual
DRAFT
Emergency Identification
This secti
on can allow the client to designate a contact person to call during or after an emergency event:

Emergency Contact Person
Name: __________________________________________________________________________ Address: _______________________________________
Relationship to Client: _____________________________
Telephone number: ( ) - _______
Disaster Registry
In case of an e
mergency declaration, the following identification can help build a Disaster Registry to identify those high-risk clients that may need evacuation assistance.

A client is considered High Risk under Emergency Declaration if any of the following exists.

Check all that apply.
 Housebound seni
ors and people with physical disabilities that DO NOT have an existing network of support
 Significant
mobility, vision, or hearing impairment
 Elderly or medically
fragile
 Disabling mental illness
or developmental disability
 Requires refrigeration of medication and/or is insulin dependent  Reliance on life-support, oxygen, or dialysis
 Not applicable
Eligibility for Title III B Registered Services
To determin
e eligibility for registered Supportive Services (Title III B) the following question can be asked: Are you age 60 or over?
 Yes
 No
Exhibit F: Sourcewise Provider Manual
DRAFT
Eligibility for Title III C-1 & C-2
To determin
e eligibility for Congregate Meals (Title III C-1) and Home-Delivered Meals (Title III C-2) the following questions can be asked.

QUESTIONS FOR THE CONGREGATE MEALS (C-1) ELIGIBILITY:
 Are you over 60?
 Are you the spouse or domestic partner of an Elderly Nutrition Program (ENP) participant who is over the age of 60?
 Are you a person with a disability, who resides in housing where the congregate site is located?
 Are you a person with a disability who resides with and accompanies an ENP participant?  Are you a volunteer under the age of 60? (May have a meal if it does not deprive a senior of a meal.)
QUESTIONS FOR HOME-DELI VERED MEALS (C-2) ELIGIBILITY:
 Are you homebound due to an illness, disability, or isolation?  Are you a spouse of a person who is homebound?
 Are you an individual with a disability who resides with a homebound meal recipient? QUESTIONS TO DETERMINE EQUIPMENT CONDITIONS AND CLIENT ABILITIES:
 Does the client have any dietary restrictions?
 Does the client have a working refrigerator?
 Does the client have a working microwave?
 Is client physically and mentally able to open the food containers?  Is client physically and mentally able to reheat a meal?  Are there pets inside or outside the home?
Exhibit F: Sourcewise Provider Manual
DRAFT
Eligibility for Title III E
To determine elig
ibility for Title III E, FCSP Caregivers of Older Adults or Elderly Relative, the following questions may be asked.

CAREGIVER CARING OF OLDER ADULTS CRITERIA

1. Is the Care Receiver an older individual (60 years o f age or older) or an individual (of any age) with Alzheimer’s disease or related disorder with neurological and organic brain dysfunction? Yes No

2. Is the Caregiver an adult (18 years of age or older) family member or another individual (e.g., friend or neighbor) who is an informal (i.e
., unpaid) provider of in-home or community care to an “ elderly” Care Receiver?
Yes No
If answered “yes” to both questions above, the individual is qualified for “Fam ily Caregivers of Older Adults.” If requesting “Respite Care”
or “Supplemental Services,” the Care Receiver must also have two or more ADL deficiencies or a cognitive impairment.

OLDER ELDER RELATIVE ELIGIBILITY CRITERIA

1. Is the Care Receiver an individual who is not more than 18 years of age or who is an individual (of any age)
with a disability?
Yes No

2. In the case of a caregiver for a child, is the Caregiver a grandparent, step-grandparent, pa rent, or other older relative by blood, marriage, o r adoption who is 55 years of age or older, living with the child, and identified as the
primary caregiver through a legal or informal arrangement? Biological and adoptive parents are excluded.

Yes
No

3. In the case of a caregiver for an individual with a disability, is the caregiver a parent, grandparent, or other relative by blood, marriage,
or adoption who is 55 years of age or older, and living with the individual with a disability?
Yes No
If answered “yes” to either questions 1 and 2 or 1 and 3 above, the individual is qualified for "Older Elderly Relativ
e Services.”
If the Care Receiver does not meet any of the criteria abo ve, the Caregiver is ineligible to receive FCSP services, but may qualify to receive other services provided by the AAA.

Exhibit F: Sourcewise Provider Manual
DRAFT
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Optional Client Level Detail, Continued
Resources to Determine Eligibility
The following links are to reference documents for the Title III E, Family Caregiver Support Program.

CDA Statistical
Fact Sheets and Program Narratives
www.aging.ca.gov/Data_and_Statistics/#Statistical
Provide information on the program purpose
, eligibility requirements, and history.

CDA Service Categories Data Dictionary
www.aging.ca.gov/Providers_and_Partners/Area_Agencies_on_Aging Provides category definitions.

Exhibit F: Sourcewise Provider Manual
DRAFT
Introduction
Some OAA prog
rams do not require collecting any client-level demographic information. These programs target groups or provide sensitive services that may make client-level data collection difficult.

What to Include?
Report es
timated total clients/audience by each service category for each quarter. AAAs will be required to report at least:
• Nutritional Education
• Information and Assistance
• Disease Prevention and Health Promotion
• Elder Abuse Prevention, and
• Other NAPIS Services
There are no required client fields in non-registered services. It is optional for AAAs to collect this information based on the guidelines described in the required client fields for Registered Services.

What is Reviewed?
CDA reviews the e
stimated enrollments and service units on a quarterly and annual basis.

Exhibit F: Sourcewise Provider Manual
DRAFT
Chart Guidelines
Apply the
following chart to determine if form(s) or records have the required data collection and reporting elements for Title III B, C, D, and VII B Non-Registered services.

CARS - Required Title III B, C, D, and VII Non-Registered Fields Service Category Service Units
Estimated
Clients/
Audience
Funding
Source
Transportation X One-way Trip X III B
Nutritional Education1 X Session per
Participant X III C
Information and Assistance1 X Contact X III B
Outreach X Contact X III B
Health Promotion1 X Contact X III D
Alzheimer's Day Care Services (“Other” NAPIS
Services)
X Day of
Attendance X III B
Cash/Material Aid (“Other” NAPIS Services) X Assistance X III B Community Education (“Other” NAPIS Services) X Activity X III B Comprehensive Assessment (“Other” NAPIS Services) X Hour X III B Disaster Preparedness Materials (“Other” NAPIS
Services)
X Product X III B
Elder Abuse Prevention, Education and Training 1
(“Other” NAPIS Services)
X Session X VII
Elder Abuse Prevention Educational Materials1
(“Other” NAPIS Services)
X Product X VII
Employment (“Other” NAPIS Services) X Activity X III B
Health (“Other” NAPIS Services) X Hour X III B
Housing (“Other” NAPIS Services) X Hour X III B
Interpretation/ Translation (“Other” NAPIS Services) X Contact X III B Mobility Management Activities (“Other” NAPIS
Services) X Hour X III B
Mental Health (“Other” NAPIS Services) X Hour X III B
Peer Counseling (“Other” NAPIS Services) X Hour X III B (X) Required Element
1Required service categories. Elder Abuse Prevention requires at least one reported service category.

Exhibit F: Sourcewise Provider Manual
DRAFT
CARS Required Title III B, C, D, and VII Non-Registered Fields, Continued Service Category Service Units
Estimated
Clients/
Audience
Funding
Source
Personal Affairs Assistance (“Other” NAPIS Services) X Contact X III B Personal/Home Security (“Other” NAPIS Services) X Product X III B Public Information (“Other” NAPIS Services) X Activity X III B Registry (“Other” NAPIS Services) X Hour X III B
Residential Repairs/Modifications (“Other” NAPIS
Services) X Modification X III B
Respite Care (“Other” NAPIS Services) X Hour X III B
Senior Center Activities (“Other” NAPIS Services) X Hour X III B Telephone Reassurance (“Other” NAPIS Services) X Contact X III B Visiting (“Other” NAPIS Services) X Hour X III B
(X) Required Element
1Required service categories. Elder Abuse Prevention requires at least one reported service category.

Chart Guidelines
Apply the
following chart to determine if form(s) or records have the required data collection and reporting elements for Title III E Non-Registered services.

CARS Title III E, FCSP Caring for Elderly or Caring for Child Required Non- Registered Fields
Service Category Service Units Estimated
Clients/Audience
Outreach (Access Assistance) X Contact X
Information and Assistance (Access Assistance) X Contact X Interpretation/Translation (Access Assistance) X Contact X Legal Resources (Access Assistance) X Contact X
Public Information (Information Services) X Activity X
Community Education (Information Services) X Activity X (X) Required Element
Exhibit F: Sourcewise Provider Manual
DRAFT
The following list contains web links of applicable laws/regulations/policies:
• Area Plan Contract - www.aging.ca.gov/Contracts_Download_Page • CCR - California Code of Regulations, Title 22 Division 1.8 - www.govt.westlaw.com/calregs • CFR - Code of Federal Regulations, Title 45 Part 1321 - www.ecfr.gov • OAA - Older Americans Act - www.acl.gov/about-acl/authorizing-statutes/older-americans-act • OCA - California Welfare and Institutions (W&I) Code, Division 8.5 Mello-Granlund Older Californians Act - www.leginfo.legislature.ca.gov
• NAPIS SPR – ACL National Aging Program Information System State Program Reports - www.acl.gov/programs/state-program-reports
• PM - CDA Program Memoranda - www.aging.ca.gov/PM
Exhibit F: Sourcewise Provider Manual
DRAFT

Title III - Intake and Assessment
Sample Forms

CALIFORNIA DEPARTMENT OF AGING

HOME AND COMMUNITY LIVING DIVISION
www.aging.ca.gov

July 2021

Exhibit F: Sourcewise Provider Manual
DRAFT
n _ C ALIFORNIA
A~rNG

Introduction

Because each AAA has tailored programs to meet their community needs, CDA does not have required intake or assessment forms. CDA has designed these sample templates to help the AAAs evaluate and create their own forms for collecting and recording required performance data elements.

What is Reviewed

CDA reviews the forms to ensure all required data collection elements are integrated.

AAAs may use these forms, revise them, or create forms to meet local needs. AAAs do not have to use these sample templates.

Forms

This section contains the following templates:

Sample 1
• Title III B, C-1, C-2, and D (Cluster 1& 2, Registered) • Personal Care, Homemaker, Chore, Home-Delivered Meals, Adult Day Care/Health, Case Management, Congregate Meals, Nutritional Counseling, Assisted Transportation, Other Non-Registered Services

Sample 2
• Title III B, C-2 (Cluster 1)
• Personal Care, Homemaker, Chore, Home-Delivered Meals, Adult Day Care/Health, Case Management

Sample 3
• Title III B, C1, and D (Cluster 2)
• Congregate Meals, Nutritional Counseling, Assisted Transportation

Sample 4
• Title III C-2
• Home-Delivered Meals

Sample 5
• Title III C-1
• Congregate Meals

Exhibit F: Sourcewise Provider Manual
DRAFT

Sample 6
• Title III E (Group 1, Registered)
• Caring for Elderly, Caring for Child

Sample 7
• Title III E (Group 1)
• Caring for Elderly

Sample 8
• Title III E (Group 1)
• Caring for Child

Sample 9
• Title III B (Cluster III, Non-Registered)
• Information and Assistance

Sample 10
• Title III B
• Legal Assistance

Exhibit F: Sourcewise Provider Manual
DRAFT

[Page 1 of 2]
CDA Sample 1, Title III B, C-1, C-2, Registration-Assessment Form (2021) SAMPLE 1, TITLE III
Provider Name: Unique Participate ID: ___________________________ Registration/Assessment Date: ___________________
Termination Date: *Reason:

Region/Site Name:

Service Categories (Titles IIIB, IIIC and IIID):
*Personal Care (IIIB) (A, I) *Homemaker (IIIB) (A, I) *Chore (IIIB) (A, I) *Home-Delivered Meals (A, I, N) *Adult Day Care/Health (IIIB) (A, I) *Case Management (IIIB) (A, I) *Assisted Transportation (IIIB) *Congregate Meals (N) *Nutrition Counseling (N) Other: ____________________________

Notes: Reference the Data Dictionary for allowable “Other” service categories; Requires A-ADLs, I-IADLs, N-Nutritional Assessments on Page 2 SECTION 1 (Client)
(*) Required for All Registered Programs
PERSONAL DATA (Please print):

First Name:

Middle Initial:

Last Name:
*What is your
gender?
(Check only one)
Male Female
Transgender Male to Female
Transgender Female to Male
Genderqueer/Gender Non-binary
Not Listed, please specify:
______________________________
Declined/not stated
*What was your
sex at birth?
(Check only one)
Male Female
Declined/not stated
*How do you
describe your
sexual
orientation or
sexual identity?
(Check only one)
Straight/Heterosexual
Bisexual
Gay/Lesbian/Same-Gender Loving
Questioning/Unsure
Not Listed, please specify:
______________________________
Declined/not stated
Residential Address:

Street:

City:
*Zip Code:

Mailing Address:

Same as Residential? Yes – Skip to Next Section
Street:

City:
*Zip Code:
*Ethnicity:

Not Hispanic/Latino
Hispanic/Latino
Declined/not stated
*Race:
(Check all that
apply)
White Black
American Indian/Alaska Native
Asian:

Yes (At or below FPL)
No (Above FPL)
Declined/not stated
*Lives Alone? Yes No
Declined/not stated
*Rural? Yes No
Declined/not stated

Exhibit F: Sourcewise Provider Manual
DRAFT
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[Page 2 of 2]
CDA Sample 1, Title III B, C-1, C-2, Registration-Assessment Form (2021) SECTION 2 – ADL and IADL (Activities of Daily Living and Instrumental Activities of Daily Living – Annual Assessment) *Required for (III-C): Home Delivered Meals; (III-B): Personal Care, Homemaker, Chore, Adult Day Care, Case Management ADLs: 1 –
Independent
2 – Verbal
Assistance
3 – Some
Human Help
4 – Lots of
Human Help
5 –
Dependent
Declined to
State
*Eating
*Bathing
*Toileting
*Transferring In/Out of
Bed/Chair
*Walking
*Dressing
Notes:

IADLS: 1 –
Independent
2 – Verbal
Assistance
3 – Some
Human Help
4 – Lots of
Human Help
5 –
Dependent
Declined to
State
*Meal Preparation
*Shopping
*Medication Management
*Money Management
*Using Telephone
*Heavy Housework
*Light Housework
*Transportation
Notes:

SECTION 3 – Nutritional Risk Assessment (Annual)
* Required for (IIIC): Home-Delivered Meals, Congregate Meals; Nutritional Counseling *Nutritional Risk Assessment: Circle if yes
I have an illness or condition that made me change the kind and/or amount of food I eat. 2 I eat fewer than 2 meals per day. 3
I eat few fruits or vegetables or milk products. 2
I have 3 or more drinks of beer, liquor or wine almost every day. 2 I have tooth or mouth problems that make it hard for me to eat. 2 I don’t always have enough money to buy the food I need. 4 I eat alone most of the time. 1
I take 3 or more different prescribed or over–the-counter drugs a day. 1 Without wanting to, I have lost or gained 10 pounds in the past 6 months. 2 I am not always physically able to shop, cook, and/or feed myself. 2 Total Score:

Is Nutrition Risk total score 0-5 or 6+? 0 - 5 6+

Declined to State
Exhibit F: Sourcewise Provider Manual
DRAFT□

[Page 1 of 2]
CDA Sample 2, Cluster 1 Title III B, C-1, C-2, Registration-Assessment Form (2021) SAMPLE 2, CLUSTER 1
Provider Name: Unique Participate ID: ___________________________ Registration/Assessment Date: ___________________
Termination Date: *Reason:

Region/Site Name:

Service Categories (Titles IIIB and IIIC):
*Personal Care (IIIB) (A, I) *Homemaker (IIIB) (A, I) *Chore (IIIB) (A, I) *Home-Delivered Meals (A, I, N) *Adult Day Care/Health (IIIB) (A, I) *Case Management (IIIB) (A, I)

First Name:

Middle Initial:

Street:

City:
*Zip Code:

Mailing Address:

Same as Residential? Yes – Skip to Next Section
Street:

City:
*Zip Code:

Emergency
Contact:

Name:

Relationship:

Phone #: ( )
*Ethnicity:

Not Hispanic/Latino
Hispanic/Latino
Declined/not stated
*Race:
(Check all that
apply)
White Black
American Indian/Alaska Native
Asian:

Yes (At or below FPL)
No (Above FPL)
Declined/not stated
*Lives Alone? Yes No
Declined/not stated
*Rural? Yes No
Declined/not stated

Exhibit F: Sourcewise Provider Manual
DRAFT
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[Page 2 of 2]
CDA Sample 2, Cluster 1 Title III B, C-1, C-2, Registration-Assessment Form (2021) SECTION 2 – ADL and IADL (Activities of Daily Living and Instrumental Activities of Daily Living – Annual Assessment) *Required for (III-C): Home Delivered Meals; (III-B): Personal Care, Homemaker, Chore, Adult Day Care, Case Management ADLs: 1 –
Independent
2 – Verbal
Assistance
3 – Some
Human Help
4 – Lots of
Human Help
5 –
Dependent
Declined to
State
*Eating
*Bathing
*Toileting
*Transferring In/Out of
Bed/Chair
*Walking
*Dressing
Notes:

Is Nutrition Risk total score 0-5 or 6+? 0 - 5 6+

Declined to State

Exhibit F: Sourcewise Provider Manual
DRAFT □

[Page 1 of 2]
CDA Sample 3, Cluster 2, Title III B, C-1, Registration-Assessment Form (2021) SAMPLE 3, CLUSTER 2
Provider Name: Unique Participate ID: ___________________________ Registration/Assessment Date: ___________________
Termination Date: *Reason:

Region/Site Name:

Service Categories (Titles IIIB and IIIC):
*Assisted Transportation *Congregate Meals (N) *Nutrition Counseling (N)

Notes: Requires N-Nutritional Assessments on Page 2
SECTION 1 (Client)
(*) Required for All Registered Programs
PERSONAL DATA (Please print):

First Name:

Middle Initial:

Home Phone: ( )
Residential Address:

Street:

City:
*Zip Code:

Mailing Address:

Same as Residential? Yes – Skip to Next Section
Street:

City:
*Zip Code:

Emergency
Contact:

Name:

Relationship:

Phone #: ( )
*Ethnicity:

Not Hispanic/Latino
Hispanic/Latino
Declined/not stated
*Race:
(Check all that
apply)
White Black
American Indian/Alaska Native
Asian:

Yes (At or below FPL)
No (Above FPL)
Declined/not stated
*Lives Alone? Yes No
Declined/not stated
*Rural? Yes No
Declined/not stated
Transportation Service Needs:

Walks with no assistance (Non-Assisted)
Walks with assistance (Assisted)
Wheelchair ramp/lift

Exhibit F: Sourcewise Provider Manual
DRAFT
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[Page 2 of 2]
CDA Sample 3, Cluster 2, Title III B, C-1, Registration-Assessment Form (2021) SECTION 2 – Nutritional Assessment (Annual)
* Required for (IIIC): Congregate Meals, Nutritional Counseling *Nutritional Assessment: Circle if yes
I have an illness or condition that made me change the kind and/or amount of food I eat. 2 I eat fewer than 2 meals per day. 3
I eat few fruits or vegetables or milk products. 2
I have 3 or more drinks of beer, liquor or wine almost every day. 2 I have tooth or mouth problems that make it hard for me to eat. 2 I don’t always have enough money to buy the food I need. 4 I eat alone most of the time. 1
I take 3 or more different prescribed or over–the-counter drugs a day. 1 Without wanting to, I have lost or gained 10 pounds in the past 6 months? 2 I am not always physically able to shop, cook, and/or feed myself. 2 Total Score:

Is Nutrition Risk total score 0-5 or 6+? 0 - 5 6+

Declined to State

Notes:

Exhibit F: Sourcewise Provider Manual
DRAFT
□

[Page 1 of 2]
CDA Sample 4, Title III C-2, Home-Delivered Meals, Registration-Assessment Form (2021) SAMPLE 4, C-2
Name of Home-Delivered Meals
Provider This form is designed to be completed by
an intake staff. Items marked with an asterisk (*) are
required.

Route:

Intake Date: _________
Active Date: _________ Inactive Date: _________
Active Date: _________ Inactive Date: _________
Active Date: _________ Inactive Date: _________
*Unique Participant ID: *Termination Date: Reason:
*Date of Birth:
/ /
New client
Annual reassessment
Change in information
First Name: Last Name:

Home Address City: *Zip Code
Home Phone: ( )
Alternate Phone: ( )
Emergency Contact Name:

Address:

Phone: ( ) Relationship:
*Living Arrangement
# of household members:

Declined/not stated
*What is your approximate household income?
$ ___________________ per month year
Declined/not stated
*Rural Area:

Yes No
Declined/not stated
*What is your gender?
(Check only one)
Male Female
Transgender Male to Female
Transgender Female to Male
Genderqueer/Gender Non-binary
Not Listed, please specify:
______________________________
Declined/not stated
*What was your sex at
birth? (Check only one)
Male
Female
Declined/not stated
*How do you describe your sexual orientation or
sexual identity?
(Check only one)
Straight/Heterosexual
Bisexual
Gay/Lesbian/Same-Gender Loving
Questioning/Unsure
Not Listed, please specify:
______________________________
Declined/not stated
*Ethnicity: (Check one)
Hispanic Yes No Declined/not stated
Language:

English Speaking Need interpreter Non-English/Language *Race: (Check all that apply)
White Black American Indian/Alaska Native Asian:

Asian Indian Cambodian Chinese Filipino Japanese Korean Laotian Vietnamese Other Asian Hawaiian/Other Pacific Islander Guamanian Hawaiian Samoan Other Pacific Islander Declined/not stated
ADLs: ADLs and IADLs (Activities of Daily Living and Instrumental Activities of Daily Living) Please rate your functional abilities for the following activities.

ADLs Rated Value IADLs Rated Value IADLs Rated Value RATING SCALE

1 – Independent
2 – Verbal
Assistance
3 – Some Human
Help
4 – Lots of Human
Help
5 – Dependent
6 - Declined to
State
Feeding Meal Preparation Light Housework
Dressing Shopping Heavy Housework
Bathing Manage Medication Notes:

Transferring In/Out
of Chair Money Management
Walking Telephone
Toileting Transportation
Exhibit F: Sourcewise Provider Manual
DRAFT
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[Page2 of 2]
CDA Sample 4, Title III C-2, Home-Delivered Meals, Registration-Assessment Form (2021) Eligibility:

Are you homebound due to an illness, disability, or isolation? Are you a spouse of a home-delivered meal recipient?
Are you an individual with a disability who resides with a home-delivered meal recipient? Prioritization:

*Nutritional Risk Assessment: Circle if yes
I have an illness or condition that made me change the kind and/or amount of food I eat. 2 I eat fewer than 2 meals per day. 3
I eat few fruits or vegetables or milk products. 2
I have 3 or more drinks of beer, liquor or wine almost every day. 2 I have tooth or mouth problems that make it hard for me to eat. 2 I don’t always have enough money to buy the food I need. 4 I eat alone most of the time. 1
I take 3 or more different prescribed or over–the-counter drugs a day. 1 Without wanting to, I have lost or gained 10 pounds in the past 6 months. 2 I am not always physically able to shop, cook, and/or feed myself. 2 Total Score:
*Is Nutrition Risk Total Score 0-5 or 6+ ? 0-5 6+

Declined to State

Yes No Comments
Do you have any dietary restrictions?
Do you have a working refrigerator?
Do you have a working microwave?
Are you physically and mentally able to open the food containers? Are you physically and mentally able to reheat a meal?
Are there pets?
Have you recently been discharged from the hospital?

Referral(s) Made:

Nutritional education/counseling for at risk client
Other:

Other:

Notes:

____________________________________________________ _________________________ Staff Completing Assessment Date
Exhibit F: Sourcewise Provider Manual
DRAFT
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[Page 1 of 2]
CDA Sample 5, Title III C-1, Congregate Meals, Registration-Assessment Form (2021) SAMPLE 5, C-1
Name of Congregate Meal Provider
{Provider Name}
Please complete this form to the best of your
ability. Items marked with an asterisk (*) are
required.
*Unique Participate ID: _________
Referred by: __________________
Intake Date: ___________________
Staff: ________________________
Beginning Date: ________________
*Termination Date: _____________
*Reason: _____________________
Eligibility:

Age 60+
Spouse of congregate meal
participant
Disabled person residing where
the congregate site is located
Disabled person who resides
with and accompanies a congregate
meal participant
Volunteer
First Name: Last Name: *Date of Birth:

Home Address City: *Zip Code
Mailing Address: Same As Residential? Yes City: *Zip Code Home Phone: ( )
Alternate Phone: ( )
Emergency Contact Name:

Address:

Phone: ( ) Relationship:
*Living Arrangement
# of household members:

Declined/not stated
*What is your approximate household income?
$ ___________________ per month year
Declined/not stated
*Rural Area:

English Speaking Need interpreter Non-English/Language *Race: (Check all that apply)
White Black American Indian/Alaska Native Asian:

Asian Indian Cambodian Chinese Filipino Japanese Korean Laotian Vietnamese Other Asian Hawaiian/Other Pacific Islander Guamanian Hawaiian Samoan Other Pacific Islander Declined/not stated
Notes:

Exhibit F: Sourcewise Provider Manual
DRAFT
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[Page 2 of 2]
CDA Sample 5, Title III C-1, Congregate Meals, Registration-Assessment Form (2021) *Nutritional Risk Assessment: Circle if yes
I have an illness or condition that made me change the kind and/or amount of food I eat. 2 I eat fewer than 2 meals per day. 3
I eat few fruits or vegetables or milk products. 2
I have 3 or more drinks of beer, liquor or wine almost every day. 2 I have tooth or mouth problems that make it hard for me to eat. 2 I don’t always have enough money to buy the food I need. 4 I eat alone most of the time. 1
I take 3 or more different prescribed or over–the-counter drugs a day. 1 Without wanting to, I have lost or gained 10 pounds in the past 6 months. 2 I am not always physically able to shop, cook, and/or feed myself. 2 Total Score:

Is Nutrition Risk total score 0-5 or 6+ ? 0 - 5 6+

Declined to State

I understand that the information I am providing on this form is for registration purposes. I understand it will be kept confidential and that the Area Agency on Aging and service providers may use it to help identify other services for which may benefit.

_________________________________________________________ ____________________________ Signature of participant or person completing the form Date Exhibit F: Sourcewise Provider Manual
DRAFT
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[Page 1 of 4]
CDA Sample 6, Title III E, Caregivers of Older Adults, Older Elderly Relative, Registration-Assessment Form (2021) SAMPLE 6, TITLE III E CAREGIVERS OF OLDER ADULTS, OLDER ELDERLY RELATIVE

SECTION 1 – Service Information
Provider Name: Registration/Assessment Date:

*Termination Date: *Reason: Region/Site Name:

Service Categories:

Caregivers of Older Adults Caregivers of Older Adults
Notes: Check Eligibility criteria below to determine for which program caregiver qualifies

Title III E, Family Caregiver Support Program Services to be Provided Support Services:

Caregiver Assessment Caregiver Support
Caregiver Counseling Caregiver Training
Caregiver Peer Counseling Case Management

Respite Care Services:
(Care Receiver must have
2 or more ADL limitations, a
cognitive impairment, or be
grandparent/elder caregiver
to qualify)
In-Home Supervision
Homemaker Assistance
In-Home Personal Care
Home Chore
Out of Home Day
Out of Home Overnight
Supplemental Services: (Care Receiver must have 2 or more ADL limitations, a cognitive impairment, or be a grandparent/older caregiver to qualify)
Assistive Devices Home Adaptations for Caregiving Caregiving Services Registry Cash/Material Aid Access Assistance:

Information & Assistance Caregiver Outreach
Interpretation/Translation
Caregiver Legal Resources
Information Services:

Public Information on Caregiving
Community Education on Caregiving
SECTION 2 – Eligibility Criteria
Caregivers of Older Adults Eligibility Criteria

1. Is the Care Receiver an older individual (60 years of age or older) or an individual (of any age) with Alzheimer’s disease or related disorder with neurological and organic brain dysfunction? Yes No

If answered “yes” to both questions above, check “Family Caregiver Caring for Elderly” box in Section 1. If answered “no” check to see if individual qualifies for “Grandparent/Older Caregiver Caring for Child” component below.

Older Elderly Relative Eligibility Criteria

1. Is the Care Receiver an individual who is not more than 18 years of age or who is an individual (of any age) with a disability? Yes No

2. Is the Caregiver a grandparent, step-grandparent, or other older relative of a child by blood, marriage, or adoption who is 55 years of age or older, living with the child, and identified as the primary caregiver through a legal or informal arrangement. Biological and adoptive parents are excluded. Yes No If answered “yes” to both questions above, check “Grandparent/Older Caregiver Caring for Child” box in Section 1.

If the Care Receiver does not meet any of the criteria above, the Caregiver is ineligible to receive FCSP services, but may qualify to receive other services provided by the Area Agency on Aging.

Exhibit F: Sourcewise Provider Manual
DRAFT
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[Page 2 of 4]
CDA Sample 6, Title III E, Caregivers of Older Adults, Older Elderly Relative, Registration-Assessment Form (2021) SECTION 3 (FCSP Caregiver)
(*) Required for Family Caregiver Support Program Services

Caregiver Personal Data (Please print):
*Unique
Participant ID
First Name:

Middle Initial:

Home Phone: ( )
Residential Address:

Street:

City:
*Zip Code:

Mailing Address:

Same as Residential? Yes – Skip to Next Section
Street:

City:
*Zip Code:

Demographics:
*Ethnicity:

Not Hispanic/Latino
Hispanic/Latino
Declined/not stated
*Federal Poverty
Level (FPL):

Yes (At or below FPL)
No (Above FPL)
Declined/not stated
*Lives Alone? Yes No
Declined/not stated
*Rural? Yes No
Declined/not stated
*Race: (Check all that apply)
White Black American Indian/Alaska Native
Asian:

Husband Wife
Grandparent Domestic Partner
Daughter/Daughter-in-law
Son/Son-in-law
Brother Sister
Parents
Other Relative
Non-Relative
Declined/not stated
*Relationship
Status:

Single (never married) Married
Domestic Partner Separated
Divorced Widowed
Declined/not stated
*Employment:

Full Time Unemployed
Part Time Declined/not stated
Retired

Exhibit F: Sourcewise Provider Manual
DRAFT
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[Page 3 of 4]
CDA Sample 6, Title III E, Caregivers of Older Adults, Older Elderly Relative, Registration-Assessment Form (2021) SECTION 4 (FCSP Care Receiver)
(*) Required for Family Caregiver Support Program Services

Caregiver Personal Data (Please print):
*Unique
Participant ID
First Name:

Middle Initial:

Home Phone: ( )
Residential Address:

Street:

City:
*Zip Code:

Mailing Address:

Same as Residential? Yes – Skip to Next Section
Street:

City:
*Zip Code:

Demographics:
*Ethnicity:

Not Hispanic/Latino
Hispanic/Latino
Declined/not stated
*Federal Poverty
Level (FPL):

Yes (At or below FPL)
No (Above FPL)
Declined/not stated
*Lives Alone? Yes No
Declined/not stated
*Rural? Yes No
Declined/not stated
*Race: (Select all that apply)
White Black American Indian/Alaska Native
Asian:

Single (never married)
Married
Domestic Partner
Separated
Divorced
Widowed
Declined/not stated

Exhibit F: Sourcewise Provider Manual
DRAFT
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[Page 4 of 4]
CDA Sample 6, Title III E, Caregivers of Older Adults, Older Elderly Relative, Registration-Assessment Form (2021) SECTION 5 – (FCSP Care Receiver)
ADL and IADL (Activities of Daily Living and Instrumental Activities of Daily Living) *Required for the Care Receiver only in Support Services, Respite Care, and Supplemental Services.

(Not required for Care Receivers in FCSP Older Adults/Relative) ADLs: 1 –
Independent
2 – Verbal
Assistance
3 – Some
Human Help
4 – Lots of
Human Help
5 –
Dependent
Declined to
State
*Eating
*Bathing
*Toileting
*Transferring In/Out of
Bed/Chair
*Walking
*Dressing
Notes:

Exhibit F: Sourcewise Provider Manual
DRAFT

[Page 1 of 4]
CDA Sample 7, Title III E, Caregivers of Older Adults, Registration-Assessment Form (2021) SAMPLE 7, TITLE III E, CAREGIVERS OF OLDER ADULTS

SECTION 1 – Service Information
Provider Name: Registration/Assessment Date:

*Termination Date: *Reason: Region/Site Name:

Title III E, Family Caregiver Support Program Services to be Provided Support Services:

Caregiver Assessment Caregiver Support
Caregiver Counseling Caregiver Training
Caregiver Peer Counseling Case Management

Information & Assistance Caregiver Outreach
Interpretation/Translation
Caregiver Legal Resources
Information Services:

Public Information on Caregiving
Community Education on Caregiving
SECTION 2 – Eligibility Criteria
Caregivers of Older Adults Eligibility Criteria

1. Is the Care Receiver an older individual (60 years of age or older) or an individual (of any age) with Alzheimer’s disease or related disorder with neurological and organic brain dysfunction? Yes No

2. Is the Caregiver an adult (18 years of age or older) family member or another individual (e.g., friend or neighbor) who is an informal (i.e., unpaid) provider of in-home or community care to an “elderly” Care Receiver? Yes No If the Care Receiver does not meet any of the criteria above, the Caregiver is ineligible to receive FCSP Caregivers of Older Adults services but may qualify to receive other services provided by the Area Agency on Aging.

Notes:

Exhibit F: Sourcewise Provider Manual
DRAFT
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[Page 2 of 4]
CDA Sample 7, Title III E, Caregivers of Older Adults, Registration-Assessment Form (2021) SECTION 3 (FCSP Caregiver)
(*) Required for Family Caregiver Support Program Services

Caregiver Personal Data (Please print):
*Unique
Participant ID
First Name:

Middle Initial:

Home Phone: ( )
Residential Address:

Street:

City:
*Zip Code:

Mailing Address:

Same as Residential? Yes – Skip to Next Section
Street:

City:
*Zip Code:

Demographics:
*Ethnicity:

Not Hispanic/Latino
Hispanic/Latino
Declined/not stated
*Federal Poverty
Level (FPL):

Husband Wife
Grandparent Domestic Partner
Daughter/Daughter-in-law
Son/Son-in-law
Brother Sister
Other Relative
Non-Relative
Declined/not stated
*Relationship
Status:

Single (never married) Married
Domestic Partner Separated
Divorced Widowed
Declined/not stated
*Employment:

Full Time Unemployed
Part Time Declined/not stated
Retired

Exhibit F: Sourcewise Provider Manual
DRAFT
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[Page 3 of 4]
CDA Sample 7, Title III E, Caregivers of Older Adults, Registration-Assessment Form (2021) SECTION 4 (FCSP Care Receiver)
(*) Required for Family Caregiver Support Program Services

Caregiver Personal Data (Please print):
*Unique
Participant ID
First Name:

Middle Initial:

Home Phone: ( )
Residential Address:

Street:

City:
*Zip Code:

Mailing Address:

Same as Residential? Yes – Skip to Next Section
Street:

City:
*Zip Code:

Demographics:
*Ethnicity:

Not Hispanic/Latino
Hispanic/Latino
Declined/not stated
*Federal Poverty
Level (FPL):

Single (never married)
Married
Domestic Partner
Separated
Divorced
Widowed
Declined/not stated

[Page 4 of 4]
CDA Sample 7, Title III E, Caregivers of Older Adults, Registration-Assessment Form (2021) SECTION 5 – (FCSP Care Receiver)
ADLs: ADLs and IADLs (Activities of Daily Living and Instrumental Activities of Daily Living):

Required for Support Services, Respite Car, and Supplemental Services.

Please rate your functional abilities for the following activities.

ADLs Rated Value IADLs Rated Value IADLs Rated Value RATING SCALE

1 – Independent
2 – Verbal
Assistance
3 – Some Human
Help
4 – Lots of Human
Help
5 – Dependent
6 - Declined to
State
Feeding Meal Preparation Heavy Housework
Dressing Shopping Light Housework
Bathing Manage Medication Notes:

Transferring In/Out
of Chair Money Management
Walking Telephone
Toileting Transportation
Exhibit F: Sourcewise Provider Manual
DRAFT

[Page 1 of 3]
CDA Sample 8, Title III E, Older Elderly Relative, Registration-Assessment Form (2021) SAMPLE 8, TITLE III E, OLDER ELDERLY RELATIVE

SECTION 1- Service Information
Provider Name: Registration/Assessment Date:

*Termination Date: *Reason: Region/Site Name:

Title III E, Family Caregiver Support Program Services to Be Provided Support Services:

Caregiver Assessment Caregiver Support
Caregiver Counseling Caregiver Training
Caregiver Peer Counseling Case Management

Information & Assistance Caregiver Outreach
Interpretation/Translation
Caregiver Legal Resources
Information Services:

Public Information on Caregiving
Community Education on Caregiving
SECTION 2 – Eligibility Criteria
Caregivers of Older Adults Eligibility Criteria

1. Is the Care Receiver an individual who is not more than 18 years of age or an individual (of any age) with a disability? Yes No

2. Is the Caregiver a grandparent, step-grandparent, or other older relative of a child by blood, marriage, or adoption who is 55 year of age or older living with the child, and identified as the primary caregiver through a legal or informal arrangement? Biological and adoptive parents are excluded Yes No If the Care Receiver does not meet any of the criteria above, the Caregiver is ineligible to receive FCSP Grandparent Caring for Child services but may qualify to receive other services provided by the Area Agency on Aging.

Notes:

Exhibit F: Sourcewise Provider Manual
DRAFT
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[Page 2 of 3]
CDA Sample 8, Title III E, Older Elderly Relative, Registration-Assessment Form (2021) SECTION 3 (Grandparent/Older Caregiver)
(*) Required for Family Caregiver Support Program Services

Caregiver Personal Data (Please print):
*Unique
Participant ID
First Name:

Middle Initial:

Home Phone: ( )
Residential Address:

Street:

City:
*Zip Code:

Mailing Address:

Same as Residential? Yes – Skip to Next Section
Street:

City:
*Zip Code:

Demographics:
*Ethnicity:

Not Hispanic/Latino
Hispanic/Latino
Declined/not stated
*Federal Poverty
Level (FPL):

Grandparent Parent
Other Relative
Non-Relative
Declined/not stated
*Relationship
Status:

Single (never married) Married
Domestic Partner Separated
Divorced Widowed
Declined/not stated
*Employment:

Full Time Unemployed
Part Time Declined/not stated
Retired

Exhibit F: Sourcewise Provider Manual
DRAFT
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[Page 3 of 3]
CDA Sample 8, Title III E, Older Elderly Relative, Registration-Assessment Form (2021) SECTION 4 (Child)
(*) Required for Family Caregiver Support Program Services

Caregiver Personal Data (Please print):
*Unique
Participant ID
First Name:

Middle Initial:

Home Phone: ( )
Residential Address:

Street:

City:
*Zip Code:

Mailing Address:

Same as Residential? Yes – Skip to Next Section
Street:

City:
*Zip Code:

Demographics:
*Ethnicity:

Not Hispanic/Latino
Hispanic/Latino
Declined/not stated
*Federal Poverty
Level (FPL):

Single (never married)
Married
Domestic Partner
Separated
Divorced
Widowed
Declined/not stated
Exhibit F: Sourcewise Provider Manual
DRAFT
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[Page 1 of 1]
CDA Sample 9, Information & Assistance Form (2021)
SAMPLE 9, INFORMATION & ASSISTANCE

Date: _______________________ Staff Completing Intake: ____________________________________

*Indicates optional demographic information that is kept confidential and anonymous. This information is important in understanding the people that we serve.

Demographic Data
*Unique
Participant ID:

Name:
*Birth Date:

Home Phone #: ( )
Email:

Address:
*What is your
gender?
(Check only one)
Male Female
Transgender Male to Female
Transgender Female to Male
Genderqueer/Gender Non-binary
Not Listed, please specify:
______________________________
Declined/not stated
*What was your
sex at birth?
(Check only one)
Male Female
Declined/not stated
*How do you
describe your
sexual
orientation or
sexual identity?
(Check only one)
Straight/Heterosexual
Bisexual
Gay/Lesbian/Same-Gender Loving
Questioning/Unsure
Not Listed, please specify:
______________________________
Declined/not stated
*Ethnicity:

Not Hispanic/Latino
Hispanic/Latino
Declined/not stated
*Race:
(Check all that
apply)
White Black
American Indian/Alaska Native
Asian:

Yes (At or below FPL)
No (Above FPL)
Declined/not stated
*Lives Alone? Yes No
Declined/not stated
*Rural? Yes No
Declined/not stated
Service Requested:

Action Taken/Referral:

Follow Up:

Type of I & A:

III B (If Requesting Services for an Older Individual)
III E Caregivers (If Requesting Services for an Older
Individual)
III E Relative (If Requesting Services for an Older
Individual)
Exhibit F: Sourcewise Provider Manual
DRAFT
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[Page 1 of 1]
CDA Sample 10, Legal Assistance (2021)
SAMPLE 10, III B LEGAL ASSISTANCE

Date: _______________________ Staff Completing Intake: ____________________________________

*Required Information

PERSONAL DATA
*Unique
Participant ID:

Name:
*Birth Date:

Phone #: ( )
Email:

Not Hispanic/Latino
Hispanic/Latino
Declined/not stated
*Race:
(Check all that
apply)
White Black
American Indian/Alaska Native
Asian:

Yes (At or below FPL)
No (Above FPL)
Declined/not stated
*Lives Alone? Yes No
Declined/not stated
*Rural? Yes No
Declined/not stated

CASE INFORMATION
*Unique Case ID:
*Case Opened
Date:

*Case Closed
Date:

*Service Level:

Advice
Limited Representation
Representation
*Case Type:

Income
Health Care
Long Term Care
Nutrition
Housing
Utilities
Abuse/Neglect
Protective Services
Age Discrimination
Other/Miscellaneous
*Hours (Units):

Exhibit F: Sourcewise Provider Manual
DRAFT
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SOURCEWISE SERVICE PROVIDER GRIEVANCE POLICY
I. Actions Subject to Appeal

A. A contracted or potential provider of service (service provider) has the right to appeal an adverse determination made by the Sourcewise (Area Agency on Aging).

The actions below shall be considered adverse determinations that are subject to appeal [Title 22 CCR §7704 (c)(1) – (c)(3)(C)]:

1. A reduction in the level of funding to an existing Contractor during an Agreement period; however, a reduction directly attributable to a reduction in the funding to Sourcewise by the State or federal government shall not be considered an adverse determination.

2. A cancellation or termination of an existing Agreement with the Contractor prior to the Agreement’s expiration date.

3. Denial of an application to provide services when any of the following exist:
a) The presence of a conflict of interest, real or apparent, as specified in 45 CFR 92.36(b)(3);
b) The occurrence of a procedural error or omission, such as the failure of Sourcewise to include a federal mandate in its solicitation request; c) The lack of substantial evidence to support an action by Sourcewise.

II. Method of Notification

A. The service provider shall provide notification of appeals, and Sourcewise shall provide notification of subsequent appeals determinations, by certified or overnight mail, return receipt requested, or by personal delivery in writing.

B. Notices to Sourcewise shall be addressed to:

Sourcewise
Att: Joe Flynn
Chief Operating Officer
3100 De La Cruz Blvd, Suite 310
Santa Clara, CA 95054

C. Sourcewise shall transmit notification to the address listed on the service provider’s appeal. Sourcewise shall include a copy of this Appeal Procedure for Service Providers with all notifications to service providers of adverse appeals determinations.

Exhibit F: Sourcewise Provider Manual
DRAFT
III. Process

A. The service provider shall give notice of intent to appeal to the CEO of the Sourcewise within ten (10) business days of the Agency on Aging’s notice of adverse determination. The notice of intent to appeal shall be in writing, must state the specific grounds upon which the action by Sourcewise is appealed, and must be accompanied by all supporting documents.

B. The CEO shall investigate the appeal and issue a written determination to the service provider within fifteen (15) business days of receipt of the appeal. The determination shall set forth the position of Sourcewise and specify applicable sections of the service provider’s Agreement with Sourcewise, government regulations, government statutes, or other provisions relied upon.

C. If the service provider is dissatisfied with the Sourcewise CEO’s determination, the service provider may appeal to Governing Board of Sourcewise within ten (10) business days of the date of the CEO of Sourcewise written determination. The appeal shall be in writing, shall specify the grounds upon which the determination is appealed, and must be accompanied by all supporting documents.

D. The President of the Governing Board of Sourcewise (Executive Committee) shall, within fifteen (15) business days of receipt of the service provider’s appeal:

1. Review the service provider’s appeal, considering any additional evidence or documentation provided by the CEO of Sourcewise;

2. Determine if the appeal should be denied, or if a recommendation should be made to the full Governing Board of Sourcewise at its next scheduled meeting to take action to grant the appeal; and

3. Provide written notification of its determination to the service provider.

E. If the service provider is dissatisfied with the Executive Committee’s determination, the service provider may request a hearing before the full Sourcewise Governing Board. The service provider must request the hearing within ten (10) business days of the Executive Committee’s written notification of determination. The hearing request shall be in writing, shall specify the grounds upon which the determination is appealed, and must be accompanied by all supporting documents.

F. If the Governing Board of Sourcewise does not accept and implement the Executive Committee’s recommendation to grant the service provider’s appeal:

1. Sourcewise shall provide written notification to the service provider of the Governing Board’s decision within two (2) business days following the decision;

2. The service provider may request a hearing before the Governing Board of Sourcewise. The service provider mus t request the hearing within ten (10) business days of the date of the notification of the Sourcewise Governing Board’s decision. The hearing request shall be in writing, shall specify the grounds upon which the determination is appealed, and must be accompanied by all supporting documents.

Exhibit F: Sourcewise Provider Manual
DRAFT

G. Upon receipt of the service provider’s request for a hearing before the Governing Board, Sourcewise will place the hearing on the agenda of the next regularly scheduled meeting of the Sourcewise Governing Board, and pro vide the service provider with a copy of the published agenda.

1. The hearing before the Sourcewise Governing Board shall consist of:

a) Receipt and review of all previously submitted documents concerning the appeal;
b) Submission in writing by the service provid er of any additional information or documentation supporting the service provider’s position;
c) An oral presentation by the service provider, not to exceed thirty (30) minutes; and
d) An oral presentation by the CEO of Sourcewise and/or Sourcewise staff, not to exceed thirty (30) minutes.

2. At the conclusion of the hearing, the Governing Board of Sourcewise shall vote to accept or deny the service provider’s appeal.

a) If the appeal is denied, the Governing Board of Sourcewise shall notify the service provider in writing of the reason(s) the appeal was denied, including a statement that all appeal procedures to Sourcewise and its Governing Board have been exhausted, and of the service provider’s right to appeal the Governing Board’s decision to the California Department of Aging. Such notification shall include a copy of Sections 7700 through 7710 of Title 22 of the California Code of Regulations, which contains the process for appealing the determination to the California Department of Aging.

Exhibit F: Sourcewise Provider Manual
DRAFT

Grievance Form
To help us ensure that we understand your grievance and can respond promptly, please return your completed form to:

SOURCEWISE
Attn: Joe Flynn
Chief Operating Officer
3100 De La Cruz Blvd. Suite 310
Santa Clara, CA 95054

Contract #: __________________
Contact Name:

Provider Name:

Address:

City, State, Zip Code:

Contact Number:

Please describe your grievance :

Be as specific as possible . Include any names or dates as this may help resolve your grievance.

You can use the back of this form or attach additional information.

Please describe how you would like to see your grievance resolved:

Signature Date ______________
Exhibit F: Sourcewise Provider Manual
DRAFT

STATE OF CALIFORNIA

DEPARTMENT OF AGING

EQUIPMENT JUSTIFICATION FORM
CDA 7037 (REV 12/2022)
California Department of Aging Equipment Justification Form Instructions: Please answer the questions below; the responses must coincide with the budget.

AAA Name and Number:

AAA Procurement Contact:

Funding Source:

Question Response
Please describe the item or
items to be purchased and cost
of each item.

Select the procurement
method(s) used to select vendor
(i.e., price quotes, competitive
bids, auction site). Check all that
apply.
☐ Price Quotes
☐ Competitive bids
☐ Auction
☐ Other (Describe):

Where will the equipment be Direct Subcontractor
located?
Site name:

Address:

Please select the AAA program
the equipment will be funded by.

If more than one, please select
other and list all applicable
programs.

Program:

Other:

Please give a detailed justification
why the equipment is needed, and
how it will be used to benefit the
program.

The year the last time this item
was purchased and the quantity.

The expected refresh cycle of this
item.

Will the equipment be used solely
by the specified AAA Program(s)
from which the purchase will be
funded?
☐ Yes ☐ No
If requesting a vehicle, provide a
list of the existing fleet vehicles,
and the reason the existing fleet
cannot meet ongoing program
needs.

Exhibit G: Equipment Justification Form
DRAFT
California
partment
fAGING
City of Santa Clara
Agenda Report
1500 Warburton Avenue
Santa Clara, CA 95050
santaclaraca.gov
@SantaClaraCity
23-107 Agenda Date: 6/6/2023

REPORT TO COUNCIL

SUBJECT
Action on an Agreement for Services with Advanced Chemical Transport, Inc. to Provide Hazardous Waste Management Services for Silicon Valley Power

COUNCIL PILLAR
Deliver and Enhance High Quality Efficient Services and Infrastructure

BACKGROUND
The City of Santa Clara’s Electric Department, Silicon Valley Power (SVP), requires a licensed provider of hazardous waste management service for waste generated from its operations.

Hazardous waste generally consists of materials containing or contaminated with waste oil, polychlorinated biphenyl wastes, lubricants, solvents, paints, asbestos, and lead. It is also found in e- waste, batteries, non-empty aerosol cans, and fluorescent lamps.

The service provider will be responsible for handling, transporting, and disposing of hazardous waste, performing remedial work and cleanup, and assisting staff to maintain compliance with applicable federal and state laws and regulations, including, but not limited to, Division 4.5 (Environmental Health Standards for the Management of Hazardous Waste) of Title 22 of the California Code of Regulations.

The term of the agreement with the current provider, Advanced Chemical Transport, Inc., will end on June 30, 2023.

DISCUSSION
Pursuant to City Code Section 2.105.140(c), a formal Request for Proposals (RFP) was conducted, with the award recommendation based on “best value”. The RFP was published using the City’s e- procurement system seeking proposals from qualified firms to provide hazardous waste management services. Proposals were received from the following three firms:
· Advanced Chemical Transport, Inc.
· Clean Harbors Environmental Services
· NRC Environmental Services Inc.

The proposals were independently evaluated by a three-member evaluation team against the criteria and weights set forth in the RFP. The factors considered in the evaluation were firm experience, technical capability, safety, and cost. The evaluation team recommends awarding the agreement to Advanced Chemical Transport, Inc. (ACT) as the best value proposal. ACT demonstrated extensive experience providing hazardous waste management services.

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23-107 Agenda Date: 6/6/2023
The maximum compensation in the proposed agreement with ACT for the initial five-year term is $2,500,000. Rates, including disposal, transportation, and cleanup fees, are established in the agreement, and will remain fixed for two years. After the initial two years, Contractor may request rate adjustments no more than once per calendar year. The City will only pay for actual services rendered.

Staff recommends that City Council authorize the City Manager to execute the attached agreement with ACT.

Due to the rapidly changing electric utility marketplace and the necessity to promptly comply with changes in law, there might arise a need for additional services. In addition, SVP has a significant capital program including upgrading existing facilities that may result in higher demand for hazardous waste disposal services than forecasted. Authorizing additional funds at the time of this action will enable SVP to quickly respond to additional requirements for hazardous waste disposal services.

Therefore, staff recommends that the City Council authorize the City Manager to execute amendments to, among other things, add services and increase the maximum compensation by $1,500,000 up to a total maximum compensation of $4,000,000.

ENVIRONMENTAL REVIEW
Staff recommends that the City Council determine that the actions being considered are exempt from the California Environmental Quality Act (“CEQA”) pursuant section 15330 of Title 14 of the California Code of Regulations as the services involve minor hazardous waste cleanup, removal, and transportation.

FISCAL IMPACT
For Fiscal Year 2023/24 sufficient funding is included in the recommended operating budget for SVP in the Electric Utility Operating Fund in the Compliance Division or in separate accounts based on the asset requiring disposal of waste (such as power plant or substation) or in the Electric Utility Capital Fund based for each project requiring disposal of hazardous waste.

Funding for future years will be included in the proposed budgets for the corresponding years.

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. Determine that the proposed actions are categorically exempt from CEQA pursuant to Section 15330 of Title 14 of the California Code of Regulations;

2. Authorize the City Manager to execute an Agreement for Services with Advanced Chemical Transport, Inc. (Agreement) for an initial five-year term starting on or around July 1, 2023 and City of Santa Clara Printed on 6/2/2023Page 2 of 3
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23-107 Agenda Date: 6/6/2023
ending on or around June 30, 2028, with a maximum compensation not to exceed $2,500,000, subject to the appropriation of funds; and

3. Authorize the City Manager to take any actions as necessary to implement and administer the Agreement and to negotiate and execute amendments to the Agreement to (a) add or delete services consistent with the Agreement’s scope of services; (b) adjust future rates in accordance with the Agreement; (c) extend the term of the Agreement one additional year through June 30, 2029; and (d) increase the maximum compensation by $1,500,000 for a revised maximum compensation of up to $4,000,000 for the six-year term, subject to the appropriation of funds.

Reviewed by: Manuel Pineda, Chief Electric Utility Officer Approved by: Jōvan D. Grogan, City Manager

ATTACHMENTS

1. Proposed Agreement for Services with Advanced Chemical Transport, Inc.

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Agreement with Advanced Chemical Transport, Inc. Page 1 of 35 Rev. 07-01-18

EBIX Insurance No. S200004038

AGREEMENT FOR SERVICES

BETWEEN THE

CITY OF SANTA CLARA, CALIFORNIA,
AND
ADVANCED CHEMICAL TRANSPORT, INC.

PREAMBLE
This Agreement is entered into between the City of Santa Clara, California, a chartered California municipal corporation (City) and Advanced Chemical Transport, Inc., a California corporation (Contractor). City and Contractor may be referred to individually as a “Party” or collectively as the “Parties.”

RECITALS
A. City desires to secure the services of Contractor to provide hazardous waste management services for the City of Santa Clara’s electric utility, Silicon Valley Power (“SVP”), as more fully described in this Agreement in Exhibit A (“Services”), entitled “Scope of Services”;
B. Contractor represents that it, and its subcontractors, if any, have the professional qualifications, expertise, necessary licenses and desire to provide the Service s which meet objectives and requirements of City; and,
C. City desires to retain Contractor to render the Services under the terms and conditions set forth in this Agreement.

The Parties agree as follows:

AGREEMENT TERMS AND CONDITIONS

1. AGREEMENT DOCUMENTS
The documents forming the entire Agreement between City and Contractor 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

Agreement with Advanced Chemical Transport, Inc. Page 2 of 35 Rev. 07-01-18

Exhibit B – Schedule of Fees and Payment Provisions
Exhibit C – Insurance Requirements
Exhibit D – Labor Compliance
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(s) to this Agreement, the term of this Agreement shall begin on July 1, 2023, and terminate on June 30, 2028 (“Initial Term”).

After the Initial Term, the City reserves the right, at its sole discretion, to extend the term of this Agreement for up to one additional one-year term through June 30, 2029 (“Option Period”). Such extensions of term shall be authorized through an Amendment to this Agreement executed by the Parties.

3. SCOPE OF SERVICES
Contractor shall perform those Services specified in Exhibit A within the time stated in Exhibit A. Time is of the essence.

4. WARRANTY
Contractor expressly warrants that all Services and materials 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 set forth in this Agreement. Contractor agrees to promptly replace or correct any incomplete, inaccurate or defective Services or materials at no further cost to City when defects are due to the negligence, errors or omissions of Contractor. If Contractor fails to promptly correct or replace materials or services, City may make corrections or replace the Services and materials and charge Contractor for the cost incurred by City.

obligations, expressed and implied, contained herein, and City expressly relies upon Contractor’s representations regarding its skills and knowledge. Contractor 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.

6. COMPENSATION AND PAYMENT
In consideration for Contractor’s complete performance of Services, City shall pay Contractor for all materials provided and Services rendered by Contractor in accordance with Exhibit B, entitled “SCHEDULE OF FEES AND PAYMENT PROVISIONS.” The maximum compensation of this Agreement is Two Million Five Hundred Dollars ($2,500,000), 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 Services performed or materials provided in excess of the maximum compensation shall be at Contractor’s expense. Contractor shall not be entitled to any payment above the maximum compensation under any circumstance unless an amendment has been executed by both Parties.

7. TERMINATION
A. Termination for Convenience. City shall have the right to terminate this Agreement, without cause or penalty, by giving not less than Thirty (30) days’ prior written notice to Contractor.

B. Termination for Default. If C
ontractor 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 Contractor.

C. Upon termination, each Party shall assist the other in arranging an or
derly 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, Contractor will deliver to City all City information or material that Contractor has in its possession.

8. ASSIGNMENT AND SUBCONTRACTING
City and Contractor 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. Contractor shall not hire subcontractors without express written permission from City.

Contractor shall be as fully responsible to City for the acts and omissions of its subcontractors, and of persons either directly or indirectly employed Agreement with Advanced Chemical Transport, Inc. Page 4 of 35 Rev. 07-01-18

by them, as Contractor is for the acts and omissions of persons directly employed by it.

9. NO THIRD-PARTY 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 CONTRACTOR
Contractor and all person(s) employed by or contracted with Contractor to furnish labor and/or materials under this Agreement are independent contractors and do not act as agent(s) or employee(s) of City. Contractor 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 Contractor and all other written information submitted to Contractor in connection with the performance of this Agreement shall be held confidential by Contractor 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 Contractor which is otherwise known to Contractor or becomes generally known to the related industry shall be deemed confidential.

13. RIGHT OF CITY TO INSPECT RECORDS OF CONTRACTOR
City, through its authorized employees, representatives or agents shall have the right during the term of this Agreement and for four (4) years Agreement with Advanced Chemical Transport, Inc. Page 5 of 35 Rev. 07-01-18

from the date of final payment for goods or services provided under this Agreement, to audit the books and records of Contractor for the purpose of verifying any and all charges made by Contractor in connection with Contractor compensation under this Agreement, including termination of Contractor. Contractor 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. Contractor 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.

Contractor shall submit to City any and all reports concerning its performance under this Agreement that may be requested by City in writing. Contractor agrees to assist City in meeting City’s reporting requirements to the State and other agencies with respect to Contractor’s Services hereunder.

14. HOLD HARMLESS/INDEMNIFICATION
A. To the extent permitted by law, Contractor 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, in any manner arising from, or alleged to arise in whole or in part from, or in any way connected with the Services performed by Contractor pursuant to this Agreement – including claims of any kind by Contractor’s employees or persons contracting with Contractor to perform any portion of the Scope of Services – and shall expressly include passive or active negligence by City connected with the Services. However, the obligation to indemnify shall not apply if such liability is ultimately adjudicated to have arisen through the sole active negligence or sole willful misconduct of City; the obligation to defend is not similarly limited.

B. Contractor’s obligation to protect, defend, indemnify, and hold harmless in full City and City’s employees, shall specifically extend to any and all employment-related claims of any type brought by employees, contractors, subcontractors or other agents of Contractor, against City (either alone, or jointly with Contractor), regardless of venue/jurisdiction in which the claim is brought and the manner of relief sought.

C. To the extent Contractor is obligated to provide health insurance coverage to its employees pursuant to the Affordable Care Act (“Act”) and/or any other similar federal or state law, Contractor Agreement with Advanced Chemical Transport, Inc. Page 6 of 35 Rev. 07-01-18

warrants that it is meeting its obligations under the Act and will fully indemnify and hold harmless City for any penalties, fines, adverse rulings, or tax payments associated with Contractor’s
responsibilities under the Act.

15. INSURANCE REQUIREMENTS
During the term of this Agreement, and for any time period set forth in Exhibit C, Contractor shall provide and maintain in full force and effect, at no cost to City, insurance policies as set forth in Exhibit C.

16. WAIVER
Contractor 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.

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: Silicon Valley Power
1500 Warburton Avenue
Santa Clara, CA 95050
and by e-mail at [email protected] and
[email protected]

And to Contractor addressed as follows:

Advanced Chemical Transport, Inc.

Attention: Shawn Ball, Vice President
967 Mabury Road, San Jose, CA 95133
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
Contractor 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, Contractor’s Agreement with Advanced Chemical Transport, Inc. Page 7 of 35 Rev. 07-01-18

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 Contractor has read and agrees to comply with City’s Ethical Standards
(http://santaclaraca.gov/home/showdocument?id=58299).

19. CONFLICTS OF INTEREST
Contractor certifies that to the best of its knowledge, no City officer, employee or authorized representative has any financial interest in the business of Contractor and that no person associated with Contractor has any interest, direct or indirect, which could conflict with the faithful performance of this Agreement. Contractor is familiar with the provisions of California Government Code section 87100 and following and certifies that it does not know of any facts which would violate these code provisions. Contractor will advise City if a conflict arises.

20. FAIR EMPLOYMENT
Contractor 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
Contractor 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 Agreement with Advanced Chemical Transport, Inc. Page 8 of 35 Rev. 07-01-18

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.

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. PREVAILING WAGE
In the event the Services require payment of prevailing wage, Contractor shall comply, and ensure its subcontractors comply with Exhibit D.

Contractor certifies that it is aware of the requirements of California Labor Code Sections 1720 et seq. and 1770 et seq., as well as California Code of Regulations, Title 8, Section 16000 et seq. Contractor shall defend, indemnify and hold the City, its elected officials, officers, employees and agents free and harmless from any claims, liabilities, costs, penalties or interest arising out of any failure or alleged failure by Contractor or its employees, agents, contractors, and subcontractors to comply with the prevailing wage laws.
[SIGNATURES ON NEXT PAGE]

Agreement with Advanced Chemical Transport, Inc. Page 9 of 35 Rev. 07-01-18

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:

GLEN R. GOOGINS
City Attorney
JŌVAN D. GROGAN
City Manager
City of Santa Clara
1500 Warburton Avenue
Santa Clara, CA 95050
Telephone: (408) 615-2210
Fax: (408) 241-6771
“CITY”

ADVANCED CHEMICAL TRANSPORT, INC.
a California corporation
Dated:

By (Signature):

Name: Shawn Ball
Title: Vice President
Principal Place of
Business Address:

967 Mabury Road, San Jose, CA 95133
Email Address: [email protected]
Telephone: (408) 548-5050
Fax: (408) 548-5052
“CONTRACTOR”
5/25/2023
8 DocuSigned by:
~1::5D3E45L
Agreement with Advanced Chemical Transport / Exhibit A – Scope of Services Page 10 of 35

EXHIBIT A – SCOPE OF SERVICES

TABLE OF CONTENTS
SECTION 1. GENERAL ......................................................................................... 11 SECTION 2. SERVICES TO BE PERFORMED ..................................................... 11 SECTION 3. SPECIFIC REQUIREMENTS ............................................................. 13 SECTION 4. REPORTS ......................................................................................... 14 SECTION 5. COMPLETION OF SERVICES .......................................................... 15 SECTION 6. HOURS AND DAYS OF SERVICE .................................................... 15 SECTION 7. EMERGENCY SERVICES AND RESPONSE TIMES ........................ 15 SECTION 8. APPLICABLE LAWS AND REGULATIONS ....................................... 15 SECTION 9. WORKMANSHIP ............................................................................... 16 SECTION 10. PERMITS AND LICENSES ................................................................ 16 SECTION 11. CITY FURNISHED MATERIALS ........................................................ 16 SECTION 12. WORK AREA ..................................................................................... 16 SECTION 13. CONTRACTOR’S EQUIPMENT, TOOLS, AND MATERIALS ............ 17 SECTION 14. DISPOSAL OF WASTE & SCRAPS .................................................. 17 SECTION 15. SAFETY ............................................................................................ 18 SECTION 16. INJURY/PROPERTY DAMAGE ......................................................... 18 SECTION 17. CONTRACTOR’S PERSONNEL ..................................................... 19 SECTION 18. E-BUILDER ....................................................................................... 20

Agreement with Advanced Chemical Transport / Exhibit A – Scope of Services Page 11 of 35

SECTION 1. GENERAL

1.1 Contractor shall provide hazardous waste management services, including, but not limited to, remedial and cleanup work, waste materials testing, disposal and recycling, and professional services to assist City with regulatory compliance, monitoring, and reporting for the City of Santa Clara’s electric utility, Silicon Valley Power (“SVP”).

1.2 The terms “City” and “SVP” may be used interchangeably throughout this Exhibit.

1.3 To the extent not inconsistent with this Agreement, the City’s RFP 22-23-08 (including subsequent updates) and Contractor’s proposal response dated November 15, 2022, are hereby incorporated by reference herein and shall supplement this Scope of Services and be subject to the terms and conditions of the Agreement. In the event of a conflict between the Agreement (including its Exhibits and the RFP or Contractor’s proposal), the Agreement and this Exhibit shall govern.

SECTION 2. SERVICES TO BE PERFORMED

2.1 Waste Management Services. Contractor shall provide hazardous waste management services to include but not limited to:

2.1.1 Perform waste characterization to determine proper disposal.

2.1.2 Provide packaging, handling, and transportation of hazardous waste including completion of uniform hazardous waste manifests and any other documentation required by law.

2.1.3 Perform remedial and cleanup work, including containment of contamination and testing.

2.1.4 Provide notifications to agencies as required (if required by regulations and/or the City of Santa Clara).

2.1.5 Provide test kits to immediately determine Polychlorinated Biphenyls (PCB) content in the field and send a sample to lab for analysis.

2.1.6 Transport and dispose of hazardous waste and cleanup materials compliant with all applicable laws and regulations.

2.1.7 Pump and clean underground storage tanks for oily water separators, turbines, Heat Recovery Steam Generators (HRSG), wash water tanks, natural gas condensate tanks, secondary Agreement with Advanced Chemical Transport / Exhibit A – Scope of Services Page 12 of 35

containment vaults, manholes, and other containment devices and equipment as may be required.

2.1.8 Recycle used lubricating oil.

2.1.9 Perform a site visit to Stony Gorge and Black Butte Power Houses every 170 days for waste pickup and haul to the appropriate facility.

Contractor shall restock any depleted supplies and drums.

2.1.10 Provide trained personnel to enter into confined spaces and have up-to-date training in fall protection, hazardous waste operations and emergency response (Hazwoper), air-purifying respirators, asbestos, and lead handling.

2.1.11 Track recycling and disposal revenue. Contractor shall provide a credit to the City for the recycle value.

2.2 Consulting Services. Contractor shall provide consulting services which include but are not limited to:

2.2.1 Assist City with Environmental, Health & Safety (EH&S) standards compliance.

2.2.2 Provide program management services such as tracking budget, scheduling waste, recycling pickups, and coordinating regulatory reporting as required and requested by City.

2.2.3 Provide a spill prevention and emergency response plan for all services.

2.2.4 Provide a manifest verifying that all hazardous waste has been lawfully and efficiently to permitted disposal facilities. The manifest shall meet all requirements of the California Department of Toxic Substances Control (DTSC), California Department of
Transportation (DOT), United States Department of Transportation (US DOT), and Environmental Protection (EPA). All waste shall be transported under manifest using City’s EPA generator
identification number.

2.3 Dedicated On-site Personnel. Contractor shall designate at least one (1) dedicated personnel to assist at the City of Santa Clara Utilities Center located at 1705 Martin Ave, Santa Clara, CA, 95050, for a minimum of four (4) hours per week. Responsibilities of the on-site personnel include but are not limited to:

2.3.1 Acquire PCB oil samples from de-energized electrical equipment for lab analysis.

Agreement with Advanced Chemical Transport / Exhibit A – Scope of Services Page 13 of 35

2.3.2 Transfer oil (PCB and non-PCB) into totes/drums.

2.3.3 Label drums/totes with appropriate hazardous waste labels.

2.3.4 Prepare drums/totes for shipping per DOT rules and regulations.

2.3.5 Coordinate the loading of oil totes and recycled equipment onto trucks.

2.3.6 Keep the 90-day hazardous waste area clean and orderly.

2.3.7 Sign weekly hazardous waste storage inspection forms.

2.3.8 Perform transformer management, disposal, and recycling.

2.3.9 Provide weekly replenishment of supplies (e.g., pumps, hoses, hand tools, flanges, etc.) or as requested by the City.

2.4 Services at Other Locations. Contractor shall respond to emergency and non-emergency hazardous waste and material events at other facilities within City limits and remote locations such as, but not limited to:

2.4.1 Donald Von Raesfeld (DVR) Power Plant located at 850 Duane Ave., Santa Clara, CA 95054

2.4.2 Fuel Gas Compressor Building (Gas Compressor) located at 2977 Lafayette St., Santa Clara, CA 95054

2.4.3 Gianera Generating Station (Gianera) located at 2339 Gianera St., Santa Clara, CA 95054

2.4.4 Cogeneration Plant (Cogen) located at 524 Robert Ave., Santa Clara, CA 95050

2.4.5 Stony Gorge Powerhouse located at 2550 County Road 306, Elk Creek, CA 95939

2.4.6 Black Butte Powerhouse located at County Road 200, Orland, CA 95963

2.4.7 High Line Canal located in Orland, CA 95316

2.4.8 Orland Junction located in Orland, CA 95316
SECTION 3. SPECIFIC REQUIREMENTS

3.1 Contractor shall provide suitable transportation to remove waste materials and haul waste materials to the disposal location. Contractor shall comply with all applicable statutes, rules, regulations, ordinances, and laws of the Agreement with Advanced Chemical Transport / Exhibit A – Scope of Services Page 14 of 35

United States and all applicable state and local regulations in moving, handling, transporting, and disposing of such waste material.

3.2 Unless otherwise agreed upon in writing, Contractor shall be solely responsible for loading the waste materials on vehicles provided by Contractor. As to all loading activities, Contractor assumes full risk of loss as to all equipment and premises of the City and as to all transportation vehicles furnished by the Contractor.

3.3 Contractor shall notify the City of any leak and/or spill and shall notify all agencies required under federal, state, and local laws, rules, and regulations within the time period required by governing regulations.

3.4 Contractor shall transport, store, treat, recycle, and dispose of the waste materials in full compliance with all valid and applicable statutes, ordinances, rules, and regulations of the federal, state, and local governments in whose jurisdictions such activities are performed under this Agreement.

3.5 Any disposal facility or facilities used for disposal will have permits, licenses, certificates, or approvals required by valid and applicable statutes, ordinances, rules, and regulations of the federal, state, and local governments in which the facility is located, necessary to allow such facility accept, and store, treat, process, and dispose of the involved waste materials.

3.6 In the event that the disposal facility loses its permitted status or is the subject of the action of a government agency which could reasonably result in the loss of its permitted status, during the term of this agreement, Contractor will promptly notify the City of such loss, or possible loss, of permitted status.

3.7 Contractor shall, at its sole expense and risk, transport and dispose of hazardous waste or materials caused by work performed by Contractor, including all costs associated with the spreading or dissemination.

SECTION 4. REPORTS

4.1 Contractor shall provide and maintain written and electronic (e.g., online portal) reports for the City and the required agencies, including but not limited to:

4.1.1 Manifest reporting for DTSC. The City shall be copied on all reports.

4.1.2 Sign hazardous waste manifests, mail copies to DTSC, and maintain records.

Agreement with Advanced Chemical Transport / Exhibit A – Scope of Services Page 15 of 35

4.1.3 Spill reports documenting Contractor’s response to the event. The spill report shall include photos and any lab analysis (e.g., PCB, lead, asbestos, etc.)

4.1.4 Regulatory monthly reporting

4.1.5 Other reports that the City may request.

SECTION 5. COMPLETION OF SERVICES
The Services shall be completed in a timely, efficient manner so as to ensure the site is operational as soon as possible.

SECTION 6. HOURS AND DAYS OF SERVICE
Contractor will generally perform the required services during regular business hours which is between 7:00 AM - 7:00 PM PST/PDT, Monday through Friday.

City will, at its discretion, allow access during non-business hours when required.

SECTION 7. EMERGENCY SERVICES AND RESPONSE TIMES

7.1 Emergency Services: Contractor shall provide emergency services 24 hours /day, seven (7) days per week, including holidays. Contractor shall provide a phone number for contact at any time.

7.2 Response Times: Contractor shall respond via phone or email to emergency requests and hazardous waste and material events within one (1) hour from the City’s notification.

7.2.1 For the City of Santa Clara locations, Contractor shall be on-site within two (2) hours or less from notification to perform Services.

7.2.2 For locations outside of Santa Clara, Contractor shall be on-site within six (6) hours or less from notification to perform Services.

SECTION 8. APPLICABLE LAWS AND REGULATIONS

8.1 Contractor shall be informed of and comply with all applicable present and future federal, state, and local regulations, ordinances, and codes, including but not limited to the U.S Occupational Safety and Health Administration (OSHA), the California Department of Industrial Relations and the Division of Occupational Safety and Health (Cal/OSHA).

8.2 Where any applicable laws or ordinances conflict with the City’s requirements, the more stringent requirement(s) shall be followed.

Contractor's failure to be thoroughly familiarized with the provisions of any applicable federal, state, and local regulations, ordinances and codes shall Agreement with Advanced Chemical Transport / Exhibit A – Scope of Services Page 16 of 35

not relieve Contractor from compliance with the obligations and penalties resulting therefrom.

SECTION 9. WORKMANSHIP

9.1 Contractor shall perform all work in a professional manner and environmental responsible manner that meets or exceeds industry and professional standards of performance. All items of work shall be done by a Contractor employee skilled in the particular task to which they are assigned.

9.2 Poor or inferior workmanship, as determined at the sole discretion of the City, shall be removed and replaced to conform to the quality standards of the industry, or otherwise corrected to the satisfaction of the City, at Contractor’s sole expense.

9.3 City reserves the right to inspect any work performed by Contractor and its subcontractors. Should the City determine any unsatisfactory or defective work upon inspection, Contractor must correct the work at no additional cost to the City.

SECTION 10. PERMITS AND LICENSES
Contractor shall obtain, maintain, and pay for all licenses, permits, and certificates required by any statute, ordinance, rule, or regulation.

SECTION 11. CITY FURNISHED MATERIALS
Contractor shall credit the City for any City-furnished materials that are used, lost, stolen, damaged, or rendered unusable by actions of Contractor.

SECTION 12. WORK AREA

12.1 Contractor shall ensure that the work site is free from all surplus materials, waste materials, debris, spills, dirt and rubbish caused by Contractor’s performance of services. Upon completion of the scheduled work or at the end of each day, whichever comes first, Contractor shall ensure the work area is in a clean safe condition. The City shall be the sole judge as to the adequacy of the cleanup.

12.2 Contractor shall follow all directions of City with regard to clean-up both during the course of, and upon completion of the services. If Contractor fails to clean up the work area within forty-eight hours (48) after demand by the City, City may charge Contractor for any costs of clean-up or other work required to adequately protect City's electrical or other facilities or to restore work area to a safe condition. City may invoice Contractor or deduct costs from Contractor’s invoice at City’s sole discretion.

Agreement with Advanced Chemical Transport / Exhibit A – Scope of Services Page 17 of 35

12.3 Contractor must provide work and traffic signage as required to warn pedestrians and vehicular traffic of work in progress. Contractor may be required to direct pedestrians and traffic around the work area. Contractor shall also be responsible for providing all equipment and personnel necessary to properly perform the traffic control measures, including but not limited to, flaggers, cones, reflectors, electronic signs, barricades, caution tape, temporary paving, or steel plates.

12.4 Contractor shall make all reasonable efforts to minimize obstructions and inconvenience to SVP’s operations and others who may be impacted by Contractor’s work.

SECTION 13. CONTRACTOR’S EQUIPMENT, TOOLS, AND MATERIALS

13.1 All equipment, tools (including any specialty tooling), and materials required for the execution of the work shall be provided by Contractor. City will not loan tools or equipment to Contractor. Neither Contractor nor its workers shall attempt to borrow tools or other materials from City personnel.

13.2 Tools and equipment shall be kept in proper operating condition and used only for the purpose for which they were designed. City reserves the right to suspend work if improper tools or equipment are being used or operated.

13.3 Tools and equipment shall be safely stored overnight under lock and key.

Loss of any tools or equipment shall be reported immediately to City.

13.4 All vehicles, equipment, and ladders shall be secured when not in use.

Keys shall not be left in any vehicles or equipment when not in use.

13.5 City will not be responsible for the loss of tools, equipment, or materials.

SECTION 14. DISPOSAL OF WASTE & SCRAPS

14.1 All wastes generated or encountered in the performance of work must be managed in accordance with all applicable local, State, and federal regulations and laws. Contractor is solely responsible for arranging and implementing the proper handling, management, storage, transport, and disposal of all wastes including any hazardous materials.

14.2 Contractor shall provide the City with a written report of all disposal of materials within twenty-four (24) hours of disposal unless a shorter timeline is required by local, state, and/or federal regulations.

14.3 Contractor shall recycle all material scraps, and credit the value to the City.

Agreement with Advanced Chemical Transport / Exhibit A – Scope of Services Page 18 of 35

SECTION 15. SAFETY

15.1 Safety must always be the top priority. Contractor shall take all necessary precautions for the safety of all persons on the work site. Contractor must erect and properly maintain at all times, as required by the conditions and progress of the work, all necessary safeguards for the protection of all persons and the public including posting danger signs and warnings against known or unusual hazards.

15.2 Contractor shall maintain an effective Injury and Illness Prevention Program (IIPP) in writing pursuant to Section 3203, Title 8 of the California Code of Regulations (CCR). The written plan shall include specific instructions with regard to hazards unique to the employee's job assignment. At City’s request, a copy of Contractor’s IIPP shall be submitted to the City and be made available on-site.

15.3 Contractor shall schedule safety inspections as necessary and as may be requested by the City to identify and correct unsafe conditions and work practices. The City reserves the right to accompany Contractor during these inspections.

15.4 Contractor must comply with all site-specific safety requirements and procedures including but not limited to Lockout/Tagout (LOTO), Energy Isolation, Confined Space, Fall Protection, Chemical Safety, Hazardous Waste, and Personnel Protective Equipment (PPE).

15.5 Contractor’s employees (including any subcontractors) shall utilize appropriate Personal Protective Equipment (PPE) and Fire Resistant (FR) clothing, as required. Any required PPE and FR clothing shall be provided at the expense of Contractor.

15.6 When requested by the City, Contractor shall provide an on-site Safety Manager/Supervisor to ensure compliance with all applicable Safety rules and regulations, perform daily audits and submit daily reports to the City that identify discrepancies or non-compliance, provide direction in regards to safety rules and regulations to Contractor Supervisor and Contractor employees.

SECTION 16. INJURY/PROPERTY DAMAGE
Contractor shall notify the City immediately in the event of an injury or property damage that occurs during the performance of the services. Contractor shall investigate the reported injury or damage upon request from City and provide City with regular updates including all accident reports until the investigation is resolved. City reserves the right to perform its own investigation. Should City choose to conduct its own investigation, Contractor shall assist as required.

Agreement with Advanced Chemical Transport / Exhibit A – Scope of Services Page 19 of 35

SECTION 17. CONTRACTOR’S PERSONNEL

17.1 Project Manager/On-Site Supervisor
Contractor must designate one (1) Project Manager or On-Site Supervisor to communicate with the City during performance of work. The Project Manager/On-Site Supervisor is the designated point of contact for the City to communicate work tasks and receive feedback. The Project Manager/On-Site Supervisor must be capable of communicating effectively with City staff.

17.2 Staffing

17.2.1 Contractor shall be responsible for its employees' professional and technical competence and will select appropriate individuals who are qualified, certified, and/or licensed to perform the assigned task.

17.2.2 Contractor shall ensure its employees and any subcontractors supply proper identification when requested by the City.

17.2.3 Contractor shall inform City immediately of any change in key personnel assigned to this agreement. Contractor shall submit the resumes and other qualifications of the proposed replacement employee(s) to City for review and approval.

17.3 Employee Training

17.3.1 At Contractor’s sole cost and expense, Contractor shall provide recurring, periodic (no less than annual) training to its employees (including subcontractors) appropriate to the duties and responsibilities of each employee.

17.3.2 It is essential that all employees be thoroughly trained and familiar with the equipment and procedures to be followed.

17.3.3 Training shall follow Contractor’s standard policies and procedures and shall be in compliance with all applicable federal, state, and local laws, including but not limited to safety and injury prevention training requirements contained in the OSHA standards.

17.3.4 Contractor shall be familiar with SVP’s operating standards. All employees are required to watch SVP’s safety video once per calendar year or prior to the commencement of work.

17.3.5 At the City’s request, Contractor shall submit copies of training records for its employees.

Agreement with Advanced Chemical Transport / Exhibit A – Scope of Services Page 20 of 35

17.4 Standards of Conduct

17.4.1 Contractor shall be solely responsible for its employees while on or about
the work site, including but not limited to, maintaining discipline, ensuring standards of conduct are adhered to, and enforcing safety policies, procedures, and orders. Contractor shall ensure that while on or about the work site, its employees do not:

17.4.1.1 Display a discourteous, abrupt, abrasive, or belligerent attitude.

17.4.1.2 Use any prescribed or over-the-counter medications which can potentially impair the employee's ability to
perform the work safely.

17.4.1.3 Present or identify themselves as employees of the City of Santa Clara.

17.4.1.4 Possess any firearms, narcotics, drugs, intoxicants, or other restricted materials while on the premises.

17.4.2 In the event a Contractor employee fails to meet these standards of conduct, Contractor shall immediately remove that employee and provide a replacement.

17.4.3 In the event that a complaint is made against a Contractor employee, Contractor shall notify the City immediately and provide a written explanation detailing how the situation was resolved.

SECTION 18. E- BUILDER

18.1 When required by City, Contractor shall use utilize e-Builder for submission of data and documents throughout the term of this agreement.

18.2 e-Builder is a web-based construction management application hosted by e-Builder, Inc. For certain projects to be defined by the City, e-Builder shall be the primary means of project information submission and management or as otherwise agreed upon with the City.

18.3 The City will establish the Contractor's access to e-Builder by providing licenses to Contractor’s personnel at City’s cost. The Contractor’s designated users will be required to set up their computers/systems to use e-Builder in accordance to the e-Builder User Training Guide. The City reserves the right to limit the licenses issued to Contractor in the future.

18.4 Contractor is required to obtain all necessary training to use the software.

The City will provide one classroom training or a web-based seminar. A training session is 1 - 2 hours.
--
Agreement with Advanced Chemical Transport / Exhibit A – Scope of Services Page 21 of 35

18.5 e-Builder is a web-based environment and therefore it is subject to the inherent speed and connectivity limitations of the Internet. Contractor is responsible for its own connectivity to the Internet. e-Builder’s response time is dependent on the Contractor's equipment, including processor speed, Internet access speed, etc., and current traffic on the Internet. The City will not be liable for any delays associated with the usage of e-Builder including, but not limited to slow response time, downtime periods, connectivity problems, or loss of information. The Contractor shall ensure connectivity to the e-Builder system whether at the home office or job site.

Under no circumstances will the usage of e-Builder be grounds for a time extension or cost adjustment to the Contract.

18.6 Data entered in a collaborative mode (entered with the intent to share as determined by permissions and workflows within the e-Builder system) by the City and the Contractor will be jointly owned.

18.7 Contractor is responsible for managing, tracking, and documenting the work to comply with the requirements of this Agreement. The City's acceptance via automated system notifications or audit logs extends only to the face value of the submitted documentation and does not constitute a validation of the Contractor's submitted information.

18.8 At the City’s sole discretion, project documents may be processed and distributed digitally over the internet or may be required to be presented in hard copy format.

18.9 While regular email may still be used for communication, when requested by the City, e-Builder shall be utilized as much as possible in connection with all document and information management required in the performance of projects where City has directed the use of e-Builder.

Contractor shall be responsible for scanning or otherwise converting to electronic format all project submittals and Contractor correspondence, drawings, sketches, etc., and uploading them to the e-Builder website and shall be responsible for the validity of the information placed in e-Builder.

The Contractor shall utilize the existing forms and processes in e-Builder to the maximum extent possible. If a required form does not exist in e-Builder, the Contractor shall include a form of its own or one provided by the City (if available) as an attachment to a submittal or process. Documents and information to be submitted electronically include, but are not limited to:

18.9.1 Correspondence

18.9.2 Meeting Minutes

18.9.3 Submittals and Shop Drawings
Agreement with Advanced Chemical Transport / Exhibit A – Scope of Services Page 22 of 35

18.9.4 Product Data, reports, certifications, etc. must be submitted in PDF. (If a sample can be scanned, it is requested that a scanned PDF copy be submitted with the sample.

18.9.5 Requests for Information (RFI’s)

18.9.6 Submittals and Shop Drawings

18.9.7 Change Order requests and documentation, including record copies of change orders, proposals, and modifications.

18.9.8 Pay Applications

18.9.9 “Official” correspondence (such as letters) including informal correspondence, such as email.

18.9.10 Pre-Task Plans (PTPs)

18.9.11 Daily Construction Reports and other Daily Reports including Contractor Quality Control (CQC) Reports

18.9.12 All official reports, such as Commissioning reports

18.9.13 Notices and Claims

18.9.14 Operations and Maintenance Manuals

18.9.15 All Close-out documents, and

18.9.16 All testing results

18.10 Archive Copies: When requested by City, Contractor shall keep an archive copy of all digital data created by Contractor, or submitted to Contractor via e-mail, or resident on the e-Builder for the duration of the Project. Such data shall be available to City, and authorities with the jurisdiction (including funding agencies or representatives) on demand.

18.11 Should the City replace e-Builder with a different project management tool, Contractor, and subcontractors shall be required to utilize the new project management tool selected by the City.

Agreement with Advanced Chemical Transport /Exhibit B- Schedule of Fees and Payment Provisions Page 23 of 35

EXHIBIT B

SCHEDULE OF FEES AND PAYMENT PROVISIONS

1. MAXIMUM COMPENSATION
The maximum amount of compensation to be paid to Contractor during the Term of this Agreement shall not exceed the amount in Section 6 (Compensation and Payment) of the Agreement.

2. FEES SCHEDULE
Contractor shall charge, and the City shall pay for actual services rendered. Rates for labor and fees for materials and services are listed in Table B1 – Fee Schedule, attached and incorporated by reference. Invoices made to the City must be based upon the fees listed in Table B1 Fee Schedule. Where rates are not listed in Table B1, Contractor shall submit rates to be approved by the City in writing in advance of performing services.

2.1. Labor Rates and Fees. Rates and Fees listed in Table B1 are fully burdened and will remain fixed for the first two (2) years of the Agreement.

2.2. Rate Increase. Rates may be negotiated no more than once annually.

Contractor shall notify the City ninety (90) days in advance of any proposed rate increase. Any rate increases are subject to approval by the City and must be substantiated by the Contractor to the satisfaction of the City. All rate adjustments must be approved by the City by executing an amendment to this Agreement.

2.3. Definitions. The following definitions apply to the hourly rates in Table B1:

2.3.1. “Straight Time ” means the first eight (8) hours worked between Monday and Friday, excluding U.S. Federal Holidays.

2.3.2. “Overtime ” means the:

2.3.2.1. hours worked in excess of eight (8) hours, from Monday through Friday, during regular hours of operation from
7:00 a.m. to 5:00 p.m. PST/PDT;

2.3.2.2. first eight (8) hours worked on Saturdays; or

2.3.2.3. hours worked while performing emergency work
(excluding Sundays).

2.3.3. “Double Time ” means the:

Agreement with Advanced Chemical Transport /Exhibit B- Schedule of Fees and Payment Provisions Page 24 of 35

2.3.3.1. hours worked in excess of twelve (12) hours from Monday to Friday;

2.3.3.2. hours worked in excess of eight (8) hours on Saturdays;

2.3.3.3. hours worked during U.S. Federal Holidays; or

2.3.3.4. hours worked on Sundays.

2.3.4. “On -site minimum hours”

2.3.4.1. two (2) hours per person portal to portal from Contractor’s San Jose office.

3. CREDIT TO CITY
Contractor shall credit to the City any revenues for recycled materials listed in Table B2.

The recovered value shall be credited to the City and itemized on Contractor’s invoice.

Table B2: Recycled Materials
Description Credit to City
Metal Revenue $100.00/ton
or current market rate
Recycled Metal current market rate

4. REIMBURSABLE EXPENSES

4.1. Any and all reimbursable expenses shall be itemized in Contractor’s invoice.

Expenses shall be reimbursable only to the extent that (1) Contractor submits sufficient documentation to City that the expenses were directly incurred in providing the required services, (2) Contractor demonstrates that such expenses are not included in the hourly rate where applicable, (3) Contractor submits receipts, invoices, or other supporting documentation demonstrating that such reimbursable costs were incurred (4) Contractor has received written approval in advance of incurring such expenses. Any reimbursement to the Contractor is limited to the expenses in Table B3.

Table B3: Reimbursable Expense Schedule
Reimbursable Expense Schedule Mark Up

1. The cost of mailing, shipping and/or delivery of any documents or materials.

No Markup

2. The cost of photographing, printing, reproducing and/or copying any documents or materials.

No Markup

3. Charges for outside services and materials (including subcontractor fees, equipment, materials, and facilities not furnished directly by Contractor to the extent the City has preapproved, in writing, the cost of such services.

Not to exceed 15%

4. Other reimbursable expenses with prior written approval from the City
No Markup
Agreement with Advanced Chemical Transport /Exhibit B- Schedule of Fees and Payment Provisions Page 25 of 35 Reimbursable Expense Schedule Mark Up

5. Allowable mileage will be charged at the prevailing IRS rate per mile.

No Markup

6. Unless approved in writing (e-mail acceptable) in
advance, meals, lodging, and related per diem shall not exceed the rates outlined by United States General
Services Administration (GSA).
https://www.gsa.gov/travel-resources. Airfare or rental car, where applicable shall be at economy rates.

No Markup

4.2. Except in the case of emergency, Contractor will notify the City in advance when reimbursable expenses are anticipated.

5. PAYMENT PROVISIONS

5.1. Contractor shall provide an invoice to the City on a monthly basis for services completed in the immediately preceding month. The invoice must include the following information:

5.1.1. Invoice Number and Invoice Period.

5.1.2. Current amount due with a time and materials breakdown: titles, hours, hourly rates, service fee, and any City approved reimbursable expenses itemized with supporting documentation.

5.2. Pre-Payment. City shall not be required to pay a deposit or any other form of pre-payment prior to Contractor beginning work.

5.3. Payment Limited to Satisfactory Work. Contractor is not entitled to any payments until the City concludes that the services and/or any furnished deliverables have been satisfactorily performed.

5.4. Recalculation. The City may recalculate and pay invoices based on the rates established in this Agreement.

5.5. Disputed Invoices. If the City in good faith disputes any portion of an invoice, the City shall pay the undisputed portion of the invoice and submit written notice to Contractor regarding the disputed amount. The notice shall include documentation supporting the disputed amount.

5.6. Payment. If there are no discrepancies or deficiencies in the submitted invoice and Contractor has submitted all required Certified Payroll, City shall process the invoice for payment. City will make payments to Contractor within thirty (30) days after the date of approval of each invoice.

Agreement with Advanced Chemical Transport /Exhibit B- Schedule of Fees and Payment Provisions Page 26 of 35 TABLE B1: FEE SCHEDULE
Labor:

Classification
Straight Time
Hourly Rate
Overtime
Hourly Rate
Double Time
Hourly Rate
On-site personnel (as described
in Section 2.3 of Exhibit A)

$85.00

$110.00

$134.00
Chemist $85.00 $110.00 $134.00
Professional / Consulting
Services

$125.00

$188.00

$250.00
Project Manager $81.00 $125.00 $145.00
Site Safety Officer $111.00 $130.00 $150.00
Technician $85.00 $110.00 $134.00
Hazardous Waste Endorsed
Driver

$95.00

$122.00

$122.00
Tanker Driver (Including Tanker
Truck)

$96.00

$123.00
$145.00
Project Lead Emergency
Response

$86.00

$110.00

$135.00
Two-Person Emergency
Response Team

$175.00

$220.00

$268.00
Other Fees: Standard Rate
Manifest $35.00 per manifest
Profile No Charge
Environmental Surcharge 12% of total invoice
Disposal Standard Rate
Bulk Oil $0.25/Gallon
Oil <10% water $85.00/55-Gallon Drum
Bulk Oily water $1.50/Gallon
Oily Debris $76.00/55-Gallon Drum
Aerosols $168.00/55-Gallon Drum
Glycol $ 95.00/55-Gallon Drum
Oily Water $ 95.00/55 Gallon Drum
PCB Transformers 0-5 parts per million (PPM) $0.85/Pound PCB Transformers 5-49 PPM $1.60/Pound
PCB Transformers over 50 PPM $5.75/Pound
Transportation Standard Charge
5-20 Gallon $21.00 per drum
30-55 Gallon $38.00 per drum
275 Gallon Totes $150.00 per drum
Gear Truck $125.00 per day

Agreement with Advanced Chemical Transport /Exhibit B- Schedule of Fees and Payment Provisions Page 27 of 35 Materials Unit Cost
Personal Protective Equipment (PPE) Level D $13.00/each Closed Top Poly Carboy $17.00/5-Gallon
Open Top Poly Drum-Reconditioned $20.00/5-Gallon
Open Top Poly Drum-Reconditioned $57.00/30-Gallon
Closed Poly Top Drum-Reconditioned $35.00/55-Gallon
Open Poly Top Drum-Reconditioned $47.00/55-Gallon
Closed Metal Top Drum-Reconditioned $58.00/55-Gallon
Open Metal Top Drum-Reconditioned $92.00/55-Gallon
On-Site Service Supplies (e.g., pumps, hoses,
hand tools, flanges, etc.)
$95.00 per week
pH Test Strip $1.00/each
Spilfyters $19.00/each
Volatile Organic Compound (VOC) Sampling with
5-Day Turnaround
$105.00 per sample
Cam 17 Sampling with 5-Day Turnaround $120.00 per sample PCB Field Test Kit (Emergency Response Use
Only)
$225.00 per kit
PCB Testing and Sampling with Same Day
Turnaround for Formal Lab Testing Per
Transformer During Emergency Response
$1,200.00 per sample
Decontamination Kit $150.00 per kit
Pogo Pump $50.00 per pump
Stabilization Kit $200.00 per kit

Agreement with Advanced Chemical Transport /Exhibit C- Insurance Requirements Page 28 of 35

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:

1. COMMERCIAL GENERAL LIABILITY INSURANCE

1.1. Commercial General Liability Insurance policy which provides coverage at least as broad as Insurance Services Office form CG 00 01 with no exclusion for explosion, collapse, or underground perils (XCU) and no exclusion for subcontractors. Policy limits are subject to review, but shall in no event be less than, the following:
$5,000,000 Each Occurrence
$5,000,000 General Aggregate Per Project
$5,000,000 Products/Completed Operations Aggregate
$5,000,000 Personal Injury

1.2. Exact structure and layering of the coverage 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.

1.3. 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:

1.3.1. The general aggregate limit shall, by endorsement or otherwise, provide a designated aggregate limit solely for Work performed under this contract.

1.3.2. Coverage shall be on a “pay on behalf” basis with defense costs payable in addition to policy limits;

1.3.3. There shall be no cross-liability exclusion which precludes coverage for claims or suits by one insured against another; and

1.3.4. Coverage shall apply separately to each insured against whom a claim is made, or a suit is brought, except with respect to the limits of liability.

Agreement with Advanced Chemical Transport /Exhibit C- Insurance Requirements Page 29 of 35

2. 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 five million dollars ($5,000,000) combined single limit for bodily injury and / or property damage liability including coverage for all owned (if any), non-owned and hired autos. Where hazardous or regulated substances or hazardous or regulated waste are being transported by Contractor or its subcontractors, the limits of liability shall be not less than $5,000,000 each occurrence combined single limit and the policy shall contain endorsement MCS-90.

3. WORKERS’ COMPENSATION

3.1. 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.

3.2. 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).

3.3. 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.

4. POLLUTION LIABILITY

4.1. In the event that this contract involves hazardous or regulated wastes and/or hazardous or regulated materials, Contractor and/or its subcontractors shall provide a Contractor’s Pollution Liability Insurance policy with coverage limits not less than ten million dollars ($10,000,000) per occurrence and ten million ($10,000,000) aggregate limits, including claim expenses and defense in connection with the Work performed under this Contract. All activities contemplated in this agreement including ongoing and completed site operations, transportation incidents and non-owned disposal sites shall be specifically scheduled on the policy as “covered operations.” Any deductible must be declared to and approved by City.

Such policy shall cover, at a minimum, liability for bodily injury, damage to and loss of use of property, and clean–up costs arising from sudden, accidental and gradual pollution and remediation in connection with the Work under this Agreement. Contractor will use its best efforts to have the City, Council, officers, employees and volunteers added as additional insureds under this policy. The following provisions shall apply:

Agreement with Advanced Chemical Transport /Exhibit C- Insurance Requirements Page 30 of 35

4.1.1. The policy shall provide coverage for the hauling of waste from the project site to the final disposal location, including non-owned disposal sites.

4.1.2. Contractor shall also ensure the licensed hazardous waste disposal facility maintain at least $5,000,000 in pollution liability limits.

4.1.3. Products/completed operations coverage shall extend a minimum of Ten (10) years after project completion.

4.1.4. Coverage shall be included on behalf of the insured for covered claims arising out of the actions of independent contractors.

4.1.5. If the insured is using subcontractors the Policy must include work performed “by or on behalf” of the insured.

4.1.6. Policy shall contain no language that would invalidate or remove the insurer’s duty to defend or indemnify for claims or suits expressly excluded from coverage. Policy shall specifically provide for a duty to defend on the part of the insurer.

5. 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 three million dollars ($3,000,000) per claim or three million dollars ($3,000,000) aggregate. Any coverage containing a deductible or self-retention must first be approved in writing by the City Attorney’s Office.

6. 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.

6.1. Additional Insureds. City of Santa 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.

6.2. Primary and non-contributing. Each 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 Agreement with Advanced Chemical Transport /Exhibit C- Insurance Requirements Page 31 of 35 may possess shall be considered excess insurance only and shall not be called upon to contribute with Contractor’s insurance.

6.3. Cancellation.

6.3.1. Each insurance policy shall contain 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.

6.3.2. Each insurance policy shall contain 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.

6.4. 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 1 through 5 of this Exhibit C.

7. ADDITIONAL INSURANCE RELATED PROVISIONS
Contractor and City agree as follows:

7.1. 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.

7.2. 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 Agreement with Advanced Chemical Transport /Exhibit C- Insurance Requirements Page 32 of 35 complying with these requirements. There shall be no recourse against City for payment of premiums or other amounts with respect thereto.

7.3. The City reserves the right to withhold payments from the Contractor in the event of material noncompliance with the insurance requirements set forth in this Agreement.

8. 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.

9. 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 and other items required to be delivered to City pursuant to this Agreement shall be e-mailed to: [email protected]

10. 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 7 (A- VII) or shall be an insurance company of equal financial stability that is approved by the City or its in insurance compliance representatives.

Agreement with Advanced Chemical Transport /Exhibit D – Labor Compliance Page 33 of 35

EXHIBIT D

LABOR COMPLIANCE
This Agreement is subject to the requirements of California Labor Code section 1720 et seq. requiring the payment of prevailing wages, the training of apprentices, and compliance with other applicable requirements.

A. PREVAILING WAGE REQUIREMENTS

1. Contractor shall be obligated to pay not less than the General Prevailing Wage Rate, which can be found at www.dir.ca.gov and are on file with the City Clerk’s office, which shall be available to any interested party upon request. Contractor is also required to have a copy of the applicable wage determination posted and/or available at each job site.

2. Specifically, contractors are reminded of the need for compliance with Labor Code Section 1774-1775 (the payment 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 generally apply to work performed on weekends, holidays and for certain shift 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. Contractors and subcontractors 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 receive 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.

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, Contractor agrees to present to City, along with its request for payment, all applicable and necessary certified payrolls (for itself and all applicable subcontractors) for the time period covering such payment request. Contractor shall submit certified payroll through LCP Tracker or similar system as directed by Agreement with Advanced Chemical Transport /Exhibit D – Labor Compliance Page 34 of 35 the City. The term “certified payroll” 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 limited to:
certified payroll, fringe benefit statements and backup documentation such as monthly benefit statements, employee timecards, copies of wage statements and cancelled checks, proof of training contributions (CAC2 if applicable), and apprenticeship forms such as DAS-140 and DAS-142.

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 contractor or subcontractor 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 [with limited exceptions from this requirement for bid purposes only under Labor Code section 1771.1(a)].

Contractors MUST be a registered “public works contractor” 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 construction alternation, demolition or repair work, registration is not required.

9. All contractors/subcontractors and related construction services subject to prevailing wage, including but not limited to: trucking, surveying and inspection work must be registered with the Department of Industrial Relations as a “public works contractor”. Those you fail to register and maintain their status as a public works contractor shall not be permitted to perform work on the project.

10. Should any contractor or subcontractors not be a registered public works contractor and perform work on the project, Contractor agrees to fully indemnify the City for any fines assessed 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.

11. This project is subject to compliance monitoring and enforcement by the Department of Industrial Relations.

Agreement with Advanced Chemical Transport /Exhibit D – Labor Compliance Page 35 of 35 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, City Manager, or a designated representative 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 Contractor’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 full compliance. In the event that certified payroll forms do not comply with the requirements of Labor Code Section 1720 et seq., City 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 Contractor until Contractor has performed all of its obligations under these provisions.

This provision means that City can withhold all or part of a payment to Contractor until all required documentation is submitted. Any payment by the City despite Contractor’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.

4. City or the California Department of Industrial Relations may impose penalties upon contractors and subcontractors for failure to comply with prevailing wage requirements. These penalties are up to $200 per day per worker for each wage violation 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.

City of Santa Clara
Agenda Report
1500 Warburton Avenue
Santa Clara, CA 95050
santaclaraca.gov
@SantaClaraCity
23-123 Agenda Date: 6/6/2023

REPORT TO COUNCIL

SUBJECT
Action on an Agreement for Services with Davey Tree Surgery Company with a Maximum Compensation of $25,000,000 for the Initial Five-year Term and an Option to Extend for an Additional Five Years for a Total Maximum Compensation of $60,000,000 Over the Ten-year Term

COUNCIL PILLAR
Deliver and Enhance High Quality Efficient Services and Infrastructure

BACKGROUND
The City of Santa Clara’s Electric Department, Silicon Valley Power (SVP), requires regular tree trimming and related services to reduce threats to the integrity of SVP’s electric distribution system associated with tree and related vegetation contact with power lines. Regular and emergency tree trimming services are critical to reduce power outages for SVP customers and minimize the duration of outages when they occur due to trees and other vegetation. In recognition of this hazard, SVP uses a tree trimming contractor specializing in working near electrical infrastructures to provide these services.

The City currently uses Davey Tree Surgery Company (Davey) to provide power line clearance and trimming services, including removal, maintenance, and pruning of trees and vegetation. The current agreement with Davey is the result of a competitive Request for Proposal process that was conducted in 2017, and the Agreement is set to expire on June 30, 2023. SVP has been satisfied with the services provided by Davey.

DISCUSSION
Pursuant to City Code Section 2.105.140(c), a formal Request for Proposal (RFP) was conducted with the contract award based on “best value”. The RFP was published using the City’s e- procurement system. Four proposals were received from Community Tree Service, LLC, Davey Tree Surgery Company, Utility Tree Service, LLC, and West Coast Arborists, Inc.

Proposals were independently evaluated by a three-member evaluation team against the criteria and weights published in the RFP. The evaluation criteria included operational capacity, the firm’s experience and qualifications, qualifications of key personnel, safety, and cost. Staff recommends award of contract to Davey as the best value service provider, scoring the highest in each of the evaluation categories.

The term of the proposed Agreement will be five years beginning on or around July 1, 2023, with the City reserving the right to exercise options to extend the Agreement for up to five additional years, for a total of 10 years.

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The proposed agreement includes a high-level scope of services to be provided by Davey. Davey will assign multiple crews to work on a daily basis within the City and Davey will be compensated for services on a time and materials (T&M) basis. Daily work will be assigned by SVP using methods including job tags or maps. In addition, Davey will be available to provide emergency services after hours to clear trees that have caused power outages. All work will be conducted in accordance with SVP standards as well as applicable standards and regulations, including the California Public Utility Commission’s General Orders and Occupational Health and Safety Administration (OHSA) rules.

Davey may also perform additional services on an as-needed basis to ensure comprehensive tree management. These include arborist services, forester services, tree trimming at locations outside of the City, tree trimming not within electrical clearance, and training.

Based on historical spending patterns, the maximum compensation for the initial five-year term is $25,000,000. Staff recommends that the City Council authorize the City Manager to execute the agreement with Davey. Furthermore, staff recommends that City Council also authorize the City Manager to execute amendments to the agreement, which includes the option to extend the agreement for up to five additional years and to increase the maximum compensation to $60,000,000 over a 10-year period.

ENVIRONMENTAL REVIEW
Staff recommends that the City Council determine that the actions being considered are exempt from the California Environmental Quality Act (“CEQA”) pursuant section 15301 of Title 14 of the California Code of Regulations as the services involve maintenance of existing trees and vegetation around SVP’s utility infrastructure.

FISCAL IMPACT
The costs associated with the proposed agreement is primarily budgeted as part of SVP’s annual operating budget.

Sufficient funding for the agreement is included in the Proposed FY 2023/24 and FY 2024/25 Operating Budget in the Electric Utility Fund. Funds for the agreement in future years will be included in proposed budgets for corresponding years.

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

RECOMMENDATION

1. Determine the proposed actions are exempt from CEQA pursuant to Section 15301 of Title 14 of the California Code of Regulations;

2. Authorize the City Manager to execute an Agreement for Services with Davey Tree Surgery City of Santa Clara Printed on 6/2/2023Page 2 of 3
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23-123 Agenda Date: 6/6/2023
Company for power line clearance and related tree trimming services for an initial five-year term starting on or around July 1, 2023, and ending on or around June 30, 2028, with a maximum compensation of $25,000,000, subject to the appropriation of funds; and

3. Authorize the City Manager to take any actions as necessary to implement and administer the Agreement; and negotiate and execute amendments to the Agreement to (a) add or delete services consistent with the Agreement’s scope of services; (b) adjust future rates; (c) exercise the option to extend the term for up to five additional years through June 30, 2033; and (d) increase the maximum compensation after the initial five-year term by $35,000,000 for a maximum compensation of $60,000,000 for the 10-year term, subject to Agreement extension, approval by the City Attorney as to form, and the appropriation of funds.

Reviewed by: Manuel Pineda, Chief Electric Utility Officer Approved by: Jōvan D. Grogan, City Manager

ATTACHMENT

1. Proposed Agreement Davey Tree Surgery Company
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EBIX Insurance No. S200000417

AGREEMENT FOR SERVICES

BETWEEN THE

CITY OF SANTA CLARA, CALIFORNIA,
AND

DAVEY TREE SURGERY COMPANY

PREAMBLE
This Agreement is entered into between the City of Santa Clara, California, a chartered California municipal corporation ("City") and Davey Tree Surgery Company, a Delaware corporation, ("Contractor"). City and Contractor may be referred to individually as a "Party" or collectively as the "Parties".

RECITALS
A. City desires to secure the services more fully described in this Agreement, at Exhibit A, entitled "Scope of Services" ("Services");

8. Contractor represents that it, and its subcontractors, if any, have the professional qualifications, expertise, necessary licenses and desire to provide certain Services and goods of the quality and type which meet objectives and requirements of City; and,
C. 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

Exhibit A - Scope of Services
Exhibit 8 - Schedule of Fees and Payment Provisions
Exhibit C - Insurance Requirements
Exhibit D - Labor Compliance Exhibit
Exhibit E - Work Authorization Form
This Agreement, including the Exhibits set forth above, contains all the Agreement with Davey Tree Surgery Company
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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
A. 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 July 1, 2023 and terminate on June 30, 2028 ("Initial Term").

B. After the Initial Term, City reserves the right, at its sole discretion, to extend the term of this Agreement for up to five (5) additional years through June 30, 2033 ("Option Periods") in such increments as determined by City. Such extensions of term shall be authorized through an Amendment to this Agreement executed by the Parties. The Initial Term and Option Periods shall collectively be referred to as "Term".

3. SCOPE OF SERVICES & PERFORMANCE SCHEDULE
Contractor shall perform those Services specified in Exhibit A within the time stated in Exhibit A. Time is of the essence.

4. WARRANTY
I
In addition to those warranties contained in Exhibit A, Contractor expressly warrants that all Services and materials 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 applicable to this Agreement. For a period of one (1) year following completion of the applicable Services, Contractor agrees to promptly replace or correct any incomplete, inaccurate or defective Services or materials at no further cost to City when defects are due to the negligence, errors or omissions of Contractor. If Contractor fails to promptly correct or replace Services or materials, City may make corrections or replace materials or Services and charge Contractor for the reasonable cost incurred by City.

5. QUALIFICATIONS OF CONTRACTOR - STANDARD OF CARE
Contractor 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 Contractor's representations regarding its skills and knowledge. Contractor 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.

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6. COMPENSATION AND PAYMENT
In consideration for Contractor's complete performance of Services, City shall pay Contractor for all Services and materials in accordance with Exhibit B, entitled "SCHEDULE OF FEES AND PAYMENT PROVISIONS." The maximum compensation of this Agreement is twenty-five million dollars ($25,000,000), subject to budget appropriations, which includes all payments that may be authorized for the Services and for expenses, supplies, materials and equipment required to perform the Services. All Services performed or materials provided in excess of the maximum compensation shall be at Contractor's expense.

Contractor shall not be entitled to any payment above the maximum compensation under any circumstance.

7. TERMINATION
A. Termination for Convenience. City shall have the right to terminate this Agreement, without cause or penalty, by giving not less than Thirty (30) days' prior written notice to Contractor.

B. Termination for Default. In addition to all other remedies provided by law, if either Party fails to perform any of its duties or obligations or the breach by any of the terms and conditions set forth in this Agreement, the other Party may terminate this Agreement if the defaulting party has failed to cure such default for a period of thirty (30) days after receipt of written notice from the other Party specifying in reasonable detail the nature and extent of any such failure.

C. Upon termination, each Party shall assist 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, Contractor will deliver to City all City information or material that Contractor has in its possession.

Contractor shall be as fully responsible to City for the acts and omissions of its subcontractors, and of persons either directly or indirectly employed by them, as Contractor is for the acts and omissions of persons directly employed by it.

9. NO THIRD PARTY 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 Agreement with Davey Tree Surgery Company
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action under this Agreement for any cause whatsoever.

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 Contractor 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, Contractor 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. This Section 12 shall not apply to any existing intellectual property owned by Contractor and used during the performance of this Agreement but shall be limited to new inventions created during the performance of this Agreement. All inventions, discoveries, documents, works of authorship, methods, and the derivative works thereof, developed or created by Contractor prior to the start of the Services shall remain the sole and exclusive property of Contractor.

13. RIGHT OF CITY TO INSPECT RECORDS OF CONTRACTOR
City, through its authorized employees, representatives or agents shall have the right during the Term 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 Contractor for the purpose of verifying any and all charges made by Contractor in connection with Contractor compensation under this Agreement, including termination of Contractor. Contractor agrees to maintain sufficient books and records in accordance with generally accepted accounting principles to establish Agreement with Davey Tree Surgery Company
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the correctness of all charges submitted to City. Any expenses not so recorded shall be disallowed by City. Contractor 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.

Contractor shall submit to City any and all reports concerning its performance under this Agreement that may be requested by City in writing. Contractor agrees to assist City in meeting City's reporting requirements to the State and other agencies with respect to Contractor's Services hereunder.

14. HOLD HARMLESS/INDEMNIFICATION
A. To the extent permitted by law, Contractor 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, in any manner arising from, or alleged to arise in whole or in part from, or in any way connected with the Services performed by Contractor pursuant to this Agreement - including claims of any kind by Contractor's employees or persons contracting with Contractor to perform any portion of the Scope of Services - and shall expressly include passive or active negligence by City connected with the Services. However, the obligation to indemnify shall not apply if such liability is ultimately adjudicated to have arisen through the sole active negligence or sole willful misconduct of City; the obligation to defend is not similarly limited.

B. Contractor's obligation to protect, defend, indemnify, and hold harmless in full City and City's employees, shall specifically extend to any and all employment-related claims of any type brought by employees, contractors, subcontractors or other agents of Contractor, against City (either alone, or jointly with Contractor), regardless of venue/jurisdiction in which the claim is brought and the manner of relief sought.

C. To the extent Contractor is obligated to provide health insurance coverage to its employees pursuant to the Affordable Care Act ("Act") and/or any other similar federal or state law, Contractor warrants that it is meeting its obligations under the Act and will fully indemnify and hold harmless City for any penalties, fines, adverse rulings, or tax payments associated with Contractor's responsibilities under the Act.

15. INSURANCE REQUIREMENTS
During the Term, and for any time period set forth in Exhibit C, Contractor shall provide and maintain in full force and effect, at no cost to City, insurance policies as set forth in Exhibit C.

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16. WAIVER
Waiver by either Party 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.

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: Silicon Valley Power
1500 Warburton Avenue
Santa Clara, CA 95050
and by e-mail at svocontracts@santaclaraca. gov and
manager@santaclaraca. gov
And to Contractor addressed as follows:

Davey Tree Surgery Company
Attention: Kevin Peters
2617 South Vasco Rd.

Livermore, CA 94550
And by phone at (925) 443-1723 x3240
and by e-mail at Kevin.Peters @Davey.com
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
Contractor 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, Contractor'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 Contractor has read and agrees to comply with City's Ethical Standards (htto://santaclaraca. gov/home/showdocument?id=58299 }.

19. CONFLICTS OF INTEREST
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Contractor certifies that to the best of its knowledge, no City officer, employee or authorized representative has any financial interest in the business of Contractor and that no person associated with Contractor has any interest, direct or indirect, which could conflict with the faithful performance of this Agreement. Contractor is familiar with the provisions of California Government Code section 87100 and following, and certifies that it does not know of any facts which would violate these code provisions. Contractor will advise City if a conflict arises.

21. NO USE OF CITY NAME OR EMBLEM
Contractor 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.

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.

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.

Agreement with Davey Tree Surgery Company
Rev. 07-01-18

Page 7 ends

The Parties acknowledge and accept the terms and conditions of this Agreement as evidenced by the following signatures of their duly authorized representatives.

Approved as to Form:

CITY OF SANTA CLARA, CALIFORNIA
a chartered California municipal corporation
Dated:

Office of the City Attorney
City of Santa Clara
Office of the City Manager
1500 Warburton Avenue
Santa Clara, CA 95050
Telephone: (408) 615-2210
Fax: (408) 241-6771
"CITY"
*DAVEY TREE SURGERY COMPANY
a Delaware corporation
Dated: --c>""''--c:::r--..a.....+------------
8 y (Signature): ~,,L;L.~=========------:a....--------------- Name: ec./., -------=-- ~~~~-- --- --
Tit I e: l,0~(.' ~ s,~/ o~ o,,a,~ ✓ ~"'7s
Principal Place of 2617 South Vasco Rd. 7
Business Address: Livermore, CA 94550 ---~---------=---------- Em a ii Address: ,,f,.,v,,., . /?"' _,{ 0 e c=oo/cr...,., . CC.-..,, Telephone: __.(_Y¥....______ V._~_"J __ /_?._~_ ::r _ _ .x __ $>.~ ~-o __ _ Fax: (%>f 9'Yr /75' I
"CONTRACTOR"
Agreement with Davey Tree Surgery Company
Rev. 07-01-18

Page 8 ends

EXHIBIT A

SCOPE OF SERVICES
The Services to be performed for the City by the Contractor under this Agreement shall consist of line clearance work as further described in this Exhibit A for the City's Electric Utility, Silicon Valley Power (SVP). The terms ucity" and "SVP" are used interchangeably throughout this Exhibit.

1. GENERAL REQUIREMENTS

1.1. Contractor shall furnish all supervision, labor, materials, tools, permits, equipment, personal protective gear, and supplies necessary to provide tree removal, trimming, and pruning Services for power line clearance.

Services will primarily be associated with high voltage power lines, but may also include Services around communication lines, SVP structures, and other related tree-trimming Services.

1.2. Contractor must provide a fully qualified supervisor to supervise field crews and meet with the SVP Representative as needed for the purposes of correcting problems/conflicts and coordinating Services schedules. The City reserves the right to request removal of any employee of the Contractor for good cause.

1.3. Before starting the Services, Contractor shall designate in writing the General Foreperson who an on-site field representative shall have complete authority to act for Contractor in all matters concerning the technical and commercial aspects of the Services. An Alternate Field Representative shall also be designated for those brief periods when the Contractor's General Foreperson may be unavailable due to illness or other short-term matters. The General Foreperson or the Alternate Field Representative shall be readily available whenever Services are in progress. The General Foreperson or Alternate Field Representative shall be reachable during all working hours.

1.4. Contractor shall keep the SVP Representative informed in writing as to the name, local address, and telephone number of the General Foreperson who must be available outside normal working hours and responsible for emergencies and clean up.

1.5. After contract award and prior to commencement of Services, Contractor, together with the General Foreperson, shall attend a meeting with the SVP Representative and other individuals identified by the Parties to discuss the key elements of the Services.

1.6. Services may take place on City-owned property, easements (including in private yards, assets or other areas as determined by SVP). This may include Services activities outside of the City limits of Santa Clara such as Agreement with Davey Tree Surgery Company/Exhibit A-Scope of Work Services Rev. 07-01-18

Page 1 ends

at City properties in Glenn or Tehama counties.

1. 7. Contractor shall procure all permits and licenses, pay all charges and fees, and give all notices necessary and incidental to the due and lawful prosecution of the Services.

1.8. Contractor shall remain informed of all existing state and federal laws and all municipal ordinances and regulations of the City that in any manner affect those engaged or employed in the Services.

1.9. For any deviation from specifications as may be required by unforeseen events or emergencies, Contractor must obtain prior written approval in all cases by an authorized SVP Representative.

1.10. Contractor shall assist with all communication with regulatory agencies when requested.

1.11. Contractor shall determine and follow protocols for State and City protected trees.

1. 12. Contractor shall perform tree trimming, removal and pruning in strict accordance with the International Society of Arboriculture (ISA) guidelines for tree maintenance, the California Public Utilities Commission (CPUC) Standards for Vegetation Utility Line Clearance, and SVP Standard Document OH 1230 - Tree Clearances From Overhead Electric Lines, as may be amended by the City from time to time. Contractor shall take appropriate precautions to assure that power lines and communication lines are not cut while trimming trees.

1. 13. Contractor shall establish a field office or yard area in the City of Santa Clara, at Contractor's expense, as a base for daily operations. City may provide staging area subject to a "Right of Entry Agreement". Contractor is responsible for all office and security needs of the field office or yard. SVP is not responsible for loss, damaged or stolen equipment, vehicles, or any other Contractor's property.

2. DEFINITIONS

2.1. "SVP Representative" shall mean the employee designated in overall charge of the SVP line clearance program. The SVP Representative is responsible for assigning Services to the Contractor and is the single point of contact for the Contractor under this Agreement.

2.2. "General Foreperson" shall mean the employee of Contractor who will be in overall charge of the Contractor's crews performing the Services. The General Foreperson will be on site, perform all customer notifications of tree trimming, coordinate all Services, and is the primary contact for Agreement with Davey Tree Surgery Company/Exhibit A-Scope of Work Services Rev. 07-01-18
Page2
emergency response.

2.3. "Line Clearance Qualified Tree Trimmer (LCQTT)" shall mean a Contractor employee trained to provide Services in proximity of energized power transmission and distribution lines.

2.4. "Line Clearance Tree Trimmer" shall mean a Contractor employee trained as an apprentice level tree trimmer trainee (0-18 months).

2.5. "Line Clearance Qualified Tree Trimming Foreperson" shall mean a Contractor supervisory position who is in direct charge of Contractor's tree trimming crew, and who is journey level line clearance qualified.

2.6. "ISA Certified Arborist" shall mean the individuals who have achieved a level of knowledge in the art and science of tree care through experience and by passing a comprehensive examination developed by some of the nation's leading experts on tree care.

2.7. "Emergency Services" is defined as an unforeseen event, circumstance, or combination of circumstances that City determines to require immediate action and/or presents an ongoing danger to public health and safety and/or imperils SVP's distribution system.

2.8. "SVP System Operator'' shall mean the City employee with 24/7 control of the SVP electric network and is responsible for dispatching resources.

3. SCOPE OF SERVICES
There are three service categories under this Agreement: Daily Work, Emergency Services, and As-Needed Services, as described below.

3.1. DAILY WORK

3.1.1. 3.1.2.

3.1.3. SVP will provide Contractor with the prioritization of Services through a Computerized Maintenance Management System and Services order list (which may include workplans and maps) on a weekly basis for Contractor to schedule daily work (Daily Work).

Contractor shall provide tree trimming Services, including, but not limited to hazardous and line clearance tree pruning, tree removal, and associated Services, including stump grinding, brush and log disposal, chipping, and all other disposal methods.

When requested by City or when otherwise discovered by
Contractor, Contractor shall inspect and report any trees of concern, along SVP Right of Way (ROW) including all SVP-owned and operated lines.

Agreement with Davey Tree Surgery Company/Exhibit A-Scope of Work Services Rev. 07-01-18

Page 3 ends

3.1.4. Crew Minimum Requirements: Contractor shall provide the following resources for Daily Work within the City.

3.1.5. 3.1.6.

3.1.7. 3.1.4.1.

3.1.4.2. 3.1.4.3.

Eight (8) crews of Qualified Line Clearance Tree
Trimmers; two (2) persons per crew.

One (1) Qualified Line Clearance Tree Trimmer to
supplement crews as needed.

One (1) General Foreperson, on-site overall
supervisor of Contractor work.

One (1) Line Clearance Tree Trimmer, two (2) person crew to be called in as needed to assist with clean-up or general tree trimming as requested by SVP.

As Contractor becomes aware of trees presenting a public safety hazard or an increased potential to create a power outage, Contractor shall immediately notify SVP of these hazard locations.

As SVP becomes aware of trees presenting a public safety hazard or an increased potential to create a power outage the City will provide a trimming priority list (Trimming Priority List) for these hazard locations. Contractor shall respond and begin these Services on the Trimming Priority List within one business day of the City's notification.

3.2. EMERGENCY SERVICES

3.2.1. 3.2.2.

3.2.3. Emergency Services shall be provided as part of the Services included in this Agreement. Emergency Services are provided in instances of a threat to public health or safety, loss of or damage to property, or disruption to essential services. An emergency is defined as an unforeseen event, circumstance, or combination of circumstances that the City reasonably determines to require immediate action.

Emergency Services may be authorized by the SVP
Representative, SVP System Operator, or higher authority, through an email; provided that, if that is not possible, a verbal authorization may be made.

Contractor shall provide 24-hour, seven-days per week, Emergency Services including holidays. Contractor shall provide a 24 X 7 answering service contact phone number at which an individual can be reached at any time.

3.2.3.1. The General Foreperson shall respond to all requests Agreement with Davey Tree Surgery Company/Exhibit A-Scope of Work Services Rev. 07-01-18
Page4

3.2.3.2. for Emergency Services within 30 minutes of
notification.

Once contacted, Contractor will have staff at the site
of an Emergency and ready to perform Services with
proper tools and equipment within 90 minutes unless
otherwise authorized by SVP. Failure to respond
within this timeframe may result in the termination of
this Agreement, at the sole discretion of SVP.

3.3. AS NEEDED SERVICES

3.3.1. As needed services (As Needed Services) are services not included in Daily Work or Emergency Services (further described in Section 3.1 and 3.2 of this Exhibit), that support the City's needs such as services listed in this Section.

3.3.2. Additional tree trimming services not included in Daily Work or Emergency Services such as tree trimming services at remote sites.

3.3.3. Wildfire Mitigation Plan (WMP): City may use Contractor to perform services in accordance with SVP WMP (Attachment A-1 ), as amended from time to time and prepared pursuant to Public Utilities Code (PUC) section 8387. Contractor shall provide advisory and reporting Services, including but not limited to:

3.3.3.1. 3.3.3.2.

3.3.3.3. 3.3.3.4.

Provide a WMP subject matter expert to provide
advisory Services for the WMP annual review.

Evaluate changes to regulatory requirements related
to the management and documentation of vegetation
control.

Provide regulatory input, discovery, mitigation and
improvements related to the management of the
vegetation program.

Provide on-call Tree Risk Assessment Qualified
(TRAQ) arborist to assess Services, inspections, and
reporting as required.

3.3.4. Forester I Arborist: SVP may request Contractor to perform an annual Forester/Arborist inventory patrol of trees in the vicinity of SVP facilities including:

3.3.4.1. Perform pre-inspection and Geographic Information System (GIS) inventory of necessary vegetation
Agreement with Davey Tree Surgery Company/Exhibit A-Scope of Work Services Rev. 07-01-18

Page 5 ends

3.3.5. 3.3.6.

3.3.7. 3.3.8.

3.3.4.2. 3.3.4.3.

3.3.4.4. 3.3.4.5.

3.3.4.6. Services along the SVP Right-of-Way (ROW).

Produce a report, and, if determined by inventory
patrol, provide a scope of vegetation management
services necessary to maintain compliance with
California Public Utility Commission (CPUC) Public
Resource Code (PRC) 4293 and General Order 95 for
one year from date of inspection. Scope shall include
Services to maintain reliability and facilitate system
hardening and must be approved SVP.

Store inventory results and reports in an environment
provided by the Contractor and accessible to City
through a web portal.

These Services shall be completed between February
1st and May 31st each year.

SVP will use the results of this inventory and
proposed scope to assign as needed vegetation
management services pursuant to this Section.

Post-work inspection, documentation and final report
of all tree Services shall be completed by the
Contractor. All reports and inventory data shall meet
the scrutiny of the California Office of Energy and any other regulatory agencies.

Training for City staff associated with Contractor's area(s) of expertise.

When As Needed Services are required by City, City shall request services pursuant to Section 16 (Work Authorization Process).

Contractor shall submit a Proposal as defined in Section 16.2 and such Proposal shall conform with the requirements of Section 16.2.

Contractor shall receive, respond to, and complete all Work Authorization Forms (Exhibit E) assigned by SVP.

For As Needed Services, Contractor shall use resources other than those already assigned to the City to complete Daily Work.

4. PROCESS FOR REQUEST TO DE-ENERGIZE CONDUCTORS:

4.1. When City and/or Contractor determines that an electrical hazard exists in a tree that has to be climbed and this hazard cannot be cleared with a non-conductive pole pruner or pole saw, Contractor shall request the City to de-energize and ground the circuit for the length of time required to Agreement with Davey Tree Surgery Company/Exhibit A-Scope of Work Services Rev. 07-01-18
Page6
perform the Service.

4.2. If the electrical hazard is an emergency, then Contractor shall immediately communicate this to the City, and the City will de-energize the circuit as soon as possible.

4.3. If the work requiring conductors to be deenergized is not an emergency, Contractor shall notify SVP within the timeframe specified in SVP's requirements (typically a minimum of three weeks' notice prior to start of Service).

5. HOURS OF WORK/ DAYS OF WORK

5.1. Regular Work Hours/ Days of Work: Contractor shall perform regular, non-Emergency Services from 7:00 am through 3:30 pm Monday through Friday. No adjustment in the contract amount will be made for nonconforming work hours or workdays. Contractor shall be responsible for completing routine Services within regular work hours in a manner that is most economical and efficient to SVP with consideration of any State, Federal, or Local laws or regulations affecting pay and break or mealtimes.

5.2. Services exceeding eight (8) working hours shall be approved in advance, by the SVP Representative or designee. A second approval shall be required for shifts or employee work exceeding twelve (12) hours in a day or a single shift. All Services in excess of the normal working day must be paid in accordance with applicable Federal, State, and local labor laws.

5.3. Temporary Suspension: The SVP Representative shall have the authority to suspend Services wholly or in part, for such period as the City may deem necessary such as due to unsuitable weather or such other conditions as are considered unfavorable for the Services. Payment due will be only for those hours actually worked before the Temporary Suspension.

6. ASSIGNMENT AND SUPERVISION OF WORK SERVICES

6.1. Contractor shall regularly meet with the SVP Representative to assure understanding of priorities and work assignments. The timing of such meetings shall be mutually agreed to between the General Foreperson and SVP Representative.

6.2. Contractor shall perform the Services in an efficient and expeditious manner on a timeline mutually agreed to between City and Contractor.

6.3. For any portion of the Service, which is to be performed by a subcontractor, Contractor is solely responsible for managing and supervising their work, and ensuring subcontractors are fully informed of Agreement with Davey Tree Surgery Company/Exhibit A-Scope of Work Services Rev. 07-01-18

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all existing state and federal laws and all municipal ordinances and regulations of the City. Subcontractors must hold an appropriate license for their specialty. SVP has the right to request the removal or replacement of any subcontractor.

6.4. Contractor is responsible for any delays caused by Contractor, its agents, or subcontractors, or caused by factors directly or indirectly under its control. No extension of time for performance shall be given for such delays. Contractor is responsible for providing warranty for subcontracted Services.

6.5. The General Foreperson shall be responsible for coordinating all Service activity with the SVP Representative. Contractor shall establish a uniform time schedule for performance of routine tree Services that shall be in conformance with general work hours or special Service requirements, and as agreed to by the SVP Representative.

6.6. Contractor shall submit a detailed Daily Work schedule to the SVP Representative by 6:45 a.m. of each workday to allow the SVP Representative to properly schedule inspections and any other related services. The schedule shall be neatly printed or typed and shall be signed by the Contractor's field representative.

6.7. Contractor must provide for adequate supervision and inspection of all the Services performed to ensure that the requirements set forth in this Agreement are consistently met to SVP's satisfaction.

6.8. Contractor shall provide an escalation process including a fully qualified and authorized representative of the Contractor with management authority of General Foreperson who will be readily available to meet with the SVP Representative, as requested, for the purpose of correcting problems, conflicts, complaints, Service schedules, personnel, and equipment requirements.

6.9. SVP will always have access to the Services and may from time to time inspect adequacy of the Services. Contractor shall be available for inspections with SVP staff as needed. In the event, an inspection finds unsatisfactory Services, Contractor will immediately correct the defective Services as directed by the SVP Representative at no additional cost to the City.

7. NOTIFICATION OF PROPERTY OWNERS
7 .1. If work is occurring on private property, Contractor shall notify a property owner or resident a minimum of twenty-four (24) hours prior to any scheduled line clearance tree Service. If the Contractor cannot obtain permission to perform the necessary Services, Contractor shall notify the SVP Representative who will assist in notifying the property owner.

Agreement with Davey Tree Surgery Company/Exhibit A-Scope of Work Services Rev. 07-01-18

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7. 1. 1. If Emergency Services are needed, Contractor will attempt to make immediate contact with the property owner or resident. If contact is not made by the Contractor, Contractor shall leave a door hanger to notify property owner or resident that Emergency Services were required and proceed to carry out Services at that location. 7 .2. If a property owner or resident objects to the Services, Contractor shall delay the Services until the objection is resolved. If the objection occurs while Service is in progress, Contractor shall immediately stop Service and immediately notify the SVP Representative. Contractor shall not resume the Services until authorized by the SVP Representative. 7 .3. Neither Party shall be liable for any expense to the other Party arising from Services delayed by a property owner or resident's objections to the services.

8. REQUIRED MINIMUM CLEARANCES

8.1. Contractor shall comply with minimum clearances as outlined in the below sections as those regulations may be amended. While the below regulations are outlined, Contractor is responsible for compliance with any and all Federal, State, and Local regulations associated with Services including any updates to regulations. Within each Work Authorization, the City may further define any additional clearance based on potential growth of the tree being trimmed.

8.2. General Order of the California Public Utilities Commission (GO) 95, and Rule 3, provides minimum pruning where a service conductor shows strain or evidence of abrasion from tree contact. In instances where large branches or tree trunks are involved, Contractor shall notify the SVP Representative for possible rerouting of service drop(s) or installation of tree guard(s) by SVP.

8.3. Contractor shall perform the Services in compliance with SVP Standard Document OH 1230 'Tree Clearances from Overhead Electric Lines", as may be amended from time to time, on the tree pruning zones and vegetation that may be planted near SVP Overhead lines.

8.4. Contractor shall perform Services in compliance with OSHA 1910.269 and CalOSHA Title 8, Subchapter 5, Article 38.

8.5. While obtaining minimum clearance, consideration shall be given to conductor sag due to changes in temperature. In any event, Contractor shall assume a minimum of a two (2) foot additional sag for 12kV and 115kV circuits. This additional clearance must be added to the applicable clearances as set forth in this section.

8.6. Where conditions exist that prohibit the Contractor from obtaining the Agreement with Davey Tree Surgery Company/Exhibit A-Scope of Work Services Rev. 07-01-18

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required minimum clearances (i.e., to comply with state or local ordinances, for designated heritage trees, for major trunks or leads, etc.), clearance may be reduced, where agreed to by the SVP Representative in writing.

9. MITIGATION

9.1 . Contractor shall be held responsible for any damage caused by Contractor including on all unpaved roadways, SVP easements, and City rights-of way (ROW) within the area used by the Contractor to access power lines for the purpose of line or pole clearance Services. After Contractor has completed Services, City may inspect the condition of the roadways, easements, and ROW and report any damage requiring correction to the General Foreperson. If repairs are not carried out in a timely manner, SVP reserves the right to contract the repairs to an outside vendor and deduct the amount from a future payment due to the Contractor or bill directly to the Contractor. If Contractor is invoiced pursuant to this section and fails to make payment as indicated on that invoice, SVP may withhold payment from a future invoice or withhold all payments until payment is received.

9.2. Contractor shall take pictures before and after Service is completed on any unpaved roadways, easements, or ROW and report any
discrepancies to the SVP Representative. Contractor shall work with SVP and other City Departments such as Public Works to identify other actions needed such as erosion control or broadcasting chips into ROW.

10.CLEANUP

10.1. For normal and routine Services, Contractor shall promptly remove all tree pruning brush, wood, and debris from the Work site and properly and legally dispose of materials at its own expense.

10.2. For Emergency or after-hours work, Contractor shall remove all equipment and other obstructions from that portion of the roadway open for use by public traffic and assure that any incomplete Service is left in a manner that does not present a hazard. Debris shall be hauled away the next business day.

10.3. Contractor shall be entirely responsible for any damage to other trees, shrubs, etc. attributable to the conduct of its performance of the Services, and all such damage will be repaired by Contractor when and as directed by the SVP Representative, and as required to place the area in as good condition as before the commencement of the Contractor's work. Final cleanup of the Service area shall be satisfactory to the SVP Representative and affected property owner(s ).

Agreement with Davey Tree Surgery Company/Exhibit A-Scope of Work Services Rev. 07-01-18

Page 10 ends

11.SAFETY

11. 1. Contractor shall adhere to all safety provisions in accordance with all federal, state, and local electric line clearance tree trimming, aerial device, and vehicle traffic safety orders, regulations, and standards.

11.2. Contractor shall ensure all employees and equipment working within a ten (10) foot proximity of energized conductors ·in excess of 600 volts are compliant with the requirements identified in OSHA 1910.269 and CalOSHA Title 8, Subchapter 5, Article 38, as may be amended from time to time.

11.3. Contractor shall be solely and completely responsible for conditions of the work site, including safety of all persons (including Contractor's employees), traffic control, Service conditions, and property during performance of the Services and until acceptance by SVP. Safety provisions shall conform to all applicable federal, state, county, and local laws, ordinances, regulations code (as may be amended) as well as the requirements set forth in this Agreement. Where any of these are in conflict, the more stringent requirement shall be followed. Contractor's failure to be thoroughly familiarized with the aforementioned safety provisions shall not relieve the Contractor from compliance with the obligations and penalties resulting therefrom.

11.4. Contractor will comply with Minimum Approach Distance (MAD) as defined by Occupational Safety and Health Administration (OSHA). In addition to shock hazards (addressed by MAD) there exists an Arc-Flash hazard when working near energized electric lines. An Arc-Flash is a dangerous condition associated with the possible release of energy caused by an electric arc. Contractor shall perform all Services in compliance with all applicable laws and regulations to avoid exposure to these hazards.

11.5. Contractor shall have established and maintain an Injury and Illness Prevention Program (IIPP) pursuant to Title 8, Section 3203 of the California Administrative Code as amended from time to time. Such program shall include, but not be limited to, a safety training program instructing Contractor's employees in general safe Service practices and shall include specific instructions with regard to hazards unique to the employee's job assignment. Contractor shall schedule periodic inspections to identify and correct unsafe conditions and Service practices. A copy of this program shall be submitted to SVP upon the effective date of the Agreement and made available on site upon request.

11.6. At the end of each day's Services and at other times when tree-pruning operations are suspended for any reason, Contractor shall remove all equipment and other obstructions from that portion of the roadway open for use by public traffic and assure that any incomplete work is left in a Agreement with Davey Tree Surgery Company/Exhibit A-Scope of Work Services Rev. 07-01-18

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manner that does not present a hazard.

11. 7. If any person employed by the Contractor fails or refuses to carry out directives of the SVP Representative or appears to the SVP Representative to be incompetent or to act in a disorderly or improper manner, that individual shall be removed immediately on the request of the SVP Representative and such person shall not again be employed to perform Services under this Agreement.

11.8. The SVP Representative may request either written or verbal verification of the qualifications of the Contractor's employees to perform the Services assigned. Any such request shall be complied with expeditiously.

11.9. In the event on an injury associated with this Agreement, Contractor shall notify the SVP Representative immediately. Contractor shall provide updates to SVP as requested and permitted, perform an investigation into the cause of the accident, and provide the City with regular updates until any investigation is resolved.

12. TOOLS AND EQUIPMENT

12.1. All equipment shall be operated and well-maintained in a satisfactory condition at all times and in compliance with state and federal regulations including, but not limited to OSHA.

12.2. Contractor is responsible for identifying all tools and equipment necessary to perform the Services. The following outlines tools and equipment known to the City and is not intended to be a comprehensive list.

12.2.1. Contractor must maintain standard tree trimming equipment at all times and have at a minimum seven (7) aerial trucks, eight (8) chippers, and one (1) climber truck on demand. All equipment, including trucks, chippers, and other heavy equipment, must be maintained in a good operating condition and in compliance with State and Federal/OSHA regulations and manufacturer's
specifications. Equipment not suitable to produce the quality of Services required by the City shall not be used.

12.2.2. Equipment used for Emergency Services at night shall be suitably equipped with warning lights and Service lights.

12.2.3. Each crew shall, in addition to having a vehicle and chipper, have all the necessary small tools, climbing lines, rigging, ropes, and lines to efficiently and safely complete routine pruning, and removal of trees for any portion of the Services which may include but is not restricted to, pole pruners, hand pruners, axes, safety saddles, hand saws, tree climbers, and a leaf blower.

Agreement with Davey Tree Surgery Company/Exhibit A-Scope of Work Services Rev. 07-01-18

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12.2.4. In addition to the above, each truck-mounted aerial device crew shall have at least one of the each of the following: Hydraulic Pruner, Hydraulic Saw, Gas-Powered Chain Saw.

12.2.5. Contractor shall install signs on both sides of all trucks stating "Line Clearing Contractor for Silicon Valley Power- Call 408-615-5600".

12.3. Contractor shall provide appropriate smart devices {laptop, iPad, notebook computer, or similar) for access to SVP's Computerized Maintenance Management System.

12.4. SVP will not loan tools or equipment to the Contractor.

12.5. The SVP Representative may suspend the Services where they observe that proper tools and equipment are not being used to perform the Services.

13.STAFFING AND TRAINING

13.1. Contractor shall be solely responsible for selecting, hiring, employing, paying, supervising, training, and discharging all personnel necessary for the provision of the required Services.

13.2. Contractor shall employ only competent skilled workers who are appropriately trained and licensed to perform the required Services.

13.3. Contractor's employee training shall be at no cost to the City.

14. WORKMANSHIP

14.1. Contractor warrants that Services provided hereunder shall conform with the generally accepted professional practices and standards appropriate to the nature of the Services rendered, that the personnel furnishing said Services shall be qualified to perform the Services assigned to them and that the recommendations, guidance and performance of such personnel shall meet the standard of care normally practiced by contractors performing the same or similar Services.

14.2. Contractor shall be required to correct, at no expense to City, all deficiencies in the performance of the services that results from Contractor's failure to observe and adhere to Section 13.1 above and which are detected within one {1) year from the date of completion of the Services. Contractor shall be required to reimburse City for all expenditure of funds resulting from Contractor's deficient performance of its Services.

14.3. City may monitor the Services performed under this Agreement to determine whether Contractor's operation conforms to City policy and to the terms of this Agreement. City may also monitor the Services to be Agreement with Davey Tree Surgery Company/Exhibit A-Scope of Work Services Rev. 07-01-18

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performed to determine whether operations are conducted in accordance with applicable City, county, state, and federal requirements. If in the course of monitoring and evaluation, City believes it has discovered any practice, actions, procedure, or policy of Contractor which deviates from the terms of this Agreement, City may notify Contractor in writing.

Contractor agrees to respond in writing to City within seven (7) calendar days regarding such action, procedure, or policy. However, if any action of Contractor constitutes a breach of this Agreement, City may terminate this Agreement.

14.4. Contractor shall be responsible for understanding and complying with any training and licensing requirements for the Scope of Services to be performed including Department of Transportation (DOT) requirements for commercial driver's license and required drug testing.

14.5. Contractor shall perform the Services in an environmentally responsible manner.

14.6. Contractor understands that Services performed under this Agreement is an integral part of a continuing City service to which the citizens are accustomed. All public contact shall be courteous, congenial.

14. 7. Contractor agrees to prohibit the use or possession of alcohol, narcotics, firearms, or drugs of any nature other than prescription drugs (for which the Contractor's employee has a current doctor's prescription). Employees using medical prescriptions will not engage in any Service if such use impairs the employee's abilities to perform the Service safely.

14.8. All Contractor personnel shall be required to wear uniforms bearing the Contractor's company name while performing the Services. Uniforms shall consist of a shirt and/or jacket with company and employee name neatly screen printed or embroidered and conspicuous. All Contractor personnel shall be clearly identified with the name of the company on their uniform.

Tank tops and shorts are not allowed. Shirts must always be worn, and personnel shall maintain a neat and clean appearance. All personnel must wear high visibility safety vests that meet ANSI standards while working in traffic areas.

14.9. Contractor shall provide employees with and require employees to use appropriate Personal Protective Equipment (PPE) and Fire Resistant (FR) clothing at Contractor's sole cost and expense. Contractor shall immediately remove any personnel from the Service site who are observed to be violating this provision.

14.10. Contractor shall take precautions to prevent damage or injury to any adjacent trees or other plant life not covered by the Services, and any other personal or real property. Any damage to property that can be Agreement with Davey Tree Surgery Company/Exhibit A-Scope of Work Services Rev. 07-01-18

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repaired shall be repaired by the Contractor to the satisfaction of the SVP Representative. In the event that damage to property cannot be repaired to the satisfaction of the SVP Representative, Contractor shall replace that damaged property at the Contractor's sole expense. Any expenses incurred by SVP to repair damage will be deducted from the any payment due to the Contractor or billed directly to the Contractor at the discretion of the City.

14.11. Contractor will conduct their operations in a manner to cause the least possible obstructions and inconvenience to private property owners.

These measures include but are not limited to rescheduling Services at the property owners reasonable request and removing all waste from the property unless given explicit permission from the property owner.

14.12. Contractor shall conduct their operations in a manner to cause the least possible obstructions and inconvenience to public traffic. Contractor shall comply with all applicable state and local requirements for traffic control.

Traffic control measures shall be in conformance with the State of California, Manual of Traffic Controls for Maintenance and Service Zones, most current version (Part 6 of California Manual of Uniform Traffic Control Devices), amended from time to time.

14.13. Contractor shall provide informational Services, traffic, and other signage as required to adequately warn pedestrian and vehicular traffic of the Services in progress. Contractor may be required to direct pedestrians and traffic around the Service area.

14.14. Contractor shall provide all necessary equipment and personnel to ensure that the traffic control measures are preformed appropriately, including but not limited to, flaggers, cones, reflectors, and electronic signs.

14.15. Contractor will cooperate in a timely and responsible manner in resolving local community or other agency/utility complaints arising from the Contractor's Services or operations. This shall include, but not be limited to, any community complaint directed at the speed of the Contractor's vehicles arriving/departing the site; vehicular/equipment noise; dust, litter, or other contaminants; vehicle degradation of road surfaces; and actions of Contractor's staff both on and near the work site, etc. On SVP's receipt of any local community complaint, the SVP Representative will notify the Contractor as soon as reasonably possible of the nature of the complaint for the Contractor's timely resolution. If, in the reasonable opinion of the SVP Representative, the complaint is reasonable and the Contractor fails to correct the situation or moves too slowly in attempting to correct it, SVP will act in both its and the community's interest. Any ascertainable cost incurred by the City or SVP for taking any action(s) that should have rightly been performed by the Contractor to resolve the complaint, will be deducted from a future payment.

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14.16. Contractor shall review these provisions with the personnel employed by the Contractor for the Services.

14.17. In the event of an injury during the course of performance of services, Contractor shall immediately notify the SVP Representative and keep SVP informed as to status as required by SVP.

15.REPORTING AND DOCUMENTATION

15.1. Contractor shall comply with the SVP Vegetation Clearance Workflow Procedures, see {Attachment A-2), as amended from time to time.

15.2. SVP will provide access to the SVP Computerized Maintenance Management System. Contractor is required to use this system and any subsequent electronic systems used by the City or maintenance or vegetation management.

15.3. Contractor shall complete Work Requests with all information pertaining to the Services completed on a given Work Request. The Work Request report shall include type of tree trimmed, and number of trees trimmed.

15.4. Contractor shall record the number of trees trimmed or removed. This record will be included in the contractor's monthly invoice.

15.5. Contractor shall provide all reports in an electronic format acceptable to the City and shall include the ability for the City to sort or sum reports to provide periodic data. SVP reserves the right to reasonably modify the format and submittal requirements of reports to meet the needs of future vegetation management systems.

15.6. Contractor shall submit reports, notifications, and applications to agencies including, but not limited to the California Department of Fish and Wildlife (CDFW), and the Santa Clara Water District (SCWD) as required and as requested by SVP.

15. 7. The General Foreperson shall immediately report any abnormal issues such as injuries, damages, or customer issues to the SVP Representative.

16. WORK AUTHORIZATION PROCESS FOR AS NEEDED SERVICES

16.1. When As Needed Services are required, the City will request a Proposal from Contractor (Work Request).

16.2. Contractor shall prepare and submit a Proposal for each Work Request that includes:

16.2.1. A work plan that includes a detailed description by task of the service{ s) to be performed.

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16.2.2. Location where Services will be performed .

16.2.3. The project timeline/schedule which shall be approved by SVP.

Such schedule shall indicate any activities and/or products or materials that may impact the project timeline, including but not limited to, lead time(s) for material sourcing; shipping and receiving delays; and any other delays. ·

16.2.4. Any required drawings or documents.

16.2.5. A list of City responsibilities.

16.2.6. A list of Contractor's personnel and subcontractors including Department of Industrial Relations (DIR) Number for any Subcontractors.

16.2.7. Estimated cost for the requested Services, including:

16.2.7.1. 16.2.7.2.

16.2.7.3. 16.2.7.4.

16.2.7.5. 16.2.7.6.

Hours and rates by position and/or service as listed in Exhibit B for both Contractor and subcontractor
personnel if applicable. Indicate labor subject to
prevailing wage requirements.

Parts/materials
Rental and/or specialty equipment
Reimbursable expenses, in accordance with the
limitations set forth in Exhibit B.

Any additional costs including, but not limited to
freight, permits, fees
Estimated total amount including sales tax

16.2.8. All submitted pricing shall be in accordance with the rates authorized in Exhibit B of this Agreement and the Proposal shall include sufficient information for the City to determine that rates are in accordance with the Agreement.

16.2.9. Pricing for any additional equipment, parts, or services required for completion of the work as detailed in the Work Request and in Contractor's Proposal but not reflected in the Contractor's cost proposal shall be the sole responsibility of the Contractor and at no cost to the City.

16.2.10. The City will review the Proposal, and may elect to approve it, reject it, or use it as a basis for further negotiations with Contractor.

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16.2.11. Provided that Contractor's original Proposal includes all items listed in Section 16.2.7, Contractor and City may negotiate whether the cost for the work will be fixed price (lump sum) or for based on specific rates of compensation (e.g. time and materials) for completion of the work.

16.2.12. Contractor must submit a revised Proposal to the City based upon such negotiations. If a fixed fee or lump sum is authorized, a payment schedule shall be included. The final Proposal shall include a clear breakdown of materials and labor indicating taxable and non-taxable items and an estimate of sales tax.

16.3. Work Authorization:

16.3.1. If the completion of Services included in the Proposal along with ongoing work activities will not exceed the maximum compensation in Section 6 of the Agreement, additional services may be authorized as set forth in this Section.

16.3.2. For Proposals with a total cost exceeding $50,000, Work Authorizations shall be issued in substantially the same format as Exhibit F. Each Work Authorization shall describe the services and deliverables the Contractor must provide, the time limit within which the Contractor must complete the service and deliverables, and the compensation for the additional services.

16.3.3. Subject to the terms and conditions of this Agreement, Contractor and City will negotiate the specific scope and requirements of each approved Work Authorization. Upon execution by the Parties, the Work Authorization shall become an Approved Work Authorization (Approved Work Authorization).

16.3.4. Each Approved Work Authorization shall have a purchase order attached to it.

16.3.5. For Proposals with a total cost less than $50,000, a signed Work Authorization is not required. The City will issue a purchase order authorizing work and the purchase order will serve as the Approved Work Authorization.

16.3.6. Each Approved Work Authorization and purchase order shall be incorporated into the Agreement by reference and subject to its terms and conditions and the services contained therein shall be included within the Services.

16.3. 7. An Approved Work Authorization must be consistent with - and cannot alter - the terms and conditions of this Agreement. The terms and conditions of this Agreement shall prevail over any and Agreement with Davey Tree Surgery Company/Exhibit A-Scope of Work Services Rev. 07-01-18

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all terms and conditions contained in an Approved Work
Authorization and Proposal - even if the Approved Work
Authorization expressly states that it is intended to control. Any conflicting terms and conditions in an Approved Work Authorization or Proposal are invalid and unenforceable.

16.3.8. If Contractor begins work or fails to dispute a Purchase Order within three (3) business days, Contractor is assumed to have accepted the terms of the Purchase Order.

16.4. Changes to Work Authorization:

16.4.1. Contractor shall notify the City immediately when a situation occurs that may result in a change to the total project cost or specific line items authorized in an Approved Work Authorization. Contractor shall provide the reason for the change specific to each Work Authorization.

16.4.2. If Contractor requires changes to a fixed price Work Authorization, Contractor shall only be permitted to request changes with justification such as additional scope requested by City or unanticipated field conditions. For such changes, Contractor shall submit justification demonstrating that changes in cost are associated with changes in scope. Contractor shall not be entitled to additional compensation for issues such as errors in calculation of original pricing, changes in staff, or other changes that are not directly related to changes requested by City.

16.4.3. In the event that unanticipated site conditions or other issues result in costs that exceed the Work Authorization or changes to line items in the Approved Work Authorization, Contractor shall submit to the City an updated Proposal for review and approval from the City in advance of performing the work. If the change is approved, City will issue a new or amended Work Authorization and/or purchase order. Each changed Work Authorization shall amend the Services and be incorporated into the Services by reference.

16.5. Contractor shall not initiate any additional Services which will extend past the term in Section 2 {TERM OF AGREEMENT) of the Agreement or exceed the maximum compensation in Section 6 (COMPENSATION AND PAYMENT) of the Agreement.

16.6. Pricing and Proposals are not confidential and will not be treated as confidential even if marked confidential when submitted.

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EXHIBIT B

SCHEDULE OF FEES AND PAYMENT PROVISIONS

1. MAXIMUM COMPENSATION

1.1. The maximum amount of compensation to be paid to Contractor under this Agreement shall not exceed the amount specified in Section 6 (COMPENSATION AND PAYMENT).

1.2. Any Services or materials requested by the City that exceeds the Maximum Compensation shall require the execution of an amendment to this Agreement before commencement of Services.

1.3. The City does not guarantee a minimum compensation under this Agreement.

2. RATES AND FEES

2.1. Contractor shall perform the required Services in accordance with the hourly rates specified in Table 8-1 - Hourly Rates. All Proposals and invoices shall include sufficient detail to confirm that these hourly rates were charged.

2.2. Hourly rates are fully loaded and include wages, benefits, payroll taxes, workers' compensation, overhead, product liability, general automotive liability, and all other required insurances, permits, and taxes except sales and use taxes.

2.2.1. Dump fees are not included in the rates and will be invoiced pursuant to Section 3 of this Exhibit 8.

2.2.2. Rates do not include state sales or use taxes. Contractor shall bill any required sales or use taxes on any applicable invoice and include an estimate of sales or use taxes on any Proposals.

2.3. Definitions:

2.3.1. Composite Hourly Crew Rate is defined as a blended crew rate that includes qualified employees and equipment.

2.3.1.1. During Regular Service Hours, the General Foreperson rate is included in the Composite Hourly Crew Rate.

2.3.1.2. During Overtime and Holiday Hours, the General Foreperson shall be paid at the Overtime Rate and shall be billed
separately from and in addition to the After Hours Composite Hourly Crew Rate.

2.3.2. Standard Time is defined as hours worked within the Regular Work Hours and Days of Work, Monday through Friday, eight (8) consecutive hours (exclusive of lunch period) between the hours of Agreement with Davey Tree Surgery Company/Exhibit B-Schedule of Fees Rev. 07-01-18

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7:00 am through 3:30 pm Monday through Friday, excluding Holidays, and shall be paid at the Standard Rate.

2.3.3. Overtime is defined as hours worked outside of Regular Work Hours and Days of Work (After Hours Services), which shall be approved in advance in writing ( e-mail is acceptable) by the SVP Representative or designee, and shall be paid the Overtime Rate.

2.3.4. Holidays include New Year's Day, Martin Luther King Jr. Day, Presidents' Day, Good Friday, Memorial Day, Independence Day, Labor Day, Veterans Day, Thanksgiving Day and the Day after Thanksgiving, Christmas Day.

2.3.4.1. When a holiday falls on a Saturday, the holiday is observed on the preceding Friday. When a holiday falls on a Sunday, the holiday is observed on the following Monday.

2.3.4.2. If any of the above holidays fall on Saturday, the preceding Friday shall be observed as the holiday and Contractor may invoice hours worked at overtime rates. If any of the above holidays fall on Sunday, the following Monday shall be
observed as the holiday.

2.4. Other than the annual increases specified in Table B-1, Contractor shall notify the City ninety (90) days in advance of any proposed rate increase. Rate adjustments will be made in accordance with the contractual Memorandum of Understanding (MOU) between the Contractor and the bargaining unit for rates after May 31 , 2027. If the City approves such rate increase, the Parties shall execute an Amendment to this Agreement.

2.5. SVP shall not be required to pay a deposit or any other form of pre-payment prior to the Contractor beginning Services.

2.6. Job Classifications are defined in Exhibit A, Section 2.

2.7. Equipment and additional rates are outlined in Table B-2 -Additional Rates

2.8. For additional charges such as specialized equipment rental or subcontractor expenses, Contractor shall notify SVP in advance of incurring the charge and secure approval in writing before proceeding unless the Emergency provisions of Section 5.2 of Exhibit A are applicable.

Agreement with Davey Tree Surgery Company/Exhibit B-Schedule of Fees Rev. 07-01-18
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3. REIMBURSABLE EXPENSES

3.1. Reimbursable Expenses. Contractor may submit invoices for reimbursement of expenses set forth subject to the following conditions. Any reimbursement to the Contractor is limited to the expenses set forth below in the Reimbursable Expense Schedule.

Reimbursable Expense Schedule Mark Up

1. Dump Fees 15%

2. Charges for outside services (including subcontractor 15% fees, equipment, materials, and facilities not furnished directly by Contractor to the extent the City has
preapproved, in writing, the cost of such services).

3. Other reimbursable expenses with prior written approval No Markup from the City

4. Unless approved in writing ( e-mail acceptable) in advance, No Markup meals, lodging, and related per diem shall not exceed the rates outlined by United States General Services
Administration (GSA). https://www.gsa.gov/travel-
resources . Airfare or rental car, where applicable shall be at economy rates.

3.2. Expenses shall be reimbursable only to the extent that (1) Contractor submits sufficient documentation to City that the expenses were directly incurred in providing the required services, (2} Contractor demonstrates that such expenses aren't included in the hourly rate where applicable, (3) Contractor submits receipts, invoices, or other supporting documentation demonstrating that such reimbursable costs were incurred, and (4} where applicable, Contractor received City's prior written approval in advance of incurring such expenses.

4. INVOICING AND PAYMENT

4.1. Contractor shall provide an invoice to the City on a monthly basis for services completed in the preceding month. The invoice must include the following information:

4.1.1. Invoice Number and Invoice Period.

4.1.2. For Daily, Emergency and As Needed Services provided based on time and materials:

4.1.2.1. Current amount due with a time and materials breakdown:
titles, hours, hourly rates, and any City approved
reimbursable expenses itemized with supporting
documentation.

4.1.2.2. Each invoice shall provide sufficient detail for City to verify that the rates in Exhibit B are charged and invoices shall include sufficient detail to compare to certified payroll Agreement with Davey Tree Surgery Company/Exhibit B-Schedule of Fees Rev. 07-01-18

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submittals for accuracy.

4.1.3. For As Needed Services provided with a fixed price:

4.1.3.1. An invoice to the City based on either (a) the percentage of services completed during the previous month or (b) lump sum amount upon completion of a deliverable(s), as
specified in the Work Authorization. Detailed information on the work performed on each deliverable or task completed on each project, as applicable.

4.1.3.2. In the event of milestone payments, each milestone payment must be invoiced in full. Contractor shall not break milestone payments into multiple invoices.

4.2. Pre-Payment. City shall not be required to pay a deposit or any other form of pre-payment prior to Contractor beginning of the Services.

4.3. Payment Limited to Satisfactory Services. Contractor is not entitled to any payments until the City concludes that the Services have been satisfactorily completed, which determination shall not be unreasonably delayed.

4.4. Disputed Invoices. If the City in good faith disputes any portion of an invoice, the City shall pay the undisputed portion of the invoice within thirty (30) days of receipt of the invoice and submit written notice to Contractor regarding the disputed amount. The notice shall include documentation supporting the disputed amount.

4.5. Certified Payroll. When applicable, Contractor shall submit all necessary certified payrolls with its request for payment, in accordance with Exhibit D and such submittals are subject to verification by City. In no event shall services subject to Certified Payroll be invoiced in advance of the services being performed.

4.6. Payment. If there are no discrepancies or deficiencies in the submitted invoice and Contractor has submitted all required Certified Payroll, City shall process the invoice for payment and pay Contractor within thirty (30) days of approval of the invoice.

Agreement with Davey Tree Surgery Company/Exhibit B-Schedule of Fees Rev. 07-01-18
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Table B-1 - Hourly Rates

UTILITY LINE CLEARANCE CERTIFIED CREW RATES
July 1, 2023 - May 31, 2024 June 1, 2024 - May 31, 2025 June 1, 2025 - May 31, 2026 Position Standard Overtime Standard Overtime Standard
Rate Rate Rate Rate Rate
General Foreperson $123.88 $180.86 $128.84 $188.09 $133.99 Qualified Line Clearance Tree Trimmer $116.39 $169.92 $121.05 $176.72 $125.89 LCQTT Foreperson $119.28 $174.15 $124.05 $181.12 $129.01

AS NEEDED (ARBORIST SUPPORT/NON-HIGH VOLTAGE) SERVICES RATES Position Standard Overtime Standard
Rate Rate Rate
ISA Certified Arborist $145.00 $211.70 $150.80
TRAQ Qualified/lSA Arborist $150.00 $219.00 $156.00
Wildfire Mitigation Specialist $145.00 $211.70 $150.80
General Foreperson $123.88 $180.86 $128.84
Line Clearance Tree Trimmer $111.41 $169.92 $115.87
LCQTT Foreperson $119.28 $174.15 $124.05
Agreement with Davey Tree Surgery Company/Exhibit B-Schedule of Fees Rev. 07-01-18
Overtime Standard
Rate Rate
$220.17 $156.83
$227.76 $162.24
$220.17 $156.83
$188.09 $133.99
$176.72 $120.50
$181.12 $129.01
Overtime
Rate
$195.62
$183.79
$188.36
Overtime
Rate
$228.97
$236.87
$228.97
$195.62
$183.79
$188.36
June 1, 2026 - May 31, 2027
Standard Overtime
Rate Rate
$139.35 $203.44
$130.92 $191.14
$134.17 $195.90
Standard Overtime
Rate Rate
$163.11 $238.13
$168.73 $246.35
$163.11 $238.13
$139.35 $203.44
$125.32 $191.14
$134.17 $195.90
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Table B-2 - Additional Rates
2023 High Voltage Line LCQTT Crew Rate - SVP
July 1, 2023 - May 31, June 1, 2024- May 31, 2025 June 1, 2025 - May 31, 2026 2024
Position Standard Overtime Standard Overtime
Rate Rate Rate Rate
General Foreperson $123.88 $180.86 $128.84 $188.09
LCQTT Foreperson $116.26 $169.73 $120.91 $176.52
LCQTT Tree Trimmer $105.39 $153.87 $109.61 $160.02
Equipment Standard Overtime Standard Overtime
Rate Rate Rate Rate
Aerial Lift Truck $23.91 $23.91 $24.87 $24.87
equipped with necessary tools
Manual Chip Truck equipped $15.41 $15.41 $16.03 $16.03
with necessary tools
Field Pickup (as needed) $11.76 $11.76 $12.23 $12.23
Chipper $6.89 $6.89 $7.17 $7.17
Traffic Sign Board {as needed) $6.89 $6.89 $7.17 $7.17
Composite Crew Rate Regular After Hours Regular After Hours Services Services Services
Composite Hourly Crew Rate $249.67 $364.52 $259.66
Agreement with Davey Tree Surgery Company/Exhibit B-Schedule of Fees Rev. 07-01-18
Services
$379.10
Standard Overtime
Rate Rate
$133.99 $195.62
$125.75 $183.58
$113.99 $166.43
Standard Overtime
Rate Rate
$25.86 $25.86
$16.67 $16.67
$12.72 $12.72
$7.45 $7.45
$7.45 $7.45
Regular After Hours
Services Services
$270.04 $394.26
June 1, 2026 - May 31, 2027
Standard Overtime
Rate Rate
$139.35 $203.44
$130.78 $190.92
$118.55 $173.08
Standard Overtime
Rate Rate
$26.90 $26.90
$17.33 $17.33
$13.23 $13.23
$7.75 $7.75
$7.75 $7.75
Regular After Hours
Services Services
$280.84 $410.03
Pages

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, at its sole cost and expense, the following insurance policies with at least the indicated coverages, provisions and endorsements:

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:
$5,000,000 Each occurrence
$5,000,000 General Aggregate
$5,000,000 Products/Completed Operations Aggregate
$5,000,000 Personal Injury
$5,000,000 Project Aggregate

2. Exact structure and layering of the coverage 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;
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 separately 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 five million dollars ($5,000,000) 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, non-owned and hired autos.

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In the event that the Work being performed under this Agreement involves transporting of hazardous or regulated substances, hazardous or regulated wastes and/or hazardous or regulated materials, Contractor and/or its subcontractors involved in such activities shall provide coverage with a limit of two million dollars ($2,000,000) per accident covering transportation of such materials by the addition to the Business Auto Coverage Policy of Environmental Impairment Endorsement MCS90 or Insurance Services Office endorsement form CA 99 48, which amends the pollution exclusion in the standard Business Automobile Policy to cover pollutants that are in or upon, being transported or towed by, being loaded onto, or being unloaded from a covered auto.

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. POLLUTION LIABILITY
In the event that this contract involves hazardous or regulated wastes and/or hazardous or regulated materials, Contractor and/or its subcontractors shall provide a Contractor's Pollution Liability Insurance policy with coverage limits not less than two million dollars ($2,000,000) each claim in connection with the Work performed under this Contract. All activities contemplated in this agreement shall be specifically scheduled on the policy as "covered operations." Any deductible must be declared to and approved by City. Such policy shall cover, at a minimum, liability for bodily injury, damage to and loss of use of property, and clean-up costs arising from sudden, accidental and gradual pollution and remediation in connection with the Work under this Agreement. Contractor will use its best efforts to have the City, Council, officers, employees and volunteers added as additional insureds under this policy. The following provisions shall apply:

1. The policy shall provide coverage for the hauling of waste from the project site to the final disposal location, including non-owned disposal sites.

Agreement with Davey Tree Surgery Company/Exhibit C-lnsurance Requirements Rev. 07-01-18
Page2

2. Products/completed operations coverage shall extend a minimum of three (3) years after project completion.

3. Coverage shall be included on behalf of the insured for covered claims arising out of the actions of independent contractors.

4. If the insured is using subcontractors the Policy must include work performed "by or on behalf' of the insured.

5. Policy shall contain no language that would invalidate or remove the insurer's duty to defend or indemnify for claims or suits expressly excluded from coverage. Policy shall specifically provide for a duty to defend on the part of the insurer.

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 Santa 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. Each 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. General Aggregate. The general aggregate limits shall apply separately to Contractor's work under this Agreement providing coverage at least as broad as Insurance Services Office (ISO) Endorsement CG 2503, 1985 Edition, or insurer's equivalent (CGL);

4. Cancellation.
a. Each insurance policy shall contain 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 Agreement with Davey Tree Surgery Company/Exhibit C-lnsurance Requirements Rev. 07-01-18

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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 contain 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.

5. 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 Document 00820.

F. ADDITIONAL INSURANCE RELATED PROVISIONS
Contractor and City agree as follows:

1. Requirements of specific insurance coverage features described in this Agreement shall not be construed to be a limitation of liability on the part of Contractor or any of its subcontractors, nor to relieve any of them of any liability or responsibility under the Contract Documents, as a matter of law or otherwise. Such requirements are not intended by any Party to be limited to providing coverage for the vicarious liability of the City or to the supervisory role, if any, of City. All insurance coverage provided pursuant to this Agreement in any way relating to City is intended to apply to the full extent of the policies involved.

2. Contractor shall maintain all required insurance policies in full force and effect during entire period of performance of the Services under this Agreement of Contract Documents. Contractor shall also keep such insurance in force during warranty and guarantee periods. At time of making application for extension of time, Contractor shall submit evidence that insurance policies will be in effect during requested additional period of time.

3. City reserves the right, at any time during the term of this Agreement to change the amounts and types of insurance required by giving the Contractor thirty (30) days advance written notice of such change. If such change results in substantial additional cost to the Contractor, the City will negotiate in good faith additional compensation proportional to the increased benefit to City.

4. Any type of insurance or any increase of limits of liability not described in this Exhibit which Contractor requires for its own protection or in Agreement with Davey Tree Surgery Company/Exhibit C-lnsurance Requirements Rev. 07-01-18
Page4
compliance with applicable statutes or regulations, shall be Contractors' responsibility and at its own expense.

5. No liability insurance coverage provided by Contractor to comply with the terms of this Agreement shall prohibit Contractor, or Contractor's employees, or agents, from waiving the right of subrogation prior to a loss.

Contractor waives its right of subrogation against lndemnitees. Any property insurance policies affected by Contractor shall be endorsed to delete the subrogation condition as to indemnitees or shall specifically allow Contractor to waive subrogation prior to a loss. Contractor hereby waives any right of recovery against the indemnitees and agrees to require any subcontractor to do so.

6. 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.

7. Contractor shall cooperate fully with City and Contractor's insurance companies in any safety and accident prevention program and claims handling procedures as established for the performance of Services under this Agreement.

8. All coverage types and limits required under this Agreement are subject to approval, modification and additional requirements by the City, as the need arises. Contractor shall not make any reductions in scope of coverage which may affect City's protection without City's prior written consent.

9. For purposes of applying insurance coverage only, all contracts pertaining to the performance of services will be deemed to be executed when finalized and any activity commences in furtherance of performance under this agreement.

10. Contractor acknowledges and agrees that any actual or alleged failure on the part of City to inform Contractor of non-compliance with any of the insurance requirements set forth in this Agreement in no way imposes any additional obligations on City nor does it waive any of the City's rights under this Agreement or any other regard.

Agreement with Davey Tree Surgery Company/Exhibit C-lnsurance Requirements Rev. 07-01-18

Page 5 ends

11. Any provision in this Agreement dealing with the insurance coverage provided pursuant to these requirements, is subordinate to and superseded by the requirements contained herein. These insurance requirements are intended to be separate and distinct from any other provision in this Agreement and are intended by the Parties here to be interpreted as such.

12. 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.

13. Contractor agrees to obtain and provide to City evidence of Professional Liability insurance for Architects or Engineers if engaged by Contractor to perform any of the Services required under this Agreement. City shall determine the minimum coverage and policy limits required, after consultation with Contractor.

14. The City acknowledges that some insurance requirements contained in this Agreement may be fulfilled by self-insurance on the part of the Contractor. The Contractor's insurance obligations under this Agreement under may be satisfied in whole or in part by adequately funded self insurance retention, but only after approval from the City Attorney's Office upon satisfactory evidence of financial capacity.

15. The City reserves the right to withhold 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 Agreement with Davey Tree Surgery Company/Exhibit C-lnsurance Requirements Rev. 07-01-18
Page6
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 and other items required to be delivered to City pursuant to this Agreement shall be mailed to:

EBIX Inc.

City of Santa Clara - Silicon Valley Power
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.

Agreement with Davey Tree Surgery Company/Exhibit C-lnsurance Requirements Rev. 07-01-18
Page?

EXHIBIT D

LABOR COMPLIANCE EXHIBIT
This Agreement is subject to the requirements of California Labor Code section 1720 et seq. requiring the payment of prevailing wages, the training of apprentices, and compliance with other applicable requirements.

A. Prevailing Wage Requirements

1. Contractor shall be obligated to pay not less than the General Prevailing Wage Rate, which can be found at www.dir.ca.gov and are on file with the City Clerk's office, which shall be available to any interested party upon request. Contractor is also required to have a copy of the applicable wage determination posted and/or available at each job site.

Contractors and subcontractors 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 .

Page 1 ends

payroll, fringe benefit statements and backup documentation such as monthly benefit statements, employee timecards, copies of wage statements and cancelled checks, proof of training contributions (CAC2 if applicable), and apprenticeship forms such as DAS-140 and DAS-142.

Contractors shall submit certified payroll through LCP Tracker or similar system as directed by the City.

6. In addition to submitting the certified payrolls and related documentation to City, Contractor and all subcontractors 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.

8. No contractor or subcontractor may 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. Contractors MUST be a registered "public works contractor" 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 construction alternation, demolition or repair work, registration is not required.

9. All contractors/subcontractors and related construction Services subject to prevailing wage, including but not limited to: trucking, surveying and inspection work must be registered with the Department of Industrial Relations as a "public works contractor". Those you fail to register and maintain their status as a public works contractor shall not be permitted to perform work on the project.

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 Agreement with Davey Tree Surgery Company/Exhibit D-Labor Compliance Exhibit Rev. 07-01-18
Page2
Auditor, City Manager, or a designated representative 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 Contractor's address indicated for receipt of notices in this Agreement.

C. Enforcement

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 Contractor until Contractor has performed all of its obligations under these provisions. This provision means that City can withhold all or part of a payment to Contractor until all required documentation is submitted. Any payment by the City despite Contractor'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.

Agreement with Davey Tree Surgery Company/Exhibit D-Labor Compliance Exhibit Rev. 07-01-18
Page3

EXHIBIT E

WORK AUTHORIZATION FORM
This Work Authorization is issued by the City of Santa Clara ("City) acting by and through its Electric Utility, Silicon Valley Power (the "Department") to the contractor listed below. This Work Authorization shall constitute a binding legal contract between the City and Contractor. In the event of any inconsistency between this Work Authorization and the Terms and Conditions of the Agreement, the Terms and Conditions of the Agreement shall govern and control.

PART A: GENERAL INFORMATION
Work Authorization Number: Date:

Work Authorization Name:

Contractor Name:

Agreement Name:

Expiration Date of Agreement:

Council Approval Required: 0 If yes, enter RTC# l□ No
Name: Email:

Contractor's Project Manager:

Name: Email:

City's Project Manager
Period of Performance for this Start Date: Expected Completion Date:

Work Authorization:

Maximum Work Authorization Compensation:

Sufficient funds are available in Fund#:
(to be completed by City)
Signatures:

Contractor Name [Print]: Date:

Signature
City's Project Manager/Contract Manager Name [Print]: Date:

Signature
City's Department Director Name [Print]: Date:

Signature
Agreement with Davey Tree Surgery Company/Exhibit E-Work Authorization Form Rev. 07-01-18

Page 1 ends

PART B: SERVICES TO BE PERFORMED FOR WORK AUTHORIZATION The Contractor shall perform the service(s) described below in accordance with all of the Terms and Conditions of the Agreement. (Copy the table as required for additional services under the same Work Authorization.)
Service No.: I
Description: I
Scope of work to be performed
D See attached scope of work (use separate attachment for the scope of work if more than one page) Deliverable(s)/Milestone(s):

Description Completion Date Amount 1

1. 2.

3. 4.
1 Provide amount if payment schedule is tied to deliverable/milestone.

Completion Time:

J <D Oh or before the following · date:

D On or before Business Days from
Contractor Key Personnel:

Name Area of Work/Title Rate2

1. 2.

3. 4.
2 Provide rate if basis of compensation is time and materials.

Subcontractors: Whichever of the following is marked applies to this Work Authorization:

D The Contractor cannot use any subconsultants.

D The Contractor can use the following subcontractors to assist in providing the required services and deliverables:

Name Area of Work/Title Rate2

1. 2.

3. 4.
2Provide rate if basis of compensation is time and materials.

Maximum Compensation for this service: I
Basis of Compensation: LJ Time & Materials I I Fixed Fee Reimbursable Expenses:

D No expenses are reimbursable.
0 Expenses are separately reimbursable in the maximum.amount of:

Payment Schedule: D Monthly D Completion of Deliverable/Milestone D Completion ofWork Additional Information:

Agreement with Davey Tree Surgery Company/Exhibit E-Work Authorization Form Rev. 07-01-18
Page2
City of Santa Clara
Agenda Report
1500 Warburton Avenue
Santa Clara, CA 95050
santaclaraca.gov
@SantaClaraCity
23-409 Agenda Date: 6/6/2023

REPORT TO COUNCIL

SUBJECT
Action to Authorize the City Manager to Negotiate, Execute, and Administer an Agreement with the City of Cupertino for the Cupertino-Santa Clara Joint On-Demand Shuttle Service Project and Approval of a Related Budget Amendment

COUNCIL PILLAR
Deliver and Enhance High-Quality Efficient Services and Infrastructure

EXECUTIVE SUMMARY
In early 2022, Cupertino and Santa Clara jointly applied for State grant funding to continue Cupertino’s existing on-demand shuttle program and expand service into Santa Clara with a zero emissions fleet. The State approved the grant funding and Cupertino and Santa Clara have been coordinating on how to bring this on-demand transit service to Santa Clara. A funding agreement between Cupertino and Santa Clara and a budget amendment are necessary steps to bring this service to Santa Clara.

BACKGROUND
Since October 2019, the City of Cupertino (Cupertino) has operated their Via-Cupertino Community Shuttle Program with the goal of attracting motorists to a sustainable and affordable alternative transportation option. Cupertino’s shuttle program operates as an on-demand shuttle program with users calling a phone number or utilizing a smart phone application to book rides within Cupertino’s city boundaries as well as three locations outside of Cupertino (Sunnyvale Caltrain Station, Kaiser Permanente Santa Clara, and Rancho San Antonio Open Space Preserve in Los Altos). Currently, Cupertino’s shuttle program includes the use of nine vans and the majority of them are equipped with bicycle racks to accommodate two bicycles per van. Of the nine vans, two vans are wheelchair accessible. Shared rides are provided to users for a flat rate of $3.50 for a one-way fare with discounted fares (seniors, students, low-income, and disabled users) of $1.75 for a one-way fare.

Weekly passes can be purchased for $25 with discounted weekly passes at $14. The hours of operation of the shuttle are Monday through Friday 7am to 7pm and Saturdays from 9am to 5pm.

Cupertino has contracted with Nomad Transit LLC (also known as Via) to provide the shuttle service.

Via was selected as Cupertino’s vendor for the shuttle program under a sole source finding by the Cupertino City Council under Cupertino Municipal Code Section 3.22.060. Via provides the vehicles, fuel, and drivers and operate the shuttles during the designated operating hours.

In early 2022, Cupertino requested that Santa Clara, Sunnyvale, and San Jose partner with Cupertino on a joint application to the California State Transportation Agency (CalSTA) for Transit & Intercity Rail Capital Program (TIRCP) grant funding to provide five years of funding to continue Cupertino’s On-Demand Shuttle program, expand operations into Santa Clara, Sunnyvale, and San Jose, and implement electrification of the shuttle fleet to support greenhouse gas emissions City of Santa Clara Printed on 6/1/2023Page 1 of 6
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reductions.

City staff from Cupertino, Santa Clara, Sunnyvale, and San Jose met several times and ultimately Santa Clara City Council expressed interest in the City offering shuttle service to address first and last mile connection gaps. Staff proceeded to partner with Cupertino on the TIRCP grant application.

In July 2022, CalSTA announced that Santa Clara and Cupertino would be awarded approximately $8.5 million in TIRCP grant funds. The grant award of $8.5 million represents 50 percent of the cost of the proposed shuttle which amounts to an approximately $17 million on-demand shuttle service for both Cupertino and Santa Clara. On July 15, 2022, the City issued a press-release related to the TIRCP grant announcement (Attachment 1). Since July 2022, Department of Public Works staff have been coordinating with Cupertino on implementing the shuttle.

In September 2022, on behalf of the project, Cupertino accepted the $8,465,000 in TIRCP grant funding. Additionally, on March 7, 2023, Cupertino authorized their City Manager to execute the necessary Caltrans (on behalf of CalSTA) Master Agreement to receive funding for the project and approve an agreement with Via to operate the shuttle program in Cupertino with the ability to operate in Santa Clara subject to Santa Clara’s future budget and approvals.

DISCUSSION
The TIRCP grant application for the Cupertino-Santa Clara Joint On-Demand Shuttle Service project includes the following services over a five-year period: continuation of Cupertino’s On-Demand Shuttle Service, expansion into Santa Clara in two phases, and utilizing an electric shuttle fleet to achieve greenhouse gas emission reductions.

Below are key aspects of the project including: 1) Phased Expansion into Santa Clara, 2) Additional Transit Stops in Mountain View, 3) Electrification of the Shuttle Fleet and Overnight Charging Stations, 4) Modification of Project Length (four fiscal years instead of five fiscal years), 5) Fares and Service Hours, 6) Project Delivery Structure, 7) Student Art and Shuttle Naming Contest, 8) Service Launch Targets, and 9) Funding Agreement.

Phased Expansion into Santa Clara
: As shown in Attachment 2, Santa Clara Phase I and II
Expansion Map, Phase I of the proposed expansion of shuttle service into Santa Clara is adjacent to the existing Cupertino shuttle service zone. Phase 1 comprises the southern half of Santa Clara and terminates at the existing Caltrain tracks. Phase II comprises the northern half of Santa Clara and terminates at Highway 237. It is important to note that the service boundaries of the original Via- Cupertino Community Shuttle Program will remain the same and include stops at the Sunnyvale Caltrain Station, Kaiser Permanente Santa Clara, and Rancho San Antonio Open Space Preserve in Los Altos.

Additional Transit Stops in Mountain View
: Included within the TIRCP grant application are proposed shuttle stops at two key locations in Mountain View (Caltrain Station and El Camino Hospital).

Electrification of the Shuttle Fleet and Overnight Charging Stations : As the TIRCP grant requires the
use of Zero Emissions Vehicles, the current fleet of vans will be replaced with Kia Niro EV’s, and with three Lighting 3ZEV wheelchair accessible vehicles (WAV). Via is responsible for acquiring the necessary electric vehicle fleet. During the initial launch into Santa Clara, shuttles will be charged in City of Santa Clara Printed on 6/1/2023Page 2 of 6
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23-409 Agenda Date: 6/6/2023
Cupertino; however, there are ongoing discussions about vehicle charging in Santa Clara as well.

Modification of Project Length (four fiscal years instead of five fiscal years): The original TIRCP grant application proposed a five-year program; however, Cupertino ridership has grown faster than anticipated since the grant application was submitted. In March 2022, the month the TIRCP application was submitted, Via-Cupertino completed 999 trips. In comparison, in January 2023, Via -Cupertino’s monthly ridership reached 3,112 trips. In order to meet the increased demand and avoid long wait times, the project team proposes compressing the funding award to a four-year project schedule, which will enable scheduling more driver hours to accommodate anticipated ridership while serving the same number of trips envisioned in the original application.

As the budget is a not-to-exceed amount, if ridership declines or does not meet expectations, funds can be conserved to be used in future years to accommodate ridership fluctuations caused by external factors, such as economic or social conditions. The overall budget and estimated greenhouse gas reductions would remain unchanged. Caltrans has verbally accepted this change in project duration and Cupertino is working to formalize the change in writing with Caltrans.

Fares and Service Hours
: Based on extensive discussion with Cupertino and Via, all parties concluded that shuttle fares and service days/hours should be consistent for both Cupertino and Santa Clara. As proposed, fare rates will remain modest and the same for both cities at $3.50 for a one-way fare with discounted fares (seniors, students, low-income, and disabled users) of $1.75 for a one-way fare. Weekly passes would cost $25 and discounted weekly passes would cost $14. The hours of operation of the shuttle would remain as follows: Monday through Friday 7am to 7pm and Saturdays from 9am to 5pm. Fare revenues will be collected by Via and credited against Via costs for each City.

Project Delivery Structure
: Staff has coordinated with Cupertino on the proposed delivery structure as follows:
· Cupertino is the lead local agency regarding grant administration with Caltrans including agreements and reimbursements with Caltrans.
· Cupertino will enter into a service agreement with Via to operate the proposed on-demand shuttle program within the City of Cupertino and the City of Santa Clara. · Cupertino and Santa Clara will enter into a funding agreement in which Santa Clara will reimburse Cupertino for shuttle service operations in Santa Clara.

Staff will also work with Cupertino to develop performance metrics and success indicators that will be used to evaluate the program and provide the Council with annual updates.

Student Art and Shuttle Naming Contest
: In February and March 2023, the project launched a
student contest to: 1) solicit art ideas for the graphic wrap for the shuttle vehicles, and 2) solicit possible names for the shuttle service. Staff from Cupertino and Santa Clara reviewed the submittals and selected a student’s artwork as inspiration for the shuttle vehicle wraps. Additionally, staff from both Cities came up with a new shuttle name, Silicon Valley Hopper. Via has created mockup graphics for the shuttles as well as branding for the smartphone application as shown in Attachment

3. Service Launch Targets
: Cupertino is planning a launch date for their portion of the on-demand City of Santa Clara Printed on 6/1/2023Page 3 of 6
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23-409 Agenda Date: 6/6/2023
shuttle program on July 1, 2023 as a continuation of their existing shuttle program. The planned expansion into Santa Clara would occur after completion of the funding agreement between Cupertino and Santa Clara. It is estimated that the Phase I service in Santa Clara could begin in July/August 2023.

Funding Agreement
: The key provisions of a funding agreement with Cupertino would likely include:
· Cupertino to lead the TIRCP grant administration and coordination with Caltrans. · Cupertino to directly contract with Via to provide on-demand shuttle services. · Funding allocations are based on service zone square mileage per city per year. · Santa Clara to reimburse Cupertino for Via shuttle services in Santa Clara boundaries. · Cupertino and Santa Clara to develop and define in writing, a decision-making framework for conducting the project including roles and responsibilities. · Cupertino will ensure and Santa Clara to verify that Via has appropriate insurance coverages to operate in Santa Clara.
· Cupertino to ensure and Santa Clara to verity that Via will provide adequate hold harmless and indemnification coverage to the benefit of Santa Clara.

ENVIRONMENTAL REVIEW
This project is exempt from CEQA under CEQA Guidelines section 15061(b)(3) (“common sense” exemption).

FISCAL IMPACT
To fully fund the City’s share of the on-demand shuttle expansion into Santa Clara, $4,007,230 is needed during the next four fiscal years (FY 2023/24 through FY 2026/27) as shown in Table 1, below.

Table 1
Cupertino-Santa Clara Joint On-Demand
Shuttle Service Project Funding Needs
Funding FY 2023-24 FY 2024-25 FY 2025-26 FY 2026-27 Total TIRCP $1,622,464 $1,903,189 $2,035,136 $2,904,211 $8,465,000 Cupertino $932,916 $1,094,328 $1,170,204 $1,260,312 $4,457,760 Santa Clara $689,547 $808,855 $864,936 $1,643,892 $4,007,230 Total $3,244,927 $3,806,372 $4,070,276 $5,808,415 $16,929,990 Currently, the City has approximately $2 million in Silicon Valley Power (SVP) Electric Vehicle Program funding in the Electric Operating Grant Trust Fund to support this project. SVP will use restricted funds from the Low Carbon Fuel Standard program that must be used to facilitate the adoption of electric vehicles and/or provide e-mobility solutions for Disadvantaged Communities. This will provide full funding for FY 2023-24 and FY 2024-25 and partial funding in FY 2025-26 as shown in Table 2, below.

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Table 2
Cupertino-Santa Clara Joint On-Demand Shuttle Service Project Funding Needs vs. Secured Funding
Funding
Status
FY 2023-24 FY 2024-25 FY 2025-26 FY 2026-27 Total
Santa Clara
Funding
$689,547 $808,855 $864,936 $1,643,892 $4,007,230
Secured
Funding
$689,547 $808,855 $501,598 $2,000,000
Remaining
Funding
Needs
($363,338) ($1,643,892) ($2,007,230)
Additional funding will be required for the remainder of FY 2025/26 and all of FY 2026/27. Staff is exploring various options to secure the remaining unfunded amounts including potential grant opportunities, Federal and/or State funding, and developer funding. If funding is not able to be secured for the remaining need of $2.0 million, the City would need to set aside its own funds for the remainder of the grant and agreement period or end the program.

The budget amendment below is recommended to allocate funding from the Electric Operating Grant Trust Fund to the Streets and Highways Capital Fund in the amount of $689,547 and establish the new Cupertino-Santa Clara On-Demand Shuttle project. Funding for the project is anticipated to be carried forward to FY 2023/24 for the first year of funding. Future budget actions for year two and partial funding for year three will be brought forward as part of the FY 2024/25 Capital Improvements Project biennial budget process. The remaining funding need for the agreement is subject to the appropriation of funds and will be considered and brought to council at a later date after other funding options are explored.

Budget Amendment
FY 2022/23
Current Increase/
(Decrease)
Revised
Electric Operating Grant
Trust Fund
Expenditures
Electric Department $19,701,274 $(689,547) $19,011,727
Transfers To
Streets and Highways
Capital Fund
$400,000 $689,547 $1,089,547
Streets and Highways
Capital Fund
Transfers From
Electric Operating Grant
Trust Fund
$400,000 $689,547 $1,089,547
Expenditures
Cupertino-Santa Clara On-
Demand Shuttle Project
(NEW)
$0 $689,547 $689,547City of Santa Clara Printed on 6/1/2023Page 5 of 6 powered by Legistar™
23-409 Agenda Date: 6/6/2023
Current Increase/
(Decrease)
Revised
Electric Operating Grant
Trust Fund
Expenditures
Electric Department $19,701,274 $(689,547) $19,011,727
Transfers To
Streets and Highways
Capital Fund
$400,000 $689,547 $1,089,547
Streets and Highways
Capital Fund
Transfers From
Electric Operating Grant
Trust Fund
$400,000 $689,547 $1,089,547
Expenditures
Cupertino-Santa Clara On-
Demand Shuttle Project
(NEW)
$0 $689,547 $689,547

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

RECOMMENDATION

1. Authorize the City Manager to Negotiate, Execute, and Administer an Agreement with the City of Cupertino for the Cupertino-Santa Clara Joint On-Demand Shuttle Service Project up to a total not- to-exceed amount of $4,007,230, subject to the appropriation of funds and in a final form approved by the City Attorney;

2. Authorize the City Manager to execute any and all documents necessary for or associated with the agreement, including payments to the City of Cupertino, in a final form approved by the City Attorney; and

3. Approve the following FY 2022/23 budget amendments:

A. In the Electric Operating Grant Trust Fund, decrease the Electric Department budget by $689,547 and establish a transfer to the Streets and Highways Capital Fund in the same amount (majority affirmative Council votes required) ;
B. In the Streets and Highways Capital Fund, recognize a transfer in from the Electric Operating Grant Trust Fund of $689,547 and establish the Cupertino-Santa Clara On- Demand Shuttle Project in the amount of $689,547 (five affirmative Council votes required to appropriate additional revenue).

Reviewed by: Craig Mobeck, Director of Public Works
Approved by: Jōvan D. Grogan, City Manager

ATTACHMENTS

1. July 15, 2022 City News Release

2. Santa Clara Phase I and II Expansion Map

3. On-Demand Shuttle Service Shuttle Artwork and Smartphone App Branding City of Santa Clara Printed on 6/1/2023Page 6 of 6
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4/14/23 , 5:55 PM News Release : $8.5 million in Grant Funding to Expand Zero-Emission On-Demand Transit into Santa Clara I City News I City of ...

City News
News Release: $8.5 million in Grant Funding to Expand Zero Emission On-Demand Transit into Santa Clara
Post Date: 07/15/2022 11:13 AM
FOR IMMEDIATE RELEASE:

CONTACT: Lon Peterson, Director of Communications, 408-615-5522 or [email protected] SANTA CLARA, Calif. - The City of Santa Clara is thrilled to announce that the City of Santa Clara and City of Cupertino have been awarded nearly $8.5 million in State grant funding to expand the Via-Cupertino On-Demand Shuttle service into Santa Clara using a fleet of zero-emission vehicles.

Announced on July 7, 2022, the grant funding is part of the Transit and Intercity Rail Capital Program (TIRCP) issued by the California State Transportation Agency (CalSTA). The program aims to expand transit and intercity rail service while reducing greenhouse gas emissions.
"This is just a wonderful partnership with the City of Cupertino to bring more transit options to those in our community who need it most," says Mayor Lisa M. Gillmor. "As our City transit becomes more interconnected to the region, it's important we're reaching the underserved first, and also looking to the future with more energy efficient, environmentally friendly public transit."
Over the next 5 years, the service expansion will focus on offering improved connections between local Caltrain, Amtrak, and VTA stations to job centers and other destinations such as Kaiser Santa Clara while providing increased transit access for disadvantaged communities, high poverty zones, and senior populations.

View the full list grant awardees and ID'.Qject summaries .

About the City of Santa Clara
Located at the heart of Silicon Valley about 45 miles south of San Francisco, the City of Santa Clara truly is "The Center of What's Possible ." Incorporated in 1852, Santa Clara covers an area of 19.3 square miles with an estimated population of 128,000. Santa Clara is home to an extraordinary array of high-tech companies, including Applied Materials, Intel, Nvidia, Oracle, and Ericsson. The City of Santa Clara is also home to Santa Clara University, California's Great America Theme Park, and Levi's® Stadium, home of the San Francisco 49ers and SB50. For more information, go to SantaClaraCA.gov.

Return to full list > >
https://www.santaclaraca .gov/Home/Components/News/News/43772/ 1/1

Attachment 2 -
Cupertino-Santa Clara Joint On-Demand Shuttle Service Project Phase Expansion Map
Cupertino
Service Zone
(existing)
Phase I
Expansion into
Santa Clara
Phase II
Expansion into
Santa Clara
LI Cuperti no Service Zone
,f:l Core Cupertino Zone
9 Old vehicle depot
9 De Anza College Lot B
Cupertino City Hall
LI Santa Clara Phase I Zone
"
Service Zone
~ Sunnyvale Train Station - RWP
Sunnyvale Caltrain station
RWP - Mountain View Caltrain station
Mountain View Caltrain Station
~ RWP -Santa Clara Caltrai11 station
Santa Clara Caltrain Station
MSP- El Camino Hospital
0 Main Entrance - Grant Road
0 Emergency Loop
0 Hospital Drive
LI Santa Clara Phase II Zone
Santa Clara Initial Zone
l::f Santa Clara E)Cpansion
Let’s go together.

SV
Hopper
Vehicle
Wrap_Final
Kia
Niro
-
4,356.1
mm
~
2,700
mm
Wheelbase
~
171.5'
-' -
-

_
_ , 06.3"Wheelbase
-
-
04/05/23
1 :20
Scale
-Which color app launcher icon?
-Includes both City logos
-Includes onboarding text
supplied by Chris
Brought to you by
i~'c1ara
Powered by
Qv10
Hi, we're Silicon Valley
Hopper!
A public, on-demand ride sha~i~g
program brought to you by the C1t1es of
Cupertino & Santa Clara.
9 :41 A M
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City of Santa Clara
Agenda Report
1500 Warburton Avenue
Santa Clara, CA 95050
santaclaraca.gov
@SantaClaraCity
23-251 Agenda Date: 6/6/2023

REPORT TO COUNCIL

SUBJECT
Action on Silicon Valley Power’s Public Benefit Programs for Fiscal Years 2023-2024 through 2027- 2028

COUNCIL PILLAR
Sustainability

BACKGROUND
Public Utilities Code section 385 requires local publicly owned electric utilities, like the City of Santa Clara, to adopt a public benefits charge to promote energy efficiency and energy conservation, new investment in renewable energy resources and technologies, and energy efficiency services, education, weatherization, and rate discounts for low-income electricity customers. The City Council also adopted the Public Benefits Program Policy Statement which contains a list of programs to assist Santa Clara residents and businesses with energy efficiency and energy conservation and other programs. On May 29, 2018, the Council approved an extension of the current programs through June 30, 2023, subject to budget appropriations.

Among other programs, Silicon Valley Power (SVP) maintains a robust suite of energy efficiency programs that contribute to the state’s goal of doubling statewide energy efficiency savings as codified in Senate Bill350. Energy efficiency programs are intended to offer maximum benefit to the community while meeting all statutory and regulatory requirements. The requirements include the following:
· Public Utilities Code section 385 requires that the utilities collect and spend a percentage of their base retail electric revenues on qualified Public Benefits Programs which are partially listed above. The customary amount collected by public utilities in California is a minimum of

2.85 percent of annual base retail electric revenues. The funds must be spent on programs in four categories including energy efficiency, research and development, renewable energy resource development, and low-income assistance.
· Public Utilities Code section 386 requires each local publicly owned utility to ensure that low- income families have access to affordable electricity, and the level of assistance reflects the level of need. Furthermore, local publicly owned utilities shall ensure that low-income families have access to low-cost, no-cost energy efficiency measures that reduce energy consumption. · Public Utilities Code section 9615 requires each publicly owned utility to address unmet resource needs through energy efficiency and demand response prior to procuring new sources of power.

City of Santa Clara Printed on 6/2/2023Page 1 of 3
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23-251 Agenda Date: 6/6/2023
· Public Utilities Code section 9505 requires each local publicly owned utility to annually report investments and achievements in energy efficiency and demand reduction programs.

Furthermore, utilities must identify all potentially achievable cost-effective electricity efficiency saving and report savings targets to the California Energy Commission (CEC). · Public Resources Code section 25305.2 requires the CEC to report to the state legislature a comparison of the annual energy savings targets versus the actual energy efficiency savings and demand reduction for each local publicly-owned utility. · Public Resources Code section 25310 (c)(1) requires the CEC to set goals that will double statewide energy efficiency savings in California by 2030 and will require specific targets for SVP.

DISCUSSION
On an annual basis, SVP reviews its programs to ensure they meet the needs of its customers and the community while remaining in compliance with the above requirements. New technologies are evaluated, and programs are developed to incentivize commercially available energy efficient equipment. Program participation is evaluated, and underserved customer segments are identified.

As needed, equity incentives are added to programs to ensure access to energy efficient technologies for limited income households. Grant programs are also developed to assist underserved business customer segments with energy efficiency projects. Educational and outreach programs are expanded to increase awareness of energy efficiency and building electrification technologies and benefits, renewable energy, and potential utility careers.

SVP’s programs also benefit customers by paying a portion of upgrade costs to help them become more energy efficient, demonstrating new energy technologies, developing new renewable resources, and providing bill payment assistance.

In addition to the ongoing programs, the Public Benefits Program Proposal for FY 2023-2024 through 2027- 2028 includes development of the following new programs:
· Commercial Solar and/or Solar Plus Battery Storage Performance Incentive Program · Municipal Energy Efficiency Project On-Bill Financing Program · Scholarship Program for Income-Qualified Residents
· Income Qualified Used Electric Vehicle (EV) Rebate
Programs ending include the following:
· Residential Electric Dryer Rebate Program, which will end due to low energy savings. · VFD Air Compressor Rebate, which will end because this is now required by Code and can no longer be incentivized.

ENVIRONMENTAL REVIEW
The action being considered does not constitute a “project” within the meaning of the California Environmental Quality Act (“CEQA”) pursuant to section 15378(b)(4) of Title 14 in that the proposed program proposal is a funding activity which does not involve any commitment to any specific project which may result in a potentially significant physical impact on the environment.

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23-251 Agenda Date: 6/6/2023

FISCAL IMPACT
Expenditures for the Public Benefits Programs are required by state law to equal 2.85% of utility sales. Sufficient funds have been included in the FY 2023/24 Proposed Operating Budget in the Public Benefits Program in the Electric Operating Grant Trust Fund.

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

RECOMMENDATION

1. Approve the City of Santa Clara, Silicon Valley Power’s, Public Benefit Programs Proposal for Fiscal Years 2023-2024 through 2027-2028; and

2. Delegate authority to the City Manager, or designees, to make changes to the approved proposal, including adding or modifying programs, as necessary to meet PUC requirements and/or ensure program effectiveness during the above-fiscal year periods.

Reviewed by: Manuel Pineda, Chief Electric Utility Officer Approved by: Jōvan D. Grogan, City Manager

ATTACHMENTS

1. Public Benefits Program Proposal for FY 2023-2024 through 2027- 2028 City of Santa Clara Printed on 6/2/2023Page 3 of 3
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Public Benefits Program Proposal 2023-2028 final.doc - 1 -

Public Benefits Program Proposal for FY 2023-2024
through 2027- 2028

Silicon Valley Power

City of Santa Clara

SILICON
VALLEY
POWER®

CITY OF SANTA CLARA
Public Benefits Program Proposal 2023-2028 final.doc - 2 - Public Benefits Program Proposal for FY 23/24 to 27/28

The City is required to collect and spend 2.85% of its electric sales revenues on cost effective energy efficiency, new renewable generation, low-income energy programs, and new electric technologies research and development. Assembly Bill 2021 (AB 2021), which passed in 2006, required the City Council to adopt energy efficiency goals for the next ten years and to report its energy efficiency savings to the California Energy Commission (CEC). The most recent energy efficiency potential study was conducted by GDS Associates, Inc. and the goals were adopted by City Council in 2021 at the following rate:

CUMULATIVE SAVINGS UTILITY SPECIFIED FEASIBLE GOAL IN
MWH
2021-2022 11,584
2022-2023 11,536
2023-2024 11,013
2024-2025 10,604
2025-2026 8,913
2026-2027 7,305
2027-2028 6,651
2028-2029 5,808
2029-2030 5,817
2030-2031 5,372

Goals & Objectives

1. Implement cost-effective energy efficiency programs to lower energy use. The cost to implement energy efficiency programs should be lower than the capital cost to build new generation and benefits of the total programs should exceed costs under the Total Resource Cost (TRC) test under the methodology reviewed and approved by the Northern California Public Agency (NCPA) Demand Management Working Group, of which Silicon Valley Power’s PBC program manager is a member.

2. Provide the PBC programs in a manner that creates value to the community and meets all applicable legal requirements.

3. Assist Divisions and City Departments in achieving optimal energy efficiency at City facilities and assist in implementing new energy related technologies for the benefit of the City and community.

4. Implement programs to support renewable power generation that increase resource diversity and minimize adverse environmental impacts from electric generation and operation of the electric system.

5. Support emerging technologies to speed up market acceptance therefore, allowing Public Benefits Program Proposal 2023-2028 final.doc - 3 - energy efficiency services and products to compete in the open market.

6. Assist low-income residents in helping them to pay their electric bills and in installing energy efficient appliances and other measures.

7. Determine the best energy programs to offer Santa Clara customers by collecting input from community organizations, businesses and other City departments.

Program Summaries
Proposed New and Modified Programs for FY 22/23 to 27/28

New Programs
• Commercial Solar and/or Solar Plus Battery Storage Performance Incentive Program:

This program will provide performance-based incentives to commercial customers who install large solar plus battery storage systems to assist in reducing the coincident peak demand and/or assist in areas where electric transmission and distribution resources are constrained. A performance-based incentive for installation of large solar systems may also be offered if there are significant grid benefits to Silicon Valley Power for installations without battery storage systems. • Municipal Energy Efficiency Project On-Bill Financing Program: This program will provide on-bill financing for projects implemented at City facilities where the City is the utility account holder and that meet all other requirements of Silicon Valley Power’s energy efficiency programs. Projects must have a payback period not more than 5 years after rebates. Payments will be spread across utility bills based on the payback period, not to exceed 5 years. The intent of this program is to help City departments fund energy efficiency projects through utility bill savings. • Scholarship Program for Income-qualified Residents: This program will provide scholarships to customers who meet specified income requirements. Eligibility will be working age adults who enroll in a technical school or training program for a career that will support the energy industry. Examples include but are not limited to HVAC technicians, solar system installers, utility lineworkers, etc. The intent of the program is to assist those with the lowest incomes to obtain the skills and certifications necessary to obtain higher paying jobs and to support workforce development in the energy industry or industries that support energy efficiency and building electrification programs.
• Income Qualified Used Electric Vehicle (EV) Rebate: This program will provide an incentive for income-qualified customers to purchase a used EV or plug-in hybrid electric vehicle. Incentives will be tiered to provide a higher incentive for an EV over a plug-in hybrid, and will include an equity component with a bonus incentive for those who qualify for the LIHEAP program. An additional bonus incentive maybe included for vehicles meeting specified minimum charging efficiency (kWh per 100 miles driven).

Funding for past Low Income EV Rebates came from Low Carbon Fuel Standard Credit funding, and this program will be funded under the low income category of the Public Benefits Charge.

Ongoing Programs
Public Benefits Program Proposal 2023-2028 final.doc - 4 - • Data Center Efficiency Program: This program targets data centers with IT server load greater than 350 kW or cooling load greater than 100 tons. The incentive is paid as a performance incentive over multiple years.
• Customer Directed Rebate: This program provides incentives based on actual energy saved for energy efficiency measures that do not fall into SVP’s standard business rebate programs. The program also includes a performance incentive option for projects where persistence savings is questionable.
• Commercial Lighting Rebates: This program provides an incentive for upgrading to more efficient lighting paid based on actual energy saved. • Residential Pool Pump Rebate: This program provides a rebate to residential customers installing a new variable speed pool pump with a qualifying controller. • Residential Heat Pump Electric Water Heater Rebate: SVP offers a rebate for the purchase of a qualified electric heat pump water heater with bonus incentives to income-qualified customers.
• Residential In-Home Energy Audits, Education, and Hotline: The program encourages residents to become more energy efficient and reduce their energy bills through home audits, online and in person classes, school programs and community outreach at events. Energy audits include free items to improve home weatherization where needed. This program also includes support of the Santa Clara City libraries and schools located in the city of Santa Clara through donation of materials on the topics of energy efficiency and renewable energy for libraries and classrooms. • Tool Lending Library: This program provides tools and equipment to the Santa Clara City libraries so they may be checked out to library patrons to assist in measuring energy consumption and installing energy efficient measures in their homes. • Tier II Advanced Power Strip Giveaway Program: Silicon Valley Power provides free Tier II Advanced Power Strips (APS) to income-qualified customers and residents of multifamily apartment complexes. A Tier II APS is also included in the energy saving items provided during a home energy audit.
• Financial Rate Assistance Program (FRAP): This program provides a discount on the electric portion of utility bills for income-qualified residential customers, up to the first 800 kWh of use per month.
• Residential Blower Door and Duct Testing Pilot Program: In an attempt to help customers improve the efficiency and comfort of their homes through the reduction of leaks, this pilot program will be available to residential customers in single family homes who have central air conditioning. A free SVP audit will be required to determine if the home is a good candidate for the blower door test. Duct testing is a much more involved process and will be offered to those customers who are a good candidate for reducing the leaks in their air conditioning duct system, who demonstrate an interest in taking action to improve the duct work, and who are not already doing an air conditioning system upgrade where a duct test is required by building code. The service will be free to eligible customers under the pilot program. At the time of this report, this pilot program is still in the design phase and has not yet been launched.
• Silicon Valley Power Marketplace: The Marketplace is an online marketplace where residential customers can purchase energy saving equipment and electric yard care Public Benefits Program Proposal 2023-2028 final.doc - 5 - equipment. Instant rebates are available on some types of equipment, with higher rebate levels available to income-qualified customers. Shipping is free on all purchases over $50 and is a flat rate of $5 per order for all other orders. • Low Income EV Charging Station Grant for Multi-family properties – Under its low income programs, SVP offers a grant per charging station for multi-family properties where 15% of customers residing at the property qualify for SVP’s low income programs.
• Medical Rate Assistance Program: Customers receive a 25% discount on their electric bill if they qualify due to high electric use for medical reasons. The programs are managed in-house.
• Low Income Solar Grant Program: This program provides a grant to income-qualified homeowners to install a solar system on their roof. The program is intended to offset up to 100% of their annual energy use.
• Emerging Technologies Grant: This program encourages businesses to demonstrate new products and product applications not yet commercially viable in today’s marketplace, install energy efficient technologies not generally known or widely accepted, yet show potential for successful market growth, successfully apply energy efficiency solutions in new ways, or introduce energy efficiency into industries or businesses that are resistant to adopting new technologies or practices. • Commercial New Construction Rebate: This program provides a rebate to customers who exceed Title 24 by 10 percent for the measure being incentivized, in line with other prescriptive rebates for retrofit projects. A Design Team Incentive matching the Investor Owned Utilities’ program is provided.
• Business Energy Audits: Provides free energy efficiency audits to business customers.

Energy & Resource Solutions administers this and other business PBC programs. • Business Rebates: Encourages businesses to install energy efficient lighting, HVAC equipment, enhanced ventilation controls, food service equipment, etc. The programs are occasionally changed to match statewide programs.
• Small Business Efficiency Services Program: This program is targeted at small business customers, and provides assistance in identifying energy efficiency projects, selecting and managing contractors, and help with filling out rebate application paperwork. The program also provides a bonus incentive for lighting and HVAC rebates, provided that customers install the lighting measures within 6 months of program enrollment and HVAC measures within 12 months of enrollment in order to receive the additional incentive.
• Energy Efficiency Grant for Nonprofit Organizations: This program provides grants to nonprofit organizations to improve the energy efficiency of their facilities. • Energy Efficiency Grant for Homeowners Associations: This program provides a grant for Homeowners Associations (HOAs) to upgrade to more energy efficient equipment in the common areas of their communities.
• Community Outreach Grants for Energy Efficiency and Building Electrification Education: This program provides an opportunity for nonprofits and community-based organizations to receive a grant up to $10,000 to promote energy efficiency and building electrification benefits within our community. A focus on traditionally Public Benefits Program Proposal 2023-2028 final.doc - 6 - underserved communities or diversity, equity and inclusion is required. • Student Grants for Energy Efficiency and Renewable Energy Projects or Awareness Campaigns: Silicon Valley Power offers grants up to $5,000 for high school students to create projects or awareness campaigns that will educate the Santa Clara community about energy efficiency and/or renewable energy. Examples include but are not limited to educational videos, public art displays, online resources, outreach materials, demonstration projects, webinars, or workshops. • Controls Program: This program is available for projects where at least 80% of the savings come from the control strategies.
• Building Optimization Rebate: For buildings with HVAC systems controlled by building automation systems, a rebate is provided for reprogramming the control system to optimize HVAC performance. Typically, this involves conducting an energy assessment that provides an implementation plan for testing and making control system improvements that optimize HVAC operation.
• Commercial Electrification Incentives: This program provides bonus incentives for the electrification of efficient food service equipment. Incentives are also available for heat pump water heaters, heat recovery chillers, heat pump pool heaters and heat pump air conditioners.
• Customer Directed Electrification Rebate: This program pays an incentive based on measured and verified energy savings for any building electrification project that does not fall within the standard electrification rebates.
• Induction Cooking Demonstration Project: Silicon Valley Power retrofitted the Santa Clara Unified School District’s Adult Education cooking classroom with induction cooktops and new cookware. This program sponsors classes once or twice per month for residents to learn to cook new cuisine while trying out an induction cooktop. Adult Education cooking instructors were provided with training on the benefits of induction cooktops and lessons they can teach to demonstrate the benefits. Handouts are also provided to all program participants.

Programs Ending
• Residential Electric Dryer Rebate Program: This program provided a rebate for ENERGY STAR-qualified electric clothes dryers that meet the minimum Combined Energy Factor (CEF) rating. Due to low energy savings that can be claimed, this program will end.
• VFD Air Compressor Rebate: This measure is for VFDs on rotary screw air compressors of 5hp – less than 25hp, as the energy code requires VFDs on compressors of 25hp or greater. Following customer outreach for this program, we found very little potential within the City of Santa Clara, so this program will be retired.

If a customer has a qualifying air compressor and would like to install a variable frequency drive (VFD), an incentive can be provided under the Customer Directed Rebate program.

Third Party Programs for Business Customers
As one of the ways to enhance energy savings through the PBC programs and meet kilowatt hour and kilowatt demand reduction goals, SVP periodically embarks on an RFP process to add third party energy efficiency programs to its Public Benefit Program offering. Of the responses Public Benefits Program Proposal 2023-2028 final.doc - 7 - received each cycle, a review team selects responses that are both cost-effective and the most likely to help customers without overlapping with programs already being provided. The most recent RFP was issued in April 2018 and an RFP is currently under development to be issued in late spring 2023. Additional programs will be added under contracts awarded through the RFP process.

Of the programs selected and implemented from the 2018 RFP, the following is still offered with an end date of June 30, 2023:
• Small Business Exterior Lighting Program: This program provides a free snapshot audit of exterior lighting efficiency opportunities. It then provides free LED exterior lights to eligible small businesses. The businesses are responsible for the installation cost and can use their own staff, the contractor of their choice, or one of the contractors working with the program provider.

City of Santa Clara
Agenda Report
1500 Warburton Avenue
Santa Clara, CA 95050
santaclaraca.gov
@SantaClaraCity
23-654 Agenda Date: 6/6/2023

REPORT TO COUNCIL

SUBJECT
Informational Report and Status Update on the Morse Mansion

COUNCIL PILLAR
Enhance Community Engagement and Transparency

BACKGROUND
On November 1, 2022, the City Council held a Real Estate and Morse Mansion Study Session (RTC 22-1155). The presentation (Attachment 1) included the background on the Morse Mansion and the following three options for City Council discussion:

1. Extend the Lease with the Sorority

2. Sale of the Property

3. Maintain for City Uses - specifically an SVP Sustainability Learning and Historical Center (SVP Center)
As part of the discussion, the City Council and community expressed interest in Option 1 and Option

3. The Council and community also expressed support for exploring other City uses; however, staff clarified that any other City options and uses would require a separate funding source than SVP.

There was no discussion or direction of further exploring or analyzing the sale of Morse Mansion.

DISCUSSION
SVP Sustainability Learning and Historic Center
Staff completed an RFP for engineering services to determine the feasibility of using Morse Mansion as an SVP Center. A consultant has been selected and staff will proceed with executing a contract to complete a Feasibility Study. The contract is for an estimated $150,000 and does not require City Council approval, however due to the Council and community interest in the project, staff is providing this informational report. The scope of work includes the following:
· Feasibility analysis detailing limitations and opportunities under the historic designation, functionality of a public Sustainability Learning and Historic Center in Morse Mansion. · Engineering study detailing required infrastructure improvements and cost to bring the property to good operating order.
· Identify options and conceptual design scope of how an SVP Center could function within the property.
· Public outreach and community informational workshops.

City of Santa Clara Printed on 6/2/2023Page 1 of 2
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23-654 Agenda Date: 6/6/2023
Lease with the Sorority
As communicated to City Council via email on April 24, 2023, the Sorority declined to extend the lease beyond June 2024. Specifically, they would not agree to provide an on-site resident Sorority House Director. The City will need to consider if there are any other lease options or what would be needed to maintain the Mansion vacant once the lease expires.

FISCAL IMPACT
The Feasibility Study will be funded through SVP restricted funds, specifically the Public Benefits Charge. These funds are required to be used for specific purposes including research and development, and education and outreach. If an SVP Center is determined to be feasible and the City Council decides to move forward, a funding strategy would need to be developed that would need to include additional funding sources beyond SVP restricted funds.

ENVIRONMENTAL REVIEW
The action being considered does not constitute a “project" within the meaning of the California Environmental Quality Act ("CEQA") pursuant to section 15060(c)(1) as this item is only informational and does not involve the exercise of discretionary powers.

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 report to Council 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.

A community meeting was held on January 25, 2023 with approximately 100 attendees. https://www.siliconvalleypower.com/svp-and-community/projects

RECOMMENDATION
Note and File Informational Report on Morse Mansion
Reviewed by: Manuel Pineda, Assistant City Manager/Chief Electric Utility Officer Approved by: Jōvan D. Grogan, City Manager

ATTACHMENTS

1. Real Estate and Morse Mansion Study Session Presentation City of Santa Clara Printed on 6/2/2023Page 2 of 2
powered by Legistar™
1 2
. .I.TfM if'2
Real Estate Update
• City does not have a Real Estate Manager
City Council
Item 2 - Real Estate and
Morse Mansion Study
Session
RTC 22-1155
November 1, 2022
• Position created in 2021 to lead Real Estate, staff member left May 2022 • Position not currently being recruited
- Work being absorbed as collateral duty by other staff • Council has expressed interest in a more "strategic approach" to the management of the City's real estate
• Worl<lng on two priorities

1. 900 Lafayette and 1000 Lafayette Properties
- Leases and management
- Future redevelopment

2. Morse Mansion
• Other real estate items continue to move forward (Parks, Related)

POST MEETING MATERIAL
1 3
4 900 and 1000 Lafayette
• Commerce and Peddlers Plaza
• City took over buildings in late 2021 and 2022
• 59 total available spaces for lease (95,000 SF)
• Council Eugene Burger Management Corporation for
Property Management Services
• Significant work effort from the Housing Division,
Purchasing Division, and City Attorneys Office
• Last 4 months - completed 31 of 35 leases of
occupied spaces (2-year terms)
• About 65% of SF is occupied
• Completed approximately 17 Purchase Orders to
allow for daily operations and maintenance
• Elevators, lighting, electrical, clean up/dumping,
signage, alarm system, security
900 and 1000 Lafayette
• About $500,000 in "profit" to General Fund
• Many expenditures required to maintain building
• Significant long term capital investments needed
• Long term plan would be needed if properties
were to be leased/maintained as is
• City is not staffed to be long term landlord
• Downtown Precise Plan
• Actively working on developing the
process/ options for City properties
• Working with staff and outside Counsel
• Future Council discussions
• Additional opportunities will be explored
~SILICON
.. VALLEY
POWER. ano,SANTAaAM
2 5
6 Morse Mansion
• Purchased in 2016 for $3,875,070
• National Register of Historic Places
• Tenant lease expires June 2024
• Currently leased to sorority with request for lease
extension (Approx. $17,000 a month)
• Property manager and maintenance costs
• Major capital improvements required (foundation,
electrical, plumbing, roof, etc.)
• Inspection Report 2016
• Preservation Treatment Plan Report 2017
• Currently estimated at $8.o million plus (needs
update)
• No current funding source
• Today - Council feedback on possible options
• Robust Community Outreach will be needed
Morse Mansion
Option 1 - Extend Lease with Sorority
• Community concerns with the use and
discussions of no future extensions
• Extending lease would require additional capital
investment beyond current budgets
• Additional funding sources need to be identified
Option 2 - Sale of the Property
• Would need to go thru the surplus land act
process
Option 3 - Maintain for City Uses
• Important historical property
• City typically prefers to keep property not sell
• Would require significant capital investment
Spring 1893
~SILICON
.VALLEY
POWER.

ClnO J SAN'fACLAM
~SILICON
.VALLEY
POWER.

CJTYOrSAHTACLAM
3 7
8 Option 2 - Sale of The Property
Surplus Land Act
• Historic Designation limits use
• Building would be available to public agencies,
schools, etc, and affordable housing providers
• Don't expect interest - limited use
• Staff research on affordable housing use/needs
suggests limited interest
• Won't know for sure until process is complete
Sale on the Open Market
• Would need to hire a Realtor
• If sold the buyer would be able to use the building
for residential or commercial uses
• Could consider a deed restricted sale but it would
limit buyers and value
Option 3 - City Use
• Met with Public Works, Parks and
Recreation, and Community Development to
discuss options
• No use was identified
• Capital funding would be needed (likely
General Fund)
• Historical Designation limits uses
• One creative option exists for staff to explore
if there is Council interest
• SVP Sustainability Learning Center and
Historical Center
~SILICON
.VALLEY
POWER.

CffTOfSAHl'ACUJIA
4S1UCON
.VALLEY
POWER.
crno,SANTAUAM
4 9
10 Sustainability and Historical Center
• Staff expressed interest in the past in developing
an SVP Historic Center and more recently a
Sustainability Learning Center
• Roseville has a Utility Exploration Center
• SMUD Museum of Science and Curiosity
• Morse Mansion could be a great place to
implement a learning/historic center with
components such as: ·
• Historical nature of the building itself
• Demonstration of building and home electrification
• Learning center rooms solar and battery power
• Sustainable yard and landscape demonstration
• Could this be accomplished in a historic building?
• Consultant study would be needed
SVP Sustainability and Historical Center
• Allows the historic building to be maintained within City ownership
• Restricted SVP funds (for educational and demonstration purposes) would be used- does not affect rates
• Having a funding source and proposing a creative use
could make grant funding more realistic
• Reimburse General Fund for prope1ty value per updated appraisal
• Educational Sustainability and Historic center could be a destination for schools and residents
• Is it feasible? - if there is Council interest staff would need to work with consultants to determine feasibility
and cost
A_S1ucoN
.VALLEY
POWER.

OlYO F SANTA a.AAA
5 11
12 Discussion
• Option 1 - Extend Lease with Sorority
• Community concerns and funding
• Option 2 - Sale of the Property
• Would need to go thru the surplus land act process first • Option 3 - Maintain for City Uses
• Council thoughts on Sustainability and Historic Center • Other options
City Council
Item 2 - Real Estate and
Morse Mansion Study
Session
RTC 22-1155
November 1, 2022
6 From: Tahir Nairn <tahirjnaim@yahoo .com>
Sent: Tuesday, November 1, 2022 7:04 PM
To: Mayor and Council <[email protected] > Subject: Option 3 for Morse Mansion
Hi,
I heard some of this and I think it would be a lovely place for wedding rental. I wed in the historic house behind the Triton which was nice, but I suspect that if the Morse mansion had been available, we would have booked it instead . ·
I think a demonstration garden in partnership with Ferry-Morse seeds is worth exploring .

Sounds like we have some time before the lease is up to explore partnership and uses.

Sincerely ,
Tahir J. Nairn
District 2

POST MEETING MATERIAL
City of Santa Clara
Agenda Report
1500 Warburton Avenue
Santa Clara, CA 95050
santaclaraca.gov
@SantaClaraCity
23-738 Agenda Date: 6/6/2023

REPORT TO CITY COUNCIL

SUBJECT
Action on a Special Permit to Allow Two Occurrences of Car Shows at 958 Homestead Road (CEQA:

Exempt 15304(e) Class 4 - Minor Alterations to Land)

COUNCIL PILLAR
Enhance Community Engagement and Transparency

BACKGROUND
The applicant, Richard Peralez, of the American Legion Post 419, a non-profit organization, is requesting a Special Permit for two years to allow their annual car show at 958 Homestead Road.

The 2023 event will take place on June 10, 2023, from 7:00 a.m. to 5:00 p.m. and is open to the public; the exact date of the 2024 event is to be determined. The applicant has obtained a Special Event Permit from the Parks and Recreation Department for the event as well as an encroachment permit from the Department of Public Works for the closure of Washington Street between Lexington Street and Homestead Road.

The property is currently zoned Downtown Commercial (CD). The zoning encourages commercial and office use, and the surrounding area has a mix of uses, including office, commercial and single- family and multi-family residences. The proposed temporary use, with limited duration and operations proposed, are not anticipated to adversely impact surrounding land use.

DISCUSSION
The applicant is requesting a Special Permit to allow use of the parking lot to host a social event.

This use is not allowed by right within the City’s Zoning Code but may be permitted on a temporary basis through the issuance of a Special Permit per City Code section 18.60.030(b). The applicant applied for and obtained a Special Event Permit, and, through the Special Event Permit review process, it was discovered that the applicant would need to also obtain a Special Permit as the event includes temporary use of the American Legion parking lot for event activities. The specific future car show event date for 2024 is currently to be determined and is also proposed for approval with this Special Permit. The 2024 car show event and date will be coordinated with the Planning Division of the Community Development Department and will also require approval of a new Special Event Permit from the Parks and Recreation Department.

The proposed event will provide entertainment and food to the community. Given the site context and limited timeframe of the proposed use, the benefit of providing entertainment to the community outweighs the potential temporary disadvantages. The proposed Conditions of Approval are provided as Attachment 1. In alignment with the City’s General Plan and other policies, granting the Special Permit will further cultural activities within Santa Clara with no expected negative impacts. The Special Permit is subject to revocation should problems arise.

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23-738 Agenda Date: 6/6/2023

ENVIRONMENTAL REVIEW
The action being considered is exempt from the California Environmental Quality Act (“CEQA”) pursuant to CEQA Guidelines section 15304(e) (Class 4 - Minor Alterations to Land) as it consists of the minor temporary use of land having negligible or no permanent effects on the environment, such as carnivals and the sale of Christmas trees. The proposed car show in an existing parking lot would be consistent with such allowable temporary uses.

FISCAL IMPACT
There is no cost to the City other than administrative staff time and expense. The applicant paid for the necessary permit fees.

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

RECOMMENDATION

1. Approve the use of a Class 4 Categorical Exemption, and

2. Approve the Special Permit to allow two occurrences of Car Shows at 958 Homestead Road, subject to conditions, based upon the Director of Community Development’s findings set forth in the Permit.

Reviewed by: Andrew Crabtree, Director of Community Development Approved by: Jōvan D. Grogan, City Manager

ATTACHMENTS

1. Conditions of Special Permit Approval

2. Site Plan
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Location: 958 Homestead Road
Applicant: American Legion Post 419
Owner: American Legion Post 419
Request: Two-Year Special Permit to use the American Legion parking lot as an event site for an annual car show.

General Plan Designation: Community Mixed Use
Zoning Designation: CD – Downtown Commercial
Environmental Determination: Categorically Exempt per Section Exempt 15304(e) Class 4 - Minor Alterations to Land)

FACTS
The Director of Community Development finds that the following are the relevant facts regarding this proposed project:

1. The project site has a Community Mixed Use General Plan land use designation.

2. The project site is zoned Downtown Commercial (CD) and is located at 958 Homestead Road in the City of Santa Clara.

3. The project is to use the American Legion parking lot as an event site and requires a Special Permit.

4. The Special Permit will be for two occurrences of an annual car show, one on June 10, 2023 and one date to be determined in 2024.

FINDINGS
The Director of Community Development finds that based on an analysis of the facts presented above, that:

(1) The facility, under the circumstances of the particular case, is essential or desirable to the public convenience or welfare in that:

• The project involves using the American Legion parking lot as an event site for a car show that is open to the public.

(2) The facility will not be detrimental to the health or safety of the persons residing in the neighborhood in that:

• The event will have measures in place to ensure health and safety of the surrounding area.

(3) The facility will not be detrimental to the property or improvements in the neighborhood in that:

SPECIAL PERMIT

Planning Division
Andrew Crabtree, Director of Community Development
Special Permit – 958 Homestead Road
June 6, 2023

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City Council and Authorities ConcurrentJune 6, 2023

City Council and Authorities Concurrent
June 6, 2023